Monitoring the process using the PEG M&E Tool

Least Developed Countries Expert Group (LEG)
LEG regional training workshop on national adaptation plans (NAPs) for
Anglophone Africa
27 February to 03 March 2017
Bingu International Convention Centre
Lilongwe, Malawi
PEG M&E tool:
a tool for monitoring and reviewing Progress,
Effectiveness & Gaps (PEG) in the formulation and
implementation of NAPs

Monitoring and evaluation systems
Many types of M&E systems for specific end uses (no universal M&E at the
national level to address all needs)
At least 3 types can be applied for adaptation at national level:
 M&E of the national NAP process
 M&E of adaptation
 M&E of projects and programmes related to reporting requirements of
support provided
M&E can also be at international level:
 Progress on NAP process under SBI (next in 2018)
 Paris Agreement: “global stock take” & “reviewing adequacy and
effectiveness of adaptation & support”
 Monitoring and review of LDC status and graduation from LDC status
 Review of MDG & SDGs

Inter-linkages between the 3 examples of M&E at national level
• The 3 examples are not mutually exclusive
• A country will likely apply and use several systems to address
different needs for assessing progress
• Important to use M&E systems as tools to an end: address a need
in a flexible way, rather than fitting the tool to the needs

Overview of the PEG M&E tool
• Designed to monitor overall progress of the NAP process,
o This tool targets the process for now, and not the adaptation or
development outcomes
• Responds to the initial guidelines for NAP process on reporting on
‘Progress, Effectiveness and Gaps’ (PEG) under the NAP process
• Builds on the 10 essential functions (EFs) of the NAP process as
defined by the LEG
EF: services that the NAP process is meant to deliver to
countries
• Suggests expected outcomes and metrics in the form of indicative
questions/checklists for each essential function that will support
countries to monitor and evaluate that function

Why the essential functions
The essential functions of NAP process …
• Essential characteristics of an effective NAP process, that it is
useful at the national level, and leads to desired outcomes
• Expected impact of carrying out a NAP process in the long-term
… basis for the PEG M&E tool
• Under each essential function, expected results/outcomes can be
framed, that would lead to achieving the long-term impact
• <<insert EFs slides for reference>>

Listing of the Essential Functions of the NAP process (LEG, 2015)
1. Helping governments to provide national leadership and coordination of
adaptation efforts at all levels and to act as the main interface with regional
and international mechanisms
2. The collection, compilation, processing and dissemination of data, information
and knowledge on climate change and relevant development aspects in
support of adaptation planning and implementation
3. Identifying and addressing gaps and needs related to capacity for the
successful design and implementation of adaptation
4. Assessing climate-development linkages and needs, and supporting the
integration of climate change adaptation into national and subnational
development and sectoral planning (through policies, projects and programmes)
5. Analysing climate data and assessing vulnerabilities to climate change and
identifying adaptation options at the sector, subnational, national and other
appropriate levels
…

Listing of the Essential Functions of the NAP process (LEG, 2015), contd.
6. Appraising adaptation options to support decision-making on adaptation
investment plans and development planning
7. Promoting and facilitating the prioritization of climate change adaptation in
national planning
8. Facilitating the implementation of adaptation at all levels through appropriate
policies, projects and programmes, taking into account opportunities for synergy
9. Facilitating the monitoring, review and updating of adaptation plans over time,
to ensure progress and effectiveness of adaptation efforts and to demonstrate
how gaps are being addressed
10. Coordinating reporting and outreach on the NAP process to stakeholders
nationally, internationally and formally on progress to the Convention

Essential functions of the NAP process (LEG, 2015), contd.

5 main types of metrics
Metric Context under the PEG M&E tool (example)
Process Course of action taken to achieve a goal
Input Tangible quantities put into a process to achieve a goal
Output Products and services delivered
Outcome Results that stem from the use of the outputs
Impact The effect that an outcome has on something else

General metrics for the process to formulate
and implement NAPs

Process Metrics
(measure a course of action taken to achieve a goal)
1. Leader with sufficient authority to direct the NAP process at the national level and
allocate resources to relevant actors, direct planning efforts with participation of
all relevant ministries and other stakeholders, and facilitate progress for the
country.
2. A multiyear plan that includes goals, focused statement of task, implementation,
operational research and systematic observations, applications, and integration,
such as in the form of a road map.
3. A functioning participatory process in place involving all appropriate
stakeholders, with (a) underlying processes and timetables, (b) assessment of
progress toward achieving program goals, and (c) an ability to revisit the plan in
light of new advances.
4. A strategy for setting priorities and allocating resources among different elements
of the program (including those that cross agencies) and advancing promising
avenues of relevant research, piloting and implementation.
5. Procedures in place that enable or facilitate the use or understanding of the
results by others in the country as well as at the regional and global level (e.g.,
researchers and practitioners in other disciplines, operational users, decision
makers) and promote partnerships.

Input Metrics
(measure tangible quantities put into a process to achieve a goal)
1. Sufficient intellectual and technologic foundation to support the work.
2. Sufficient commitment of resources (i.e. people, infrastructure, financial
etc.) directed specifically to allow the planned program to be carried out.
3. Sufficient resources to implement and sustain important steps under each
essential function.
4. Sufficient resources to promote the development and maintenance of
each of the following: (a) human capital; (b) measurement systems,
models and tools where relevant, and synthesis and interpretive activities;
(c) transition to operational activities where warranted; and (d) services
that enable the use of data and information by relevant stakeholders.
5. Activities take advantage of existing resources (e.g., regional historical
data records, infrastructure, ongoing programmes and projects).

Output Metrics
(measure the products and services delivered)
1. The activities of the process produce peer or publicly-reviewed and
broadly accessible results, such as (a) data and information, (b)
quantification of important systems and processes, (c) applicable
measurement techniques, (d) scenarios and decision support tools, and
(e) well-described and demonstrated relationships aimed at improving
understanding of processes or enabling forecasting and prediction.
2. An adequate community and infrastructure to support the elements of the
NAP process has been developed.
3. Appropriate stakeholders judge these results to be sufficient to address
needs of the NAP process and to inform management and policy
decisions.
4. Synthesis and assessment products are created that capture key
experiences and lessons learned from carrying out the NAP process.
5. Results and outputs of the NAP process are communicated to an
appropriate range of stakeholders.

Outcome Metrics
1. The activities under the NAP process have engendered significant new
avenues of action and resources to address the objectives of adaptation.
2. The element of the NAP process has yielded improved understanding,
such as (a) more consistent and reliable predictions or forecasts of risks
and sources of vulnerability to climate change, (b) increased confidence in
our ability to cope and deal with climate change and variability, and (c)
broadly accepted conclusions about key issues or relationships.
3. Assessment results and pilot activities have been transitioned to
operational use.
4. Institutions and human capacity have been created that can better
address a range of related problems and issues in addressing adaptation.
5. The measurements, analysis, and results are being used (a) to answer the
high-priority climate adaptation questions that motivated them, (b) to
address objectives outside the NAP within broader sustainable
development, or (c) to support beneficial applications and decision
making, such as forecasting and early warning systems, cost-benefit
analysis, or improved assessment and management of risk.

Impact Metrics
1. The results of the NAP process have informed policy and improved
decision making in the country on adaptation issues and ultimately on
development planning.
2. The program has benefited society in terms of protecting and enhancing
economic vitality, promoting environmental stewardship, protecting life
and property, and reducing vulnerability to the impacts of climate change.
3. Public understanding of climate adaptation issues has increased.

Example using the Essential Function 1
Essential Function 1: Helping governments to provide national
leadership and coordination of adaptation efforts at all levels and to
act as the main interface with regional and international mechanisms
• Expected outcome 1: The NAP process creates and maintains
governance structures that lead work on adaptation at the national
level through appropriate mandates and institutional arrangements
• Expected outcome 2: The NAP process facilitates the
coordination of adaptation across scales, actors and levels within
the country to ensure coherence and effectiveness of adaptation
• Expected outcome 3: The NAP process is used to mobilize and
manage technical and financial support for nation adaptation efforts
from local, regional and international mechanisms

Sample metrics for Essential Function 1
Expected outcome 1: The NAP process creates and maintains
governance structures that lead work on adaptation at the national
level through appropriate mandates and institutional arrangements
• Is there a national mandate to define the NAP process and its
work? (the nature and form of such a mandate would vary)
• Does the mandate clearly define institutional arrangements
(including a coordinator/leader and a coordination body for the NAP
process) to lead and oversee the work on adaptation?
• Does the coordination body for the NAP Process have sufficient
authority to coordinate engagement of all line ministries and other
relevant actors in addressing adaptation?
• Does the coordination body have its own human, financial and
technical resources under its direct control?

Principles for M&E identified under the PEG M&E Tool
See publication for 10 principles. We focus on 5 key ones:
1. Leadership to guide the programme and redirect resources;
2. A plan of action against which to apply the measures;
3. The potential to use metrics not just as simple measures of
progress, but as tools to guide strategic planning;
4. Availability of human, financial, and computational resources
required for the development and application of metrics;
5. Adjustment in metrics is necessary to keep pace with scientific
progress and programme objectives, allowing to learn from
experience and foster future progress.

Application of the PEG M&E Tool
• Use the metrics to define success criteria for the NAP process, and
apply as a checklist and graduated questions (use a rating scale of
say 1 to 5 to rank degree of success)
• Use the tool to manage the process and ensure goals of the NAP
process are being met
• Results of the monitoring and review process may be used in
reporting on progress, effectives and gaps to the SBI as per the
NAP guidelines
• Results of the monitoring would be used in assessment and review
when updating the NAPs

Contact:
The Chair
Least Developed Countries Expert Group (LEG)
leghelp@unfccc.int

Monitoring the process using the PEG M&E Tool

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