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TMF Economic Development - Ministerie van Buitenlandse Zaken
Introduction of the Steering Committee: The Steering Committee TMF Evaluation commissioned and supervised nine studies, which are regarded as important building blocks for the synthesis report of this evaluation. These were seven thematic studies, and two cross-cutting studies. This study on economic development is one of the seven thematic studies. The Steering Committee regards this study as an excellent contribution to the final result, and an important contribution to a policy theory about a theme that should get more attention in Dutch development policy and for which this study provides rich material. In the synthesis report the Steering Committee has given its own interpretation of the main conclusions in section 2.6. Evaluation of the Theme-Based Co-financing Programme Expert study:economic development Final Report Volume I: Main research findings, conclusions and recommendations Research Team: Frans van Gerwen (Teamleader/ Senior Expert) Taco Kooistra (Senior Expert/Vice Teamleader) Lambert van Gils (Senior Expert) Herman Snelder (Senior Expert: Burkina Faso and Backstopper) Donath Olomi (Southern Senior Expert: Ethiopia) Peniel Uliwa (Southern Senior Expert: Kenya) Gerard Hendriksen (Southern Senior Expert: Zambia) Alke Friedrichs (Research Assistant) Dirk Bol (Backstopper) Main authors final report: Frans van Gerwen Taco Kooistra Lambert van Gils MDF/CDP March 8, 2006 ref:ws358.tmp FG Page ii Executive Summary The reason and purpose of the evaluation. In January 2003 a new system was introduced by the Ministry of Foreign Affairs to subsidise thematically oriented Dutch and international private organisations: the Thematic Co-financing programme. The objective of this programme is to contribute to structural poverty reduction (in countries that appear on the DAC-1 list) based on the consideration that a strengthened civil society is a prerequisite for effective poverty reduction. It complements the MFP that has been operational since 1965. The government acknowledges the importance of the variety of relations and networks of civil organisations. The value lies in the specific exchange of knowledge between colleagues and the conveyance of pluriformity and diversity, and the policy integration at various levels. The activities funded by the TMF programme contribute to the support for international co-operation between civil society organisations. In January 2007, the MFP and TMF programmes will be integrated into one policy environment, the new co-financing framework (MFS) 2007-2010. The purpose of this integration is to create one window for funding of all civil society organisations in the Netherlands. The MFS is considered to be a logical consequence of the development of the two co-financing programmes over the past few years. This TMF evaluation will complete the picture of experiences obtained in the different co-financing programmes and it will present conclusions and lessons learned in this period that are relevant to the future MFS programme. This expert-study on the TMF economic development window deals with one of the seven themes of TMF. DDE (Directie Duurzame Economische Ontwikkeling) is the responsible directorate within DGIS for this thematic programme. The expert-study covers a period of two rounds in the TMFprogramme (2003-2006 and 2004-2007). The expert-study was conducted by an expert-team of MDF Training & Consultancy and CDP and it took place in the period May 2005 to February 2006. Fieldwork has been conducted in several African countries. The specific purpose of this expert-study is to feed in relevant findings, conclusions and recommendations that are valid at the general level of the TMF Economic Development programme into a final synthesis report on the overall TMF evaluation (covering all seven thematic and two cross-cutting expert-studies). Objective and subject of the expert-study The objective of this expert-study is to gain a clear understanding of: - the extent to and the way in which the TMF-organisations contribute to structural poverty reduction by direct combat of poverty, civil society strengthening and advocacy and influencing at policy level; - the extent to which the organisations work effectively and efficiently; - the extent to which the activities are relevant and sustainable; - the extent to which DGIS and the TMF organisations have been able to learn from experiences. ref:ws358.tmp FG Page iii The TMF policy framework and the ToR of this expert-study refer to the ambition of TMF to contribute to an enhanced policy dialogue between the respective DGIS directorates and the TMF organisations. The expert-team has looked into this dialogue at different levels of the intervention chain and particularly between the TMF organisations and DGIS/DDE. The study also observes and analyses the effects of interventions of and by southern NGO’s partly financed by TMF organisations at the target group level. Finally the expert-study has looked at the learning capacity of the different organisations in the intervention chain of TMF Economic Development and to what degree this learning has been shared between the different levels in the chain. The total subsidy approved by DDE in the context of the theme Sustainable Economic Development during the 2003-2006 and 2004-2006 rounds amounted to 59.5 million Euro, allocated to 20 organisations (14 Netherlands and 6 international organisations). Three organisations were selected for detailed research. All three organisations received a TMF contribution in the application round of 2003-2006. The organisations were selected to each represent one of the sub themes together forming the DDE strategy: IM (International markets), NB (National Policy Environment) and BO (Entrepreneurship and Enterprise development). The three organisations selected were the biggest receivers of TMF-funding under each sub-theme. This selection was made to enable a sufficient degree of representation and a sufficient timeframe to produce relevant findings, conclusions and recommendations. The organisations that have been subjected for detailed study in this expert-study are: - Woord en Daad, including visits to local partners in Ethiopia and Burkina Faso (BO); - International Development Enterprise, including visits to IDE-Zambia, the national implementing branch office (NB); - South-North Federation, including visits to stakeholders and members of the network in Kenya (IM). Summary of main conclusions Conclusions at the level of TMF Economic Development and DGIS-DDE A tension exists between two main policy objectives of the TMF programme. On the one hand the TMF programme strives to enhance a two-way policy dialogue between DGIS and the TMF organisations. On the other hand it strives to strengthen the autonomy and pluriformity of initiatives of the TMF organisations. This report shows clearly that neither DGIS nor the TMF organisations have been able to resolve this tension or find a proper balance between the two. While the TMF Economic Development programme certainly has achieved stronger autonomy and pluriformity in the TMF field, a two-way dialogue between DGIS and the TMF organisation has not really taken shape. Particularly the input of TMF organisations in policy development at DGIS/DDE has been limited. The monitoring of TMF-organisations and their partners and programmes and the follow-up is limited and focuses mainly on financial monitoring, which of course is a requirement of DGIS. The control function, however, overshadows the policy-dialogue between DDE and the TMF organisations. Time is limited for DDE-staff to provide content-wise follow-up on their TMFaccounts.. Also the lack of agreements between DDE and the TMF organisations on reporting formats does not benefit the policy-dialogue. Experiences of TMF-organisations and their partners are relevant for policy-development at DGIS and embassies, but due to lack of aggregation and systematisation of information which is difficult to access , these are insufficiently used by DGIS. The differentiation of interventions by DDE in: international markets, national policy environment and business development is in itself clear and logical. However it proves to be somewhat unpractical as an organising principle to manage the relations with TMF organisations funded ref:ws358.tmp FG Page iv under the TMF economic development programme. This is because these programmes follow their own intervention logic that do not constitute a good match with DDE’s organising principles. The TMF economic development programme is considered important by all the stakeholders involved. This is particularly so in relation to aspects of capacity building within the civil society and the private sector. However, the TMF programme is less instrumental for DDE policy development on the theme of sustainable economic development. The selection of the three organisations does not exactly cover each of the sub themes of the DDE strategy: IM (International markets), NB (National Policy Environment and BO (Entrepreneurship and Enterprise development). These sub-themes, in fact, should be considered more as different dimensions in the interventions of TMF organisations and their partner, than specific and separated levels of interventions. Conclusions at the level of TMF organisations Although NGO’s and emerging businesses with their different combinations of value-systems and methodologies are not always natural partners, some encouraging results have been achieved and effects do sometimes show in the long run rather than immediately. The TMF-organisations have developed effective interventions and means of support to local (partner) organisations and tangible results have been achieved in the process of building the management capacity and policy development, however, donor dependency continues to exist. The direct interventions of the TMF-organisations and their partners within the NGO-community focus on local social-economic development and poverty reduction and include a more holistic approach to different qualitative dimensions of poverty. As such these TMF funded organisations are relevant and complementary to sector-wide and PRSP interventions of DGIS through multilateral and bilateral channels, which are reaching out mainly to the national level and focusing more on economic development. Systematising of lessons learned (especially at the effect and impact level) proves to be difficult and is often not a priority action of TMF organisations (which focus on efficient and effective implementation). As a result, if lessons are learned they are often not sufficiently communicated and shared within the civil society community and with public and private sector organisations. Conclusions at the level of partner organisations The field visits have repeatedly shown a favourable image of the quality of local partners of the TMF organisations, in as much as it concerns their efficiency and effectiveness in reaching planned results. From the observations and discussions we have found exchange and co-operation with Netherlands Embassies to be very limited in intensity and frequency. Also in the exchange and cooperation with other stakeholders and particularly relevant NGO’s outside direct networks of the TMF-organisations there are still unexplored opportunities. Although in some cases dialogue with the national government was recorded, the actions on influencing policy-environment at the national level by local (partner) organisations have been limited with the exception of specialised advocacy initiatives. The full list of conclusions is provided in chapter 4 of this expert-study. Recommendations at the policy level TMF Economic Development Programme The TMF economic development programme requires a basic decision by DGIS in how to balance and make compatible two main policy objectives in TMF (and the future MFS) by: ref:ws358.tmp FG Page v a) putting priority on a real and substantial policy dialogue between DGIS and the TMF/MFS organisations or b) putting priority on strengthening civil society organisations and contributing to pluriformity of approaches and interventions of these organisations. Investments in organisational capacity building, HRM-development, research and innovation and advocacy are crucial for organisational strengthening of civil society organisations. Although these investments can be funded by TMF, these aspects are not sufficiently highlighted in practice. These aspects need to be considered more explicitly in the MFS-policy framework, with corresponding budget-allocation in funding to TMF/MFS organisations. Within the present set-up of the TMF-programme the expert-team has concluded that co-ordination and co-operation between TMF and MFO organisations and Netherlands Embassies in developing countries has been extremely limited. More information sharing is needed between DGIS and the RNE’s in developing countries on programmes and organisations funded, and more information sharing is needed between local embassies and TMF/MFS organisations (and their local partners) to avoid duplication and parallel activities and methodologies. The criterion of synergy, however, is too ambitious and in many cases artificial. DGIS/DDE Influencing the national policy environments in the TMF economic development programme has not been effectively covered by TMF organisations. This level needs to be strengthened. The only way this can be done is by re-introducing the assessment criteria that activities must help to influence policy with a view to improving the national and international policy environment. The criterion that activities must have a cross-border effect is useful to ensure that local interventions (often BO) are linked to higher levels (NB and IM). It is also useful to ensure that TMF/MFS organisations continue to invest in networking and exchange of experiences between (partners) in different countries. The expert-team therefore recommends to also re-introduce this criteria in the policy-framework for TMF of DDE. TMF/MFS organisations (and their local partners) TMF/MFS organisations have to make a clear distinction between interventions on social aspects of economic development (NGO-activities) and on commercial aspects of economic development. These commercial activities (particularly BDS and micro-finance) should be organised separately in business units or enterprises, outsourced or conducted in co-operation with organisations specialised in commercial aspects of economic development. This requires expansion of relations outside existing networks of the TMF/MFS organisations. Diversity of funding is a crucial condition for ensuring the relative autonomy of TMF/MFS organisations and their local partners. The MFS programme stipulates a minimum of 25% own income generation by MFS organisations. A challenge for TMF/MFS organisations is to increase this percentage to higher levels and to ensure that at the local level, partners also have a healthy variety of funding agencies and, if this is not the case, to facilitate them to improve their funding base. Economic sustainability of all economic development interventions cannot only be established at the local level. This requires interventions at the level of sector-ministries and their subordinated institutions. More linkages have to be established with governments and sector-policies at the national level and it is in this area where Netherlands embassies and other international development partners can become more instrumental for TMF/MFS organisations and their local (partner) organisations. These recommendations are explained in more detail and complemented with operational recommendations in chapter 5 of this expert-study. ref:ws358.tmp FG Page vi ref:ws358.tmp FG Page vii Table of abbreviations AFTF AIS AoA BDS BO (BD) CBI CIN COFTA CREDO CSO’s DAWS DDE DGIS DRU EFTA EPA EPPP FBO FINE FLO-I FTA FTAA FTN GATS GTJ H&T ICS ICCO IDE IDRC IFAT IFC IIA’s ILRIG ILO IM INTRAC IOM ISEM MFO MFP MFS MSME MVO NAMA NB (NP) NEPAD NEWS ref:ws358.tmp FG Asia Fair Trade Forum Acción Internacional por la Salud (Bolivia) Agreement on Agriculture Business Development Services Bedrijfsontwikkeling (Entrepreneurship and Business Development) Centrum ter Bevordering van de Import uit ontwikkelingslanden (Centre for Promotion of Imports from Developing Countries) Consumer Information Network (Kenya Co-operation for Fair Trade in African Christian Relief and Development Organisation Civil Society Organisations Dutch Association of World Shops Directoraat Duurzame Economische Ontwikkeling (Directorate Sustainable Economic Development) Directoraat Generaal Internationale Samenwerking (Directorate General for International Co-operation) Directoraat Rurale en Urbane Ontwikkeling (Directorate Rural and Urban Development) European Fair Trade Association Economic Partnership Agreements Ethiopia Pilot Partnership Project Faith Based Organisations Informal umbrella of the 4 main Fair Trade networks: FLO-I, IFAT, NEWS and EFTA Fair Trade Labelling Organisations-International Fair Trade Assistance Free Trade Area of the Americas Food Trade and Nutrition General Agreement on Trades in Services Globalising Trade Justice Health & Trade Internal Control System Interkerkelijke Organisatie voor Ontwikkelingssamenwerking Technology improvement and rural enterprise development and access to markets International Development and Research Centre (Canada) International Federation for Alternative Trade International Finance Corporation (Worldbank) Integrates Impact Assessments International Labour Research and Information Group, SA International Labour Organisations Internationale Markten (International Markets) International NGO Training and Research Centre Integrated Organisation Model Integrated Smallholder into Expanding Markets Mede Financierings Organisatie (Co-Financing Organisation) Mede Financierings Programma (Co-Financing Programme) Mede-Financierings Stelsel (Co-financing Framework, from 2007 onwards, replacing the MFP and TMF programmes) Micro, Small and Medium Enterprise Maatschappelijk Verantwoord Ondernemen Non Agricultural Market Access Nationale Beleidsomgeving (National Policy Environment) New Partnership for Africa’s Development Network of European World Shops Page viii NGO PUM/NMCP RNE RSCA SADC/SADEC SNF/ZNF SOMO SSA TMF TBT TRIPS UNIDO VTC Wemos WTO ref:ws358.tmp FG Non-Government Organisation Programma Uitzending Managers (Netherlands Management Cooperation Programme) Royal Netherlands Embassy Regional Centre for Southern Africa Southern Africa Development Community South North Federation/Zuid Noord Federatie Stichting Onderzoek Multinationale Ondernemingen Sub-Sahara Africa Thematische Mede-Financiering (Thematic Co-financing programme) Technical Barriers to Trade Trade Related Intellectual Property Rights United Nations Industrial Development Organisation Vocational Training Centre Name of a health and development organisation in the Netherlands World Trade Organisation. Page ix Table of Contents 1. Introduction ............................................................................................................................... 1 1.1. Structure main report expert-study TMF Economic Development......................................... 1 1.2. Research Questions............................................................................................................ 2 1.3. Research methodology ....................................................................................................... 3 1.4. Main research activities:...................................................................................................... 6 1.5. Stakeholder commitment building process in this expert study............................................. 7 2. Policy context: TMF Economic Development (policy level) ......................................................... 8 2.1. Positioning of theme in DGIS .............................................................................................. 8 2.2. Policy framework and objectives of DDE for TMF economic development.......................... 12 2.3. Activities of DDE in TMF economic development programme ............................................ 14 2.4. Quantitative data............................................................................................................... 15 2.5. The specific place of the three organisations selected for field-study in the overall TMF Economic Development Programme ........................................................................................ 18 2.6. Future developments ........................................................................................................ 20 3. Major Findings: TMF Economic Development (implementation level) ....................................... 21 3.1. Major Findings Woord en Daad (W&D).............................................................................. 21 3.1.1. Inputs W&D.................................................................................................................... 22 3.1.2. Outputs W&D................................................................................................................. 24 3.1.3. Outcomes W&D and its local partner organisations ........................................................ 24 3.1.4. Impact W&D and its local partner organisations.............................................................. 26 3.2. Major Findings International Development Enterprises (IDE) ............................................. 30 3.2.1. Inputs IDE...................................................................................................................... 30 3.2.2. Outputs IDE ................................................................................................................... 30 3.2.3. Outcomes IDE................................................................................................................ 33 3.2.4. Impact IDE..................................................................................................................... 36 3.3. Major Findings South-North Federation (SNF)................................................................... 38 3.3.1. Inputs SNF..................................................................................................................... 40 3.3.2. Outputs SNF .................................................................................................................. 41 3.3.3. Outcomes SNF .............................................................................................................. 43 3.3.4. Impact SNF.................................................................................................................... 46 3.4. Major Findings regarding the chain DGIS/DDE – TMF organisations – Local Partners ....... 48 4. Conclusions............................................................................................................................. 50 4.1. Policy context: positioning of Economic Development within TMF and DGIS ..................... 50 4.2. Conclusions on specific research questions in ToR Expert Study on TMF Economic Development ........................................................................................................................... 51 4.3. Conclusions on linkages between levels in the intervention chain: DGIS/DDE (TMF Economic Development)/TMF organisations/Local TMF partners ............................................. 59 5. Recommendations .................................................................................................................. 61 5.1. Policy recommendations ................................................................................................... 61 5.2. Operational recommendations........................................................................................... 63 Annex 1: Documents and Web-sites consulted .............................................................................. 1 Annex 2: Interviews ....................................................................................................................... 7 Annex 3: Approach and methodology (originally chapter 3 of inception report)............................. 11 Annex 4: Tables with summaries of specific research findings and conclusions for the three TMF organisations of this expert-study ................................................................................................ 19 Annex 5: Sub-study ToR ............................................................................................................. 55 ref:ws358.tmp FG Page x 1. Introduction This report on the expert-study on the TMF Economic Development programme constitutes one out of seven thematic expert-studies that have been carried out in the framework of the evaluation of the Thematic Co-financing Programme (TMF) of DGIS. These seven expert-studies cover the seven thematic windows for funding in the TMF programme. Within this same framework two crosscutting studies also have been commissioned on Monitoring and Evaluation and the added value of the TMF programme. The expert-study was conducted from May 2005 until February 2006. It covers the TMF and the policy framework of DGIS on Economic Development, the activities and performance of organisations funded by the TMF programme at the global level and the interventions and performance of local partner-organisations or branch organisations of these TMF organisations. Three TMF organisations have been subjected to detailed study: 1. Woord en Daad: Economic Development Programme (Entrepreneurship and Enterprise Development; OB) 2. International Development Enterprises: Organisation Funding (National Policy Environment; NB); 3. South-North Federation: Globalising Trade Justice (programme) (International Markets; IM). Field-studies on programmes of these selected organisations and their local (partner) organisations at the country level have been conducted in Ethiopia, Burkina Faso, Zambia and Kenya. The TMF programme was started in 2003 and this evaluation considers the two first funding “rounds” of TMF (2003-2006 and 2004-2007). The expert-study has been conducted by a consortium of MDF Training & Consultancy and CDP. The expert-team consisted of eight experts, three of them residing in the African continent. Three main experts have been responsible for the integration of the results of all research activities in the two volumes of this report. The purpose of this report is twofold. In the first place this expert-study assesses the performance of the different implementing organisations in the intervention chain of the TMF Economic Development programme and the outcomes and impact obtained through the variety of interventions in this programme. Equally important, this expert study tries to make an inventory of lessons learned and to identify relevant aspects for organisational learning of all organisations active in the framework of the TMF Economic Development programme. 1.1. Structure main report expert-study TMF Economic Development This main report of the expert-study report on TMF Economic Development is organised as follows: In this introductory chapter the research questions, methodology and steps in the evaluation process are presented and explained and it ends with some remarks on stakeholder commitment of all parties involved in this expert study. Chapter 2 provides the context and policy developments around the theme of Economic Development at the level of the Netherlands Government and DGIS. Plus the linkages between the ref:ws358.tmp FG Page 1 of (64) TMF Economic Development theme and the DGIS policy are investigated. Finally the specific TMForganisations investigated in the expert-study are introduced and related to the general field of organisations funded by the TMF Economic Development programme. In chapter 3 the major findings on the three TMF-organisations are presented. The chapter ends with a presentation of major findings that are related to the whole intervention-chain within TMF Economic Development. This includes DGIS and more specifically DDE, the department responsible for handling the programmes that have been approved under the window of TMF Economic Development, the TMF organisations that have submitted their funding proposals to TMF and finally their local partners or departments, who are responsible for the interventions at the local level in developing countries. Chapter 4 presents the main conclusions of this expert-study, which are relevant to the supraorganisational level and are related to general aspects of the TMF Economic Development Programme. Conclusions on individual organisations are presented elsewhere (see volume II of this expert-study). This chapter follows the outline of the ToR for this expert-study and it systematically responds to all research questions in these ToR. Also conclusions on the linkages in the intervention chain within TMF Economic Development are presented. The final chapter 5 presents the main recommendations to the TMF economic development programme and it presents some of the most interesting lessons learned during this expert-study. The main report contains a set of annexes with more detailed information on specific aspects and elements of this expert-study. In these annexes, the reader can also find more detailed information (annex 4) on the main findings and conclusions on the individual TMF-organisations and their local partners as well as on different linkages in the intervention chain. The findings and conclusions in that annex have served as the base material for this main report. The information is presented in the form of tables. The specific information in these tables contains reference numbers to paragraphs in the specific sub-study reports in Volume II on each individual TMF-organisations and as such constitutes the link between the specific studies and the text in the main report. The sub-studies on the specific TMF-organisations are included in Volume II of this expert-study. These sub-studies contain information on specific findings for each of the TMF organisations and specific conclusions and recommendations to these organisations, particularly with the objective to facilitate further learning for these organisations based upon the experiences thus far gained. This Volume II is not available for distribution outside the group of the direct stakeholders in this expertstudy. The specific TMF-organisation reports have been presented to the TMF-organisations and for wider distribution to other interested readers, they can be requested at the respective TMF organisations. 1.2. Research Questions The research questions, presented in this paragraph, are derived from the Terms of Reference (ToR) for this expert-study. This ToR can be found in annex 5. General research questions (applicable for all TMF thematic and crosscutting studies): A. To what extent are TMF organisations efficient and effective? B. To what extent are their activities (or 'interventions’) relevant and sustainable? C. What are the effects of interventions by or involving developing-world NGOs that are partly financed by TMF organisations? D. To what extent do TMF organisations have the capacity to learn? ref:ws358.tmp FG Page 2 of (64) Specific research questions (only applicable in the expert study on Economic Development): 1. Chart the sphere of activity of TMF organisations working in the field of sustainable economic development. 2. How does the TMF policy framework influence the form and effects of activities in the field of sustainable economic development and what are the specific advantages and disadvantages of TMF's theme-specific approach to sustainable economic development? 3. To what extent do TMF partners operating in the field of sustainable economic development help strengthen civil society in the developing world? 4. The aim of TMF is to give organisations more money with fewer conditions attached and with a longer-term (three to four-year) relationship. To what extent has this led to greater efficiency, effectiveness and professionalism among TMF organisations operating in the field of sustainable economic development? 5. What are the main aspects of sustainable economic development in the selected region, and how have they changed in the past 5 to 10 years? 6. To what extent do TMF activities tie in with these aspects, and to what extent have TMF organisations responded to developments in the field of sustainable economic development in the selected region? 7. How do the activities and partner organisations of TMF organisations operating in the field of sustainable economic development and in the selected region differ from bilateral activities and partner organisations or activities and partner organisations connected to the co-financing organisations (MFOs) in the same field and in the same region 8. Was there co-ordination with MFOs and embassies and, if so, did it lead to changes in the activities and partner organisations of the TMF organisations, MFOs or embassies? 9. Following on from the previous question, to what extent is there (a) duplication of activities, (b) parallel activities, and (c) synergy? 10.To what extent is gender structurally and systematically integrated into policy, policy implementation and monitoring of TMF organisations operating in the field of sustainable economic development? 11.To what extent do the activities of the TMF organisations contribute to the policy objectives of sustainable economic development? 12.To what extent do the activities of the TMF organisations satisfy one or more of the four criteria mentioned in the policy framework? 1.3. Research methodology The research methodology was developed during the inception stage of this expert-study in May and June 2005. This was done in consultation with all stakeholders involved (TMF steering committee, DGIS/DDE and the three TMF organisations subject to this expert-study). Detailed information on the research concepts, analytical models and methodology is included in annex 3 of this report. Approach The overall development objective of structural and sustainable poverty alleviation is inextricably linked with the development of civil society, whereby poverty is an outcome of economic, political and social processes that interact with each other in ways that can worsen or ease the deprivation in which poor people live. This inevitably leads to a greater concern for the quality of growth, propoor economic growth, and an increased concern for the institutions and structures of societies. In this respect, the expert-team considers that economic development should come about with the active participation of the poor, so that they can directly contribute to economic growth and also benefit from it. According to this view, referred to as pro-poor growth, economic development (growth) must be accompanied by; sustainable job creation, health care and education, reforms in access to land and other factors of production, the promotion of social organisation, decent pay ref:ws358.tmp FG Page 3 of (64) and an emphasis on the most vulnerable groups in society. Job creation by the private sector is generally seen as an important engine for economic development, but well-functioning public institutions are essential to ensure that the poor really profit from this. Striking a balance between interests of public, private and civil stakeholders is required to develop and implement pro-poor economic growth strategies. Analytical models The following models have been used to process and analyse the findings of this expert-study: 1. The expert-team has used the analytical framework of “5 dimensions of poverty”, developed by OECD/DAC1. This framework considers economic, safety/security, human, social-cultural and political dimensions of poverty. This frameworks enables an analysis of the TMF Economic Development programme in a broader perspective than only the economic dimension of poverty reduction; 2. Many research questions refer to organisational performance and institutional relations of TMF organisations and their local (partner) organisations in developing countries. To analyse these aspects the expert-team has worked with a model to analyse organisational and institutional aspects and performance of organisations. This model is developed by MDF as the Integrated Organisation Model (IOM). This model permits to look at aspects of performance of the organisations to be evaluated, especially efficiency, effectiveness, relevance and sustainability. To analyse specific aspects of strengthening civil society (a key-element in the TMF approach) elements of the analytical framework and concepts developed by Fowler2 have been used. These elements are particularly related to the institutional embedding and relation of civil society organisations in the broader society;. 3. A third model used in this expert-study is “inter-linked logical frameworks”. In this expert-study the expert-team has looked at three intervention-levels; TMF (DGIS/DDE), TMF organisations and local TMF (partner) organisations. Through analysis of logical frameworks (or intervention strategies) at each level and by analysing the linkages between these logical frameworks in a chain, this study has tackled the relations in the intervention chain within the TMF Economic Development programme. One of the aims of this expert study is to contribute to the learning capacity in the context of the TMF programme as a whole and of the individual TMF organisations in Economic Development more in particular. The basic approach and model in analysing learning processes is the model of triple stroke learning, developed by Swieringa and Wiersma (Becoming a Learning Organisation, 1992). Additional methodological aspects In addition to these analytical models the expert-team has used the following methodologies to ensure sufficient participation of stakeholders and exchange of opinions between stakeholders in order to permit cross checking and validation of findings in this expert-study. 1. Organisation of participatory and multi-stakeholder workshops in the analysis phase as well as in the validation of earlier findings. Many workshops and seminars have been conducted in this respect. During the analysis phase some of these events indeed included different stakeholders, but validation of findings, due to time-constraints, have been conducted in separate meetings with stakeholders; 2. Questionnaires to beneficiaries and stakeholders have been used to gain insight in the impact of interventions and the appreciation of this impact and quality of performance of the implementing organisations by these beneficiaries and stakeholders. The results of these questionnaires have been used in validation meetings with the local TMF (partner)organisations. 1 2 DAC Guidelines on Poverty Reduction, OECD/DAC, 2000, Striking a balance; Fowler, 1997 ref:ws358.tmp FG Page 4 of (64) 3. Organisation of the activities and tasks in this expert-study in an interdisciplinary team of mainly senior consultants, combining Northern and African expertise. One meeting of all senior-experts was conducted in Kenya at the end of the first field-visit to the African countries in September. A second meeting had to be cancelled because of budget-limitations and time-constraints. Approach in organising the findings and conclusions in this final report The expert team has developed a basic model to present the analysis of the relations between the inputs, outputs, outcomes and impact at the different intervention levels in the TMF Economic Development programme. This model is derived from the methodology of inter-linked logic frameworks that has been central in our research approach (see above and in annex 3). The model is presented below. Figure: organisation of research findings in this expert-study TMF economic Development Programme (DGIS/DDE) Inputs TMF organisations Local TMF (partner) organisations Scope of Expert Study TMF Economic Development Outputs Inputs Outcomes Outputs Inputs Impact Outcomes Outputs Impact Outcomes Impact This figure illustrates the scope of the expert-study. This scope comprises most levels in the three intervention chains of the TMF Economic Development programme (and DGIS/DDE in managing this programme), the TMF organisations and their local (partner) organisations. However, the scope of this evaluation is limited in the area of impact. This is due to the following reasons: - Impact of TMF organisations and their partners cannot only be related to the TMF Economic Development funding received. Many other factors and actors have contributed to this;. - It is still too early to identify and analyse the impact of interventions of TMF organisations and their partners within the timeframe of this expert-study (2002-2004). Therefore the expert-team only deals with it in a modest way and the analysis is limited to those aspects that are most clearly related with the activities that are funded by the TMF Economic Development Programme. The expert team has based its findings upon indicators provided by the TMF organisations to assess aspects of impact, but as they have not been available to a full extend, the expert team has also applied their own criteria and indicators to measure impact. This has been done in obtaining information from beneficiaries through interviews and questionnaires, ref:ws358.tmp FG Page 5 of (64) where these beneficiaries were asked to give their appreciation of changes in the quality of their lives and the quality of services provided by the TMF organisations and their partners. It is important to recognise that impact of TMF organisations and the TMF Economic Development programme is also influenced by bottom-up and third-party influences (other sources of funding and relations of co-operation). These factors and actors influence to a large extend the impact of TMF organisations. Where possible the expert team has also looked at these aspects and specific findings and conclusions will be presented particularly in relation to learning processes and capacities in the organisations at different levels. This approach and the limitations in the scope of the expert-team explain the fact that the focus of the analysis is more on the output and outcome level, although it also touches to some degree on impact. If full and complete information is required on impact, further in-depth study at a later stage will be required. 1.4. Main research activities: The following table shows the research activities as they were carried out during the process of this expert-study. Activity 1. production inception report 2. Desk-study/ interviews TMF and DGIS/DDE-level 3. Desk-study/interviews TMF-organisations 4. 1st validation of findings with TMF-organisations 5. elaboration and sending out questionnaires 6. 1st field visit to local TMFpartners (focus: programme implementation) 7. Production and discussion interim report TMF-steering committee nd 8. 2 validation (of interim report) TMF-organisations and partners (written) 9. 2nd round desk-study and interviews TMF and DGIS/DDE level 10. 2nd field visit to programme countries (focus: institutional context) 11. Interviews with external donors/stakeholders country nd level (during 2 field visit) 12. Production draft final report 13. Feedback on final report 14. Production final report 15. Submission final report ref:ws358.tmp FG May 2005 June 2005 July 2005 Aug. 2005 Sept. 2005 Oct. 2005 Nov. 2005 Dec. 2005 Jan. 2006 Feb. 2006 March 1 Page 6 of (64) The realisation of these activities ran entirely as planned. However some minor changes occurred during the process: · On request of one of the TMF organisations an additional short field-study was carried out in Burkina Faso; · The Southern consultant for the IDE field-study was replaced by another Southern consultant (a Netherlands consultant based in Zambia); · Methodology for questionnaires to beneficiaries and stakeholders was made flexible, due to language and literacy constraints; · After the 2nd round of validations with TMF-organisations and their partners, the expert team observed that a similar process of sound validation had not been conducted at the level of DGIS-DDE and also that additional analysis of the policy context of TMF economic development was needed. This additional round of validation and additional interviews with DDE key person was included in December 2005. 1.5. Stakeholder commitment building process in this expert study At the start of this evaluation the research team decided to organise a consultation process around the elaboration of the final inception report (June 20, 2005). Inputs of DDE and all three organisations submitted to this expert study have been included in this inception report. This has generated commitment of all stakeholders since the start of the field-study. At different moments, after each expert-study phase in which new research results were produced, additional consultation and feedback-sessions to validate research findings were conducted with TMF organisations and their local (partner) organisations. These were conducted both in group-sessions and through written feedback. The TMF organisations and their local (partner) organisations have been very co-operative in organising access to information and to key stakeholders internal and external to the organisations. This relationship of openness and co-operation has enabled a strong mutual commitment of the TMF organisations and the expert-team. The expert team has committed itself to produce specific sub-study reports for each individual organisation with a strong focus on generating useful information for learning purposes. Interim and draft versions of these reports have already been used to this purpose during the implementation of this expert study. At the level of DGIS/DDE the expert-team has also encountered full commitment and openness. Due to planning and availability restriction of both expert team members and DDE-staff, most of the validation and additional interviews could only take place at a late stage in the evaluation process, but this did not cause problems or delays for other phases in the process. Dialogue with the TMF steering committee on interim findings took place at two different moments and was in principle useful for the evaluation-process. However, these meetings also illustrated that the interest of the steering committee is mainly on general research findings, while the expert team has experienced serious problems in linking the concrete sub-studies to that higher abstraction level. This report is an attempt to achieve this link, but this methodological issue has not been satisfactorily resolved during the process. Meetings with TMF-steering committee, TMF-platform, research teams of different expert-studies and DGIS took place at twice. Although they took place in a pleasant atmosphere, they have not contributed to a great deal to commitment building at this level. Different research teams had little mutual contacts and exchanges. This expert team only exchanged research data on M&E to the crosscutting expert-study on M&E. In spite of the commitment of this expert team the data were only made available at a very late stage in the process. ref:ws358.tmp FG Page 7 of (64) 2. Policy context: TMF Economic Development (policy level) 2.1. Positioning of theme in DGIS Economic Development has historically been one of the important aspects of Netherlands’ development co-operation. During the past decades economic development aspects have been linked to poverty reduction strategies and to strengthen self-reliance of developing countries in social economic development. The more explicit and focused inclusion of the theme Economic Development and the role of the private sector in this, within the Netherlands’ development cooperation is relatively new. As a result of increasing attention in international development cooperation towards economic development, and more specifically the role of the private sector in development and several motions in the Netherlands parliament in 1998 and 1999, DGIS produced a policy memorandum in 1999, named In business against poverty. This policy memorandum (amended and supplemented in 2001) is the first document that presents a comprehensive vision and strategy on economy and development. Previously aspects of Economy and Development were included in policies of other departments within DGIS, particularly within the Directorate for Rural and Urban Development (DRU). With the explicit introduction of the theme Economic Development that department was reorganised and the Directorate for Sustainable Economic Development (DDE) was established in 2001. The main features of the policy on Economy and Development are: 1. Focus on pro-poor economic growth, balancing economic growth with social development and sustainability and providing opportunities, empowerment and security for the poor; 2. Recognition of the importance of the private sector for pro-poor economic growth, targeting private sector organisations in developing countries and establishing partnerships with international (and Netherlands’) enterprises.; 3. Three policy areas were identified that also have become an organising principle for the functional organisation of DDE: · Creation of a positive international business climate for the private sector in developing countries, providing better access of the private sector in developing countries to international markets. Concrete interventions are focused on the following areas; · Trade · Investments · Debt · Commodities · Policy Coherence (aligning different policies in different ministries to achieve coherence of international development policies and policies focusing on the Netherlands, EU and the developed countries in general). Under this area actions focusing on social responsible business practices of Netherlands and international enterprises · Creation of a enabling environment and improved national business climate in developing countries, enabling the private sector to flourish and contribute to pro-poor economic growth. Concrete interventions are focused on: · Macroeconomic stability · Political stability, good governance and the rule of law · Promotion of market operations · Infrastructure · Protection for the population and the environment · Support to the private sector in developing countries through enterprise development. Interventions are focused on: · Providing know how and expertise ref:ws358.tmp FG Page 8 of (64) · Increasing profitability · Reduce risks for the private sector These three themes are handled by specialists within DDE on International Markets (IM: Internationale Markten), National Policy Environment (NB: nationale beleidsomgeving) and Business Development (BO: bedrijfsontwikkeling). These areas/specialisms exist also in the present organisational structure of DDE (anno 2006). In the supplement to the policy memorandum in 2001 two specific themes were added to the policy on Economic Development: · Income and employment · Special attention for women At the same time the interventions mentioned under point three were further operationalised in guidelines for practical application of the Netherlands’ aid under Economic Development. The following more specific areas of interventions were identified: · Good governance · Market Access and market operation · Financial Sector development · Physical infrastructure · Knowledge development and capacity building A policy memorandum, entitled Mutual interests, mutual responsibilities: Dutch development cooperation en route to 2015 (Aan elkaar verplicht) published in 2003, outlines the Netherlands’ new development policy. This memorandum links the Netherlands’ development policy with the path of the United Nations’ Millennium Development Goals and shows a clear commitment to these goals. To a large extend this memorandum confirms the continuity of the development co-operation policies of the new government in relation with the previous policy. However, some aspects and focuses have been added or clarified. The main new features introduced with this memorandum are: - Sustainable poverty reduction remains the main objective, but a link with the UN Millennium Development Goals (MDGs) has been established. DGIS has operationalised these MDGs into a set of 18 targets set for the period until 2015. The policy priorities that have been identified for this period are: · “Concentration: The Netherlands continues to allocate 0.8% of its Gross National Product (GNP) to development co-operation. It concentrates on the following themes: education, environment and water, AIDS prevention and reproductive health care. The number of bilateral partner countries will be reduced from 49 to 36. The number of sectors in each country will be limited to two, or three at most. · Results-driven: Results and accountability will be the forces behind Dutch development cooperation. From January 2004, a new appraisal system and assessment framework will be introduced for country and sector policies. The Netherlands will specify in advance how much it intends to spend on achieving the Millennium Development Goals (MDGs) for education, environment and water, AIDS prevention and reproductive health care by 2015. · Partnership: Partnerships will be sought with citizens, private enterprises, knowledge and research institutes, civil society organisations and government authorities. Substance and harmonisation are the key words, with respect for each partner’s responsibilities and close monitoring of quality, effectiveness, efficiency and accountability. More scholarships, exchanges and placements will encourage young people to become more involved in development co-operation. New initiatives will be developed to promote co-operation with the private sector, with a view to public-private partnerships. · Bilateral policy: In the bilateral development co-operation countries, the private sector and civil society organisations will be more closely involved in sector policy, which will continue to be the principle on which bilateral co-operation is organised within partner countries’ own poverty reduction strategies. The aim is to work on a programme basis, where possible through budget support. ref:ws358.tmp FG Page 9 of (64) · · · · · · Regional policy: At least 50% of the Netherlands’ bilateral development budget will be used to reduce poverty and promote economic growth in Africa. The government has opted for a regional approach in the Horn of Africa, the Great Lakes region and the Balkans. Integrated policy: An integrated policy combining diplomacy, political dialogue and pressure, security policy, trade, market access and development co-operation will be pursued, both in The Hague and at the embassies. Stability Fund: A Stability Fund will be established and managed by the Minister of Foreign Affairs and the Minister for Development Co-operation. This will enable rapid decisions on releasing money for activities to promote peace, security and development in developing countries. Coherence: The government will take steps to maintain the Netherlands’ leading position in the international development policy coherence index and to enhance its performance. The government will work to improve coherence in its own policies, for which all the ministries are responsible, and in European and international development policies. AIDS/Reproductive health: The Netherlands will work with new partners, among them the business sector and the United States, to fight AIDS effectively. The Netherlands will do more to alleviate the social consequences of AIDS, such as the loss of capacity in key sectors like agriculture, health care and education, and to provide care for AIDS orphans. Multilateral organisations: The Netherlands will maintain its position as a key donor to those UN agencies and international financial institutions that are seen to be making a tangible contribution to its policy goals (focus on the MDGs, quality and effectiveness and results). It will also urge the European Commission to improve efficiency and effectiveness, and to work towards closer co-operation and harmonisation.” (excerpts from Mutual interests, mutual responsibilities: Dutch development co-operation en route to 2015 (Aan elkaar verplicht), 2003) The new memorandum highlights partnerships as a core attitude within the Netherlands’ Development co-operation. This not only includes multilateral and bilateral partnerships but also partnerships between private enterprises, knowledge and research institutes, civil society organisations and government authorities and to increase its own involvement in international partnerships. The implications, such as the responsibilities and roles assumed within the various partnerships and the forms they take, will be worked out in more detail over the coming months. This attitude of partnership is also focusing on the establishment of new alliances in the Netherlands itself in international development interventions, as well as, in strengthening the Netherlands support base for development co-operation. Another highlight in the memorandum is the coherence of the Netherlands’ development policies. This coherence will be established through better co-ordination between DGIS (development policies) and policies of the government directed to the developed world, Europe and the Netherlands itself. At the same time coherence within the development policies can by established by ensuring complementarily of its three main ref:ws358.tmp FG DGIS targets within the framework of MDG 8 Develop a global partnership for development Target 12: Develop further an open, rule-based, predictable, non-discriminatory trading and financial system (Including a commitment to good governance, development, and poverty reduction, both nationally and internationally) Target 13: Address the special needs of the least developed countries (Including tariff-and quota-free access for exports, enhanced programme of debt relief for HIPC and cancellation of official bilateral debt, and more generous ODA for countries committed to poverty reduction) Target 14: Address the special needs of landlocked countries and small island developing states (through the Programme of Action for the Sustainable Development of Small Island Developing States and 22nd General Assembly provisions) Target 15: Deal comprehensively with the debt problems of developing countries through national and international measures in order to make debt sustainable in the long term Target 16: In co-operation with developing countries, develop and implement strategies for decent and productive work for youth Target 17: In co-operation with pharmaceutical companies, provide access to affordable, essential drugs in developing countries Target 18: In co-operation with the private sector, make available the benefits of new technologies, especially Page 10 of (64) development aid channels: multilateral, bilateral and civil society co-operation. Finally coherence of policies should be established through better co-ordination and harmonisation of development aid between different donors. Specific aspects of Economic Development in Mutual interests, mutual responsibilities Sustainable development, balancing economic, social and ecological development and a focus on the business as a development partner are strong features in the new development policy. In this respect, from 2004 onwards, Dutch bilateral policy will include specific activities to improve the business climate in developing countries. The Netherlands’ efforts to bring about a developmentfriendly multilateral trading system will be given a logical follow-up in the form of support to the development of trading capacity. Support will also be given to commercial enterprise and direct investment. New instruments to promote public-private partnerships were introduced in 2004. Additional funding will become available for The Emerging Markets Co-operation Programme (PSOM) and other instruments will be consolidated and further improved: the Development-Related Export Transactions Programme (ORET) (handled by FMO), the Industry and Environment Programme (MILIEV) and the Least Developed Countries programme (LDC). Increased funding is provided to the Netherlands Management Co-operation Programme (PUM), encouraging young managers to become involved in the programme (PUM/JUM). Investment funds will remain under the management of a single organisation (the FMO). Both policy memorandums show that since 2001, the policy on Economic Development has largely remained the same and that its status within the overall policy of DGIS has been maintained over the past years. Economic development is not identified as a priority sector in the development policy. Still pro-poor economic development and the private sector receive significant attention and especially in the new attitude towards partnerships, co-operation and alliances with the private sector (in developing countries, internationally and in the Netherlands) have become central in the development policy. Summary of relevant aid-channels and instruments of DGIS/DDE in relation to sustainable economic development 1. Multilateral support to organisations of the UN-system: World Bank (IFC), UNDP, ILO and UNIDO; 2. Bilateral support to prioritised developing countries: in all countries the development of partnerships with the private sector is a point of attention. In Kenya, Tanzania, Zambia and Macedonia economic development and private sector development are identified as priority sectors by the Netherlands Embassies. In many other countries support to economic development is also given through macro support and support to PRSP-processes, in which economic growth and the role of the private sector is increasingly recognised; 3. Support through civil society in the Netherlands: The MFO’s are all active in the field of economic and private sector development using a percentage of the MFO budget for these activities. Within the TMF-programme a specific window for economic development has been established. In addition to these channels and instruments, during the past years the support to civil society organisations in the Netherlands has been stretched to also include support to Netherlands enterprises. DGIS therefore has developed a set of instruments focusing on the private sector consisting of: Facilitation services: - Knowledge: The Export Extension Service (Export VoorlichtingsDienst/EVD), an institution resorting under the Ministry of Economic Affairs. This institution also hosts a database ‘Developing your Business’; - Money: Finance Corporation for Development countries (Financierings Maatschappij voor Ontwikkelingslanden/FMO); - Insurance: Atradius Credit-insurance for (loans for) investments in developing countries. ref:ws358.tmp FG Page 11 of (64) Programmes: - The Netherlands Senior Expert Programme (Programma Uitzending Managers/PUM): advice from Netherlands Private Sector Managers to their colleagues in developing countries; - Programma Co-operation Emerging Markets (Programma Samenwerking Opkomende Markten/PSOM): Subsidies for Netherlands enterprises for projects with partners in the private sector; - Development Relevant Export Transactions (Ontwikkelings Relevante Export Transacties/ORET) to increase investment capacities in developing countries. Information for private sector in developing countries - The Support Centre for Imports from Developing Countries (Centrum ter Bevordering van de Import uit ontwikkelingslanden/CBI) for information on export opportunities to Western markets and matchmaking. Development of the financial sector: - Netherlands Financial Sector Development Exchange (NFX) is a public-private platform established by Netherlands commercial banks and the government. It supports financial institutions in developing countries through exchange of expertise and know-how of the Netherlands banking sector. This overview shows that aid-channels and instruments of DGIS for sustainable economic development are varied and targeting a wide range of areas and specific target-groups. 2.2. Policy framework and objectives of DDE for TMF economic development The policy framework Mutual Interests, mutual responsibilities confirms the importance of the Netherlands civil society organisations in development co-operation. The memorandum introduces projected changes in this system towards a new MFS in 2007 and highlights the importance and complementary role of this aid-channel in relation to other aid channels and instruments of DDE for the further future. The overall TMF-framework largely follows the priorities in DGIS policy on development cooperation and the MDGs. It identifies the following 7 thematic windows that are open to Netherlands (and international) organisations for the submission of programme proposals or requests for organisation funding: 1. Peace building 2. Human rights 3. Bio-diversity and poverty alleviation 4. Communication 5. HIV/AIDS 6. Economic development 7. Gender Furthermore the TMF-framework stipulates the following two main objectives: - Enhance a policy dialogue between DGIS and the TMF organisations on the 7 themes identified in the TMF programme; - Strengthen the autonomy and contribute to pluriformity of initiatives of civil society organisations in the 7 themes identified in the TMF programme. The general policy framework for Theme-based Co-financing (TMF) for the 2003-2006 and 2004-2007 grant periods, states that interventions at three different levels are supported with the aim to contribute to sustainable development and poverty alleviation: ref:ws358.tmp FG Page 12 of (64) · · · Direct Poverty Alleviation Civil Society Strengthening Policy influencing Economic development is one of the seven thematic windows and therefore the policy importance of this theme in DGIS general development policy is also reflected within the TMF programme. The policy framework for TMF Economic Development was developed by DDE in 2002 for the first round of TMF in 2003. The central focus within the policy area of Sustainable Economic Development (confirmed in Mutual Interests, mutual responsibilities) is to contribute to a good local business environment through support at different intervention levels. Co-operation in the form of partnerships of different stakeholders hereby is central. The policy is directed to contribute to sustainable economic development in developing countries through support of activities focused at improving the business environment at the following levels: · Improving the international policy environment by contributing to the Dutch position and efforts in the area of trade policy and trade and investment issues, with a view to improving economic conditions in developing countries · Improving the national policy environment by contributing – via embassies and international/multilateral organisations – to capacity building for policy making and implementation in the field of sustainable pro-poor economic growth · Strengthening private enterprise and business development in developing countries These three levels are congruent with the overall policies and set up of the DDE department in DGIS. In addition to these levels the following additional criteria have been developed by DDE for the selection and approval of proposals in the TMF Economic Development thematic window: · Activities should fit into the general policy as described above; · Activities must act as catalysts, expanding the range of possibilities or the scope for support from third parties. · Activities must be innovative. Making use of lessons learned, they must contribute to the development of new insights, approaches, methods and methodologies, which, if successful, can be applied on a larger scale. · Activities must help to influence policy with a view to improving the national and international policy environment. · Activities must have a cross-border effect. These criteria have slightly changed over the past years and at present the last two criteria (improving the national and international policy environment and cross-border effect) have been deleted. With these minor changes, this policy framework is also proposed for the new MFS programme and the SALIN programme introduced for international organisation in 2005. Through interviews with various key-informants both within and outside DGIS/DDE it has become clear that the TMF economic development programme is an important element within the overall policy of DDE. It establishes an important additional channel and instrument to mobilise support for economic and private sector development in developing countries through not only through direct support to the private sector but also through civil society organisations. However, staff of DDE indicates that there is a tension between the two overall objectives of the TMF programme that influences the way in which DDE interacts with the beneficiaries of the TMF economic development programme. On the one hand the TMF programme has been conceived as an instrument to enhance policy dialogue between DGIS (and the embassies in the developing countries) and civil society organisations and their partners in developing countries. This dialogue should enable a better complementary role between the different aid channels and instruments available and strengthen the coherence of the Netherlands development policy on economic development. On the other hand at the same time the TMF programme strives to strengthen and enable civil society organisations to conduct activities in economic development that are congruent with their own mandates, philosophies and methodologies. The TMF programme respects autonomy of civil ref:ws358.tmp FG Page 13 of (64) society organisations and wants to create space for a wide variety of initiatives to flourish. These different objectives create a challenge for DDE to balance investments in a policy dialogue that is linked to its own policy priorities with efforts to guarantee a proper monitoring and financial management of the organisations and programmes funded, without interfering too much in the autonomous decision-making of the TMF-partners. The TMF economic development theme cannot in the first place be understood as instrumental to reach specified policy objectives of DDE, but it has to be seen rather as supportive to influence a social and economic climate. In general one can observe that the policy dialogue exists but it is merely focusing on providing general support and directions to TMF-partners (without engaging in micro-management). Monitoring and financial management take the lion share in this dialogue. The TMF programme thus far has not yet enabled a policy dialogue between DDE and its TMF-partners to provide inputs in DDE policies and practices. The same can be observed at the level of the local embassies, which are only marginally aware of the initiatives being funded by the TMF economic development programme and therefore have only limited contacts with the TMF-organisations and their local partners. 2.3. Activities of DDE in TMF economic development programme The main activities of DDE in the TMF economic development programme are the following: - After intake by DGIS/DSI proposals are distributed to the DGIS-departments responsible for the specific funding requests under the different themes; - DDE management makes an assessment of the specific policy area (IM, NB and BO) under which the requests can be categorised and distributes the funding requests to responsible thematic officers. The Management and the TMF co-ordinator at DDE distribute the requests among all thematic officers. There are no special officers that handle TMF requests. This distribution is quite balanced although the TMF co-ordinator has more files under his responsibility; - The officers use the TMF assessment formats to score the quality of the proposals and the best proposals are selected for funding. There is no policy screening in this phase: the quality of the proposals is the guiding principle for selection; - After approval, the same thematic officers provide follow-up dialogue and monitoring to the organisations and programmes funded. This follow up takes between 5 and 10 days per year, including two follow-up meetings per year (if possible) and it is largely limited to reporting and planning moments and documents. In some cases, programmes and TMF-partners (and their local counterparts) are visited during country visits of the thematic officers, but this is not a normal practice; - All programmes are still under implementation. This means that it is not yet clear if any specific additional activities (such as evaluation) are foreseen at the moment of closure or renewal of proposals. ref:ws358.tmp FG Page 14 of (64) 2.4. Quantitative data Only two rounds of the TMF-programme: 2003-2007 and 2004-2008. are subjected to this expertstudy.. In these rounds the TMF economic development programme shows the following developments: Basic quantitative data TMF-Economic Development Programme Round 2003-2006 55.247.772 Total amount approved Number of organisations 15 approved Total amount rejected 18.500.000 Number of organisations 7 rejected Total number of proposals 22 handled by DDE Distribution according to origin of organisations Netherlands 41.027.700 (74%) Foreign countries 14.220.072 (26%) Round 2004-2007 4.241.981 5 31.000.000 20 25 2.154.573 (51%) 2.087.408 (49%) The table above shows some interesting developments in the TMF economic development programme. Striking is the fact that in the first round of 2003 a total of 15 proposals with a total value of more than 55 million Euro had been funded, while in the second round only 5 organisations and a budget of only 4.2 million Euro was approved. This very substantial decrease in budget and organisations is not easy to explain. The expert team has discussed this development with DDE-staff and the following elements for analysis were provided: - There have not been differences in the policy framework and assessment criteria for proposals in the TMF Economic Development Programme in the two years subject to investigation. During the first year the TMF programme attracted a lot of attention among civil society organisations in the Netherlands and internationally. Many proposals were processed and approved in the first round and the effect of this was that the demand for funding decreased during the second round. At the same time one of the four criteria (innovation) in the second year became a more critical assessment factor, as the pool of proposal already approved in the first year automatically raised the assessment criteria of innovation for new proposals; - There was no explicit policy on budget allocation within the TMF Programme among the different thematic windows and no criteria and rules for budget-allocation to TMF Economic Development had been applied. The amount of partners and budget approved is entirely related to the results of the assessment process and criteria applied; This explanation is not very satisfactory as the above elements would apply in the same degree to the other TMF thematic programmes and these show significantly less fluctuation of the amount of partners and budget approved during the two TMF-rounds. The amount of proposals submitted to the TMF Economic Development programme increased from 22 to 25 requests in 2004. The number of rejections rose sharply. This shows that rating on (the same) criteria, was more strictly applied in the second round. The criteria of value added to innovation obviously will have had its influence. But the volume of the decrease in proposals cannot be explained entirely by this factor. In the opinion of the expert team, the decline in proposals funded also has to be explained by capacity factors at the level of DGIS-DDE. The total amount of proposals and files that can be handled properly by this department is limited and it is questionable if DDE could have handled a number of 15 approved proposals on a yearly basis. This would have meant that with an average duration between 3 and 4 years, a total of approximately 50 proposals/files would have to be processed and handled by the staff of DDE at any given moment in time. The sharp decline in approved proposals is likely to be also related to this capacity aspect, maybe even more than with the criterion of innovation that was put forward as the explanation by DDE staff. Another factor that ref:ws358.tmp FG Page 15 of (64) might explain for the decline is the fact that experience obtained by DDE in rating proposals in the first TMF-round has lead to a greater capacity to come to stricter judgements on the different criteria in the second TMF-round. The observations above are relevant for further reflection and learning within DDE on: · finding a good balance between project management (additional to the ‘normal’ work) and the ‘real’ policy work and · being open to the challenges of plurality of actors and innovative initiatives versus the implementation of the DDE policy programmes in co-operation with the embassies. The expert team has also looked at the 2005 TMF round to see if the trend in decline of proposals has continued. The amount of budget and number of approvals showed a modest increase in this round to 11 million Euro and 7 organisations. This development might indicate that over a longer period of time the number approved programmes in TMF Economic Development might stabilise at a maximum number of 10 organisations per year. This would result in a yearly budget of a maximum of 15 million Euro (although the budget is likely to show higher variety). What can be concluded is that there has not been any policy and there has not been any active steering by DDE or DSI (responsible for TMF as a whole) to manage the approval process and budget allocation (both between the different TMF-windows and within DDE between the different policy areas). A second aspect of the above table is also interesting. One can see that the focus in the first round of TMF has clearly been on Netherlands organisations but later equally to international and Netherlands organisations. This trend could also be noted in the 2005 TMF round, in which 43% of the organisations was international. This points to a keen interest of DDE (and maybe DGIS as a whole) to engage in relations with international organisations in the TMF Economic Development Programme. The new MFS will be accessible to only Netherlands organisations, but in 2005 these interests in international partnerships with civil society organisations was recognised by the opening of a new provision in 2005 (SALIN) to enable continuation of relations with International organisations. The approved proposals under the TMF Economic Development Programme have been classified according to the main policy areas within DDE.3 The distribution over these intervention levels looks as follows: Table: distribution TMF Economic Development funding among intervention levels/policy areas DGIS/DDE Round 2003-2006 Round 2004-2007 Distribution funding according to core themes of DGIS-DDE International markets National policy environment Entrepreneurship & business development 1.440.000 (3%) 19.538.000 (35%) 840.408 (20%) 505.233 (12%) 34.269.772 (62%) 2.896.340 (68%) From this table the expert team concludes that all three-intervention levels are covered in the TMF economic development programme, but that there is a clear focus on interventions at the level of entrepreneurship and business development. Only a few interventions focusing on international 3 No information is available from pre-studies and from DDE on the distribution of institutional and programmatic funding within TMF economy. Therefore it was impossible to analyse the relative importance of both funding modalities. The sample for this expert-study shows that both modalities have taken place. Furthermore no information was available on characteristics of rejected proposals. It therefore was impossible to analyse the use of selection and assessment criteria by DDE on the overall level of all proposals submitted to DDE. For general findings on selection and assessment of TMF proposals by DGIS we refer to the report “Externe evaluatie van de interne beoordeling van TMF aanvragen” (rondes 2004 en 2005), MDF, 2005. We hereby assume that the findings in that report are also relevant to the TMF Economic Development programme ref:ws358.tmp FG Page 16 of (64) markets are funded. A significant number of proposals have been classified under National Policy Environment, but in reality these proposals do not always focus on that level; it is secondary to interventions at the level of entrepreneurship and enterprise development. The expert team has analysed the main characteristics and thematic area of operation of all organisations receiving funding from the TMF economic development programme. This is illustrated in the following table. Table: thematic areas of TMF economic development organisations and classification by DDE Thematic Area Classification by DDE Netherlands organisations Agromisa small scale sustainable agriculture NP ILEIA low external input & sustainable agriculture NP Duurzaam Geïntegreerd Enterprise development (principles CSR) BD (ADAPPPT) ETC Foundation Local innovation in ecological agriculture NP Fair Trade Assistance to local entrepreneurs - market access BD Oikocredit (Int. Support Found.) Non-banking subsidies to enterprises BD Solidaridad Participation entrepreneurs in fair trade BD SOMO Research enterprises, chains, trade and unions BD Strohalm local economic development through interest-free BD systems Woord en Daad Education, job mediation and Business BD development Zuid-Noord Federatie Advocacy on international trade and access IM Fair Trade Assistance to local entrepreneurs - market access BD Max Havelaar Assistance to local entrepreneurs in BD labelling/certification Practica Foundation Technology innovation to improve rural livelihoods NP International Organisations Clean Clothes Campaign working conditions and empowerment workers in BD clothing industry IDE Technology improvement and rural enterprise NP development and access to markets IFAP Strengthening national farmers' organisations and NP international networks VAMOS Corporate Social Responsibility BD Consumers International Strengthening consumers organisations and IM networks INAFI Support to alternative micro-finance deliverers BD BD = Business Development, NP = National Policy Environment, IM = International Market This table sheds more light on the type of interventions that are funded by the TMF Economic Development Programme. The following observations can be made: - - Many of the proposals focus on rural development and agricultural production. These proposals are classified under Business Development. However, in practice many of the interventions funded under this heading work with an approach to provide better market access to rural producers, by establishing value chain linkages. These value chain linkages cover different levels, from local markets to international markets and as such these proposals have a link with International Markets; Some of the proposals classified under National Policy Environment do in fact not focus on this level, but also address the business level as the main intervention area. Of course they also ref:ws358.tmp FG Page 17 of (64) - touch upon the National Policy Environment, but this aspect should be considered secondary to the core intervention at the business level; A significant proportion of the proposals is dealing with the issue of providing (micro)finance to producers and many of the business development proposals have elements of (micro)finance as a part of their interventions; Technological innovation is a specific aspect considered in interventions focusing on the business level; Other proposals cover a wide area of (vocational) education, consumer protection and linkages and labour rights protection. 2.5. The specific place of the three organisations selected for field-study in the overall TMF Economic Development Programme In this expert-study, three TMF organisations have been selected by DDE to be subjected to indepth analysis. The selection criteria were: - Only organisations in the first round of TMF (2003-2006) were selected to enable a longer-term time perspective on outputs, outcomes and impact in this expert-study - The three organisations selected have been the biggest receivers of funding from TMF under each of the three intervention levels of DDE. The following table shows the amount of funding for each organisation and the main activities that were approved by DDE. Table: TMF financing to the selected organisations for this expert-study and destination to specific areas and activities TMFTotal budget Contribution Main activities funded organisation grant period TMF (%) (4 years) (4 years) Woord en Economic Development € 16.973.192 € 6.706.394 Daad (39,5%) Running costs VTC’s Infrastructure VTC’s JBC’s MSME-development Capacity development partners Administration costs partner Administration costs W&D Human Development (outside the scope of € 7.677.220 € 4.689.875 effective monitoring by DGIS. During inception it (61%) was decided to exclude this programme from the Total: Total: € 24.650.412 € 11.396.269 analysis in this expert study) (46%) International 13,212,573 6.800.000 · IDE International’s general support for SIMI Development US$ US$ · Platform-building for national SIMI plans Enterprises (51,5%) · Implementation of pilot projects in five regions ($200,000 per year per region) South-North €1.440.000 €1.440.000 Development of a rights-based approach to regional Federation (100%) and multilateral trade-negotiations, international (in cotrade and investment relations. 4 components: operation with - Fair Trade (DAWS and Fair Trade Assistance) 5 other TMF - Market access & investment (Somo/BothEnds) organisations) - Health and Trade (Wemos) - GTJ-co-ordination (SNF-Bureau) ref:ws358.tmp FG Page 18 of (64) During the process of evaluation it has become clear that the classification used by DDE for linking the TMF-proposals with the three intervention levels is not the most convenient for analytical purposes. While the South-North Federation can be classified clearly under “International Markets”, the classification of Woord en Daad under Business Development is only relevant in relation to some aspects of its labour and income programme and International Development Enterprises in fact targets more the business-level than the national policy environment. To some degree all TMF-organisations in different aspects of their programmes consider all threeintervention levels of DDE. To better understand the levels of interventions, the expert team has developed the following table to contextualise the interventions of the three TMF organisations under study. Table: Focuses of TMF organisations in TMF Economic Development programme Influencing TMF-organisations and Direct Influencing Int. Society National relation with intervention Poverty Policy Building Policy levels of DDE Alleviation environment environment Woord en Daad (Entrepreneurship and business development) Intern. Development Enterprises (Entrepreneurship and business development) South-North Federation (International markets) XXX XXX XX X XX X X XX XXX This table shows that the Labour and Income programme of Woord en Daad and the programme of International Development Enterprises both have a focus on Entrepreneurship and business development. The interventions are in the first place targeted at direct poverty alleviation. In addition to this, they also dedicate significant attention to community and civil-society building. In a minor degree they are related to the national policy-environment. The two programmes, however, have no interventions targeted at influencing the international policy environment. For the SouthNorth Federation the picture is reversed. It targets changes in international markets and therefore it is focusing on influencing the international and national policy environments. While doing this, networking and joint activities contribute to strengthening the organisational capacities of organisations participating in this programme. The three organisations (selected for the field-work and detailed study in the expert-study on TMF Economic Development) can be considered representative for the whole group of proposals funded in the TMF Economic Development window: - The three organisations show the same variety as can be observed under the overall group; - Of the three organisations, two of them are strongly linked with interventions at local targetgroup levels and link up with the theme Business Development. One of them is linked with International Markets. This shows that these two areas have been most strongly covered in the TMF economic development programme (especially with the second round). The weakest link between policy areas of DDE and TMF Economic Development programme can be observed at the national policy level; - The organisations investigated show a mix of institutional funding, strategic programme funding and the funding of more specific activities in a programmatic set-up. This covers a wide range of different activities within the overall TMF Economic Development Programme; - The organisations show a mix of Netherlands and International organisations in the TMF Economic Development Programme, which has been observed as an opportunity for initiatives that might not otherwise have appeared, an enrichment of the programme; ref:ws358.tmp FG Page 19 of (64) - Mix of rural economic development, urban economic development and international markets; Mix of implementing organisations (country-offices) and organisations working through local partners; Each of the organisations has well-developed knowledge of the local situation and their activities are linked to this situational context. However, there are also some unique characteristics of these three organisations: - The organisations selected have been the biggest receivers of funds under each specific policy theme in the TMF Economic Development window; - Classification of the programmes and proposals of TMF partners in two out of three cases has not been according to real characteristics of these programmes and proposals. It is not known if with other proposals similar problems in classification have occurred; - The organisations selected only cover the first TMF-round of 2003. This was a decision by DDE based upon the assumption that in these cases more provisional findings can be gathered as these programmes had had a life-span of two to three years during the period of the expertstudy; - Core funding was highly valued by organisations to maintain their identity based on vision and mission Summarising the expert mission team has to conclude that it is dangerous to consider the specific findings and conclusions for the three organisations investigated representative for the whole group. However, with some care it is possible to generate some provisional conclusions that can be indicative for the whole group of proposals. The conclusions and recommendations based upon these conclusions and findings are presented only at the level of the general TMF Economic Development Programme and do not touch upon the individual organisations investigated. 2.6. Future developments The practice of handling the TMF-economic development programme by DDE and the classification of interventions over the three intervention levels, during the past years (also taking into consideration the round of 2005) has largely been the same. The new policy framework of DDE for the new MFS programme is the same one that has been used in the final years of the TMF programme. One specific change, however, has occurred that has been commented on by various stakeholders. In 2005 the Minister decided to outsource the process of assessment and selection of TMF-proposals to an independent external committee. This is looked at with some concern: during the past years it has proven to be difficult to engage in an intensive two-way policy-dialogue with TMF-partners. Staff at DDE indicates that with the step to outsource the assessment and selection process familiarisation with the TMF-partners will become more difficult and also the capacity to screen and assess proposal more in line with DDE’s policy priorities will further decrease. The impact of this outsourcing is considered to be more limiting for a fruitful and constructive policy dialogue between DDE and its TMF-partners. In general the new MFS programme will bring many changes but there are no specific aspects that can be singled out for Economic Development and DDE’s role in it. These developments therefore are not subject to analysis in this expert-study. ref:ws358.tmp FG Page 20 of (64) 3. Major Findings: TMF Economic Development (implementation level) This chapter presents in a concise way the major findings on the three TMF-organisations that have been subjected to this expert-study. These organisations have been introduced in paragraph 2.5 in which also the context and characteristics of all organisations funded by TMF Economic Development were presented. The findings in this chapter are based upon the specific reports on each organisation that can be found in Volume II of this report. Here, only the chain of inputs, outputs, outcomes and impact are presented for each TMF organisation. In this chapter the expert team focuses on the inputs and outputs only at the level of the TMF organisations. Outcomes and impact are presented at the level of programme implementation by the TMF organisations and their local partners. In Volume II and in annex 3 the complete chains of inputs, outputs, outcomes and impact are presented on the TMF organisations and their partner organisations. The expert team refers to paragraph 1.3 for the explanation of the methodology used to organise the research findings along these chains. As explained in that paragraph, it is not possible to present in a systematic way all impact obtained by the TMF organisations and their local partner organisations, as the total impact of these organisations is related to many other factors and actors outside the framework of TMF funding. It is also difficult to assess impact because the period under investigation only covers two years, which is a limited period to identify clear impact, especially at the wider level. Therefore the impact is closely related to the outcomes of the TMF organisations and their partners and specific elements funded by the TMF Economic Development programme. The chapter ends with a paragraph on some general and more widely applicable findings on the linkages in the intervention-chain from TMF/DGIS-DDE, through TMF organisations to the local (partner) organisations. The findings presented in that paragraph refer to all three TMF organisations together and again we refer the reader for specific findings on specific interventionchains related to each TMF organisation to volume II of this report.4 3.1. Major Findings Woord en Daad (W&D) Woord en Daad was founded in 1973 by a group within the Reformed Protestant churches in the Netherlands to make a contribution to poverty reduction in development countries. Christian inspiration is an important base of the actions of Woord en Daad. In the past decade a network of partner-relations with development organisations with a similar inspiration has been developed. Woord en Daad chooses not to be operational in developing countries but work through agreements with these local partners to implement development interventions in three areas: - Basic human needs and humanitarian assistance (including emergency support), organised in the human development programme; - Basic Education, organised in the social and cultural development programme; - Vocational training, job mediation and Micro, Small and Medium Enterprise (MSME) development, organised under the economic development programme. Historically these programmes have been developed in sequence, starting with basic human needs, through basic education to vocational training, job mediation and MSME development. This last programme has been developed in the last decade and has gradually become more important 4 Annex 4 of this main report contains a set of tables in which the major findings and conclusions on each organisation are presented. This annex serves as the link between Volume I and II of this expert-study report. In these tables, succinct information is provided on: 1) efficiency, effectiveness, relevance, sustainability, effects and learning capacity of the TMF-organisations; 2) organisational characteristics of TMF-organisations and partners; 3) results and impact at the partner-level and 4) linkages in the intervention chain. ref:ws358.tmp FG Page 21 of (64) in the actions of Woord en Daad. At present approximately 80% of the overall budget of Woord en Daad is spent on educational and economic activities. Woord en Daad is one of the biggest recipients of funding from the TMF Economic Development Programme. This expert study only analyses the funding received for its programme Labour and 5 Income. Only data on 2003 and 2004 are analysed in this paragraph, as data on 2005 are not yet available. 3.1.1. Inputs W&D The following table shows the financial inputs to Woord en Daad in the period 2003 and 2004. Table: Income Programme Labour and Income 2003/2004 Woord en Daad Income Total 2003 Fundraising general public 873,010 Fundraising private sector 330,064 Fundraising government and donors 2,051,578 - NCDO and ICCO - PSO (specifically for capacity building) - EU (micro-finance programme Bangladesh) - TMF (Economic Development) - Balance 2003 TMF (Economic Development) - Other institutional donors Contribution target groups Total income Balance Percentage TMF funding/Total Income 144,794 0 0 1,764,689 Total 2004 1,279,632 243,183 2,457,871 142,095 280,435 81,670 0 1,989,325 106,441 0 0 3,254,652 478,024 54% 0 3,980,686 252,689 53% The table above shows that the programme Labour and Income6 of Woord en Daad expanded significantly in 2004. Many activities were started up in 2003 with the approval of funding by TMF and were consolidated and expanded in 2004. The increase in the budget was largely achieved by fundraising among the general public in the Netherlands. The percentage of the contribution of TMF has roughly remained the same at a percentage slightly above 50%. 5 Woord en Daad has also received funding for its Human Development Programme from TMF. The TMF contribution was almost 4.7 million Euro for the period of four year, while approximately 6.7 million Euro was awarded for the Labour and Income programme (see table in paragraph 2.5). Woord en Daad’s Human Development Programme, however did not match with the policy areas of DGIS-DDE and it was not monitored content-wise, although basic financial monitoring was done. The monitoring of the Human Development Programme of Woord en Daad was not transferred to another TMF window (DGIS/DSI) and as such it remained entirely outside the scope of content-wise monitoring at the level of DGIS as a whole. This problem was identified during the inception stage of this expert-study and it was decided to exclude the Human Development Programme of Woord en Daad from the analysis. However, the observation that a significant amount of TMF funding has not been effectively monitored by DGIS is serious. This is taken up again in the conclusions of this report. 6 The Labour and Income Programme of Woord en Daad is also referred to as the Economic Development programme. To avoid confusion with the overall TMF Economic Development Programme in this report the Woord en Daad programme has consequently been named Labour and Income programme. ref:ws358.tmp FG Page 22 of (64) The funding in the Labour and Income programme is distributed as follows among the different regions: 18,000,000 Destination project funds per region (excl. adoption) Asia Latin America 16,000,000 Africa 14,000,000 Diverse 12,000,000 Total 10,000,000 8,000,000 6,000,000 4,000,000 2,000,000 0 2003 2004 Percent-wise the distribution of funding is illustrated below: Distribution projects/regions 2003 6% 31% 19% Distribution projects/regions 2004 3% Asia Africa Latin America 27% 34% Diverse 44% Asia Latin America Africa Diverse 36% These figures show that Latin America is the biggest receiver of W&D support in the Labour and Income programme. The support of W&D covers 7 partners in 5 countries (Haiti, Colombia, Guatemala, Nicaragua and Honduras). In Latin America W&D has a clear focus on Haiti. The support to Latin America, however, has decreased in favour of Asia and particularly Africa. Asia receives roughly a third of the budget and this is distributed among 15 partners in 7 countries (Afghanistan, Bangladesh, India, Iran, Philippines, Sri Lanka and Thailand). India is by far the largest recipient of W&D support. The budget for Africa has increased from 19% to 27%, which shows the increasing priority given by W&D to this region. At present 10 partners are supported in 9 countries (Angola, Botswana, Burkina Faso, Ethiopia, Liberia, Sierra Leone, South Africa Chad and Zambia). Burkina Faso is the biggest recipient of funding, followed by Ethiopia where W&D spending is rapidly increasing. In 2005 the number of partners in different countries slightly decreased and Uganda was added to the country-list. W&D is now pursuing to expand the number of partners per country in order to decrease dependency on the performance of a too limited number of partners. In the framework of the economic development programme Woord en Daad spent its TMF-funding in 10 countries (Ethiopia, Burkina Faso, South Africa, Guatemala, Colombia, Haiti, India, Bangladesh, Philippines and Thailand). ref:ws358.tmp FG Page 23 of (64) 3.1.2. Outputs W&D The following table shows a summary of expenses distributed over the main areas of intended output. Table: Expenses Programme Labour and Income 2003/2004 Expenses Description Technical & Vocational Training Scholarship programme Infrastructure Technical & Vocational Training Job centres Micro-finance MSME development Capacity building with partners Corrections & exchange-rate fluctuations Organisation costs Partners 5% Total Partner-organisations Organisational costs Woord en Daad 6% Total expenses Total 2003 299,298 979,077 1,121,353 36,043 52,618 34,189 10,665 86,217 2,619,460 157,168 2,776,628 Total 2004 531,217 1,105,336 1,180,226 240,789 27,352 552,930 81,670 -202,542 0 3,516,978 211,019 3,727,997 The funding of TMF within the Labour and Income programme has been used for: 1. Technical and Vocational Training 2. Infrastructure Technical and Vocational Training 3. Job Centres 4. Micro finance 5. MSME-development 6. Organisational costs of W&D and its partners The scholarship activities are supported by W&D public fundraising and capacity building of partners is funded by PSO. 3.1.3. Outcomes W&D and its local partner organisations The results of the work of W&D and its partners in the Labour and Income programme are diverse and cover 6 different result areas. In this section the overall results and outcomes are presented at the global level. For more details on outcome and impact we refer to Volume II of this expert study which presents a detailed analysis of the work of Woord en Daad and its partners in Ethiopia and Burkina Faso (were field-studies were conducted). The main result areas are the following: 1. Increase opportunities for young people on the labour market through technical and vocational training and scholarships for higher education; 2. Linking the programmes on Technical and Vocational Training, Scholarships, local employment and MSME-development, enabling self-sustainability of ex-graduates (Job & Business Centres (JBC’s) for job mediation and MSME-support); 3. Development of (informal) entrepreneurship; 4. Stimulation and coaching of profitable entrepreneurial activities and those that show potential for it; 5. Stimulation of the debate on sustainable entrepreneurship, primarily in the own support base of W&D in the Netherlands; 6. Realisation of sustainable entrepreneurship in ’involved entrepreneurship’. ref:ws358.tmp FG Page 24 of (64) Woord and Daad has developed indicators to measure outcomes for each result area. The following table shows a summary of outcomes at the global level, according to these result-areas: Result areas 1. TVT Main results and outcome in 2003 Main results and outcome in 2004 - 1,632 students trained in technical and vocational skills in 7 countries 2,200 scholarships in 5 countries for higher education Infrastructure improvement and expansion of 5 TVT centres in 5 countries Training software development for 2 training centres and training of trainers in 2 countries - Start up of 3 job and business centres in 3 countries Curriculum development and methodology development in relation with labour market in two countries - - 2. Link TVT with labour market and MSME’s (JBC’S) - - - 3. Entrepreneurship development - 4. Stimulation and coaching enterprises - 5. Debate on sustainable entrepreneur -ship in the Netherlands - 6. Involved entrepreneur -ship (business platform) - ref:ws358.tmp FG - - Microfinance provision for 44 MSME’s in Burkina Faso Several plans have been postponed Pilot micro-finance project in Colombia Support to agricultural cooperative in India Set up South African Business Centre 3 expert-missions for exchange expertise Netherlands and southern expertise and regular dialogue - Survey on sustainable entrepreneurship conducted and published Seminar conducted on sustainable entrepreneurship (for development of a vision document) 52 entrepreneurs members of W&D business platform Active knowledge exchange between members of the business platform and enterprises in 2 countries - - - 2,100 students trained in technical and vocational skills in 8 countries 2,925 scholarships in 5 countries for higher education Building and infrastructure improvement and expansion of 6 TVT centres in 6 countries Building of TVT centre for deaf and blind in South Africa 3 training of trainers missions 2 TVT centres network have been set up in 2 countries 8 Job and business centres in 8 countries operational several hundreds ex-graduates placed in job or internships in 8 countries Tracking systems for ex-graduates under development Capacity building support and software to 2 JBC’s in two countries Vision document on JBC’s developed by W&D and M&E system under development for JBC’s performance Micro-finance provision approximately 50 MSME’s in 4 countries (repayment-rate between 90 and 95%) Start up of two water-factories in Bangladesh Start up micro-finance and support for 15 MSME’s (5 were started up in 2004) 5 business plans in South Africa and 2 in the Philippines supported by W&D business platform 14 expert-missions for exchange expertise Netherlands and southern expertise and regular dialogue Decision made not to engage in advocacy on sustainable entrepreneurship. W&D focuses its actions on involvement of entrepreneurs within its own support-base 72 entrepreneur members of W&D business platform (seminar and symposium attended by 300 participants) 8 experts-missions of members of the business platform to 6 countries Page 25 of (64) Analysing these outcomes against the planning and projected results it can be noted that W&D has exceeded its targets in result-areas 1 (Technical and Vocational Training) and 6 (involved entrepreneurship). The start up of Job and Business Centres (result area 2) has proceeded more or less according to plan and the results in job-mediation are satisfactory. The activities on stimulating the debate in the Netherlands on sustainable entrepreneurs (result area 5) have proceeded according to plan, but have resulted in a change of approach and objectives of W&D in this area as from 2004. Development of entrepreneurship and stimulation and coaching of enterprises (result areas 3 and 4) have not proceeded according to plan. The number of MSME’s that have been started up and supported is lagging far behind original projections and the provision of micro-finance to MSME’s has remained on a very limited scale. Up-scaling of micro-finance to higher levels has not been achieved. The fact that the activities with MSME’s are still very recent within the interventions of Woord en Daad and its partners can explain this. It is still too early to see clear results and it is obvious that more experience and expertise in this area has to be developed. This has received significant attention from Woord en Daad, since April 2005 when a large seminar on MSME’s was organised by them, involving partners from the South and members of the Business Platform in the Netherlands. 3.1.4. Impact W&D and its local partner organisations Interventions in developing countries: In the scope of this expert-study, the analysis of impact is only possible for the work of Woord en Daad and its partner Hope Enterprises in Ethiopia, where a detailed field-study was conducted. For the detailed results of that analysis we again refer to the report on Woord en Daad in Volume II of this expert-study. We suffice here with some general observations on the impact of Woord en Daad on its partners, based upon this field-study. As approaches, methodologies and activities in the Labour and Income programme in different countries follow more or less the same logic therefore it is likely that the observations presented are valid for Woord en Daad’s activities at the global level, although accents can be different. Woord en Daad and Hope Enterprises have not developed concrete indicators to measure impact of their programmes, although in planning and reporting documents a general description of expected impact is given. As some of the activities are relatively recent it is not possible to assess the impact at the wider level or on the long-term. The impact-assessment therefore is focused on direct impact related to the outcomes of the programmes. The expert team has developed its own indicators to analyse the impact of the programmes. The following indicators were used: - Success rates of students in government exams and ex-students on the labour market; - Appreciation by target groups of qualitative changes in their lives, of the quality of the service delivery of Hope Enterprises and of the professionalism of the organisation; - Awareness and appreciation of the work of Hope Enterprises by external stakeholders; - Integration and adoption of Hope’s experiences and methodologies in activities and policies of external stakeholders; - Economic viability of the enterprises established by Hope Enterprises and their potential for growth (particularly this activity is too recent to assess real impact over a period of just over a year). ref:ws358.tmp FG Page 26 of (64) The following impact has been observed in the analysis of the interventions of Hope Enterprises. 1 Technical and Vocational Training The impact of technical and vocational training can be shown in the following way: - Almost 100% of the students that have completed there technical and vocational training successfully pass the government exams on Technical and Vocational Training. Many of these students are amongst the best performing students in these exams; - Students of Technical and Vocational Training Centres highly value the quality and activities of these centres. Questionnaires sent to students showed an overall appreciation of 4 on a scale from 1 to 5 for the services provided. On a scale from 1 to 5, respondents indicated that their participation in technical and vocational training (and additional support given to the students) had a very positive impact on the social-economic situation of themselves and their families. The average scoring was 4.5. The appreciation of the quality and professionalism of the implementing organisation responsible for TVT was equally high at 4.25.; - The implementing partner has always received a positive score in the inspection missions on TVT from the bureaux of the Ministry of Education and only in a few cases, minor suggestions for possible improvements have been given; - Curriculum and methodologies in TVT from the implementing organisations have been approved by the Ministry of Education and they have been used as a model for similar training centres of government and NGO’s; - Local community committees highly value the selection mechanisms of the implementing organisation, targeting children from the poorest families. These local community organisations are actively involved in the selection process. 2 - - 3 - - Job and Business Centres (Job Mediation) A network with 180 local enterprises has been developed for internships and job-placements. Many of these enterprises actively approach the JBC’s when they are looking for new staff; With a slight variation over the years, between 80 and 90% of ex-graduates from TVT are effectively placed in jobs within a period of 6 months after finishing training; Ex-graduates placed in jobs by the implementing organisation valued highly the quality of the job-mediation services (4 on a scale from 1 to 5) and they equally valued the quality and professionalism of the implementing organisation. The respondents indicated that their economic situation and that of their families had improved significantly (4.5 on a scale from 1 to 5); Although there is appreciation from the government for this activity, the government has not taken an interest to replicate this model in other situations; Although there is appreciation of enterprises for this job-mediation service, there are no clear indications of changes in mind-sets of these entrepreneurs towards corporate social responsibility. Job and business Centres (MSME-development) Four small enterprises have been started up and are still in their first phase of development. It is still too early to see the impact, development and growth of these enterprises. It is, however, likely that the perspectives for growth and consolidation of these small enterprises are very limited. Thus far these MSME’s have mainly served as an alternative for ex-graduates that have not successfully been placed in jobs; A clear and positive change could be observed among the participants in the small enterprises in terms of attitude and self-confidence; Beneficiaries in the MSME activities of the JBC’s expressed different opinions on some aspects. The appreciation of this activity was clearly higher in the urban context of Addis Ababa, where respondents to questionnaires were highly satisfied with services provided and the professionalism of the JBC (score of almost 5) and also scored highly on the social economic impact of participating in MSME’s (score: 5). In a smaller city these scorings were significantly lower. Participants indicated that social-economic impact was average (3.3) and showed some criticism on the quality of services and performance of the JBC (slightly below 3). ref:ws358.tmp FG Page 27 of (64) - 4 - - 5 - - No linkages were established with other organisations (both governmental and NGO’s) with experience and expertise in the area of MSME-development, but at the level of W&D partners and advisors experiences have been shared. Micro-finance provision to MSME’s Due to the fact that the MSME’s have only recently been started up, it is not yet possible to identify the impact of micro-finance provision. In only one case a credit has been supplied to an enterprise and it has not yet arrived in the payback phase. What can be observed is that due to the set-up and structure of these MSME’s it is not likely that financing has perspectives to grow from micro-credits to bigger loans (although this is the ambition of W&D) In some other countries, particularly Burkina Faso, more experience has been built in microfinance provisions. In this respect the impact in Ethiopia is lagging behind countries such as Burkina Faso, Colombia, South Africa, Bangladesh, India and the Philippines. Establishing linkages and advocacy on sustainable economic development Although the implementing organisation is clearly recognised and its services well appreciated by the government, private sector and other NGO’s, networking and co-operation is severely limited. Advocacy is limited (implementation is prioritised) and is organised in networks in which the implementing organisation participates. When done, linking and advocacy is limited to educational activities. The implementing organisation is not known for its activities in MSME development. In the Netherlands 1 - 2 - Involved entrepreneurship Woord en Daad has had a clear impact on developing ’involved entrepreneurship’ and has been able to establish a strong and sustainable platform of involved business people in the Netherlands, particularly in a range where these concepts up to present are little explored: the small and medium enterprise sector in the Netherlands. W&D has obtained a clear niche in this sector and its initiatives are clearly recognised by others, including DGIS. Establishing linkages and advocacy on sustainable economic development Establishing linkages and advocacy on sustainable economic development outside W&D business platform has been limited. Thus far no strong linkages are developed with other organisations and DGIS on this theme and the same is true for linkages and advocacy towards the Netherlands’ embassies in developing countries. This can partially be explained by the fact that the MSME-activities are still relatively new within W&D practices, but it is also due to the fact that advocacy and external linkages does not receive much attention. In the TMF-proposal of 2002, networking and advocacy was only developed in general terms, without SMART objectives and indicators. The most recent policy-plan of 2005-2008 is already a lot more concrete. The first priority of W&D and its partners is with effective and efficient implementation of programmes. In spite of these limitations the following impact has been achieved by way of some examples: - In Burkina Faso a broad seminar was organised in 2005 on Education, Vocational Training and the labour market. Several ministries and representatives of the private sector and NGO’s participated. The seminar was followed up by a series of working-groups with the same multi-stakeholder composition; - Advocacy of Hope Enterprises (and others) in Ethiopia has resulted in new policies on technical and vocational training. ref:ws358.tmp FG Page 28 of (64) Summarising we can conclude that the Technical and Vocational Training activities and the jobmediation services of W&D and its partners have achieved significant impact. MSME-development and micro-finance provision are still too recent interventions to show a clear impact, but in the original set-up and methodology of the labour and income programme of W&D and its partners these activities are unlikely to have a strong impact at a higher scale. This was recognised by Woord en Daad after a seminar on MSME-development in April 2005 and also this expert-study already has provided useful input to Woord en Daad to reconsider the set-up of the MSME-activities in the labour and income programme. A new draft policy-paper on MSMEdevelopment was developed in December 2005, which contains significant changes: - Establishment of an MSME-unit with specific competencies in this area in Woord en Daad; - More intensive involvement of Business Platform in MSME follow-up; - Greater flexibility in support modalities, in addition to support to existing partners, to develop specialised interventions in MSME-development, involving other local organisations with specific expertise in this area; - Attention in Technical and Vocational training to entrepreneurship development and not only offer MSME’s as a last option for ex-graduates that have not been able to find jobs. Support to separate initiatives for MSME-development (which can generate employment for ex-graduates as employee but not necessarily entrepreneur). Woord en Daad showed a great capacity and willingness for learning in 2005, specifically in relation to this area of MSME-development. Networking and advocacy are limited and especially in the area of sustainable economic development, W&D and its partners are not yet strong players; the focus is on implementation. Woord and Daad has identified this as a challenge and recently established a Unit for Advice and Research to develop, support and coach the own organisation and the partners in the South in the area of advocacy. Finally, W&D has achieved a strong and very innovative impact in involving small and medium enterprises in the Netherlands in its development activities and this can be considered very innovative. ref:ws358.tmp FG Page 29 of (64) 3.2. Major Findings International Development Enterprises (IDE) 3.2.1. Inputs IDE International Development Enterprises has received a US$ 6,8 million grant for a 4 years period. The proposal, submitted by IDE and approved by the DSI/DDE, distinguishes three main programme components. IDE will report on three core activity areas supported under this grant. The three areas of core support in achieving the overarching objectives of SIMI (Smallholder Irrigation and Market Integration) include: 1. General support for IDE International to co-ordinate, lead and backstop the implementation of the SIMI plan. This should enable IDE to build the institutional capacity necessary to launch a global program for smallholder poverty reduction, entitled SIMI (Smallholder Market Irrigation Market Initiative). 2. Platform building to bring together key stakeholders (including government, NGO’s, private enterprise, and the smallholder community) in each SIMI country or region to develop countryspecific SIMI plans, and to promote and facilitate widespread understanding, acceptance, and application of SIMI concepts within the world-wide development community, and 3. Immediate implementation of pilot projects in five selected regions (Bangladesh, China, India, Nepal, and Zambia) as the first step in a 15-year vision to eventually reach the target of 30 million households. Core Action, Research and Development Program (CARDEP). The budgetary breakdown of the core funding support originally proposed during the life of this grant is as follows: Areas of core support 1 IDE International’s general support for SIMI 2. Platform-building for national SIMI plans 3. Implementation of pilot projects in five regions ($200,000 per year per region) TOTAL Annual Amount $500,000 $200,000 $1,000,000 4-Year Total $2,000,000 $800,000 $4,000,000 $1,700,000 $6,800,000 3.2.2. Outputs IDE This paragraph presents the progress realised in the three areas of core support of the TMF grant (2003 and 2004). Objective 1: Progress towards IDE International Institutional development With respect to the core support to IDE International and the Regional Co-ordinator positions in different countries the following outputs can be listed: 2003 IDE laid the conceptual foundation for the global achievement of SIMI, as implemented through CARDEP pilot field projects in five IDE country programmes. Core support funds have thus been invested in the definition of a smallholder wealth creation framework termed PRISM (Poverty Alleviation through Irrigation and Smallholder Markets) that serves as the theoretical foundation for implementation of the CARDEP pilot field projects. ref:ws358.tmp FG Page 30 of (64) 2004 Under the new Strategic Plan Dutch funds totalling $531,754 support the central co-ordinating function of the IDE Secretariat. In 2004, financial support was continued for the employment of seven part-time (½ to ¾ time) management-level positions. The positions include four regional coordinators in South Asia, South-east Asia, Southern/East Africa, and West Africa/Sahel. Additionally three positions of key senior staff within the IDE Secretariat Office are active based on the core TMF grant. Support of these key positions has enabled the Secretariat to make considerable progress in achieving the objectives of SIMI. IDE established a strategic partnership with Winrock International in its Nepal and Zambia field programmes. The Secretariat continues to provide technical assistance and leadership to the field programmes in implementing the objectives of the PRISM framework. In 2004 a major PRISM methodology workshop was held for all country programmes, and a PRISM brochure and guidelines document was developed for widespread dissemination. A total of 16 presentations at workshops, conferences, or other formal public venues were made by IDE Secretariat staff. Objective 2: Progress towards SIMI Platform Building7 IDE-Bagladesh has been implementing a national SIMI platform building strategy since 2004 under its ISEM (integrated smallholder into expanding markets) programme. IDE Cambodia is one of the additional field programmes now supported under the Dutch grant, expanded beyond the initial five country programmes in the original grant submission. The Cambodia SIMI platform is designed to include activities that will support a three-part strategy to (1) increase IDE’s internal capacity in market assessment and Business Development Services, (2) formulate project designs for one or more PRISM projects, and (3) engage donor and partner interest and collaboration. In 2004, IDE China made progress in building a SIMI platform by: Supporting local manufacturers to develop capacity to supply IDE water technologies for smallholders, integrating SIMI with rural projects of local NGO’s and involving SIMI in large government water projects The IDE India programme made very significant progress in 2004 in building and strengthening joint partnerships under the SIMI platform both nationally and internationally. The programme has successfully brought together government, private sector, PVO/NGO, donor, and academic community stakeholders in addressing issues related to smallholder wealth creation. IDE Myanmar is a member of the Food Security Working Group, a local network of INGO's and NGO’s involved in smallholder agriculture and food security projects in the country. In December 2004, IDE Myanmar presented its country programme at a national Workshop on Innovative Technologies and Services for the Poor, organised by the Food Security Working Group in Yangon IDE Nepal has made progress in three core areas of support 1) IDE Nepal administrative, technical and logistical support functions; 2) national platform building across IDE district programs; and 3) market research analysis in preparation for implementation of PRISM in project districts. IDE Vietnam is one of the new programmes included for building a national SIMI platform and implementation of PRISM pilot projects since submission of the original grant proposal. The Vietnam program has taken full advantage of Dutch MFA support to carry out sub-sector analyses and venture pilot activities since June 2003 to lay the groundwork for PRISM project design. 7 Reports to DDE ref:ws358.tmp FG Page 31 of (64) IDE Zambia 2003 Under activities planned for 2003, each IDE country programme arranged meetings and workshops to identify at least one lead partner as a key participant in the development of a national SIMI platform. IDE Zambia received two major USAID grants in 2003 that will enable the programme to build a broad-based platform of local NGO’s, university and policy research institutions, and private sector partners in implementing CARDEP pilot programmes. Winrock International has played a lead role with IDE in the achievement of a CARDEP programme that enlists the support of four Zambian NGO partners including CLUSA, ZATAC, CARE Conasa, and ZAMTIE. In a more recent USAID-funded programme, IDE will build a broad platform of SIMI partners over the next five years, beginning with approximately nine local NGO partners. 2004 Under the Non Governmental Organisation Sector Strengthening Program (NGO SSP) IDE Zambia built a broad-based SIMI Platform of 40 network members out of which 12 are partners - local organisations that implement full PRISM projects. These local organisations comprise government, NGO’s, faith-based organisations (FBO's) and private sector enterprises. The project has enabled expansion of PRISM activities to new project areas such as the Northern Province through partnership collaboration. In 2004 Organisational Capacity Assessments (OCA) were conducted to determine SIMI network capacity weaknesses and develop specific subsequent capacity building that will enhance smallholder based service delivery. OCA has revealed capacity building requirements in key organisational areas such as strategic management, monitoring and evaluation, human resource management and grant writing skills. Following presentations in 2004 to the Regional Centre for Southern Africa (RSCA), IDE has been incorporated in a regional programme (Initiative to End Hunger in Africa) in the Chinyanja Triangle, an area with common borders in Zambia, Mozambique and Malawi, for implementation in 2005. This project will strengthen the SIMI platform in the Eastern Province of Zambia. Objective 3: Progress towards CARDEP Pilot Project Implementation Substantial staff training and capacity building in the areas of Sub-sector Analysis (SSA) and BDS (Business Development Services) Market Assessment has taken place through a series of workshops. Also in country service training enabling each programme to carry out pilot, or ongoing market analyses of specific sub-sector agricultural commodities with potential high market value has been carried out. Related to the overall institutional capacity building of IDE in the area of SSA/BDS market assessment, a PRISM manual to be used for internal and external training was produced. The PRISM manual encapsulates both the conceptual framework and methodological tools employed to carry out a full programme in smallholder market creation from initial market analysis and programme design to programme implementation, monitoring and evaluation. Funds awarded by the Dutch Ministry of Foreign Affairs were used to support SSA/BDS market assessments serving as the first step in comprehensive market research for implementation of CARDEP pilot projects. ref:ws358.tmp FG Page 32 of (64) 3.2.3. Outcomes IDE With regard to the three objectives over the three years covered by this study, the following outcomes can be presented in brief: Objective 1: IDE has successfully achieved the goal of building organisational capacity to promote a sustainable market development model for rural smallholder income generation. The increased funding base and broad range of partnerships is the foundation for a sustainable approach to continue in their work towards poverty alleviation. The challenges faced regarding information flow and monitoring impact are being addressed. There is great momentum in the organisation with its formulated PRISM strategy. The accomplishments and learning during the three year span of this review has positioned IDE to continue reaching millions of smallholder farmers and assist them to participate fully in pro poor market systems”. Objective 2: The Secretariat has forged partnerships with the private and public sector. The diversity of partnerships range from universities, to international research centres, to technology corporations and other International NGO’s like Winrock. These have been fostered through the strategic development of recruiting Board members and a strong communications strategy. Partnerships are essential for IDE’s commitment to reach 20 million poor households by 2015. A shift has been noticeable from going alone to seeking out partners, which is reflected in the new alliances. During interviews with staff people and Board members, many partnerships were provided as examples, but no one could provide a comprehensive list.8 It would service the organisation well, considering the diverse range and the eminence of some of the partnerships, to list some in order to illustrate the position that IDE is taking in the development, agricultural and business worlds. Objective 3 Pilot Project Implementation and sub sector development Bangladesh Pond fishery sub sector development: By the end of 2004 a total of 3600 fish farmers were linked to input sellers and 17 input sellers had become active. The average extra income earned by fish farmers was US$ 350 (project target US$ 200) Vegetable sub sector development Approximately 7000 farmers have been linked to 100 traders. Average additional income of farmers >$350 (project’s target is $200), Average additional income of input sellers >$600 (project’s target is $200) Cambodia A pilot phase for PRISM was implemented in 4 provinces from July 2003 to end 2005. The objective of more production of cash crops (vegetables for import substitution) under irrigation using treadle pumps, is being achieved by analysing market opportunities and constraints that smallholders face and designing market-based interventions to remove those constraints. Water access control, horticultural knowledge and input quality, food security and market assessment are the major issues dealt with in the pilots. 8 See also end of program evaluation for USAID grant by Mary E.Morgan –February 2005 ref:ws358.tmp FG Page 33 of (64) China IDE has established a formal partnership with the Centre of Poverty Alleviation Studies in Guizhou University. Important developments are: 1.Developing manufacturing capacity of low-cost drip irrigation systems in China. 2. Supporting smallholders to increase short-term income from growing vegetables. 3. As IDE efforts to promote the persimmon and teakwood sub-sectors have begun to achieve some progress in the Dabang River Valley area where persimmon and teakwood have been introduced by IDE’s local partner (GIHD), smallholders have expressed strong interest to plant persimmon and teak trees. India The Maharashtra programme marketed approximately 14,000 drip micro irrigation systems in 2004. The programme is focusing much effort on providing farmers with real time market pricing information and linkage to high value markets. Myanmar A pilot project to test the feasibility of manufacturing and marketing treadle pumps in Myanmar. These assessments identified 14 high potential target areas, covering more than 75 townships. The results of the survey confirmed the pumps’ income-generating potential of between USD $100-250 net per dry season and validated them as an appropriate small-plot irrigation strategy to improve rural incomes and livelihoods in Myanmar. As a result a 3-year Rural Smallholder Irrigation and Livelihoods Initiative project was formulated. Approximately 1,700 treadle pumps have been purchased by small-plot households during this first season of introduction. Pump user households are experiencing immediate benefits of time/labour savings, increased incomes and improved health. Nepal IDE Nepal PRISM pilot activities were implemented in collaboration with Save the Children Fund (SCF), USA, Care Nepal, Winrock International and the Asia Foundation in a three year USAID funded $ 8 million project, Ujyalo,). In the project IDE Nepal concentrated on micro-irrigation, horticulture/vegetable production, business development services and local level market development. The five INGO partners will work together with technically experienced local NGO partners in 15 districts of Nepal. Selection of project implementation Village Development Councils and strategic partners were the major activities performed during the reporting period. Under different implementation projects, IDE Nepal adopted the PRISM model in 2004 focusing on: i) strengthening of monitoring and evaluation capacity, ii) production and marketing, and iii) research and development. Until the end of 2004 the SIMI project facilitated delivery of 11,935 micro-irrigation technologies (treadle pump, drip system, micro-sprinkler system and low cost water storage tank) to 7,846 households through supply chains established in 21 pockets across the nine project districts. It has increased the average income of 15,694 families by more than US $150 in its second year. 1,023 input BDS providers and 366 output BDS providers were developed by the project and they are capable of delivering necessary BDS support to the MSE's across the project districts. Vietnam IDE conducted a preliminary information gathering of the NTFP sub-sector in four central provinces focusing on different NTFP product groups such as fibre, food, resin and essential oils. Sub-sector analyses on pig and pond farmed fish were conducted in 2004. IDE conducted a BDS assessment on value chain development for Fertiliser Deep Placement (FDP) in October 2004 in Nam Dong district. The assessment has provided intervention designs, business development services on how to build up this network to meet the demand for farmers in Nam Dong. Interventions are being implemented in all four provinces. ref:ws358.tmp FG Page 34 of (64) Venture pilots IDE implemented a series of successful venture pilots in four provinces (Quang Nam, Thua Thien Hue, Quang Nam, and Thanh Hoa). These include: System of Rice Intensification (SRI) and Organic Fertiliser (OF, Fish farming and Pig and Chicken Husbandry. IDE and partnered organisations continued to focus attention on rural marketing promoting the benefits of FDP in cultivating irrigated rice. Product and social marketing activities were implemented in parallel to re-prioritise investment decisions and cultivation practices. To date, the FDP input supply chain consists of four briquetting producers, eight pellet producers/distributors and 15 retailers in four project provinces. By the end of 2004, 3,982 families had adopted FDP for their rice crop. Zambia IDE Zambia has implemented a paprika intervention programme, which aims at boosting paprika production through early and supplemental irrigation during the rainy season. IDE imported from India 400 low cost galvanised dip steel treadle pumps and has invested 390 of these pumps in a credit scheme with the implementing partner, Cheetah Zambia. The pumps form part of the strategy to link 1,070 paprika farmers (including a rain-fed crop) with Cheetah for the 2004-2005 paprika growing seasons. A total area of 267.5 hectares of paprika has been cultivated. Micro-credit linkages were also facilitated to overcome micro-finance constraints. On-farm, group or individual training in irrigation, crop management, post harvest technology and business development skills were provided by IDE field teams. Horn of Africa During 2004 sub-sector analyses were completed for cotton and durum wheat in northern Ethiopia and for household vegetables and sweet peppers in the Rift Valley south of Addis Ababa. These have all led to the formulation of plans for PRISM focused activity (Ethiopia Pilot Partnership Project - EPPP) West African Sahel PRISM pilot project initiatives for the West Africa region have been planned since 2004 and implemented from 2005. Low-cost irrigation technologies and profitable marketing for urban and peri-urban farmers in Kumasi, Ghana is now underway in partnership with IWMI. A PRISM pilot project in Niger is now underway with the support of IDRC in partnership with the Institut National de Recherche Agronomique du Niger (INRAN) and SOS Sahel International Niger. The goal of this project is to strengthen the capacity of these local institutions to incorporate the conceptual principles and tools of the IDE PRISM model into a cohesive network of SIMI practitioners working collectively to achieve broad-based smallholder wealth creation through onfarm income generating activities. The aim is also to involve in this SIMI network other institutions and NGO’s within the Sahel region. ref:ws358.tmp FG Page 35 of (64) 3.2.4. Impact IDE PRISM Project impacts 2002-2005 Nepal Project expenses 1,370,759 to date (US$) HH’s to date 55,862 Avg HH Investment 56 198 Avg HH Income Increase MSE’s to date 3,324 MSI income 200 increase Total Wealth 11,709,446 created Total HH 3,104,694 investment Cost per HH 25 reached Benefit/Cost ratio 8.5 Leverage ratio 2.3 Zambia 1,175,000 Bangladesh 572,440 Vietnam 221,517 Cambodia 370,394 Total 3.710.110 13,523 170 492 14,525 166 176 3,982 32 42 3,384 59 72 91,275 89 226 59 200 1,518 102 50 300 307 141 5,258 212 6,669,800 2,291,286 182,244 300,745 21,783,521 2,292,730 2,407,375 126,787 179,711 8,111,296 87 39 56 109 41 5.7 2.0 5.1 4.2 0.8 0.8 0.5 5.9 2.2 0.6 Initial impact results of the CARDEP/PRISM programme, based upon development of agricultural value chains for smallholder farmers, have been very encouraging in India and Nepal. Impressive gains in smallholder income have now been recorded over a three-year time frame. Since launching of two PRISM pilot initiatives in those countries, net additional farm income per annum in India has increased, on average, from $250 to $800 over a three-year period among more than 28,000 smallholder project beneficiaries. In Nepal, slightly more than 7,000 farmers have increased average net annual farm income from project integration into high value horticultural markets from $52 to $322 over the same three-year time period. The table “PRISM Project impacts 2002-2005” contains an overview of data compiled by IDE. The reliability of the figures cannot be checked and confirmed by the present study. The fact that different more detailed programme evaluations in the five different countries have not seriously challenged the reliability of the available data was taken as a justification for this study to base its opinion on the results of one of the studies in particular.9 The figures in the table show increases in the income positions of the target populations in the five countries of intervention directly attributed to the IDE activities. IDE presents the results as impact of the introduction of technology and integration of farmers in markets. Wealth creation is the objective and M & E of the organisation focuses on the monetary indicators. In the terminology of the analysis made in the present study it would seem appropriate to speak of outcome and outcome indicators rather than of impact and impact indicators. The expert team has further elaborated some criteria and indicators to gain more insight into the obtained impact of IDE in Zambia. These indicators and criteria are derived from the “Five dimensions of Poverty”. The available data point primarily at the economic dimension. Increases in incomes were formulated as indicator in each of the countries and have been realised according to the reported results (see table). A further analysis of the impact of IDE programmes on the poverty reduction has been difficult because of limited availability of detailed information. 9 End of Program Evaluation. MG2. Grant Period: October 1, 2001 – October 30 (December 29), 2004 USAID’s Office of Private and Voluntary Cooperation under a Matching Grant, cooperative agreement No. HFP-A-00-01-00041-00.). Prepared by - Mary E. Morgan, February 1, 2005 ref:ws358.tmp FG Page 36 of (64) A research programme was carried out in Zambia during 2005 and early 2006 to investigate in retrospect the baseline situation and assess an approximation of the changes attributable to the programme. Some recent research results have become available between the first and the second visit to Zambia providing some insight in the impact on poverty reduction and the improvement of the livelihood. Questions asked to the target population about how the extra income is spent on priority expenses indicates that approximately 2/3 (62%) is spent on food and education and 96% on food, education, farm inputs and clothing. The link to the human dimension of poverty is obvious. One other result refers to the social-cultural dimension of poverty. Three groups were compared: 1. the direct target group 2. a group close to the target group but not included in the programme and 3. a group away from the programme and not influenced indirectly. One of the significant differences that the research revealed was a strongly improved self esteem and belief in ones own capacity to improve ones situation in the target group compared with the other two groups. The research programme is an introduction to further and more systematic analysis of impact. Although only provisional and not fully processed research results were available it is according to the expert team possible to reach the conclusion that a positive impact has been observed against the economic, human and social cultural dimensions of poverty. ref:ws358.tmp FG Page 37 of (64) 3.3. Major Findings South-North Federation (SNF) The Globalising Trade Justice project can be summarised as the project that, among others, coordinated both Northern and Southern NGO input in the WTO Ministerial Conference in Hong Kong in December 2005. The Southern input, observed by the evaluators, was co-ordinated in an effective preparation and a relatively influential mission of a joint delegation representing both the Kenyan Government and the Kenyan NGO’s in Hong Kong. The Dutch NGO input was coordinated in the presentation of the ’10 Points Plan’ by the ‘Coalition for Fair Trade’. This input was welcomed by the Dutch Parliament and the Ministries of Economic Affairs and of International Cooperation. As the draft annual report of 2005 is not yet available, the description of the project is shown, as follows, in the annual report 2004 covering the period January – December 2004 in the 4-year SNF-programme Globalising Trade Justice (2003-2006): The project consists of three related parts and is implemented by a coalition of six Dutch nongovernmental organisations: 1. Trade and Health, implemented by Wemos 2. Market Access and Investment, implemented by SOMO 3. and BothENDS 4. Fair Trade, implemented by the Dutch Association of World shops 5. and Fair Trade Assistance 6. The overall co-ordination to the programme is provided by the bureau of the South North Federation. The South-North Federation, founded in 1990 as a structural coalition, is now a network of 15 Dutch NGO partners, including the above mentioned. The overall objective of the programme is to develop together with its partners in the South a rights-based approach to regional and multilateral trade-negotiations and international trade and investment relations. The programme presents the following anticipated results: 1. Southern CSO’s, participating in the programme, can show a clear record of lobbying their governments to include human rights concerns in trade and investment negotiations; 2. Economic literacy as to trade and investment agreements is raised to a level that enables an informed public and parliamentary debate in the Southern countries, Europe and in the Netherlands on trade policies and trade priorities; 3. Southern small-scale producers and consumers have made their voice and interests clearly heard in international NGO-networks and coalitions 4. Tangible proposals are tabled and public acceptance is raised to promote a better coherence between trade and human rights law. The international context of the GTJ-program The Cancún Ministerial conference of the WTO, which was held in December 2003, failed to be concluded with an agreed final text that could give clear pointers for the further negotiations as foreseen in the Doha Development Agenda. Regional and bilateral trade negotiations seemed to take precedence over WTO negotiations. To overcome the deadlock within the WTO, members decided to continue negotiating a framework, rather than modalities. They also decided to focus on key areas of content, such as agriculture, cotton, industrial products, and Singapore issues, to facilitate progress for the whole development round. This may prove to be a too ambitious goal. Since negotiations resumed in September, technical talks on agriculture remained largely inconclusive. Developing countries linked their agreement with specific modalities in the agriculture negotiations to a favourable outcome of talks on industrial tariff ref:ws358.tmp FG Page 38 of (64) reduction, seen by most of them as first and foremost benefiting Northern countries, while threatening their own (infant) industries and depriving them of much needed tariff venues. At the same time farmers and small producers in developing countries faced the possible consequences of regional free trade agreements. Central American rice farmers fear the opening of their borders to subsidised US rice exports. This export-dumping is a consequence of the free trade agreement concluded between the US, the Dominican Republic and Central American countries as it requires them to rapidly lower import tariffs on agricultural products, including rice. Against this background, it should come as no surprise that the southern partners in the GTJprogram stressed the importance of remaining focused on the consequences of the negotiations towards regional free trade agreements such as the Economic Partnership Agreements (EPA’s) between the EU and ACP-countries, EU-Mercosur agreement and FTAA in the Americas. The southern partners involved in this project noticed clearly that it was difficult to influence these processes, to get documents in time (even for the national officials), or to keep up with deadlines for responding. It was the WTO working group of SNF that took the initiative to propose the GTJ project. With its partners SNF decided for the GTJ project to put extra efforts in the economic literacy of its different partner networks in Africa e.g. by organising training and seminars;. a two-day seminar in Nairobi comparing WTO and EPA's. Trade and Human Rights The SNF partners believe that trade and investment could help alleviate poverty and guarantee the civil and socio-economic rights of workers, producers and consumers in the South, provided that trade and investment are governed by fair rules. The slow pace with which the trade negotiations progress, and the lack of real co-operation between the WTO and the UN institutions that work on the millennium development goals, indicates that much work remains to be done. In 2004 Wemos commented to the UN Special Rapporteurs on Health and on Food that actually the reduction of accessibility to food, quality food and diet, access to health care and to affordable medicines and seeds are not in line with the Human Rights Convention on Economic, Social and Cultural Rights. Somo and BothEnds scrutinised investment agreements in the light of the rights of workers and small producers. DAWS and FTA worked to increase the capacity of fair trade producers to defend their rights and interests both within the fair trade system itself and in trade policy debates on the national and multilateral level. The GTJ project was envisioned to enhance and co-ordinate such efforts in the South and the North. Co-ordination and networking The GTJ programme is a joint effort of six Dutch NGO’s, co-ordinated by the SNF-bureau. Though the Dutch partners share the common objectives that are elaborated in the overall project proposal, it was felt in early 2004 that mutual co-operation and cross-fertilisation between the various parts of the programme left room for improvement. The synergy realised in 2003 fell short of expectations. In the spring of 2004 an internal evaluation was prepared to analyse the main factors that prevented such synergy to happen. The outcome of this internal evaluation has been discussed in the half-year progress report. One of the decisions made during the evaluation was to prioritise the organisation of a joint partner seminar. This seminar aimed to: - bring together partners and related networks of the Dutch organisations and exchange views and experiences in order to better understand the concerns of small producers ref:ws358.tmp FG Page 39 of (64) - contribute to bridge the still wide gap between the Northern advocacy and policy work and the concerns of Southern producers both in the fair trade and regular food and handicraft sectors, discuss the economic literacy work on EPA’s, trade and investment amongst others by using materials prepared by partners increase common understanding as a basis for co-ordinated activities in the run up to Hong Kong strengthen the internal coherence of the SNF trade-programme. This joint partner seminar was organised by the bureau of the South-North Federation with the help of local consultants and took place from 8 to10 December 2004 in Nairobi, Kenya. Close to 40 East African partner-organisations from 5 African countries participated together with the 6 Dutch NGO’s. An East African contact group has been set up to share information on the civil society consultations that take place in East Africa and to prepare a common agenda in the run up to the WTO Hong Kong Ministerial in December 2005. It also helped the Dutch partners in the GTJ programme to understand better the possibilities, as well as the limitations, for close co-operation between the food and health, the market access and investment, and the fair trade chapters of the programme. 3.3.1. Inputs SNF Overall budget 2003-2006 (€) Budget-item Co-ordination Travel Research Seminars Advocacy Total SNF 80.000 12.000 12.000 68.000 68.000 240.000 Wemos 48.000 24.000 24.000 48.000 96.000 240.000 BothEnds 60.000 25.000 35.000 40.000 80.000 240.000 Somo 60.000 27.000 77.500 39.500 36.000 240.000 F.T.A. 20.000 24.000 36.000 88.000 72.000 240.000 DAWS 60.000 24.000 36.000 48.000 72.000 240.000 Total 328.000 136.000 220.500 331.500 424.000 1.440.000 The budget is used exclusively for the project “Globalising Trade Justice” (GTJ). This project has 4 general components, for all participating TMF organisations, as shown in the example of 2005 below. Overall proposed GTJ budget 2005 (€) Component Health and trade Market access and investment Fair trade General co-ordination – SNF Total Total 66.500 120.000 122.100 60.000 368.600 Activity inputs The financial inputs are used to finance the inputs needed for the activities and the co-ordination of these. The project activities form a wide spectrum of many seemingly small-scale activities. However, the preparation (e.g. making discussion papers) and giving active follow-up of these activities is comparable to the work of successful politicians: a lot of work to convince people about one single ref:ws358.tmp FG Page 40 of (64) position. In the annual reports the GTJ project looks very detailed and not very accessible. In practice the activities, also for an external evaluator, are impossible to classify or to summarise without becoming dull and dumb by abstracting from their content. The great variety of activities in the GTJ project can be illustrated as follows: - From local NGO’s participation in a national meeting to Southern NGO participation in an international conference (e.g. in Hong Kong), - From organising local gatherings to having a meeting to share information and work-plans with a Dutch Minister - From interviews with individual policy makers to organising public debates - From writing a ‘lobby letter’ to producing a ‘plan to be discussed’ in a parliament. - From ‘working contacts’ and ‘informing each other’ to giving ‘effective follow-up’ - From writing a meeting report to writing a brochure or manual of conduct (e.g. on lobby work or on the Internal Quality Control System (ICS)), - From Internet searches to contracting a research project to a Southern organisation. - From writing a ‘background paper’ to comprehensive research reports - From bilateral e-mails or phone calls to ‘dissemination to partners’ or ‘world-wide distribution’ of brochures The innumerable activities can be summarised as follows: - studies, campaigns, organisation of and/or participating in meetings, - partner conferences, - thematic seminars and workshops, - production of discussion papers and press releases, - facilitating the production and distribution of manuals, - training, - evaluation, - mutual exchange of experiences and “cross fertilisation” of ideas among partners, - facilitating (and sometimes (co-financing) Southern partners to participate in international gatherings, - consulting services of local consultants, - lobbying, networking and co-ordination work. 3.3.2. Outputs SNF In the GTJ project the outputs are in general the immediate outputs of the activities: research is successfully done, workshops are held with a certain number of participants etc. The annual reports show many figures of working papers and publications distributed and so forth. It looks impressive in quantity though so different in character that no clear overview can be abstracted i.e.: in a short table from the annual reports. The style of the narrative annual reports is rather detailed and the reports do not show clear quantitative data. However, the reports do give information and insight in outputs and outcomes in a qualitative and content-wise manner. The narrative style is illustrated by an example in the following quote from the annual report 2004. ref:ws358.tmp FG Page 41 of (64) Activity B. Strengthened capacity of Southern fair trade organisations (food and handicraft producers) in respect of advocacy, campaigning and identifying issues of importance to fair trade and fair trade producers in specific regions. Three workshops were held in the three regions: Africa, Asia and Latin-America. In 2003 a workshop was developed to train small-scale producers to advocate, lobby and campaign. This workshop was the base of the workshops in 2004. The number of participants ranged from 50 to 60 producer representatives from countries from the specific regions. The workshops led to the establishment of advocacy sections in the three regional networks. As a follow up in 2005 expert meetings of the three advocacy networks are foreseen. In 2004 there were already talks between DAWS and COFTA (Co-operation in Fair Trade Africa) and DAWS and the AFTF (Asian Fair Trade Forum) on strategies towards the future. This will lead to two expert meetings. The Latin-American region will organise the next IFAT bi-annual meeting. This gives the perfect opportunity to develop their advocacy strategy further. The logical frameworks for the 3 main components in this multi-actor project are presented in different ways and are not very consistent with each other. Only 1 out of the 3 logical frameworks is clearly distinguishing between outputs and outcomes. It has been impossible for the expert team to clearly distinguish the outputs and outcomes as presented by SNF. In spite of this lack of clarity at the overall level the expert team has not obtained the impression that the GTJ project is chaotic. There has been intensive mutual communication, planning and reaching common understanding. And all crucial activities are documented 10. At the component level, the content, the objectives and the logic of results and activities are consistent. The project has many faces operating in rather different professional and cultural worlds. Co-operation is rather more an objective than an asset in this project. It is the character of the content of this advocacy and networking project that makes it difficult to report concisely and clearly. The expert team has observed that the project implementers (both in the South and the North) do not show to be good management reporters. Information is provided mostly at the activity and output level and this is done in a rather chaotic way, while information on outcome and impact is scattered and not sufficiently addressed. In addition, DE has indicated that financial reporting of SNF has also not been up according to DDE’s standards. As the GTJ project is to a very high degree a networking project, ‘co-ordination’ cannot only be seen as operational project co-ordination/management, but the networking and co-ordination also constitute substantial activities within the project, both for the participating TMF organisations and for the SNF itself. This justifies the relatively large share in the budget for co-ordination activities. Specific outcomes of ‘co-ordination’ activities (being project components rather than project coordination) by SNF as a result of the SNF co-operation: - a multi-actor seminar was organised in Tigoni. - this multi-stakeholder workshop in Tigoni succeeded in rising awareness and efforts to further bridge all networks in fair trade in the broad sense (the workshop was attended by: 26 Kenyan, 4 Tanzanian, 1 South African, 1 Nigerian, 2 Ugandan and 4 Dutch NGO’s) - a well-structured start could be made in this mutual co-operation among very different NGO’s in the South, leading to the drafting of a constitution of a new Kenya Civil Society Alliance (KCSA). For the follow-up of this workshop, the Kenyan common ownership is challenged by the Dutch GTJ partners. In December 2004, immediately after the multi-stakeholder workshop in Tigoni, the KCSA network could not then yield sufficient support among the other CSO’s , although its constitution was drafted. The desire to organise the follow-up activities with GTJ assistance and ideas how to organise it, however, were clearly expressed in a group meeting assisted by the evaluators. This revitalised the Kenyan ownership, so crucial in the process, and this is and was intended to be supported further in the GTJ project. 10 Except one: the internal reflection sessions after major events in the South are done but not reported in a written form (see Table 2.3 and 3.3: Intervention chain TMF-South North Federation and partners in Kenya). ref:ws358.tmp FG Page 42 of (64) 3.3.3. Outcomes SNF The outcomes realised so far for each of the project components cannot be exhaustively presented here (we refer to Volume II of this report as well as to the narrative annual reports of SNF). Most expected outcomes have been identified by SNF during the planning stage and reporting documents contain information on the progress in reaching these expected outcomes. The main outcomes identified during the desk study have been verified in field interviews with internal and external stakeholders. The expert team summarises the following main outcomes: At the level of Southern partners 11: 1 - Component Fair Trade (DAWS & FTA) The creation COFTA network (Co-operation in Fair Trade Africa) arising directly from the workshops of the GTJ project (IFAT/KEFAT, Kenya – FTA/DAWS, NL). These workshops combine ICS quality efforts with mutual co-operation efforts in the network As a side-effect the ICS (Internal Control System for quality products) being mainstreamed in Undugu Society’s new strategy (Undugu, Kenya –FTA/DAWS, NL) Also IFAT is keen in using the experience of this project in improving the IFAT self-assessment system. Rather than small-scale producers and consumers only having made their voice and interests clearly heard in international NGO-networks and coalitions, they have been pro-active and have built ownership in the development of a sustainable worldwide co-ordination network. This is a network not only for advocacy, but rather a coalition for directly setting African and worldwide conditions for better trade and production. In this line the representative of the RNE in Nairobi stated: “the focus should be on improving investment climate in Kenya, which should entail improvement of services by government and willingness to constructively engage with private sector and civil society. This is in a nutshell the context under which GTJ project is operating in Kenya”. 2 - Component Market access and Investment (SOMO & BothENDS) The formation of the African Trade Network (ATN) emerging, among others, from GTJ initiatives and stimulation (Econews, Kenya – BothENDS, NL) As a result of the project the Kenyan NGO’s and the government being far ahead in information and preparation for WTO Hong Kong (Econews, Kenya -- SOMO, NL) The same holds for preparations for EPA’s negotiations for 2006 (Econews, Kenya – SOMO/BothENDS, NL) The first point is of long term importance in Africa, covering all trade conditions. The GTJ partners play a prominent role in network and competence building with ATN. The last 2 points show, rather than an ad hoc record of networking results, an approach being developed and adopted by the Southern NGO’s. They learned by doing how to be pro-active and influential in governmental positioning. The key elements of this success are, more than showing ‘economic literacy’ alone, showing evidence of a successful and sustainable approach based on: research producing convincing arguments, information and mutual backstopping in international NGO’s networks, acquiring pro-active positions in preparation committees and producing solid information for public awareness raising. Possibly as a result of Kenya having been so proactive in preparing for the WTO and EPA negotiation, in April 2006, a high level round table on trade and Millennium Development Goals (MDG) is scheduled to take place in Kenya. The Ministry of Foreign Affairs in The Hague, where various high level round tables with ministers are being organised, is handling issues of trade 11 The evaluators had to take a sample and were restricted to field research in Kenya only. ref:ws358.tmp FG Page 43 of (64) justice lobbying and advocacy and is aware of the results of the GTJ project and its networks being of potential use for the preparations in Kenya. 3 - Component Trade and health 2005 (Wemos and SOMO) The legally mandatory presence of consumers in all committees of the Bureau of Standardisation of products and services in Kenya (CIN, Kenya) is the outcome of recent 12 GoK recognition of CIN’s national competence. In Kenya, CIN has drafted and presented the Patients' Rights Charter to the Government. CIN Kenya has succeeded in introducing a chapter on consumer rights in the new draft constitution of Kenya, a unique phenomenon in Africa so far (it is all the more regrettable that, for other reasons, this draft constitution has been recently rejected by referendum) CIN having the presidency of the (governmental) subcommittee on consumer interests of the Kenyan National Committee for WTO (CIN Kenya) The tripartite partnership in consumer research & exchange (CIN, Kenya – Wemos, NL – AIS, Bolivia) is an effective model of operational South-North co-operation Both the Patient’s Rights Charter and the paragraph in the draft constitution of Kenya are ’tangible proposals’ that have been put on policy agendas and for which public acceptance has been raised to promote a better coherence between trade and human rights law. Also the committee presidency and the corresponding and visible Internet performance of the CIN president can be claimed as a prominent GTJ result. The key for this success is, as observed by the expert team during interviews, the professional confidence that CIN could build among the Kenyan government officials. This confidence was based on convincing evidence CIN could show on the basis of sound research and information from reputed international NGO’s and networks. The TMF project cannot claim this success alone. More donors are working with CIN. Before the start of the GTJ project CIN was mainly Nairobi based and mostly oriented towards local consumers. With respect to changes that have occurred over the year, CIN refers to a mind-shift from ‘street emotion oriented’ to ‘table dialogue oriented’. Without knowing the details of CIN before the starting date of the GTJ project, the expert team can confirm that in 2005 CIN is indeed ‘table dialogue oriented’. The expert team has also observed that CIN “with SOMO has acquired new competencies on trade and organising workshops. So now CIN has become more accommodative rather than combative.” The expert team is convinced that this result can be attributed in particular to the tripartite partnership. Of course this success ‘has many fathers’, but the expert team was able to observe that CIN, Wemos and AIS themselves were the main contributors to this success. 4 Component Co-ordination (SNF) The output from the strategic multi-stakeholder workshop in Tigoni, was among others the constitution of a Kenya Civil Society Alliance (network) as described in the previous chapter. This is an example of careful networking and exploring the potentials and experiencing the limits of ownership and mutual co-operation in which the GJT professionals show their specialised experience. Southern small-scale producers and consumers have found a way to make their voice and interests heard better and this sound can now be concerted in a national NGO-network and coalition. Yet this outcome is still to emerge. Also in Kenya it is extremely difficult to bring widely different professional worlds together. The actual outcome is that the discussion, not on the goals but rather on the modalities (and the role of personalities) appeared to be hot in the group meeting with the evaluators. However, the need for further efforts was clearly expressed. The evaluators recognise 12 GoK= Government of Kenya ref:ws358.tmp FG Page 44 of (64) the complexity of such a process and highly,appreciate, not only the effort, but also the positive energy created in Kenya to try further. The general landmarks of GTJ project outputs in Kenya seem to have been mainly around issues connected with preparation towards the WTO and EPA processes. In a number of cases EcoNews Africa or CIN hosted events and took the lead in shaping Kenya’s position. The expert team observed that in local and also international newspapers positive articles, sometimes on cover pages, the active role of the NGO’s concerned was honoured and/or the Kenyan performance in Hong Kong was recognised (e.g. see quote below). EU lauds Kenya's stance at next week's WTO talks 2005-12-09 03:14:53 NAIROBI, Dec. 9 (from www.chinaview.cn 2005-12-09 17:24:28) “The European Union (EU) has welcomed Kenya's compromise stance on expanding markets for developing countries and said it would increase aid to help Africa meet its prosperity goals… and:.. “it considered Hong Kong as an important milestone in the Doha Development Agenda (DDA). And that it expects the December 13-18 conference to lock in the progress made since the 2004 Framework Agreement and serve as a springboard for advance in 2006. The EU wants the United States and Canada to ensure all developed countries to provide duty free and quota free access to products from the Least Developed Countries, the statement said. The document, titled Kenya's Position Paper for the Hong Kong Ministerial Conference, urges the team to exercise the best negotiating skills to ensure that progress not only in agriculture, nonagricultural (NAMA) but also trade in services. On the tariff reduction formula, the country's position in agriculture is that the agreed formula should give developing countries the maximum flexibility to protect their products. Also national stakeholders and Kenyan newspapers witnessed that Kenya had been quite proactive in preparing for the WTO negotiations. The Ministries of Trade, Industry and Agriculture have taken an open door policy to invite the private sector and civil society in dialoguing and developing a Kenyan position in these negotiations. Various committees have been launched that have presence from all actors in society. A few examples that stakeholders commended on are: · Both EcoNews Africa and CIN are members on National WTO committees · Research publications were present and really welcomed · CIN’s director was a chairperson of the Non Agricultural Market Access (NAMA) sub-committee · EcoNews Africa managed to bring together the government and media on WTO information dissemination. · All the three GJT partners travelled and participated in Hong Kong WTO either as part of government delegation or part of CSO's. The Globalising Trade Justice project has featured prominently in this process through activities of research on pertinent trade related issues, workshop facilitation and funding to analyse and develop Kenya’s position. They also have supported dissemination of information and these endeavours have proven appropriate, professional and relevant and very much appreciated in the current thrust. It is the government’s view that in the case of WTO negotiations the private sector should have been the key player. However, in Kenya in the absence of effective representation of the private sector, the CSO have replaced the role and taken the lead, which is highly applauded. At the level of northern partners: All partners under co-ordination of SNF - The document “Op weg naar een duurzaam resultaat in Hong Kong” (the “ten points plan”) is an edition of the ‘coalitie voor eerlijke handel’. This large coalition of 20 Dutch NGO’s is co- ref:ws358.tmp FG Page 45 of (64) ordinated and facilitated by SNF, and this co-ordination was made possible by the GTJ project. This document combines the WTO-oriented positions, of a considerable number of NGO’s in the Netherlands each distinguishing one of the 7 main issues at stake in the WTO. This document has an explicitly declared value for the Dutch position, also in Brussels, as this was discussed in the Dutch parliament. On request of the parliament the minister of Economic Affairs has expressed her (positive) position regarding this ‘10 points plan’ in a common reaction with the Minister of Development Co-operation Considerable added value in this document was created among the Dutch project partners. A better co-ordination point than the SNF could not be found, taking into consideration the (contentwise) cohesion forged in the GTJ consortium, on the one hand, and the wide span of differences in interests and positions in the Dutch NGO-network, on the other. Specific for Fair Trade Assistance - As a side-effect, the Internal Control System, introduced in Fair Trade organisations, is being mainstreamed in the new strategy of the Fair Trade organisation in the Netherlands (FTA, NL) 3.3.4. Impact SNF The expected results of GTJ project have been formulated partly as potential impacts. The GTJ project operates at the level of international networks and advocacy. Within the GTJ project no clear indicators for impact have been formulated. The expert team recognises that in the case of advocacy efforts this is very difficult. The expert team has focused on aspects of the creation and strengthening of international networks and concrete worldwide recognition and/or adoption of advocacy proposals to approximate the issue of impact. The impact observed so far can be summarised as follows: the objectives of the GTJ project are already met and in most cases beyond expectation. This overall conclusion is strongly supported by the very evidence of the outcomes as such (real international networks created, political positions influenced etc.) and the evidence provided to evaluators about the relevance and preliminary impact of the project in Kenya. In the eyes of Kenyan stakeholders, the impact on Kenya’s performance at the Hong Kong ministerial conference in December 2005 has been impressive. Behind the scene in Nairobi the GJT project partners are highly rated, particularly in contributing actively to the building up of Kenya position towards the WTO and EPA negotiations. These contributions came from all GTJ partners involved at the different levels of the ‘building up of the Kenyan position’ and in the different stages, including the Hong Kong conference itself. Surely these results can not be claimed by the GTJ partners alone. SNF was the first to warn against such claims. The evaluators, however, also observed among the GTJ partners some degree of sub-cultural modesty. Of course the outcomes are the result of co-operation and a lot of others’ energy. Yet the evaluators conclude that the inputs (knowledge in particular) would have been less accessible for the Southern partners. The effects of international networking cannot be ignored. GTJ has connected a considerable number of network partners. Hence the outcomes would have been less likely yielded without the timely and competent inputs from the GTJ project. The GTJ project is still at its infancy stage in Kenya. Two years are too little to claim substantial impact. However, the project has come in timely with the trade justice issues. Kenya has excelled in its positioning towards WTO and EPA. The project can claim a good deal of this success. Not only the Kenyan position is influenced by the GTJ partners, but also in the Netherlands the GTJ partners have contributed significantly to the Dutch position in Hong Kong. This was clearly acknowledged by the Ministers of Economic Affairs and of International Co-operation in their appreciation letter formulated on explicit request of the Dutch parliament. ref:ws358.tmp FG Page 46 of (64) Obviously the approach built up by GTJ networking has been as effective as it can be (obviously with still limited effects on the outcomes of the WTO ministerial as such). The outcome was recognised by the EU delegation in Kenya. The expert team has identified some characteristics of the approach within the GTJ project that have led to this success. These can be summarised as follows: - negotiation arguments have been based on solid specialised research findings rather than on political opinions, both in the South and in the North - timely inputs (information, public awareness raising, publications, workshops, conferences) in the national building-up of positions - involvement in the GoK positioning process by participation in preparatory committees. - building of international networks, both world-wide and regional (African) networks and tripartite alliances among NGO’s - co-ordination at the national levels where possible, both in the North and in the South. ref:ws358.tmp FG Page 47 of (64) 3.4. Major Findings regarding the chain DGIS/DDE – TMF organisations – Local Partners DDE and TMF The general policy framework of TMF is not well linked with the major intervention levels of DDE. While the TMF framework identifies poverty reduction, civil society building and the influencing of the (inter)national policy environment, DDE identifies Business and Entrepreneurship Development, National Policy Environment and International Markets. DDE has developed its intervention levels and a set of criteria into a specific framework for the TMF Economic Development programme. In practice the interventions of TMF organisations funded under the TMF Economic Development Programme to some degree do not constitute a complete match with either of the two (as shown in paragraph 2.5). Due to the fact that the proposals of the TMF organisations are first assessed on quality and afterwards classified under the three intervention levels of DDE, they do not follow the same intervention logic as applied by DDE. The classification, therefore, is somewhat arbitrary. This lack of a good match does not allow for either a more instrumental approach of DDE or a two-way dialogue to link the interventions of the TMF organisations well with its own policy development. These characteristics cause a weakness in the chain of interventions between DGIS/DDE, the TMF organisations and the local partner organisations. Representativeness of TMF-organisations within the theme of Economic Development The three organisations, subject of this expert-study, were selected based upon various criteria (size, money spent and type of activities) so as to be representative for the theme of economic development and the three areas of interventions distinguished by DDE within this theme. The reality in the field revealed that the selected TMF organisations deploy a much wider range of activities to realise their own organisational missions than is recognised by DDE. The variety of activities is dictated both by the needs of the target groups and by the influence of other donors supporting projects implemented by the TMF organisations and their local partners. Therefore outputs, outcomes and impact obtained by these organisations cover a much wider area than purely economic development and these remain outside the scope of DDE. In some cases these outputs, outcomes and impact are also relevant to other themes in the TMF programme. Budgeting, planning and implementation of interventions in the chain The TMF-organisations and their local (partner) organisations have executed their programmes, according to the plans that have been submitted to TMF (DDE). In some cases, at the start and during implementation of the programmes the TMF-organisations have submitted new operational year plans and requested for some changes. DDE has (positively or negatively) responded to these requests and the TMF-organisations have consequently executed their programmes conforming to the indications and criteria of DDE. The expert-team has not found examples of gross deviations in implementation with plans and agreements with DDE. M&E and reporting Financial and narrative reporting between local (partner) organisations and the TMF organisations is frequent and generally of good quality. The reporting towards DDE in two cases has been considered sufficient by DDE, but in one case it was considered not to be according to minimal standards. M&E seem merely to serve reporting duties towards the donors rather than the internal need to learn. The importance of designing and using a systematic approach of M&E, which in the first place serves the organisation wide need to exchange experiences and learn, is acknowledged by the TMF organisations but often not duly prioritised. The reporting requirements from DDE have not been very clearly understood by the TMF organisations and have led to differences in mutual expectations. There has not been a clear consensus about reporting requirements and needs. This means that reports either contain too much detail or are too shallow to sustain the policy dialogue that has been formulated as a principle objective of the TMF programme. Mutual discontent was observed in this respect. ref:ws358.tmp FG Page 48 of (64) Other forms of monitoring and dialogue in the chain The TMF organisations highly value the concept of partnership and this results in intensive relations and contacts with local partners, through monitoring visits, capacity building missions, seminars and workshops. DDE is much less involved in these contact-moments, although occasionally a field-visit was conducted or DDE-staff participated in events organised by TMF organisations. ref:ws358.tmp FG Page 49 of (64) 4. Conclusions In this chapter the conclusions of this expert-study on TMF Economic Development are presented. These conclusions only refer to the level of TMF Economic Development as a whole and conclusions on TMF organisations and their local partners are aggregated to the general level. Specific conclusions on the TMF organisations and their local partners can be found in the individual reports on these organisations in Volume II of this expert-study. A word of caution is needed. The three TMF organisations are only partially representative for the whole spectrum of organisations funded by the TMF Economic Development programme. It is therefore difficult to relate specific findings and conclusions to the overall variety of interventions within the TMF Economic Development programme. In spite of this limitation the expert team has carefully attempted to formulate a set of conclusions that are more widely applicable at the level of the TMF Economic Development Programme and some of them might be even more widely applicable at the level of the overall TMF programme. These conclusions are formulated in a generic way and they cannot be extrapolated to other individual organisations funded in the programme without further investigation. In this chapter the expert team first presents some general conclusions on the positioning of the theme of Economic Development within the TMF programme and within the policy context of DGIS. The second paragraph presents conclusions systematically following the questions of the ToR for this expert-study (see annex 5). The third and final paragraph presents the conclusions on the linkages in the intervention chain (from DGIS/TMF, through TMF-organisations to local partners). 4.1. Policy context: positioning of Economic Development within TMF and DGIS 1. Throughout the report, the expert team has touched upon the tension between two main policy objectives of the TMF programme as a whole and the theme of Economic Development specifically. On one hand the TMF programme strives to enhance a two-way policy dialogue between DGIS and the TMF organisations. On the other the policy of DDE on sustainable economic development identifies three levels of intervention: International Markets (IM), the National Policy Environment (NP) and Business of Enterprise Development (BD). These three intervention levels have been included in the TMF Economic Development programme and proposals of civil society organisations have been supported at all three levels. However these intervention levels at the beginning of the TMF programme have not been developed to provide a coherent policy framework, but they have served more as organising principles for DDE to handle the different proposals within the TMF economic development programme. 2. Considering the rich variety of civil society organisations and their proposals to respective TMF thematic windows, it is difficult to identify the right Departments within DGIS (and also specific experts on themes within these departments) to handle proposals in the TMF programme. This conclusion is also likely to be relevant to the other thematic windows of the TMF programme. 3. The Classification of proposals in the TMF Economic Development programme according to the three levels of intervention of DDE (IM, NP and BD) has been confusing. Several proposals do not fully cover the intervention level under which they have been classified or in reality focus on another intervention level or cover several intervention levels. The expert team also identified cases where in reality the intervention of the TMF organisation was broader than only Economic Development and it partially overlapped with other themes in the TMF-programme. ref:ws358.tmp FG Page 50 of (64) 4. As a result of the above, part of the funding provided under the TMF Economic Development programme was not effectively monitored by DDE (although financial monitoring was done). 5. The decision making on awarding institutional or programmatic funding under the TMF Economic Development programme is not sufficiently transparent and no information could be made available on this aspect. However the modality of institutional funding within the TMF programme has been greatly appreciated by partners receiving it, because it allows them to develop their organisation free of pressure from specific donor agendas. 4.2. Conclusions on specific research questions in ToR Expert Study on TMF Economic Development General research questions A. To what extent are TMF organisations efficient and effective? 6. The TMF selection process and criteria focus on an assessment of organisational and institutional characteristics of the organisations applying for TMF funding. Efficiency and effectiveness are explicitly dealt with in applying these criteria. This assessment provides a better guarantee that programmes or institutional funding are embedded in a good track-record and sound organisational performance of these organisations, including efficiency and effectiveness. 7. TMF-organisations have developed effective interventions and means of support to local (partner) organisations. Most of the money is indeed spend on direct interventions and activities. Organisational costs are modest at around 10%-15% (which is sometimes partially funded out of other means than TMF). The expert team observed that results and outcomes of the three organisations have exceeded targets set in the original planning. 8. The interventions of TMF organisations are often focusing not only on the economic dimension of poverty but generally include one or more of the five dimensions of poverty as identified by OECD/DAC (economic, security/safety, human, social-cultural and political). Output and outcome is achieved at these levels. This justifies higher investments in target-groups and clients than would be the case if the intervention had been merely economic. The expert team has observed relative high investments in target groups but these have clearly resulted in broader outcomes and impact at the level of target-groups and their communities. 9. Within the scope of their programmes, TMF organisations and their local partners have been generally effective. Organisations that are working with direct interventions at the local level tend to focus interventions at the target-group and community level and the results are tangible and sustainable. However, effectiveness should also be seen on the longer-term at the level of national policy environment where TMF organisations act in the area of networking and advocacy. Actions at this level were often not planned systematically at the inception stage and therefore not funded in the framework of TMF. Organisations or networks that have been working in the area of International Markets show medium term outcome and impact (e.g. by creating professional trade networks) at the national and international policy level, but is difficult to assess this impact within the short period under consideration in this expert study. ref:ws358.tmp FG Page 51 of (64) B. To what extent are their activities (or 'interventions’) relevant and sustainable? 10. The interventions of TMF organisations in the area of economic development interventions are generally focussing on different dimensions of poverty, which are often not comprehensively covered by more strict economic interventions and by economic development policies in developing countries. As such their actions are complementary to interventions of DGIS/DDE (through multilateral or bilateral channels). This is particularly relevant in the case of the theme of economic development, in which the TMF support to civil society enriches approaches and coverage of target-groups and it enables a focus on the poorer population in developing countries. 11. The interventions of TMF organisations in the area of economic development are innovative in approaches, methods and results. Examples of this are technological innovation in agricultural development, curriculum development in Technical and Vocational training and in creating new quality control systems, as observed in field studies of this expert-study. 12. Interventions of TMF organisations and their local (partner)organisations are often based upon long-term experience and relations with target-groups and therefore can embed their interventions in local communities and address the needs of local target-groups and stakeholders, particularly in the poorer segments of society. 13. Small and specialised TMF organisations have proven to be competent to operate in professional international networks by focusing on one or a few specific issues that are addressed in global advocacy. 14. The expert team has observed that for some civil society organisations the engagement in economic and business development provides a challenge to combine value-systems and methodologies of the civil society with value-systems of economic development actors (e.g. NGO’s acting as sales agents for agricultural inputs). This is a threat to the economic sustainability of economic interventions and it limits the impact on further growth and development of micro, small and medium enterprises. Expertise and particular approaches on economic sustainability are still underdeveloped in some civil society organisations. Networking and exchange of experiences and expertise is often limited to the community of like-wise organisations within the civil society. Knowledge of specialised private sector development organisations and possibilities for co-operation with these organisations could be more systematically explored. 15. Financial and economic sustainability is a challenge to many TMF organisations. Many programmes depend on external donations and there are no clear strategies to improve local economic sustainability of interventions, although specific elements are explored, particularly in the area of provision of micro-finance to MSME’s. Under the TMF programme several specific 13 programmes on (micro) finance are funded . These programmes are implemented by specialised financial institutions also involving the private banking sector. The economic and financial sustainability is strongly enhanced by the participation of these organisations in the interventions. 16. The issue of financial and economic sustainability of networking and advocacy activities of some TMF organisations and their partners is entirely different. These organisations often have no own resources to build on and maintain networks for advocacy and these initiatives will likely to remain dependent on external funding. 17. In many cases, contacts of TMF partners with local government and ministries are limited. Although there is often appreciation for the work of these NGO’s, it is not usual that local governments are willing and able to provide local resources for those activities that will remain dependent on external funding (those activities in the social sectors). But these activities are 13 These organisations have not been subject to this expert-study ref:ws358.tmp FG Page 52 of (64) often crucial for the success of economic interventions. By way of example we can mention the fact that good education is the basis for preparing the new workforce, but the educational sector will remain dependent on external funding. Networking and advocacy towards local governments here is required but not yet sufficiently developed (as also observed above). C. What are the effects of interventions by or involving developing-world NGO’s that are partly financed by TMF organisations? 18. Parallel to the conclusions under effectiveness, this expert-study has been able to observe sustainable effects and impact at the level of concrete target-groups and their communities. Beneficiaries of local interventions have indicated positive changes in their economic situations and the quality of their life. Micro and small enterprises have been established and many of them now have access to micro-finance. However, impact is merely limited to the local level and to the smallest enterprises. It is difficult to assess possibilities for further consolidation and development of these smaller enterprises into stronger and larger-scale enterprises and the assessment of expert team is that this impact is likely to be limited as this aspect of further growth has often not been included in the planned interventions. Advocacy programmes are focusing on effects and impact at the level of national governments and international markets and these initiatives have been recognised and picked up at this level. 19. Policy-level changes at the level of national policy environment have occurred as a result of active participation of TMF organisations and partners in policy discussions at government level, but are generally scarce and related to specific and operational aspects of these policies. Within the policy framework of DDE it is clear that impact has been particularly achieved at the levels of Business Development (BD) and International Markets (IM). D. To what extent do TMF organisations have the capacity to learn? 20. Monitoring and Evaluation (M&E) is a general practice among TMF organisations and their local (partner) organisations and M&E information is exchanged between TMF organisations and partners. However, the expert team concludes that M&E is mainly used for accountability purposes and less so for organisational learning. M&E data mostly focus on monitoring of activities and direct results of interventions with a high frequency. However, a perspective to monitor and evaluate changes and impact over longer periods of time is not common. The exper team has encountered some examples of systematic measurement of satisfaction of target groups and beneficiaries, but again more use could be made of analysing these data over time. This limits capacity for organisational learning both at the level of TMF organisations and their partners to the operational level (single stroke learning). Double stroke learning (at the level of objectives and approaches) and triple stroke learning (at the level of mission and strategy) based upon M&E systems and data are again not common. In addition to M&E data TMF organisations and their partners do make use of seminars and workshops to discuss and evaluate objectives, approaches, mission and strategy and use the outcomes to actualise, adapt and improve their interventions. This enables a certain degree of double and triple stroke learning, but this could be strengthened by a more systematic use of M&E data, particularly over longer periods of time. 21. Systematising of lessons learned (especially at the effect and impact level) often has a lower priority than direct programme implementation. TMF organisations and their partners encounter budget limitations to strengthen these activities. Organisational learning is considered an organisational or administrative cost and the organisations can only invest a limited amount of funding for these costs and have to focus on maintaining their core-staff and administration. 22. A similar conclusion can be drawn for research, innovation and development. Not all TMF organisations and their local (partner) organisations have allocated budgets for these activities, because of the above mentioned budget restrictions. This results in an activist and pragmatic learning style of these organisations, based upon trials, successes and errors during the ref:ws358.tmp FG Page 53 of (64) implementation of programmes, although more investments in systematic research could improve success-rates of planned interventions. 23. The process of building stakeholder commitment in this expert-study and the double purpose of the evaluation of accountability and learning has contributed to a positive mind-set of TMF organisations and their partners to use the specific TMF-organisation reports (see volume II) for internal learning. The organisations subject to this expert-study are already feeding in conclusions and recommendations of both reports in the development and planning of new policies, strategies and interventions. 24. The TMF organisations and their local partners participate in networks to exchange experiences and have organised exchanges between different local branches or partners in different countries. This certainly is beneficial for organisational learning and the expert team has seen examples of this. However, networking between organisations that are involved in direct implementation of programmes for clients and target-groups is often limited to an environment that is already known to the organisation. It often does not include other stakeholders (government or private sector) nor does it tap in on specific relevant expertise of organisations that are outside the direct sphere of influence of these organisations, for example private sector organisations. This lack of cross-fertilisation limits possibilities for learning and innovation of approaches. 25. TMF organisations and their partners who are active in the field of international markets show a clearly different picture. In these programmes networking and exchange is core to the intervention in advocacy. These networks often include stakeholders of the public, private and civil sector and allow for cross-fertilisation. Study-Specific Questions Chart the sphere of activity of TMF organisations working in the field of sustainable economic development. 26. This question has already been addressed in paragraph 4.1. By way of summary the expert team characterises the sphere of activities of TMF organisations as very diverse. These organisations each have their own mandates. They also focus on activities not exactly corresponding with the acknowledged areas of intervention of the TMF economic development theme. Their interventions are often broader, covering different dimensions of poverty. The main area (level) covered by the TMF organisations is Business Development (BD). Some organisations also deal with International Markets (IM). The level of National Policy Environment is most weakly covered in practice. The main sector covered by the TMF organisations is agricultural development and also the sector of financial services (rural and urban) also receives significant attention. The TMF organisations subject to the field-study in this expert-study match with these general characteristics. They also represent the biggest amounts of funding from the TMF Economic Development programme. Therefore they can be considered good examples of the variety of activities in the TMF Economic Development programme. It is very well possible to generate more general findings and conclusion based upon the in-depth analysis of these three organisations. However representatives is also limited due to the fact that these organisations only cover the (bigger) first round of TMF and they have not been classified entirely correctly. How does the TMF policy framework influence the form and effects of activities in the field of sustainable economic development and what are the specific advantages and disadvantages of TMF’s theme-specific approach to sustainable economic development? 27. The policy framework of DDE for the TMF programme has not affected the form and effects of activities of the TMF organisations receiving funding from TMF as the framework was not used as a selection criterion for proposals. The quality of the organisations and the proposals has ref:ws358.tmp FG Page 54 of (64) been the guiding principles and there has no steering from DDE. The proposals, after approval, were classified according to the different intervention levels of DDE. It is here where some difficulties have arisen as proposals do not entirely match with these intervention levels and the classification by DDE does not always reflect the real characteristics of these proposals. 28. The theme specific approach of TMF has served to allocate the handling of different thematic proposals to the DGIS department and thematic officers, most adequately to provide follow-up to these proposals (with some exemptions of not correct classification). This, in principle, provides the best opportunity for a content-wise follow-up of proposals and a policy-dialogue between DGIS and the TMF organisations. However, in practice this principle has not worked out as such in the relationship between DDE and the TMF organisations. The policy dialogue has been mostly one-directional input provided by the DDE officers on reporting and the general course of the programmes of TMF organisations, and it has been focused merely on financial monitoring of proposals. While this in itself is useful, in practice it has not led to intensive policy dialogue between DDE and TMF organisations. The input of TMF organisations in policy development at DDE has been very limited to absent. A dilemma arises in combining two objectives of the TMF programme: on the one hand it strives to strengthen autonomy of TMF organisations and to enable a diversity of actions and on the other it strives for enhancing policy dialogue between DGIS and TMF organisations. This, in practice has proven to be difficult to consolidate and it has lead to the predominance of the first objective. Both DDE and the TMF organisations indicate that the lack of a content-wise and two-way policy dialogue is a weakness of the TMF policy framework. To what extent do TMF partners operating in the field of sustainable economic development help strengthen civil society in the developing world? 29. The TMF programme has enabled the TMF organisations to channel significant amounts of funding to local (partner) organisations in the developing world. These local (partner) organisations have been strengthened through this support and have benefited from capacity building (partially funded also by sources). At the next level in the intervention chain these local (partner) organisations have contributed to the consolidation of community organisations, other NGO’s and MSME’s. It is particularly in this area, where the TMF organisations and their local (partner) organisations have achieved major accomplishments. The aim of TMF is to give organisations more money with fewer conditions attached and with a longer-term (three to four-year) relationship. To what extent has this led to greater efficiency, effectiveness and professionalism among TMF organisations operating in the field of sustainable economic development? 30. The support provided by the TMF economic development programme has enabled TMF organisations and their local (partner) organisations to develop and start up comprehensive programmes and to work on organisational and institutional strengthening of their own organisations. The long-term support and the respect for autonomy of partners in the TMF programme has enabled the TMF organisations to flexibly distribute funds among countries, partners and activities and to engage in long-term relations. The effects on efficiency, effectiveness and professionalism of TMF organisations are clear, but it is likely that also without TMF-funding these criteria would have been met, because these organisations themselves institutionally focus on efficiency, effectiveness and professionalism. Most TMF organisations remained relatively independent from TMF-funding as they only account for a part of programme or organisational budgets. A major advantage of organisational core funding with limited conditions is that TMF organisations receiving this core funding can develop their vision and mission and act accordingly. It assures them of a certain autonomy vis-à-vis the donor world. They now make plans and implement them rather then following the wishes of specific donors with strong criteria to carry out their programmes according to their own standards and principles. Some programmes, particularly in the area of networks involved in advocacy are less influenced by the TMF conditions as the support is given to activities that are jointly managed by different organisations. The TMF support in these cases has relatively ref:ws358.tmp FG Page 55 of (64) limited effects on organisational strength and autonomy of the individual organisations involved in these activities. What are the main aspects of sustainable economic development in the selected region, and how have they changed in the past 5 to 10 years? 31. The expert-study has focused on the African continent. In this region many developments have occurred in the area of sustainable economic development and within the scope of this report it is not possible to provide a comprehensive overview. The expert team only highlights the following aspects: · Increased attention to (pro-poor) economic growth in the second generation of Poverty Reduction Strategic Papers (PRSPs); · Increased recognition of the importance of the private sector as a backbone for social economic development at the government level and in dialogue between local governments and international development partners. However, this recognition is clearly more limited at lower levels of the government hierarchy and in the operationalisation of general policy. In a significant number of countries the socialist heritage has created a mind-set that is not yet favourable for an enabling environment for the private sector; · Increased attention for sector-wide support and general budget support of international development partners. The gap between this sector-wide support and sector government policies and the civil society as well as the private sector, remains large in most countries and the existence of effective forums and form of co-operation with civil society organisations and the private sector is still extremely limited; · Many African countries still face enormous bottlenecks in economic development and growth rates are low. Sustainable economic development is a long-term challenge and it requires long-term support from the international development partners; · Increased co-ordination and co-operation of African countries in development communities such as SADEC and the East African Economic Community; · At the rural level it has been observed that control over resources, particularly water, in agriculture and access of smallholders to input, as well as output markets, and involvement in cash cropping, has improved in some countries. These are important preconditions for the success of economic interventions in the rural sector; · Capacity levels in public, private and civil organisations are still at a very low level and remain an important bottleneck for the successful implementation of projects, programmes and partnerships. The general education level as well as vocational training in many countries is improving but it is still significantly lagging behind international targets; · More private investments and activities of international corporate enterprises can be observed in many African countries as a result of liberalisation and privatisation processes. · International market chains are being built up, both at the national, the regional/African level as well as worldwide · Access to capital is gradually improving but it is still very limited, particularly in remote and rural areas. · Local consultants have emerged in Southern countries. Their market, however, is still largely dependent on foreign financed projects. To what extent do TMF activities tie in with these aspects, and to what extent have TMF organisations responded to developments in the field of sustainable economic development in the selected region? 32. The organisations funded by the TMF Economic Development programme have all developed interventions targeting in one, or a few, of the above mentioned developments. Particularly the sector of agricultural development and the provision of (micro) finance have received significant attention as many organisations have successfully submitted proposals to TMF in these areas. In addition, several programmes at the level of Business Development and International Markets are focussing on providing better market access and the development of value chain linkages at the local, regional, national and international level. These initiatives again are often ref:ws358.tmp FG Page 56 of (64) focusing on the agricultural sector. Other interventions cover specific areas such as the provision of technical and vocational training linked to the labour market. How do the activities and partner organisations of TMF organisations operating in the field of sustainable economic development and in the selected region differ from bilateral activities and partner organisations or activities and partner organisations connected to the co-financing organisations (MFOs) in the same field and in the same region? 33. In terms of typology of projects and programmes and approaches to sustainable economic development the interventions of TMF organisations do not differ much from activities financed by the MFO’s. They largely show the same diversity and cover the same range of sectors and local target-groups. A big difference, however, is that the TMF organisations are sometimes themselves operational in developing countries or they work closely with local partners, while the MFO’s are mostly limiting their support to financing of independent and autonomous local partners. The TMF organisations form partnerships with local partners in which shared responsibility is taken for project implementation, particularly in the initial stages, and in the cases of international networks this concept of partnership is core to the intervention. This methodology can be complementary to the approach of MFO’s in the case that MFO’s could work more with stronger and more developed local partners, while the support of TMF organisations could benefit the weaker and more recently established partners with capacity building through partnerships. However, it is not possible to assess if this possibility of complementarily is exploited in practice. In practice the expert team has seen little or no coordination and co-operation between MFO’s and TMF organisations, particularly at the country level (in the Netherlands forms of co-operation and co-ordinations are explored both within the community of TMF organisations as well as with MFO’s). For the international TMF organisations relationships with the Netherlands, MFO’s are less obvious and these organisations often link up with other organisations. The expert team has not observed forms of co-operation and co-ordination between international TMF organisations and Netherlands TMF and FMO organisations. Was there co-ordination with MFO’s and embassies and, if so, did it lead to changes in the activities and partner organisations of the TMF organisations, MFO’s or embassies? 34. The TMF organisations have only limited contacts with the Netherlands Embassies in the Southern countries and the expert team has not encountered systematic forms of co-ordination and co-operation. Only occasional contacts occur, often at the level of concrete issues. Neither from the embassies nor the TMF organisations is much effort made to invest more in these mutual relations. It is also not obvious what could be the benefits of this co-ordination and cooperation as the levels of bilateral and multilateral support channels in which the embassies are involved are very separated from the civil society channel. 35. The Netherlands embassies are only marginally aware of the specifics of the TMF programme, TMF organisations and their local partners. There is no systematic provision of information from DGIS to the embassies on programmes and organisations funded and there are also no specific requests made to the embassies to engage more actively in dialogue with TMF organisations and their local partners. The embassies indicate that they are in need of more information and they express the desire for increased contacts with TMF and MFO organisations (the latter often do have systematic contacts with the embassies). This interest, however, is mainly focused on co-ordination and information sharing on Netherlands involvement in developing countries, but not to engage in policy dialogue or forms of cooperation. Following on from the previous question, to what extent is there (a) duplication of activities, (b) parallel activities, and (c) synergy? 36. MFO’s and TMF organisations implement their programmes with specific partners who are targeting different target-groups and regions. The embassies focus on bilateral and multilateral ref:ws358.tmp FG Page 57 of (64) co-operation at the country level. Therefore the possibility of duplication is virtually nonexistent. Due to the lack of co-ordination and co-operation between MFO’s and TMF organisations there is, however, a serious risk of parallel activities and conflicting approaches and methodologies. This is particularly relevant to sustainability of economic interventions (such as Business Development Services and (micro) finance). The expert team has observed differences in approaches and not sufficient co-ordination on these areas between different organisations to arrive at more comprehensive and methodologically sound approaches. As a result of the above the expert team has to conclude that in the case of TMF Economic Development no synergy has been achieved between the different actors. It is obvious that there is potential for synergy, but this requires initiative to engage in dialogue and exchange. The expert team has not found reluctance among TMF organisations to engage in such a dialogue. The question here is who should take the initiative and this is not clear. Nobody in particularly is to blame for the lack of co-ordination and co-operation. When synergy is an important objective of the TMF programme (and this is not clear in the policy framework for economic development) criteria and targets need to be set. To what extent is gender structurally and systematically integrated into policy, policy implementation and monitoring of TMF organisations operating in the field of sustainable economic development? 37. Gender aspects are recognised in analysis, implementation and monitoring & evaluation of many TMF organisations and their local partners. However, gender mainstreaming has not yet taken place at a large scale. Women and girls constitute an important part of the target groups and the expert team has observed outcome and impact on these target groups. Some (elements of) programmes have had targeted interventions for women and girls, but no evidence of systematic integration of gender-aspects (gender mainstreaming) at the overall programmatic level has been found. To what extent do the activities of the TMF organisations contribute to the policy objectives of sustainable economic development? 38. Under the above headings, and also in paragraph 4.1., conclusions already have been presented in relation to this question. Summarising it can be concluded that at the implementation level the TMF organisations and their local (partner) organisations have particularly made a contribution to Business Development (BD) (sometimes linked with NP and IM through developing value chains and market linkages). Interventions in the area of International Markets have also contributed to the policy objectives, although a limited amount of activities have been funded under this level. The contributing influence to the National Policy Environment (NP) has clearly been the most limited. Some BD interventions also touch upon this level, but in a limited way. Some initiatives classified under NP, in reality, were more focused on BD, which furthers limits, the impact at this level. To what extent do the activities of the TMF organisations satisfy one or more of the four criteria mentioned in the policy framework? 39. DDE originally developed four criteria for the assessment of proposals in the TMF economic development programme. In practice the first two have been effective as selection criteria but the final two in a much more limited way. These final two criteria have been deleted in an updated version of the policy framework (which will also be applied for MFS), as these criteria are very ambitious for BD and NP interventions (although they remain valid for IM). 40. Analysing each of the four criteria the expert team comes to the following assessment: · Activities must act as catalysts, expanding the range of possibilities or the scope for support from third parties. This criterion has largely been satisfied as the TMF support is embedded in more comprehensive programmes of TMF organisations for which they also have acquired support ref:ws358.tmp FG Page 58 of (64) from third parties. Local partner organisations have also acquired additional support from third parties. · Activities must be innovative. Making use of lessons learned, they must contribute to the development of new insights, approaches, methods and methodologies, which, if successful, can be applied on a larger scale. In general the organisations researched show creativity and capacity for innovation. However, budget restrictions to allocate organisational efforts in organisational learning and in research and innovation limit the possibilities and scope for more comprehensive learning and development of new methodologies. The evaluation process in this expert-study in itself has also clearly shown a great interest and commitment of TMF organisations and their local partners to improve organisational learning. Several methodologies and approaches have proven to be successful and have been used for exchange between different organisations in different countries (mostly in TMF organisation related networks). As a result, methodologies and approaches have been replicated in other contexts and countries. In some cases methodologies and approaches have also influenced government institutions which have used these models as a reference for others. · Activities must help to influence policy with a view to improving the national and international policy environment. This criterion in practice has not been relevant to the Business Development interventions and it has not been used as a selection criterion. Some impact has been achieved at this level, but only in a limited degree. The criterion is relevant to IM-activities and in that case the programmes have achieved outcomes and impact at this level. · Activities must have a cross-border effect. Also this criterion is mainly relevant to IM-activities and the programmes have achieved outcomes and impact at this level. At the other intervention levels (BD and NP) there has been an important cross-border effect through exchange of expertise and experiences between organisations in different countries. However, this cross-border effect has been limited to existing networks of like-wise organisations and little ’cross-border’ effects have occurred through exchange and co-operation with organisation in broader networks and other sectors (public and private). 4.3. Conclusions on linkages between levels in the intervention chain: DGIS/DDE (TMF Economic Development)/TMF organisations/Local TMF partners 41. Activities, projects and programmes as originally proposed by TMF organisations and which have been funded by the TMF Economic Development programme, have to a large extend been realised according to plan in the developing countries. Outcomes in some cases have exceeded original targets in the planning. If during programme implementation significant changes in planning have taken place these have been discussed and approved by DDE. 42. The linkage between TMF organisations and their local (partner) organisations is clearly established through M&E systems and data. Local (partner) organisations frequently report on programme process to the TMF organisations. At the level of TMF organisations the information is aggregated on the overall programme level and it used for reporting to DDE. The flow of reporting is generally considered adequate by TMF organisations and their local partner organisations. The linkage in reporting between the TMF organisations and DGIS/DDE is less developed. Although reporting in general is considered adequate by DDE (although not always) there are differences in expectations on reporting at DDE and the TMF organisations. Sometimes this leads to frustrations among TMF organisations that spend a lot of effort in presenting detailed and comprehensive reports, while DDE only expects a concise report on main developments. On the other hand DDE is not always satisfied with reporting because sometimes information is too basic and shows little insight at the outcome and impact level. ref:ws358.tmp FG Page 59 of (64) These differences in expectations are partially caused by the lack of a reporting format for the TMF programme. More fundamentally, the TMF Economic Development programme has not yet struck a balance between two-way policy dialogue between DGIS/DDE and the TMF organisations on the one hand and the respect for autonomy and pluralism on the other. 43. Linking between TMF organisations and their local (partner) organisations is also established through regular monitoring visits, exchange visits and capacity building missions. These frequent visits allow for a good monitoring of the progress at the local level and at the same time constitute moments for mutual learning. The intensive contacts and exchanges are highly appreciated by partners at the local level and they enable a relation of real partnership. These moments and possibilities for exchange are much less frequent between DDE and the TMF organisations. Dialogue takes place on a twice-yearly basis and occasionally local partners and TMF organisations are visited by DDE officers. These moments are highly appreciated by TMF organisations, but overall dialogue is considered limited. 44. Many TMF organisations make limited use of M&E data for learning purposes, particularly at the longer-term and impact level. Learning at this level mainly takes place in events such as seminars, symposia and workshops. These events have a high impact on mutual learning between TMF organisations and partners. This expert-study, however, shows that TMF organisations and their partners welcome a broader and longer-term evaluation and all organisations have made use of insights, conclusions and recommendations of the specific organisation study, even during the process of realisation of this evaluation. DDE and particularly embassies at the country level are not very much involved in such learning events, although DDE-officers are occasionally invited to such meetings and sometimes they participate. 45. Financial monitoring and control is satisfactory at all levels in the chain. At the level of DGIS this is also the case, although at this level. lack or abundance of narrative reporting and linkages with financial reporting is not always considered sufficient. 46. Experiences of TMF-organisations and their partners are relevant for policy-development at DGIS and embassies, but because of lack of aggregation and systematisation of data, particularly at the impact level, limit the usefulness of these experiences for policy purposes. In general contacts between TMF organisations and DDE and particularly local embassies are not sufficiently established to enable TMF organisations to provide relevant policy inputs. ref:ws358.tmp FG Page 60 of (64) 5. Recommendations At the time of publication of this expert-study, the new MFS programme, which is replacing the TMF-programme, is already under implementation. The policy framework, selection procedures and criteria and formats for proposals of the new MFS programme are finalised for the first round of 2007-2010. This, unfortunately, means that recommendations of this expert-study at the policy level probably cannot be considered in the first round of the MFS. However, some recommendations might be followed up at later stages in the TMF programme. Other recommendations at the operational level or organisation-specific level, however, can be followed up at an earlier stage. The expert-team has chosen to present a limited set of recommendations in this chapter, which are valid at the overall level of the TMF-programme (and in the future the MFS-programme), the level of DGIS/DDE and the level of cross-organisational implementing TMF organisations and their local (partner) organisations. Parallel to the conclusions presented in chapter 4, TMF organisation specific recommendations are presented in the specific organisation reports in Volume II of this expert-study. 5.1. Policy recommendations TMF programme (and future MFS programme) 1. Within the framework of the TMF-programme (and the future MFS) reflection is needed on how to balance its two main policy objectives. The expert team identifies two basic options: A) Putting priority on a real and substantial policy dialogue between DGIS and the TMF/MFS organisations. This requires a more developed and more precise policy-framework of each directorate for the TMF/MFS programme and steering-mechanisms (e.g. defining budgets for specific themes or areas that are important to DGIS policy in the time frame of a selection and approval round) to ensure coverage of the priorities of DGIS by good quality proposals (this is particularly relevant now as in the new MFS the selection and assessment process has been outsourced); B) Putting priority on strengthening civil society organisations and contributing to pluriformity of approaches and interventions. In this case a significant number of TMF/MFS programmes is probably not very relevant to policy developments within DGIS, although some of them certainly will be. In this scenario policy-dialogue should be made more flexible and exercised only in those cases where it is possible and beneficial for both parties. In other cases the role of DGIS would have to be merely one of ensuring proper monitoring and control of the programmes of TMF/MFS-organisations. In these cases, where the role of DGIS would be merely managerial, this has to be specified to the TMF/MFS organisations involved to avoid different expectations and mutual frustration. 2. The experiences of TMF organisations with both institutional and programme funding of TMF (providing longer-term funding with fewer conditions attached) have been very positive. Investments in organisational capacity-building, HRM-development, research and innovation and advocacy need to be considered more explicitly in the MFS-policy framework to enable TMF organisations to achieve more impact. This requires corresponding budget-allocation in funding to TMF/MFS organisations. 3. Within the present set-up of the TMF-programme the expert team has concluded that coordination and co-operation between TMF and MFO organisations and Netherlands Embassies in developing countries has been extremely limited. More information-sharing is needed between DGIS and the RNE’s in developing countries on programmes and organisations ref:ws358.tmp FG Page 61 of (64) funded and more information-sharing is needed between local embassies and TMF/MFS organisations (and their local partners) to avoid duplication and parallel activities and methodologies. The criterion of synergy, however, is too ambitious and in many cases artificial and should only be applied in those cases where the actions of different TMF/MSF organisations are closely linked to other organisations and embassies. DGIS/DDE 4. The level of national policy environment needs to be strengthened to enable a better and more complete match between interventions of TMF organisations and DDE intervention strategies. It is recommended to re-introduce the assessment criterion that TMF interventions should contribute to influencing the national and international policy environment. Interventions of TMF/MFS organisations and their local (partner) organisations often cover different intervention levels (BO, NB and IM). Therefore, the three intervention levels should function less as a classification mechanism for proposals but more as a check to ensure that programmes of TMF/MFS organisations explicitly include interventions at all three levels. This is particularly relevant in the theme of economic development, where market-linkages and value-chains are established, which require measures at the level of the national enabling environment and access to international markets. 5. A similar recommendation can be made with respect to the criterion that activities must have a cross-border effect. This criterion is useful to ensure that local interventions (often BO) are linked to higher levels (NB and IM) and that TMF/MFS organisations continue to invest in networking and exchange of experiences between (partners) in different countries. TMF/MFS organisations (and their local partners) 6. TMF/MFS organisations need to make a clearer distinction between interventions on social aspects of economic development (NGO-activities) and on commercial aspects of economic development. These commercial activities (particularly BDS and micro-finance) should be organised separately in business units or enterprises, outsourced or conducted in co-operation with organisations specialised in commercial aspects of economic development. This requires expansion of relations outside existing networks of some TMF/MFS organisations to tap upon the right knowledge and expertise in business and entrepreneurship development. Options are: GTZ, SNV, UNIDO, IFC and others. 7. A challenge for TMF/MFS organisations is to increase the diversity of their funding bases. This is a crucial condition for ensuring their relative autonomy (and of their local partners). The MFS programme stipulates a minimum of 25% own income generation by MFS organisations. It is recommendable to TMF/MFS organisations to increase this percentage to even higher levels. In addition to this they need to enable and facilitate partners at the local level to gain access to a healthy variety of sources of funding. 8. Financial sustainability of social services linked to economic development (e.g. Education) needs to be increased through improved contacts and contracts with local sector-ministries and their subordinated institutions. More and better linkages have to be established with governments and sector-ministries at the national level. In this area Netherlands’ embassies and other international development partners can become more instrumental for TMF/MFS organisations and their local (partner) organisations. ref:ws358.tmp FG Page 62 of (64) 5.2. Operational recommendations TMF programme (and future MFS programme) 9. Criteria for institutional funding should be specified and communicated by DGIS. Organisations submitting proposals should receive proper feedback on decisions made by DGIS in order to be able to develop strategies that enable them, in a following round, to move from programme funding to institutional funding, if they wish to do so. 10. It is recommended that within the TMF/MFS programme criteria and requirements to the DGIS directorates are specified. This includes an assessment of the amount of time needed to handle a dossier. The number of proposals that can finally be approved in each round should be in line with this capacity to ensure proper monitoring and (if desired) policy-dialogue to avoid frustration of the different parties involved. DGIS/DDE 11. It is recommended to develop guidelines for financial and content-wise reporting (if not a format) that serve the needs and expectations of both parties involved in the relationship in order to avoid frustration by both parties. Due to the fact that the different themes in TMF/MFS are very diverse, these reporting requirements can best be established at the level of each directorate. General guidelines on financial and content-wise reporting in the TMF/MFS framework can help. 12. A provision within in TMF agreements and funding is needed to enable external evaluation on effects and impacts of interventions with regular intervals. If external evaluations can be conducted on experiences of different TMF organisations in a similar area and time-period these evaluations can also serve to strengthen inter-organisational learning. These measures will enable stronger and deeper organisational learning of all parties in the TMF/MFS programme and will improve insights at the level of DDE in longer-term developments in the TMF Economic Development programme. 13. Learning should also take place at the more profound levels of double and triple stroke learning at the inter-organisational level and between TMF organisations and DDE. In addition to M&E practices, this can be facilitated by DDE, through organising at regular intervals exchange meetings between TMF-organisations working on similar thematic issues or with similar methodologies. These exchange meetings should focus on longer-term lessons learned by all at the level of effects and impact of interventions. Thematic meetings on, for example, provision of micro-finance, value-chain development, policy-advocacy, are a possibility. TMF/MFS organisations (and their local partners) 14. Recommendation 12 is equally relevant to TMF/MFS organisations. The expert team recommends investing time and means in regular external evaluations of interventions of TMF organisations and their local partners (especially at the outcome and impact level), even when this is not required in the framework of TMF/MFS funding. 15. TMF/MFS-organisations need to invest time and budget in regular systematisation of experiences and to develop and implement a communication-strategy to enable replication of successful models by others and to provide advocacy input at the policy-level. 16. Organisational learning takes place, but can be strengthened. This requires allocation of time and budget to organise this learning, based upon sound data from internal M&E-systems and external evaluations. Learning needs to cover more the level of effects and impact, to feed into development and innovation of methodologies and approaches (double stroke learning) and actualisation and revision of mission and strategy (triple stroke learning). ref:ws358.tmp FG Page 63 of (64) 17. Methods and instruments for regular measurement of client- and target-group satisfaction should be developed to obtain more data on the quality of the services of the implementing organisations and changes in social-economic situation (impact). This will enable TMF/MFS organisations and their local partners to show not only claimed impact but also perceived impact by the relevant stakeholders. 18. Gender is poorly integrated in activities and strategy of many TMF/MFS organisations and their partners, as well as Environmental aspects. Gender and environment need to be mainstreamed in strategies and programme-plans should contain objectives, results and indicators that are gender-specific. ref:ws358.tmp FG Page 64 of (64) Annex 1: Documents and Web-sites consulted Documents General/TMF Economic Development - Thematische Medefinanciering, Een nieuw systeem van financiering van Nederlandse en internationale maatschappelijke organisaties actief op het terrein van internationale samenwerking, DGIS, 2002 Beleidskader Thematische Medefinanciering voor de subsidieperiode 2004-2007, DGIS, 2003 Externe toetsing thematische medefinanciering ronde 2003, Paul Engel & Bert van Putte, Maastricht, 2003 Selectie voor de onderwerpen ten behoeve van de deelstudie evaluatie TMF, Onderzoekssecretariaat Evaluatie TMF, 2005 Evaluatie TMF resultaat van de voorstudie, Onderzoekssecretariaat Evaluatie TMF, 2005 Kritische bevindingen bij de opzet van de evaluatie TMF, Stuurgroep TMF, 2005 Reactie op selectie onderwerpen en organisaties evaluatie TMF, stuurgroep TMF, 2005 “TMF in perspectief, eindverslag van een onderzoek naar de organisaties in de TMF rondes 2002 en 2003”, CIDIN, Nijmegen, april 2005 Externe evaluatie van de interne beoordeling van TMF aanvragen (rondes 2004 en 2005), MDF, 2005 Brochures (English and Dutch) Theme-Based Co-financing, DGIS (no date) Kanttekeningen bij de concept voortgangsrapportages evaluatie TMF, TMF Platform, 2005 Correspondence of TMF steering committee and research-secretariat with different expertteams of TMF evaluation, 2005 Beoordelingscriteria TMF, DGIS, (date unknown) Inception report TMF economic development expert study, MDF/CDP, June 2005 Learning processes in organisational change, MDF-syllabus, 2005 The Integrated Organisation Model, MDF-syllabus, 2005 Swieringa, J. & Wiersma, A., Becoming a Learning Organization, Wokingham: Addison-Wesley 1992 Alan Fowler, Striking a Balance, Earthscan, 1997 DGIS - In Business against Poverty, Dutch Policy Memorandum on Economy and Development, DGIS 1999 (2nd edition, 2001) Mutual Interests, Mutual Responsibilities - Dutch Development Co-operation en route to 2015, DGIS, 2003 Civil society en structurele armoedebestrijding, De rol van actoren uit het nederlands maatschappelijk middenveld”, 2001 (from http://www.minbuza.nl) “From the Hague to Kopenhagen”, Speech by Agnes van Ardenne at SNV conference: Mobilising Local Capacities for the Milliennium Development goals”, 28 September 2005 Mission report Dirk van Eijk to W&D and Hope Enterprises in Ethiopia, DGIS/DDE, 2003 Africa Memorandum, DGIS, date unknown. Development Co-oreration and Corporate Social Responsibility, DGIS, date unknown. Millennium Development Goal 8: Developing a Global Partnership for Development progress report, DGIS, 2004 Policy Framework for Strategic Alliances with International NGOs (SALIN) for 2006-2010, DGIS, 2005 Bedrijfsleveninstrumentarium, DGIS, date unknown. Beleidskader Medefinancieringsstelsel (MFS) 2007-2010, DGIS, 2005 ref:ws358.tmp FG Page 1 - Beschikking TMF DGIS/DDE and Woord en Daad, DGIS, 2002 Exchange of correspondence between DGIS/DDE and Woord en Daad on proposal, approval and progress reports, DGIS (several dates) Woord en Daad - Aanvraag Thematische Medefinanciering Woord en Daad, Woord en Daad, 2002 Policy Plans 2002-2006 and 2005-2008, Woord en Daad Operational Yearplans 2003, 2004 and 2005, Woord en Daad Jaarverslag 2004, Publieksversie, Woord en Daad, 2005 Annual reports 2003 and 2004, Woord en Daad Financial reports 2003 and 2004, Woord en Daad Quarterly reports 2003, 2004 and 2005, Woord en Daad Several quarterly Koersrapporten (to Management and Board of W&D), Woord en Daad Several mission reports of country and partner monitoring visits, Woord en Daad Financial and Narrative reporting formats (for partners), Woord en Daad (date unknown) Several examples of project agreements with partners, Woord en Daad (different dates) Vision Document Job & Business Centres, Working group JBC, Business Platform, Woord en Daad, 2005 Final Report Seminar Job & Income, Bridging education and employment, 25-28 April 2005, Woord en Daad 2005 Evaluation report Seminar Job & Income, Woord en Daad, 2005 Policy paper SME-development in the South, Woord en Daad, 2003 Procedure projectaanvraag aan Business Platform W&D, Woord en Daad (date unknown) Samen werken is samen strijden, een verkennende studie naar het business platform van Woord en Daad, CIDIN, 2004 Reglement Business Platform W&D, Woord en Daad, 2004 Business Development Woord en Daad, Financiering micro en MKB-bedrijven, Woord en Daad, 2005 Tevredenheid over Woord en Daad, een onderzoek onder particuliere begunstigers en financiële adoptanten, Natasja van der Laan & Elisabeth Duijser, NIPO, 2003 Exchange of correspondence between DGIS/DDE and Woord en Daad on proposal, approval and progress reports, Woord en Daad (several dates) Ethiopia/Hope Enterprises: - Annual reports 2003 and 2004, Hope Enterprises Financial reports 2003 and 2004, Hope Enterprises Quarterly and six-months progress reports, Hope Enterprises Manual of Procedures of Hope Enterprises for Policy, Management, Projects and Finance, Hope Enterprises, 2001 Hope Enterprises, Compilation of Audit Reports, From Year 1996-2004, September 2005 Guideline Manual of Program Implementation for establishing Small and Medium Enterprises, July 2005 Accounting & Book keeping Manual for Small and Medium Enterprises, Draft, July 2005 Hope Enterprises, Four Years Plan of Action (September 1, 2004 - August 31, 2008) (Submitted to: Woord & Daad). July, 2004 Organizational Analysis of HOPE Enterprises, Minas Hiruy, Ph. D., June 30, 2004, Addis Ababa, Ethiopia Remarks Hope Enterprises on draft report TMF economic development (part: Woord en Daad, Hope Enterprises and CREDO), October 13, 2005, Addis Ababa Christian Relief and Development Association, Annual report, CRDA, 2005 Dealing with Policy advocacy, a practical guide, CRDA, 2005 Information Package on NGO contributions, CRDA and Disaster prevention and Preparedness Commission, Addis Ababa, 2005 Education Sector Development Programme III 2005/2006-2010/2111, Ministry of Education, Addis Ababa, 2005 ref:ws358.tmp FG Page 2 ref:ws358.tmp FG Page 3 Burkina Faso/CREDO: - Annual reports 2003 and 2004, CREDO Financial reports 2003 and 2004, CREDO Quarterly and six-months progress reports, CREDO Rapport annuel d'activités 2004, synthèse, Christian Relief and Development Organization, CREDO, 2005 Rapport d'activités du premier semestre 2004, Christian Relief and Development Organization, CREDO, 2004 Programme d'Appui au Financement du Monde Rural - PA/FMR, Christian Relief and Development Organization, CREDO (no date) Audit organisationnel programme d'appui financier ONG CREDO, Corinne Riquet, Consultante indépendante en microfinance, 2004 Présentation de la politique sectorielle en matière de promotion de la femme à l'occasion des 'journées de programmation des ONG' organisées par le MEDEV, Ministère de la Promotion de la Femme, Ouagadougou, 2005 Politique Nationale de promotion de la Femme, Ministère de la Promotion de la Femme, 2004 International Development Enterprises - - Bangladesh Treadle Pump Evaluation (Draft report on MAT Impact & MAT VI Evaluation) IDE International Board Meeting Country Program Reports October 2004-March 2005 2003 Progress Report and 2004 Year Plan Submitted to the Ministry of Foreign Affairs, The Netherlands November 21, 2003, April 30, 2004, April 30, 2005 Strategy and Work Plan for the Task Unit on Impact Assessment and Organizational Learning, 28 January 2004, Michael Roberts End of Program Evaluation Grant Period: October 1, 2001 – September 30, 2004. Prepared for: International Development Enterprises & USAID/DCHA/PVC/MGD, Office of Private and Voluntary Cooperation A Model for Pro-Poor Wealth Creation through Small-Plot Irrigation and Integrated Service Provision Paper for presentation at: IWMI Regional Workshop and Policy Roundtable on “ProPoor Intervention Strategies in Irrigated Agriculture in Asia.” 25-27 August, 2004 Colombo, Sri Lanka, IDE International Presenter: Michael Roberts Authors: John Magistro, Michael Roberts, Steve Haggblade, Fritz Kramer, Paul Polak, Elizabeth Weight, Robert Yoder Rural Wealth Creation: A Strategic Plan to Guide the Organization. 2005 through 2014, DRAFT November 2004 Report on the Development of a Strategy for Smallholder Market Integration in Africa, submitted to the International Development research Centre A Revolution in Agriculture for One-Acre Farms by: Paul Polak A Revolution in Markets Creating New Markets that Serve Poor Customers by Paul Polak Capacity Building to Achieve Sustainable Water Technology Markets in Africa and Asia, End of Program Evaluation Grant Period: October 1, 2001 – September 30, 2004 by: Mary E. Morgan. February 2005. Creating New Markets For The Poor With Micro Irrigation Technologies In Maharashtra, India. Final report. November 22, 2004 2003/2004/2005 Progress Reports and 2004/2005/2006 Year Plans. Submitted tp the Ministry of Foreign Affairs, The Netherlands. Strategy and Work Plan for the Task Unit on Impact Assessment and Organizational Learning. th 28 January 222004 by: Michael Roberts GUIDELINES for Developing and Implementing Poverty Reduction through Irrigation and Smallholder Markets (PRISM) Programs. IDE, June 2005. Operational Plan (draft) For discussion with the board of directors, In the context of a fundamental discussion on IDE mission, strategies, and operational plan visá vis IDE’s organization and access to financial resources. 10 May 2005 National Irrigation Plan (NIP) Government of Zambia, Ministry of Agriculture and Cooperatives, Irrigation Engineering Section technical Services Branch. Lusaka 10th of May 2005. ref:ws358.tmp FG Page 4 South North Federation From archives DDE: - - E-mails between DDE and SNF Application for thematic co-financing 30 July 2002 with project document of GTJ project Appraisal Memorandum concerning the application for GJT project (with narrative summary and with “Bijlage: Concept elementen Jaarplan en Jaarverslag” SNF document with instructions to GTJ project partners “Standaardisering in de verslaglegging van het WTO-TMF project. Letters between DDE and SNF, 2002, concerning the application in 2002 Letters between DDE and SNF, 2003, concerning periodical reporting 2003 Letter from DDE to SNF, 06-06-2003, concerning reporting methodology and discussion paper about quality system (“Kwaliteitssysteem: een denk- en discussiestuk”) and about monitoring and reporting (“VBTB -Van Borrelpraat Tot Beleidsdialoog”). On this basis a meeting was organised with a number of TMF organisations: the monitoring system was discussed but not/hardly concluded. Letters between DDE and SNF, 2004, concerning questions about annual report 2003 Annual plan 2004, d.d. December 2003 Annual Report jan-dec. 2004, d.d. 7 March 2005, with annexes: financial reports 2004 and annual plan and budget 2005 Letters between DDE and SNF, period Dec. 2004-May 2005, concerning questions about annual report 2004 and plan 2005, with reminders of reporting obligations Internal monitoring sheets DDE Accountant report 2004 Internal GTJ documents - Notitie t.b.v. overleg directeuren van de partners in ZNF-TMF project Globalising Trade Justice, april 2004 Interne Evaluatie TMF programma Globalising Trade Justice, mei 2004 Programme for SNF 2003-2006, ch. 2.2, containing background ideas for GTJ project. Investeren in samenwerking, maart 2005, Mandaat en verantwoording over de werkwijze van de commissie in 2004, Federatieraad ZNF inzake concept beleidsnotitie 2004 Wemos Health and trade Team, Activities Plan 2005 Documents obtained in Kenya - Cotonou agreement for Fair Trade producers, draft proceedings of Seminar of the Kenyan Federation of Alternative Trade (KEFAT), 24-25 Nov.2003 Internal Control Workshop report, June 2004, Uganda, Fair Trade Assistance (FTA) and Dutch Association of World Shops (DAWS) Health, Food and Trade Programme, Work Plan for 2005, Consumer Information Network Second draft strategic plan 2006-2010, Undugu The constitution of the Kenya Civil Society Alliance, December 2004 Concerning project outcomes - Verslag van een algemeen overleg, Nr. 117, Tweede Kamer der Staten Generaal, vergaderjaar 2005-2006 Brief van de Minister voor Ontwikelingssamenwerking aan ZNF inzake (haar waardering voor) het Tien-puntenplan: “Op weg naar een duurzaam resultaat in Hong Kong”, d.d. 24 juni 2005 Letter to the Netherlands’ parliament from the Staatssecretaris van Economische Zaken with her reactions on the 10 points of “Op weg naar een duurzaam resultaat in Hong Kong”, d.d. 7 July 2005 ref:ws358.tmp FG Page 5 - “Op weg naar een duurzaam resultaat in Hong Kong”, edition of the Coalitie voor Eerlijke handel, an ad hoc coalition of 20 CSO’s14 who share all the 10 points, Folder edited by ZNF, 20 May 2005, 23 p. Narrative Reports 2004, studies, ILRIG-SOMO News paper articles observed in Kenya 14 ABVA KABO FNV, Both Ends, Fair Trade Organisatie, Hivos, ICCO, In stitute for Environmental Security (IES), IUCN-NL, Kerkinactie, Landelijke Vereniging van Wereldwinkels, Vereniging Milieudefensie, Stichting Natuur en Milieu, Platform Aarde, Boer en Consument, Novib/Oxfam Nederland, Stichting Onderzoek Multinationale Ondernemingen (SOMO), Oikos, Transnational Institute (TNI), XminY Solidariteitsfonds, Wemos, en de Zuid-Noord Federatie. Websites Consulted: www.minbuza.nl www.woordendaad.nl www.bothends.nl www.somo.nl www.fairtrade.nl www.wereldwinkels.nl www.wemos.nl ref:ws358.tmp FG Page 6 Annex 2: Interviews DGIS - Dieke Buys, Head, NGO Division. DGIS-DDE - Lex van der Burg Dirk van Eijk Floris Blankenberg (telefonisch) Jan Vlaar (telefonisch) Jan Maas, Policy advisor Sustainable Economic Development Others: - Han Baartmans, Manager Shared Services unit, SNV Woord en Daad In the Netherlands: - Jan Lock, Director W&D - Dicky Nieuwenhuis, W&D - Leen Stok, W&D - Ditteke Hartog Geluk, W&D - Jos de Kock, W&D - Luuk van Schothorst, W&D - Wim Hasselman, W&D - Mr. Bezemer, Director Rabobank Alblasserwaard (member of W&D business platform) - Mr. Eikelboom, Director Kiviet (member of W&D business platform) - Hans Heijstek, Business Advisor, W&D (volunteer) - Oikokrediet, Ben Simmes, Director - ZOA, Zeger de Haan, Director - Tear Fund, Marnix Niemeijer, Director st In Ethiopia 1 visit (September 2005): - Dr. Minas Hiruy, President Hope Enterprises - Zenebe Ayele, Executive Director Hope Enterprises - Benyam, Director of Projects, Hope Enterprises - Temesge Tamere, Director of Finance, Hope Enterprises - Mathewos Lendido, Business development Manager, Hope Enterprises - Abraham Sahilu, Job Placement Manager, Hope Enterprises - 5 Board-members (incl. Chairperson), Hope Enterprises - Solomon Tesfaye, Branch Manager Addis Ababa, Hope Enterprises - Ayalew Tesfaye, Financial Manager Dessie Branch, Hope Enterprises - Mesfin Asfere, Head Disaster Prevention and Preparedness Bureau, Dessie - Goraye Yirad, Head Education Bureau, Dessie - Hussien Mohammed Yimam, Head Labour and Social Affairs Bureau, Dessie - Said Hussein, Vice administrator Tehuledere District, Dessie region - Haile Miteka, Administrator Kabele 20, Dessie - 3 House-visits to beneficiaries “ladders of Hope”, Dessie - 1 farmer-group and 4 farmers, beneficiaries of Emergency Support Hope, Dessie - 1 visit to beneficiary of job-placement, Dessie - Visit to Cafeteria (MSME): 4 beneficiaries, Dessie - Meeting with staff Hope Enterprises, Dessie Branch: 37 persons ref:ws358.tmp FG Page 7 - Michael Teweldeberham, Team Leader General Education, Eduation Bureau Kolfe Keranio sub-city, Addis Dereje Bezabeh, Head NGO-unit, Social and Civil Affairs Bureau, Addis 4 House-visits to beneficiaries “ladders of Hope”, Addis Visits to Ceramics and Electricity MSME’s: 8 and 5 beneficiaries 1 visit to beneficiary of job-placement, Addis Meeting with staff Hope Enterprises, Addis Branch, 50 persons Visit to feeding centre, Addis Jurgen, PSD senior specialist, SNV Ethiopia In Ethiopia 2st visit (January 2005): - Meeting with Management team Hope Enterprises - Negatwa Telclehaimanot, TVET Quality Assurance Department Head, Federal Ministry of Education - Rem Neefjes (portfolio co-ordfinator) and Jurgen ?(PSD senior advisor) SNV Ethiopia - Zenebe Ayele, Executive Director Hope Enterprises - Antoinette Gosses (Head of Development Co-operation) and Mieke Vogels (Education thematic specialist), RNE, Ethiopia - Abeje Toffera, Civil Society Co-ordinator, CDRA, Addis Ababa - Mr. Girima, Co-ordinator Nordic and Eastern European donor relations, Ministry of Finance and Economic Development - Dr. Minas Hiruy, President Hope Enterprises - Kedir Ali, Programme officer Education, Childrens’ participation and Gender, Save the Children Sweden, Addis Ababa, Ethiopia - Tesfay Yeshanew, Dean Addis Ababa Tagbar Areed TVET college - Ato Yared Fekade, Project Officer Private Sector Development, GTZ, Addis Ababa, Ethiopia - Ababa Hagos, Head Department of Formal TVET, Regional level Minsitry of Education, Addis Ababa - Dr. Shagar, Dean SELAM (TVET college), Addis Ababa - Dr. Augustine Agu, Section Chief Education, UNICEF, Ethiopa - Debriefing Meeting with Senior Management of Hope Enterprises, Addis Ababa In Burkina Faso: - Mr. Moïse Napon, Secretary General, CREDO, Ouagadougou Mr. Assagwe Gaston, coordinator of the programme PAF (Micro Credit), CREDO, Ouagadougou Parré Paul Sylvain, Direction des Opérations, CREDO Patrice S.Syan, director, Direction Suivi des ONG, Ouagadougou Reinette van der Waals, Head of Development Cooperation, RNE Ouagadougou M. Zougrana, Ministère de l’action sociale et solidarité national Project/site visits and interviews : - Programme Développement Intégré de Sissili (PDIS) - Projet Genre et Développement - Guichet crédit - Centre de Formation Professionnelle Agricole - Projet Gestion des Ressources Naturelles - Santé Communautaire/Centre Récupération Enfants Mal nourries (CREN) International Development Enterprises: Denver (USA): Still to be provided Zambia: · Frank Dixhoorn, Country Director IDE Zambia ref:ws358.tmp FG Page 8 · · · · · · · · · · · · · · · · · · · · · · · IDE staff in the Lusaka office: Larry Rudgers, Peter Elkind, Peter Manda, Kenneth Chelemu Visit to Duram manufacturer: mr Patel Director Field Visit to Katuba Coop: John Mbawe, Chairperson 3 farm visits Peter Manda, deputy chief USAID financed project “PROFIT” and Rob Munro chief of party HODI, NGO partner of IDE: Mrs. Chileshe Chilangwa – Collins Cheetah Zambia Ltd Paprika processing and exports company: Richard Both (Group Finance & Administration Manager Isaac Ntambo – M&E Coordinator Zambia Visit to 3 farms in Chongwe area Visit to Magoye farmers Mazabuka: 2 farmers groups and 3 individual farmers Ernest T.Kasula Prism Research co-ordinator (IDRC financed) Eng. George Phiri Project co-ordinater of Zambia-Af.D.B. SSIP in MACO Kabwe IDE Office:Bernard Sikatunga; supply Peter Tembo; Out/marketing Aggie Chiama, capacity building Africare, Kabwe: Mr Joseph Lunga Kabwe office Plan International, Alfred Mumbawa, programme unit manager Simbi Mechanical Services, KabweAdrone Banda, manager workshop Trevor Watson, Director Basildon Intern. Farmer group near Kabwe prison, Visit to one nearby farmer’s plot Tony’s Retail Shop in Kabwe: owner Ms Tony, sales agent Augustin Kandiki Visit to drip irrigation fields east of Lusaka. 2 emerging farmers Pamela Thole NGO – Capacity building ManageNGO sector PRISM Strengthening Programme (NGO-SPSP) Nederlandse ambassade. Marriët Schuurman, first secretary, Lusaka small manufacturer: Joshat Kafula South-North Federation The Netherlands - Marjoleine Motz, Fair Trade Assistance Erika Spil, Landelijke Vereniging Wereldwinkels Herman van Beek, consultant - lobby en advocacy-werk, Landelijke Vereniging Wereldwinkels Myriam van der Stichele, SOMO Stefan Verwer, BothENDS Ger Roebeling, project manager, Wemos Eric Oostrijk, director, ZNF First visit to Kenya (September 2005) - Samuel Ochieng, CIN John Kinuthia, CIN Ms Dorkas, CIN Fred Masinde, KEFAT/COFTA Bernard Outah, Undugu Mary Oyango, Independent Peter Wahome, Crafts of Africa Jared Ogonyo, Independent Mike Uchilwa, Independent Peter Aoga, Econews Karin Gregow, Econews Steve Auma, Human Rights Committee John Ochola, Independent ref:ws358.tmp FG Page 9 Second visit to Kenya - Peter Aoga, Programme Officer, EcoNews Africa Karin Gregow, EcoNews Africa Fredrick Masinde, General Manager, Undugu Society of Kenya Jared Ogonyo, Consultant, Initiative Consultants David Ongolo, National Programme Economist, Royal Netherlands Embassy Wilfred Thariki, Consultant, AMS ASTRADS Management Services John Kinuthia, Programme Co-ordinator, CIN Samuel Ochieng, Chief Executive Officer, CIN George Othiambo(Telephone interview), KENFAP Rebecca(Telephone interview, BEACON Francis Warni, Ministry of Trade & Industry, Trade & Poverty James Mwangi, WTO Co-ordinator, Ministry of Trade & Industry Charles Mbogorim EPA Co-ordinator, Ministry of Trade & Industry Jo Thomas, Country Programme Manager, Traid Craft Rob Donnelly, Head Of Africa Programmes, Traid Craft Ms Angela, ACTION AID ref:ws358.tmp FG Page 10 Annex 3: Approach and methodology (originally chapter 3 of inception report) The overall development objective of structural and sustainable poverty alleviation is inextricably linked with the development of civil society, whereby poverty is an outcome of economic, political and social processes that interact with each other in ways that can worsen or ease the deprivation in which poor people live. This inevitably leads to a greater concern for the quality of growth, propoor economic growth, and an increased concern for the institutions and structures of societies. In this respect, CDP and MDF consider that economic development should come about with the active participation of the poor, so that they can directly contribute to economic growth and also benefit from it. According to this view, referred to as pro-poor growth, economic development (growth) must be accompanied by sustainable job creation, health care and education, reforms in access to land and other factors of production, the promotion of social organisation, decent pay and an emphasis on the most vulnerable groups in society. Job creation by the private sector is generally seen as an important engine for economic development, but well-functioning public institutions are essential to ensure that the poor really profit from this. Striking a balance between interests of public, private and civil stakeholders is required to develop and implement pro-poor economic growth strategies. It is therefore important to develop policies that encourage the private sector to reach its potential and to strengthen civic society at the same time. Platforms are needed for (policy) dialogue and partnerships between public, private and civil stakeholders to jointly analyse common problems, identify possible solutions and jointly take responsibility for implementing actions to reach these solutions. CDP and MDF agree with the basic approaches within the TMF-programme that consist of “direct poverty alleviation”, “society building” and “influencing the policy environment”. This distinction is useful to target specific interventions to specific target groups and to link these interventions in a chain. These approaches are also relevant in the area of economic development, as interventions need to take place at all three levels. By way of example: - providing credit and tools to small agricultural producers to develop their enterprises at the level of direct poverty alleviation. - strengthening producers’ organisations to improve access to markets at the society building level; and - in creating an enabling environment for private sector development and pro-poor economic growth at the policy level; CDP and MDF consider the three categories in the economic development theme; Entrepreneurship and Business Development, National Policy Environment and International markets as complementary to the general approach in the TMF-programme. Entrepreneurship and Business Development largely take place at the level of direct poverty alleviation and society building (and it links the two). The national policy environment is relevant to the challenge of creating an enabling environment for both private sector developments as well as for strengthening civil society. The third category adds an international dimension to these challenges, which is particularly relevant in the context of economic development. Access to international markets and influencing conditions posed by international markets are extremely important aspects in pro-poor economic development in specific countries. The insertion of the main approaches/strategies of Economic Development within the overall TMF approach, according to CDP and MDF can be presented as follows: ref:ws358.tmp FG Page 11 Table 1: TMF and Economic Development Approaches TMF approaches Direct Poverty ED specific approaches Alleviation Entrepreneurship and business development XXX National Policy environment X International markets X Society Building XX XXX X Influencing policy environment X XXX XXX This matrix shows how specific interventions in Economic Development are related with the overall TMF approaches and the crosses in the boxes show the weight of the focus of these interventions. Based upon this vision and interpretation of the ToR, CDP and MDF have developed the following basic approaches to tackle all research questions of this expert study and to cover all the areas in this matrix. Basic Approaches, Models, Tools and Methodologies 1. The first approach is related with the challenge to assess the impact of the programmes, funded under the Economic Development component of TMF, on poverty reduction and propoor economic growth. CDP and MDF have chosen to work with an analytical framework that considers more than only the economic dimension of poverty reduction. In this respect, propoor economic development can only be evaluated in the broader context of all dimensions of poverty. We therefore propose to use the framework of “5 dimensions of poverty” developed by OECD/DAC15. This framework of dimensions of poverty becomes particularly important when dealing with general research question C and the specific questions 3, 5, 6 and 10. These questions refer to the effects and impact of TMF-organisations and their partners in developing countries on one or more of these dimensions in the framework. The OECD/DAC framework is presented below. Figure 1: Five dimensions of Poverty Protection Security Vulnerability Political Economic Consumption Income Property Gender Rights Influence Liberty Environment Human Health Education Alimentation 15 Socio-cultural Status Dignity DAC Guidelines on Poverty Reduction, OECD/DAC, 2000, ref:ws358.tmp FG Page 12 Using this framework enables us to take up issues of gender and sustainability from the very beginning. This framework will be used in the inception stage of the evaluation to arrive at a first approximation of indicators and criteria for evaluation for each of the five dimensions and for each of the organisations to be evaluated. During the desk-study these indicators and criteria for evaluation will be further refined. With this approach we can ensure that povertyreduction aspects can be looked at more clearly and explicitly within the Economic Development programmes. 2. As many research questions refer to organisational performance and institutional relations of TMF-partners and TMF-project partners in developing countries (general research questions A, B and C and specific questions 1, 4, 7, 8, 9 and 10), we propose to work with a basic model and approach to analyse organisational and institutional aspects of organisations. This model is developed by MDF as the Integrated Organisation Model (IOM). The figure below presents the IOM-model. Figure 2: Integrated Organisation Model F a c t o r s : e c o n o m ic , te c h n ic a l, p o litic a l, s o c io - c u lt u r a l in flu e n c e s In p u t S tru c tu r e S y s te m s M is s io n S t r a te g y O r g a n is a t io n M anagem ent S t y le C u ltu r e S ta ff O u tp u t A c to r s : s u p p lie r s , fin a n c ie r s , c o m p e t ito r s , p a r t n e r s , ta r g e t g r o u p s The IOM model permits us to look at aspects of performance of the organisations to be evaluated, especially efficiency, effectiveness and relevance. The model also permits to look at aspects of sustainability of the operations of these organisations (but not necessarily sustainability in the area of impact at the target-group level). During the inception stage specific criteria and indicators for performance and specific focusareas in the organisational and institutional analysis will be developed for each of the three organisations to be evaluated. Depending on the characteristics of the funding arrangement (institutional funding or funding of a specific programme) between TMF and the respective partners, the organisational and institutional analysis will have a different focus (considering the TMF-partners as a whole or only in relation with specific programmes funded by TMF). The IOM model also permits an analysis of external relations of co-ordination and co-operation with other relevant actors. The analysis will focus on the coherence of actions of different actors and stakeholders active in the same area of economic development in specific countries or regions (as is requested in specific questions number 1,7 and 9). Since strengthening civil society is a key-element in the TMF approach, MDF/CDP will pay special attention to the external environment and to relations between different actors in civil society. For this we will enrich the IOM with the analytical framework and concepts developed 16 by Fowler . Civil society will be analysed at two levels: 16 Striking a balance; Fowler, 1997 ref:ws358.tmp FG Page 13 a. Civil society level. Indicators will be developed to assess to which extend TMF partners have contributed to (aspects of) a strong and well-balanced civil society. These aspects (relevant to general research question C and specific questions 3, 6 and 11) will be analysed according a checklist that includes: - Appropriateness of legal frameworks - Strength of political relations, without giving in on independence - Cross-sector collaboration - Credibility of organisations within the wider public - Diversity of the sector - Co-operation between sectors (human rights, education, rural development) - Balance between the regions in a country - Involvement of target communities in planning and evaluation of programmes b. Features of effective partnership relations. For a well-developed civil society it is important that the relationships between partners are authentic (this refers to specific questions 3 and 7). To analyse the choice of partners of TMF organisations as well as the type of relations they are engaged in, we propose a scan of organisational features influencing authenticity of NGO-partnerships and relations. In practice this means an analysis of aspects such as: constituency, beliefs, values and culture, approach to gender, legitimacy and accountability. Autonomy of TMF-project partners NGOs is of special concern and the consortium will look at this specifically. Any relation is a trade off between loss of autonomy and benefits. Fowler provided the concepts to specify the benefits and costs and to see if there is a fair balance. The concepts will be applied for relations between TMF partners and TMF project partners as well as for relations of TMF project partner with other stakeholders. It will also be used to address some elements of specific question 4: does the provision of more money with fewer conditions have a positive impact on the performance of the TMF organisations in the field? At the same time we have to indicate that the present evaluation will not be able to provide detailed answers to all possible questions related to funding modalities of TMF. 3. A third approach is to look at the intervention logic of the different actors in the chain of TMF funding. The basic model used is the “inter-linked logical frameworks”. This model can be depicted as follows: Figure 3: Inter-linked Logical Frameworks T M F p ro g ra m m e T M F - p a rtn e rs T M F -p ro je c t p a rtn e r s in S o u th O v e r a ll O b je c t iv e s P ro g ra m m e P u rp o s e /s O v e ra ll O b je c tiv e s P ro g ra m m e R e s u lt s P ro je c t P u rp o s e O v e ra ll O b je c tiv e s P ro g ra m m e A c tiv itie s P r o je c t R e s u l t s S u b - p r o je c t P u rp o s e A c tivitie s S u b - p r o je c t R e s u lts A c tivitie s ref:ws358.tmp FG Page 14 In this expert study we will look at three actors/levels: TMF, the TMF-partners and the TMFproject partners in the developing countries. Through analysis of logical frameworks (or intervention strategies) at these different levels and linking them in a chain this study can tackle general research question C and the specific research questions 2, 11 and 12. These questions focus on how the policy framework of TMF is implemented at different levels in a chain of interventions. As the economic development theme within TMF emphasises national policy environments, a specific framework for assessment of the effectiveness of advocacy by TMF-partners and project-partners will be applied. We will look at five aspects: 1. credibility of the Civil/Private sector organisation 1. credibility of the agenda for advocacy 2. credibility of the packaging of the advocacy-message 3. Strength of Networking and coalition formations in advocacy 4. Appropriateness of advocacy tactics. These concepts are also derived from Fowler, 1997 (Striking a Balance). For each specific project/programme an appropriate set of indicators in which each of the five variables is represented, will be developed in the inception and desk-study phases. This advocacy framework is particularly relevant in analysing specific research questions 2,3 and 11. In addition to these basic approaches in this expert study, CDP and MDF propose three additional methodologies to ensure sufficient participation of stakeholders and exchange of opinions between these stakeholders in order to permit cross-checking of data in this evaluation. 4. As mentioned in the introduction to this chapter, CDP and MDF consider it important that in economic development different stakeholders in public, private and civil sectors are brought together in dialogue, co-operation and partnership processes. Different levels from the local to the international level are linked in chain and sector approaches to development (market linkages, value chain development, (sub)-sector development, institutional and sector analysis and planning processes). CDP and MDF have developed a rich experience in facilitating participatory and multi-stakeholder processes in analysis, planning and evaluation. We believe that particularly this economic development expert study calls for these participatory and multistakeholder workshops to ensure that all dimensions of poverty-reduction are sufficiently covered in this evaluation. We propose to use multi-stakeholder workshops both in the analysis phase as well as in the validation of earlier findings. In the analytical phase the preliminary findings of the evaluation team will be combined with the results of the SelfAssessments (see below). These workshops can be useful especially in answering general research questions B and C and specific questions 3 and 5 to 9. 5. Aspects of impact of economic development programmes on poverty-reduction can be partially measured through using SMART indicators and “hard” baseline data. The consortium will use all available quantitative information on results/outcomes and impact. The budget however does not allow us to collect sufficient data at target group level to come with ‘scientific prove’ of the effects at target groups level. We propose to use Self-Assessments by the TMF partners and TMF project partners to get a better insight in the impact as well as their understanding of impact. Since we believe that poverty-reduction has different dimensions, plays at different levels and is interpreted subjectively, these Self-Assessments will not be only quantitatively oriented. In the first field visits the results of the Self-Assessments will be analysed with the TMF project partners. In case more in-depth information is needed the MFD/CDP team will assist (train) the TMF partner to evaluate some aspects in more detail. Possible methods for this are: “Most Important Change” and “Outcome Mapping”; using these methods ensure a full participation of the target group. These can generate more interpretative information on impact and perceived changes in poverty reduction and economic development by the main targetgroups and stakeholders in these processes. These instruments (all and sometimes some of them) are particularly useful to respond general research question C and specific questions 3, 4, 5, 6, 8, 9 and 11. These instruments can be used in multi-stakeholder settings. ref:ws358.tmp FG Page 15 One of the aims of this expert study is to contribute to the learning capacity in the context of the TMF programme as a whole and of the individual TMF organisations in Economic Development more in particular (this aspect is also covered in the cross-cutting study on Monitoring and Evaluation). It is our understanding that enhancing this learning capacity should be based on lessons learnt in the past but at the same time it requires looking at the future and discussing ways to improve and innovate existing practices. In order to permit that learning can take place, systems for learning by the TMF-organisation are analysed (using the IOM, see above). Based upon existing practices for learning by the TMF-organisations, their partners and by TMF this evaluation will try to generate a basic agenda for further discussion on how to improve learning of all stakeholders involved at two levels: a) content, methodologies and practices generated by the projects and programmes; b) systems and methods in the organisations to permit learning and knowledge sharing. This part of the assignment will be closely co-ordinated with the ongoing TMF evaluation on M&E implemented by MDF/IAC. We will ensure that there is no duplication of efforts, but rather a more in-depth understanding of learning on economic development issues. 6. Our basic approach in analysing learning processes, uses the model of triple stroke learning processes. The model is presented below: Figure 4: Triple stroke learning Levels of organisational learning Principles Insights Rules Behaviour Results Single stroke: improvement Double stroke: innovation Triple stroke: development From: Swieringa and Wierdsma, "Op weg naar een lerende organisatie” This model will used to answer the general research question D of the TMF evaluation, but at the same time it will be used to present lessons learned in such a way they can be taken up by the TMF partners in changing future actions, systems, approaches and strategies. 7. A final important element in the CDP and MDF approach refers to the organisation and distribution of tasks and activities in this expert-study. CDP and MDF propose to work in an interdisciplinary team of mainly senior consultants. The team consists of Northern and Southern Consultants, bringing in different perspectives into this evaluation. Three core-team experts (project manager, deputy project manager and senior expert) from CDP and MDF will each co-ordinate one TMF-organisation/programme and will ensure that all activities in relation to this organisation/programme will be conducted in time and with sufficient quality. These experts together make sure the results of the three studies will be properly integrated in the interim and final reports of this evaluation. The three experts together cover all the aspects of the matrix of TMF and the Economic Development theme. A pool of senior experts from the African continent has been formed, which consists of five experts that together cover different areas of expertise and languages. Depending on the final selection of the TMF-organisations to be evaluated, three African experts will be selected to team up with the three core-team experts and the fieldwork will be carried out in pairs of a Northern and an African consultant. The African experts will be selected to cover possible ref:ws358.tmp FG Page 16 remaining gaps in expertise and language skills after the selections of the TMFpartners/programmes to be evaluated. If geographical conditions in relation to the field-visits permit, cost-effective meetings of the two or three teams of experts at the end of these visits (that will be conducted parallel to each other) and a joint meeting of all experts will be organised to elaborate the design and basic contents of the interim and final reports. The core-team experts will then further elaborate these reports in the Netherlands. These arrangements will enable a clear division in tasks and process-facilitation of each of the three organisations to be evaluated, but at the same time provides sufficient room to crosscheck findings within smaller teams and the whole team of experts. In the Netherlands in addition to these arrangements a junior expert is added to the team to develop, realise and analyse self-assessment forms that will be distributed amongst project-partners. The junior expert will also provide support in the editing of the interim and final reports of the expert study. Professional backstopping will be provided by a senior expert from CDP, who will be available for a limited amount of days, but during the whole period of the expert study. This expert will participate in validation workshops in the Netherlands. Finally, regional offices of CDP and MDF can provide logistical support for organisation of meetings and/or sending out Self-Assessments. These offices will be used to maximise the strength of the small teams in conducting the fieldwork. By way of summarising, the table below presents all (general and specific) research questions. All approaches, models, methodologies and tools mentioned under the seven points above, are now linked to these research questions. This table provides only a general overview. In some questions additional possible and specific instruments might be used that are not described in this proposal. Table 2: Combining the research-questions with the basic tools and instruments to support the answering of the research questions General Questions for all expert studies A. To what extent are TMF organisations efficient and effective? B. To what extent are their activities (or 'interventions’) relevant and sustainable? C. What are the effects of interventions by or involving developing-world NGOs that are partly financed by TMF organisations? D. To what extent do TMF organisations have the capacity to learn? ref:ws358.tmp FG Main tools/methodologies Integrated Organisation Model (2) Self Assessments (5) Integrated Organisation Model (2) Participatory multi-stakeholder workshops (4) Five dimensions of poverty (1) Checklist aspects Strength civil society (2) Inter-linked Logical Frameworks (3) Integrated Organisation Model (2) Triple stroke Learning model (6) Page 17 Specific Questions Expert Study 1. Chart sphere of activity of TMF organisations working in the field of sustainable economic development (in which extend are organisations representative for all organisations supported by the Dutch government within this topic) 2. How does TMF policy framework influence form and effects of activities in the field of sustainable economic development and what are the specific advantages and disadvantages of TMF’s theme-specific approach to sustainable economic development? 3. To what extent do TMF partners operating in sustainable economic development help strengthen civil society in the developing world? 4. TMF gives organisations more money with fewer conditions attached for longer-term. To what extent has this led to greater efficiency, effectiveness and professionalism among TMF organisations operating in the field of sustainable economic development? 5. What are main aspects of sustainable economic development in selected regions, and how have they changed in the past 5 to 10 years? 6. To what extent do TMF activities tie in with these aspects, and to what extent have TMF organisations responded to developments in the field of sustainable economic development in the selected region? 7. How do activities and partner organisations of TMF organisations operating in sustainable economic development and in selected regions differ from bilateral activities and partner organisations or activities and partner organisations connected to the co-financing organisations (MFOs) in the same field and in the same region 8. Was there co-ordination with MFOs and embassies and, if so, did it lead to changes in the activities and partner organisations of the TMF organisations, MFOs or embassies? 9. Following on from the previous question, to what extent is there (a) duplication of activities, (b) parallel activities, and (c) synergy? 10.To what extent is gender structurally and systematically integrated into policy, policy implementation and monitoring of TMF organisations operating in the field of sustainable economic development? 11.To what extent do the activities of the TMF organisations contribute to the policy objectives of sustainable economic development? 12.To what extent do the activities of the TMF organisations satisfy one or more of the four criteria mentioned in the policy framework? ref:ws358.tmp FG Main tools/methodologies Integrated Organisation Model (2) Coverage matrix Inter-linked Logical Frameworks (3) Checklist aspects Strength civil society (2) Features of effective partnership relations (2) Participatory multi-stakeholder workshops (4) Self-assessments (5) Integrated Organisation Model (2) Five dimensions of poverty (1) Most Significant Change method (5) Five dimensions of poverty (1) Self-assessments (5) Coverage matrix Integrated Organisation Model (2) Organisational Scan of NGOs (2) Participatory multi-stakeholder workshops (4) Coverage matrix Self Assessments (5) Integrated Organisation Model (2) Participatory multi-stakeholder workshops (4) Self-assessments (5) Participatory multi-stakeholder workshops (4) Coverage matrix Five dimensions of poverty (1) Integrated Organisation Model (2) Inter-linked Logical Frameworks (3) Framework assessment advocacy (3) Self-assessments (5) Inter-linked Logical Frameworks (3) Page 18 Annex 4: Tables with summaries of specific research findings and conclusions for the three TMF organisations of this expert-study 1. Research findings and conclusions on questions A-D of ToR Table 1.1: Woord en Daad, Hope Enterprises (Ethiopia) and CREDO (Burkina Faso) Aspect A. To what extent are TMF organisations efficient and effective? ref:ws358.tmp FG Local Partners - Organisations are geared towards efficient implementation of activities. Administration costs are below 10%. In some areas efficiency-focus limits capacity of partners to invest in product and service innovation and development, systematisation and publication of experiences, external communication and advocacy. (6.3, 6.4) - The local partners effectively identify and reach out to the poorest of the poor, including girls and women, although in some cases gender is not mainstreamed in programmes. CREDO has specific programmes for girls (6.3, 7, 9, annex 3) - Effectiveness in general education, vocational training and jobmediation is sufficient and results are exceeding planning (6.10, 6.11, 7.1, 7.2, 7.3) - Effectiveness in setting up MSME’s is limited due to lack of quality of support to MSMEs and limited capacity in local partners, which is also due to recent introduction of these activities (this observation does not apply for CREDO who is not active in this area) (6.12, 7.4, annex 3) - Micro-finance provision is lagging behind planning, due to limited number of MSME’s (CREDO has obtained more experience in this area) (6.12, 7.4, annex 4) - External communication, systematisation and publications on TMF Organisation - W&D is an efficient organisation, its structure is lean and administration costs are limited (6% in TMF-funding and approximately 12% overall, including costs of fund-raising and awareness raising in the Netherlands) (3, 4.1) - Approach on basic education and vocational training is very efficient and effective (a good routine has been built) but the approach on MSME’s seems to be too ambitious and optimistic in terms of growth potential of MSME’s in the South (2.3, 5.1) - W&D struggles in combining/separating business and charity, which particularly influences its MSME actions. It’s approach is too prescriptive and focussing on job-creation for the poor, which limits the effectiveness in setting up MSME’s in development countries (2.3, 5.1) - The efficient structure in the Netherlands is enabled by the fact that W&D has a limited number of partners and its approach is similar in the 20 countries where it works. This also poses a risk of dependency on this limited number of partners. W&D, therefore, has taken a decision to expand the number of partners. This will likely cause further investments in staff to maintain present quality levels (2.3, 4.1, 4.3) - W&D is efficient and effective in fundraising and awareness raising, providing a range of special and well targeted products and Page 19 B. To what extent are their activities (or 'interventions’) relevant and sustainable? - - - - - ref:ws358.tmp FG experiences are limited, which affects the effectiveness of replicating models (CREDO is recently working to improve this). (6.2, 8.2, 8.3, annex 4) Chain approach on target-groups is thematically focused, targeted to the poorest of the poor and well designed (especially the steps of basic needs, basic education and vocational training). This approach is focused on in-depth (multi-annual) support to individual beneficiaries (and in some degree their families) (6.2, 6.10, 7.1) Focus on education is relevant in a situation where net enrolment of children in basic education is close to 80% (this figure still needs to be checked) (6.1, 6.2) Job-mediation and MSME development are relevant, as follow up to previous interventions in the chain (ladders). Although these activities show perspective for financial sustainability, these are not sufficiently explored (6.11, 6.12, 7.3, 7.4) Prospects of the services in MSME-development attracts exgraduates and people already placed in jobs, which shows this option is relevant to them. However, results in practice are still limited and sustainability of the MSME’s is not strongly developed. (6.12, 7.4) Potential for cost recovery in employment mediation exist, but no strategy exists to realise this (6.11, 7.3) Job and Business Centre lacks strategy and capacity to effectively deal with MSME-incubation and development and its own sustainability (6.12, 7.4) The initial interventions in the chain approach (basic education, competency) cannot be financially sustainable because they are targeted at the poorest. Outside funding is needed on the longterm (6.1, 6.2, 7.1) Possibilities for ensuring local sustainability of education efforts of local partners by acquiring support from government or other institutional donors need to be explored. Also replication of models and approaches of local partners by other actors and funding agencies (including government) should be stimulated (7.1, 9) - - - - - - - services to its support base. It has achieved continuous growth in its support base, particularly under youth and business people (the business platform can be considered a great success) (2.1.) The direct interventions of W&D and its partners focusing on local economic development and poverty reduction include a more holistic approach to different dimensions of poverty. As such they are relevant and complementary to sector-wide and PRSP interventions of DGIS through the multi-lateral and bilateral channels (reaching out mainly to the national level and focusing more on economic development only) (2.2, 2.3, 8.1) Chain-approach on basic needs, basic education and vocational training is relevant in the countries covered by W&D, as many children especially from the poorest of the poor are not yet effectively enrolled in (government) education systems (2.2, 2.3) Job mediation and MSME development is a logical next step for the beneficiaries after graduation. Unemployment in development countries amongst youth is very high (in Ethiopia for example more than 50%), which justifies the double strategy on job-placement and job-creation through MSME develop- men t (2.3, 5.1) W&D approach on the Job & Business Centres contains a strategy towards financial sustainability of job-mediation and MSMEdevelopment. However, this approach is not always shared by its partners (2.3, 5.1) Hope Enterprises values highly its relation with W&D and it indicates it receives relevant and good quality support. The relationship is equal (more than is often the case with other donors) and W&D lets itself inspire by local partners (8.1, 8.2) W&D has a well diversified resource base and policies in place on diversification of this base which enables the organisation to engage in multi-annual relationships with its partners. The multiannual TMF-funding has further contributed to this (2.1, 3) Sponsorships are a strong instrument for fundraising in the Netherlands but this instrument is somewhat vulnerable (continuity of commitment of sponsors on the long term). W&D is presently exploring possibilities for other forms of more collective sponsorships (2.1) Page 20 C. What are the effects of interventions by or involving developingworld NGOs that are partly financed by TMF organisations? - - - - - - D. To what extent do TMF organisations have the capacity to learn? ref:ws358.tmp FG - - Several thousands of graduates and hundreds of ex-graduates (selected from the poorest of the poor) in Ethiopia and Burkina Faso (and probably several thousands world-wide) show increased confidence and self-esteem (7.1, 7.2, 7.3, 7.4) Several hundreds of ex-graduates (80% of total number) that have acquired jobs through mediation by local Job and Business Centres have acquired access to salary (and have had increases in salaries) (7.3) Ex-graduates in jobs or MSME’s indicate they are in their present situation able to financially help their families or households (7.4) Number of businesses that have been started up is still very limited and prospects of growth are few (this observation only is applicable to Hope Enterprises). CREDO has achieved effects in its rural development programmes that have led to increased agricultural production. (6.12, 7.4, annex 4) A significant number of graduates of schools of local partners score sufficiently high grades to proceed to further education (e.g. university preparatory colleges or government superior vocational training) (6.10, 7.1) Micro-finance has not yet taken off (only a few cases and only limited amounts), which indicates that MSME’s struggle with development and growth. CREDO’s experiences in micro-finance however are quite good and show recovery rates of 93%. (6.12, 7.4, annex 4) Successful Models and approaches in education and TVT have been developed and clearly recognised by the government. There has been limited effect on government policies and replication by others (6.10, 7.1) Profile of local partners in external communication, networking and advocacy is relatively low (6.2, 8.3) Strong focus on efficient and effective implementation limits attention to an investment in systematic learning. Learning mainly takes place at the activity and results level, less so at the impact level. Donors generally provide little funding for this type of activities (8.2, 9) Local partners have been effectively learning actively from The effects that are achieved by the partners of W&D are presented in the left column. In addition W&D achieves the following relevant effects: - Capacity-building amongst partner-organisations through technical support (staff-missions, PSO-missions and support of business platform in the Netherlands) as well a emergent activities for exchange between partner-organisations and W&D. This last activity is still recent but highly appreciated by partners (2.3, 8.1, 8.2) - Increased awareness among the Dutch public on development and poverty issues, through a range of specialised communication products. W&D effectively reaches out to youth and Medium and Small entrepreneurs in the Netherlands, which are target-groups that are generally difficult to reach (2.1, 2.2) - W&D has secured medium and long-term support of a group of 80 small and medium business people in the Netherlands. This support is providing funding to initiatives in the South but also the provision of technical expertise. Southern expertise can still be further tapped upon (2.1, 2.2, 8.3) - The strategy of MSME-development of W&D is geared towards growth and sustainability, but practices in development countries show that processes are slow and impact at the wider level is not a short term prospect (2.3, 5.1, 6) - - The systems for M&E are in place in W&D and the organisation has developed an excellent mechanism to synthesise monitoring finding in its quarterly track records. These records are shared with Management and Board to discuss progress in the programmes (4.2) Seminars with partners are a relatively new phenomenon, but it Page 21 - experience, but there is limited systematic learning. (8.2) Monitoring exists and is of good quality, but external evaluation with a longer-term and impact perspective which would enable systematic learning is not sufficiently done (6.6, 8.1, 8.2) Knowledge exchange with W&D network provides useful learning possibilities. The exchange is however limited to this network, and does not extend to other local actors (8.2, 8.3, 9) The experience in this expert-study has shown that the local partners are very open to learn (8.1, 8.2) There is limited exchange and co-operation with Netherlands Embassies (8.3) Limited exchange and co-operation with other stakeholders and relevant NGO’s outside direct networks of the TMF-organisations (8.3) - - E. Other major findings - ref:ws358.tmp FG Christian inspiration is important and does not exclude beneficiaries of other religions. (6.2) Local partners are well established and are strong organisations in local NGO-communities. They have good relations with local government institutions and communities (6.2, 6.10) NGO’s and business development remains a difficult combination of value-systems and methodologies (this finding is not directly relevant to CREDO (6.2, 6.12, 7.4) Transparent organisation (audited accounts) (6.6) Emergency support activities are not linked to core-business ( educational development activities) (6.2) Present dilemma for Hope: where are the limits of its growth and how can its effective models best be replicated? (6.2) Legitimacy: Hope Enterprises is one of the few NGO’s well respected by the government and its operations are supported by it. External controls (govt.) constantly proof that Hope Enterprises performs within the criteria on basic and vocational training set by the government (6.1, 7.1, 7.2, 7.3, 7.4) - - - - has been evaluated highly positively and it will be introduced as a more frequent mechanism for learning. Thus far it has been limited to the direct partners and members of the business platform (2.2, 4.2, 8.2) W&D does not sufficiently use the instrument of (external) evaluation and systematisation of effects and impacts achieved on a broader thematic level and on the longer-term (vis-à-vis good quality quarterly monitoring reports) (4.2, 8.1, 8.2) Systematising of lessons learned (especially at the effect and impact level) seems to have a low priority and as a result these lessons are not sufficiently communicated and shared (8.2, 8.3) W&D has intensive contacts with (limited) number of partners. This provides an opportunity for direct exchange and learning (8.1, 8.2) The organisation yearly reflects upon its activities with staff and board and it yearly updates in multi-annual plan to integrated lessons learned in the previous period (2.2, 4.2) The experience in this expert-study has shown that Woord en Daad is very open to learn (8.1, 8.2, 9) Christian inspiration is important in all aspects of the organisation and is shared by its partners. The organisation’s approach to target-groups in North and South is inclusive to all religions (2.1, 2.2) More embedding of the Northern technical expertise of business platform in SMSE-advising in development countries is needed to enable a more equal exchange and less transfer of knowledge. This also requires more efforts to tap in on locally available expertise in SMSE development (2.3, 6.12, 7.4, 8.2, 8.3) W&D struggles in combining and separating business and charity, which particularly influences its MSME actions. It’s approach is too prescriptive and focussing on job-creation for the poor (2.3, 5.1, 7.4) Its approach is ambitious and optimistic in terms of growth potential of MSME’s in the South (7.4, 9) Page 22 Table 1.2: International Development Enterprises and its national Branch Office in Zambia Aspect A. To what extent are TMF organisations efficient and effective B. To what extent are their activities(or “interventions” ) relevant and sustainable ? C. What are the effects of interventions by or involving developingworld NGO’s ref:ws358.tmp FG Local Branch Organisation - The organisation in Zambia tends to be expensive considering 1mln US$ cost per year and an average turn over of 1000 pumps per year. Conditions are much more difficult here then in other countries such as Bangladesh where water is much more easily accessible - The value added of other than sales related activities is impressive further investigation about outcome and impact is underway based on recent baseline data andavailability of M&E data. - The effectiveness of irrigation technology and value chain interventions is beyond doubt (Vol II part II ch.11, 12) - The approach of production growth through control over resources(input) and access to markets (output) and farmer organisation is extremely relevant as a concept as well as in the programmes - The programme is potentially sustainable and both at the level of farmers as at the level of private sector agents (producers and retailers) some interesting examples proved this statement - The concept is sustainable, the intervention aims at that and farmers as well as private sector agents are stimulated from the start to take their own financial and organisational responsibility (No grants only loans) (II-II-11, 13) The national partner in the case of IDE is the National (Zambian) branch, which is relatively but not completely independent from the IDE organisation. The effects could be understood if referred to as the involvement of farmers organisations (Zambian National Farmers Union-ZNFU) or purely national NGO’s (HODI). The intervention of IDE in both cases is met by complementary activities of the local TMF Organisation - The organisation of the international secretariat is efficient and - effective. The average overhead is approximately 15%. An impressive exercise is in the process of implementation to extend the capacity of the organisation to be able to deal with the challenges of the rapid growth of both the number of countries of activity and the more comprehensive and complicated approach characterized as PRISM - IDE has a record of low cost interventions and market interventions in the programme countries - IDE supports the implementation programmes in the various countries. The extent to which these country programmes are and should be autonomous is subject of internal debate (vol II part I ch 4,5,9) - Page 3 - The development of simple technology for agricultural production aiming at control over resources is extremely relevant. The connection of the attention for technology and production increase on one hand and the position of small farmers in the value chain adds even more to the relevance. See also relevance at country (local partner level) - The concept is sustainable, the intervention aims at that and farmers as well as private sector agents are stimulated from the start to take their own financial and organisational responsibility (No grants only loans) (II-I-2, 4) At the level of IDE international there is no answer to this question Page 23 that are partly financed by TMF organisations D. To what extent do TMF organisations have the capacity to learn E. Other major findings ref:ws358.tmp FG organisations. The effect is a contribution to sustainable forms of target group organisation. (II-II-14) Monitoring and evaluation in Zambia are routines merely to satisfy the need to report to the donors and to the Denver office. The need to use it as a Management Information System and thus as a tool to learn systematically from the experiences in the different regions and the exchange these is recognised. To further develop a system and put it into use needs higher priority (II-I-2.2.1) - Incompleteness of available M&E data - No basis for quantitative analysis of efficiency and effect - Attempts to gather serious baseline information were successful and will serve as a basis for the formulation of indicators for accurate M&E operations - Data about distributed technology reasonably accurate - Data about increased farmers income available but not sufficiently detailed and analysed - Effect on poverty obvious from interviews with beneficiaries but not sufficiently sustained with data on the effect of poverty - The organisation has a tendency to take up activities in areas where potential partnerships would reduce the pressure for IDE to grow bigger (eg in farm extension, in own marketing activities as IDE) - The experience of farmers functioning in out-growers schemes as solution for their involvement in the value chain have not always been very favourable in their view (II-I-2.2.1, 12,14) IDE owes its successes in Asia to a large extent to its capacity to learn. The exchange of experiences between country programmes has been promoted by the management. The rapid growth of the organisation demands formalisation of the system of learning which in course of being implemented The Secretariat defines it as a major function to continue to coordinate research and development and to disseminate acquired knowledge and experience (II-I-10,11,12) - Page 8 The change process - The recent (2005) nomination of a qualified change manager in the staff is very promising - The concept of the virtual secretariat is clever and creative, however need for efficient and effective communication that this concept requires is very demanding. Technology is not always available at the same quality everywhere - The Organisational structure and the staffing seems to be in place but not operational in terms of culture and procedures (cash flow control, accounting system, reporting, MIS ) - The capacity building is a slow process in which the analysis and design phase have not yet been completed. - An increased awareness of the required changes is noticeable - the actual changes in all aspects of organisational change are the very early stage of design and/or preparation (II-I-6,7,8,9) Page 24 Table 1.3: South-North Federation and its local partners in Kenya Aspect A. To what extent are TMF organisations efficient and effective? B. To what extent are their activities (or 'interventions’) relevant and sustainable? 17 Local Partners - Organisations in general implement activities efficiently. Their donor-controlled basis requires this from all sides: low overheads, 17 modest appearance, etc. A.1.3 ;A2.1.3 - Though few indicators for effectiveness are formulated in the project plans, the evaluators have a strong impression that in general the main activities of the project are effectively and efficiently performed according to general standards of careful management. Competent staff and networking competencies are favourable for low cost and smart solutions and deals. Systems, processes and procedures are in place enabling most of the operations A.1.7; A.2.1.7 - Kenyan partners are unanimously positive in their evaluation of the exchange of information and experience, of the bilateral contacts, financial support for participation in international events and the workshops organised. A.4; A.5.4 - Southern partners experience strong growth in their effectiveness as a result of international co-operation in this project. Good information and exchange of experience makes them much more competent and trusted by Southern societies and governments, hence more effective A.2.1.5; A.5.4 - One Southern partner expressed concerns about relevance: the relevance of a one-issue workshop, e.g. on ICS. This would be questionable if the integration with institutional capacity and market development would not receive proportionate attention. Doubts expressed are possibly due to a lack of information or understanding of the process and consecutive steps in the ICS programme. This at least expresses concerns on sustainability. A.2.1.5 - The evaluators see this as a wise individual warning for the match of, and communication on, ‘Southern relevance’ and ‘Northern relevance’ perceptions. A.2.1.5 - This debate on relevance however takes place in the ICS TMF Organisation - In general the main activities of the project are organised efficiently, e.g. workshops with large numbers of participants, workshops covering large parts of the globe, In the context of the project objectives this is efficient. 4.4.1- 4.4.3; 5.1; 5.2 - The evaluators are convinced by the stakeholders’ witness in Kenya and by the consistency in the (very) narrative annual reports (and other publications e.g. on the internet). It gives comprehensive insights in how the NGO networks develop in the international context.5.1; 5.2 - However among all these reports and publications the GTJ project can not easily be recognised: it is all the result of cooperation of many actors. A1.10 - The evaluators regret the absence of management overviews: hardly any tabled outputs clearly connected to planned activities. In the narrative text however, using much time to read, these connections can convincingly be recognised 4.5; 6.3 - The GTJ partners in the Netherlands are effective in everything but reporting about their results and impact. 6.3 - - The relevance of these activities is clearly proven by the direct relation with the issues at stake in major international forums (e.g. WTO). 3.3.2 The very content of the issues deals with, especially social and economical, sustainability 4.4.2; 4.4.3; 5.2.2 To the degree systems, approaches etc. do not match with daily processes in an organisation, they can not be sustainable. In the GTJ project concern about this requirement is the very subject of workshops. 4.4.1; 5.1.1 The relevance and sustainability of the lobby and advocacy actions in the GTJ project seems without any doubt, especially after the proven NGO performances related to the WTO A. = Annex à A.1.3 = Annex 1, Chapter. 3 ref:ws358.tmp FG Page 25 Aspect C. What are the effects of interventions by or involving developingworld NGO's that are partly financed by TMF organisations? ref:ws358.tmp FG Local Partners workshops. This shows driving forces to find the necessary match between systems and institutional development. The ICS workshops work explicitly on it, but of course the match is not achieved yet in practice. A.2.1.5 - Concerns are expressed about the follow-up of 1 specific (multistakeholder) activity organised in December 2004. This concern also shows ownership of a very complex process, although this concern is not operationalised yet.A.2.1.5; A3 - Newspaper articles show that economic literacy as to trade and investment agreements is likely enabling an informed public and parliamentary debate in the Southern countries on trade policies and – priorities. A.5 - Clear records are visible of successful lobbying the governments to include human rights concerns in trade and investment negotiations 5.2.2; A.2.5 - The Government of Kenya has been successful and was clearly using the GTJ inputs in its preparations A.5.2 - The evaluators are convinced that, sustainability being at stake in the co-operation itself, there is a good chance that results will be sustainable or consciously rejected.3.3.2 Concerning the GTJ project objectives: - All partners could describe and proof concrete progress/impact, both in terms of core activities and of institutional development/capacity strengthened 5.2.1; 5.2.2 - Partnerships are strengthened and are of a real mutual character between North and South and West and East 5.2.2 - International networks are used not only for funding but rather for exchange of experience and information and for creating or strengthening economic conditions 5.2.2; A.4; A.5 - By creating and/or strengthening national and international networks conditions have been created that allow to expect economic impact on trade justice, although nothing can yet be measured on the short term.5.1; 5.2.2 - There is strong enthusiasm and searching of ways for further cooperation in a broader setting/network of ALL actors related to TMF Organisation Ministerial conference in Hong Kong, December 2005. 5.1.4 - The general objective of the GTJ project is to develop together with its partners in the South a rights-based approach to regional and multilateral trade-negotiations and international trade and investment relations. 4.2; 4.3 - The evaluation team has convincing evidence of examples of national law and international trade relations being more and more based on rights and fair negotiations and that the Southern and also Northern partners have become stronger in these negotiations, e.g. through newly created international networks, like ATN and COFTA.5.2.1; 5.2.2 - GTJ has enabled an informed public and parliamentary debate in Europe and in the Netherlands on trade policies 5.2.1; 5.2.2 - The evaluators cannot prove but believe it is most likely the project is relevant and has sustainable impact in the national and international networks.5.2 - - - The Northern partners are unanimous in experiencing a major impact of the international partnerships on their own effectiveness. Without the international partnerships and without the preceding discussions about the role and position of their co-operation body SNF, for example the “Coalitie voor eerlijke handel” would likely have had major internal (stakeholder competition) problems and would have performed far less in probably more time. 3.1.4; 5.2.1 This holds true for the South as well: e.g. CIN would certainly not be in a key position in the government WTO committee. Also EcoNews would not be taken for serious by the government without the international partnerships. Now they are supporting, or at least informing, the Kenyan government for and in Hong Kong. 5.2.2; A.2.1.5 In reality co-operative development (and learning) among Page 26 Aspect D. To what extent do TMF organisations have the capacity to learn? ref:ws358.tmp FG Local Partners GTJ and wider 5.2.2; A.3 - Well informed and experienced insights are shown in the comprehensive nature of the development process, e.g. of market access, consumer rights and institutional growth A.2.1.5 - There is very promising and growing experience with bilateral and multilateral NGO partnerships 5.1; 5.2; A.2.1.6 Concerns are expressed however about: - Institutional strengthening not moving parallel to the GTJ driven (core) activities. A.2.1.5 - Follow up (momentum) of activities, especially reflection and ‘landing’ of workshops deliberations.5.1.4; A.2.1.5; A.3 - Despite caution from Dutch partners about agenda’s being South driven, agenda’s are still too much North driven in practice. Moreover some activities (e.g. workshops) are organised in a too short span of time etc. A.3 - South partners are aware of the need for a co-ordination organ, but cannot yet come to consensus. Inevitably there is a need for (neutral) facilitation probably by external facilitators (from the GTJ partners) A.3 - It is a common practice of organisers to evaluate workshops and mutual co-operation practice 3.7; 3.10; A.2.1.7 - Highly resourceful people have left their South organisations. Concerns are expressed about these cases of high turnover Though such staff remain interested in the network activities the issue, being a risk for loss of organisational competence, is how to sustain their commitment (voluntary activities, single stroke learning) A.2.1.1; A.2.1.5 - The sudden winding up of Ziwa Creation leaving a potential economic impact unattended, is a missed chance to learn about managing growth (single stroke learning) A.2.1.1; A.2.1.5 - In one case (Tigoni workshop) the evaluation papers are not processed and the workshop report is not distributed. Obviously this is not good for learning (first stroke, monitoring and distribution of feed-back/experiences).A.2.1.5; A.3 - The search for next steps in the aftermath of the multiple TMF Organisation different organisations needs a focal point in between. This project deals with a very large span of difference between partner organisations working in ‘different worlds and using different languages’ They can be classified in a triangle with consumer-, producer- and politics- driven organisations in each of the edges of the triangle. 5.1.4; 5.2.2; A.3 - Today in Kenya this triangle shows a still empty centre, whereas in the Netherlands this vacuum is covered (on the GTJ project basis) by the South North Federation. This has proven to be successful in getting a key document (“Op weg naar een duurzaam resultaat in Hong Kong”) explicitly appreciated by the Dutch government. A.3; 5.1.4; 5.2.1 - This experience has stimulated the Dutch partners to continue efforts to intensify co-operation and does encourage the Southern partners to endeavour follow up of the national multistakeholder workshop and international affiliations (e.g. ATN, COFTA, Consumers International Regional Office for Africa, CIROAF ) for fair trade and consumer interests (network CI) 5.1.3; 5.2.2; A.2.1.5; A.3 - Learning (evaluation, reflection, SWOT analysis, reformulating organisation strategy etc.) within each of the Southern and Northern partner organisations seems to be institutionalised very strongly and seems to represent an essential characteristic of their culture: 3.7; 3.10; A.1.7 Mutual workshops and sharing experience are an essential way of working in the field of core issues, but also in the internal institutional development processes. Also these are participatory (single stroke, Improvement). 3.2; A.3 Most workshops are followed by systematic ‘reflections sessions’ among the organisers (double stroke, Innovation: new initiatives, next steps) A.1.7; A.2.1.7 All organisations in the Netherlands are regularly discussing and eventually changing their strategies, constitutions and/or structures. Hence it is most likely they are adapting (with professional guidance) to their changing Page 27 Aspect E. Other major findings Local Partners stakeholder workshop in Tigoni includes reflections, efforts and debates on innovation of mutual relations and spanning wide bridges (double stroke learning) A.3; A.2.1.5 - It is striking that in Kenya all the NGO’s concerned recently have reviewed their strategy and/or constitution or are still doing so. One organising principle (ICS) promoted in the GTJ project is becoming a guiding principle in some of the organisations as a whole. (triple stroke learning)A.2.1.9 - Very positive relations between Kenyan and Dutch partners. The Dutch are perceived as open and listening partners who have lots of experience in developing situations and a good feeling for reality.A.4 TMF Organisation environment (triple stroke, Development: organisational change). A.1.2; A.1.9; A.2.1.9 - A conclusion is that the existing TMF project has safeguarded significantly the Dutch competence in the field of GTJ and has strengthened that competence significantly in the South as well (single stroke, more knowledge available and shared).5.1; 5.2 - - - The monitoring of the project makes the project plan and the project results insufficiently accessible in the periodical reports. This is all the more regrettable seeing so many considerable and positive results achieved.6.3 DGIS/DDE had proposed an M&E format. This was not (fully) adopted, hence adapted by the TMF organisations. The result is that different formats continue to be used by each of the partners in the GTJ project. As a result the compilation of all different contributions into a periodical report takes too much time (and negative energy).6.3 The SNF partners expressed their readiness to contribute to or develop a more useful monitoring system (“one that makes sense”).3.10; 6.3 2. Organisational and Institutional Analysis of TMF organisations and their partners Table 2.1: Research findings on institutional and organisational aspects Woord en Daad and Hope Enterprises Assessme nt criteria Local Partner TMF organisation External environment - - - ref:ws358.tmp FG Civil society is considered subversive by government. This limits the scope for advocacy by Hope and other partners. However, Hope is respected by the government (6.1) Small and micro- enterprise policy exists, but it is outdated - Strong positioning of W&D in protestant Christian community, growing support of community (2.1) Strong positioning of W&D in networks of NGO’s in the Netherlands, particularly within TMF-Platform and PRISMA (2.1, 2.2) Page 28 - Outputs and inputs - Vision, Mission & Strategy - ref:ws358.tmp FG (1997) and needs to be reviewed (6.1) Elaborate structure for MSME support and local government and federal government level exists, but this has limited delivery capacity (6.1) Government does not allocate enough resources to poverty reduction/development activities (6.1) Capacity for MSME support in the country is generally weak, with very few non-governmental entities involved (6.1) Extreme and widespread poverty throughout the county means need for support is high for limited resources and capacity to pay for services is limited (6.1) Regulatory framework for NGOs and business is restrictive; NGOs schools cannot admit fee paying, foreign NGOs and businesses cannot undertake certain activities: e.g. financial services (6.1) Significant and varied amount of outputs, outputs are largely exceeding planning, except for MSME-development (6.3, 6.10, 6.11, 6.12) Strong and growing provision of financial inputs (6.4, 8.2) Provision of land by Government for colleges (6.4, 8.2) Provision of technical expertise is limited to W&D and its partner-network and VTC co-ordinator and business platform (6.4, 8.2) Technical expertise of business platform is provided, but still limited in effects to MSME-development (6.4, 8.2) - Well developed and described mission, but no multi-annual strategy available in writing. Several aspects of strategy are underdeveloped (growth, MSME, gender) (6.2) The Ladders of Hope establish a strong and well articulated chain approach, which is targeting the poorest of the poor (6.2) Strategy and approach on MSME development is not yet adequate to produce sufficient output and impact (6.12, 7.4) - - - - - Intensive relations with ZOA and Tearfund. The three organisations are investing in a joint service centre (2.2) Business Platform has grown rapidly and now involves 80 small and medium business people in the Netherlands. Many of them are actively supporting W&D with money and technical expertise. The business platform is a niche in the private sector, rarely covered by other development NGO’s (2.1, 2.2) DGIS-DDE has a positive impression of the activities of W&D, but twoway dialogue is not very much developed. Follow up is focused on control (beheer) (2.1, 8.2) The new MFS establishes a challenge for all NGO’s, including W&D. It is particularly interesting to see how ICCO will act in this environment (as the MFO acting in the protestant community) (2.1) Output is provision of funding and technical expertise to partners, organised in a chain approach. This approach is similar in 20 countries and with a slightly higher number of partners (2.3, 3) Output in advocacy exists, but at the start of the programme was not clearly defined. It now is more concrete (2.3, 5.1) Output to target-groups in the Netherlands is of good quality and well targeted to specific groups (e.g. youth and business people) (2.3, 3) Growing and well diversified funding base (2.3, 3) Sponsorships are somewhat vulnerable in terms of security of funding to individual beneficiaries. New more collective forms of sponsoring are now being developed (2.2, 2.3) Well-developed and described mission that is operationalised in a clear strategy. W&D annually updates its rolling strategic policy-plan (2.2) Chain approach is strong, well focused and well targeted to the poorest of the poor (2.2, 2.3) W&D has no explicit gender-strategy (2.3) Job-mediation and MSME-development are relatively new in the approach and strategy and approaches still could benefit by further reflection and exchange with other specialised organisations (2.3, 5.1, 8.3) Page 29 Structure and Systems - Staff, Management & Culture - Clear and functioning structure and systems in place (6.5, 6.6) Well-developed and implemented manual of procedures (6.5, 6.6) Well-developed M&E systems, but largely focusing on the activity and results level (6.5, 6.6) The structure for MSME development needs to be further developed and strengthened. JBC is divided in MSME development and job mediation: a more integral approach is needed) (6.12, 7.4) Hope has a very good management and work culture (6.7, 6.9) Most staff have the necessary qualifications, competence and motivation (except for MSME incubation and development) (6.5, 6.7) Continuous struggle to deal with separation of business and charity (6.9) - - Intervention logic - M&E systems - ref:ws358.tmp FG The chain approach constitute a clear intervention logic (6.2) Objectives, results and activities are well defined, but indicators are mostly limited to direct output and result level (and less on effects and impact) (6.10, 6.11, 6.12) Implementation is largely according to planning and conform planning of Woord en Daad and the programme funded by TMF (8.1) Internal monitoring is well done, especially the quarterly monitoring (and reports) to both government institutions and W&D. (6.6) Annual reports are significantly delayed (6.6) External evaluation is not a usual practice, which limits the information on effects and impact of Hope Enterprises (6.6, 8.1, 8.2) - - Structure is well-established, clear lines of responsibilities and task divisions (4.1) Systems are in place. The recently introduced ERP-system can generate relevant management information (4.2) Number of staff is limited, which is beneficial for efficiency but limits the possibilities for provision of specific expertise to partners (4.1, 4.3) M&E systems are in place and generate good quality information. Quarterly track records are good instruments to provide quick overview of progress in activities. M&E, however is focused on activities and results, less on impact. (External) evaluations of effects and impacts of elements of the chain approach are limited (4.2, 8.1) W&D is ISO en CBF certified (4.2) Small but motivated staff. Staff competencies are limited in specialised areas (such as MSME-development) (4.1, 4.3) Management is strong and open and also involved in implementation (4.4) Board is close to W&D and provides strong support in strategizing and control of W&D (4.4) Culture is one of a professional development organisation with a strong Christian identity (and not vice-versa) (4.5) Continuous struggle to deal with separation of business and charity (2.3, 4.5) The chain approach constitutes a clear intervention logic (2.3, 5.1) Objectives, results and activities are well defined, but indicators are mostly limited to direct output and result level (and less on effects and impact) (5.1) Internal monitoring is well done, especially the quarterly track-records for management and board are useful instruments Annual reports are comprehensive (4.2, 8.1) External evaluation is not a usual practice, which limits information on effects and impact of W&D and its partners (8.1, 8.2) Page 30 Learning practices - - Hope is has an experienced-based activist learning style and learning is used to improve processes (6.6, 8.2) Learning, however, is not yet sufficiently systematised (priority is on implementation) (6.6, 8.2) External networking and establishing relations with other specialised NGO’s (e.g. in MSME development) is not sufficiently done and existing expertise is not tapped upon (8.2, 8.3) Advisory missions and missions of business platform are conducted and contribute to learning, although more locally available expertise can be tapped upon (8.2, 8.3) - - - From partners: through intensive dialogue and follow-up during monitoring visits and reporting. More collective exchange and consultation with partners is a recent development (which started with a seminar on work and income in April 2005) and W&D is planning to increase this practice (8.2, 8.3) Within W&D and with board: through regular (yearly) reflection meetings. Teamwork is further contributing to mutual learning (2.3, 8.1, 8.2) With other stakeholders in the NGO-community: in platforms and networks, however these networks are limited to known and like-wise organisations, broader exchange (e.g. on MSME-development) is limited (8.2, 8.3) With business people: through the Business Platform and its working groups (2.3, 8.2, 8.3) In general learning on effects and impacts (approach and strategy) level is limited because of lack of input at this level through M&E systems and external evaluations (4.2, 8.1, 8.2) Table 2.2: Research findings on institutional and organisational aspects International Development Enterprises Assessment criteria Local Partner TMF organisation External environment The external environment in three aspects is favourable to the IDE approach: 1.The GoZ in its policy strategy devotes special attention to SH and co-operation with IDE is asked through participation in official policy debate (II-II- 4, 5) 2.The NEDA is very supportive to the enabling private sector development (II- 6) 3.The potential for partnerships in the NGO world, offering complementary services, is very promising and far from exhausted (II-II- 3, 6) Inputs: donor financial contributions do not always allow sufficiently for the organisational cost, showing preference for project financing. (II-II- 2.2.1 and 3) Simple and adapted technology which gives farmers more control over water resources has a wide support from donors and national governments. The value chain approach is complementary and shows a large potential for co-operation with organisations (NGO’s) that are active in creating economic enabling conditions for local producers. (e.g. NEDA finances ZNFU to buy BDS training and capacity building TA to the farmers association) Outputs and inputs ref:ws358.tmp FG (II-I- 2, 3) The IDE secretariat provides support to the national branches by: *leading and following up strategy discussions *organising international M&E Page 31 Vision, Mission & Strategy Structure and Systems Staff, Management & Culture Intervention ref:ws358.tmp FG Personnel, predominantly and progressively local of high quality Output: The promotion of 1.technology and 2.market participation is very adequate in the given circumstances and answers to the needs of poverty reduction policy (II-II- 7, 8, 9, 10, 11) The analysis of weakness and potential of the SH farmers position (lack of control over resources and exclusion from markets) is very accurate. The mission based on this analysis and the strategy defined as: “do it, record it and spread the message” is almost uniquely comprehensive *developing the learning capacity and exchange of best practices of the organisation as a whole *Research & Development on adapted technology and dissemination to country programmes (II-I- 9, 10,11,12) Mission: “IDE confronts the challenge of rural poverty by developing market systems that serve poor women and men, enabling them to access and control water, increase production, create wealth, and improve their quality of life”. (II-II- 2.1) The vision, mission and strategy were comprehensively formulated in the PRISM (Poverty Reduction through Irrigation and Smallholder Markets, June 2005) document and accepted as the guiding principle for the whole organisation internationally (II-II- 2) *The concept of the virtual secretariat is clever and creative, however need for efficient and effective communication that this concept requires is very demanding. Communication technology is not always available at the same quality everywhere *The Organisational structure and the staffing seems to be in place but not operational in terms of culture and procedures (cash flow control, accounting system, reporting, MIS ) *The capacity building is a slow process in which the analysis and design phase have not yet been completed. (II-I- 6, 7, 8,9,10, 11) *formal organigram very well designed *Culture of informal relationship stimulating *Creativity has a high priority in the organisation *Strong dedication of management and staff to mission of IDE *Some examples of haphazard human resources management creating uncertainty The structure of the head office in Zambia and the staffing is relatively heavy on the management level endangering efficiency. The need to find productive partnerships in order to make optimal use of capacity for the own core business needs attention Systems and procedures are practical but seem to need some formalisation for the purpose of effectiveness (II-II-2.2) *technically well qualified staff in Zambia *Management seems to be hesitant and positions are changed on short notice *A need for a well qualified and strong Zambian manager is urgent and the procedure needs speeding up. *The relationship between Regional an national office needs clearer definition (Hierarchical or complementary relationship between region and country) (II-II- 2.2 and 3) (II-II- 2.2.3) (II-I- 7) (II-I- 2) Page 32 logic M&E systems Learning practices Still incomplete but development is underway (II-II- 2.2 and 2.2.2) The weak system of data collection frustrates the wish of the organisation to learn. A serious and profound study has been carried out to define the baseline situation. The first steps in formulating indicators and investigating results and impact are now within reach but need higher priority. (II-II-2.2.2) The attempts to introduce a new organisation-wide M&E system have failed in the past. The Cambodia country director now responsible for M&E has taken up responsibility as part of the capacity building of IDE secretariat International meetings of the management team offer a potential for learning (annual PRISM meetings) A model and a strategy for organisational learning has been presented and is currently implemented. The necessary data collection and M&E systems will have to be implemented in order to be able to distinguish and describe best practices and exchange between different country programmes. See: ”Strategy and Work Plan for the Task Unit on Impact Assessment and Organisational Learning” (28-01-2004) (II-I- 10, 11) Table 2.3: Research findings on institutional and organisational aspects South-North Federation Assessment criteria External environment Local Partner TMF organisation - - Intensification of North-South mutuality 5.1, 5.2 Widening of co-operation, crossing bridges A.3, 5.2.1 Strengthening Dutch NGO co-operation 5.2.1, 5.2.4 - Significant amount and quality level of outputs 5.1, 5.2 Facilitation and expertise in workshops and meetings Information shared 5.2.1; A.4 Financial support to Southern partner participation in international meetings 4.4, A.2.1.5, A.5.3 Research contracts established and performed 5.2.1, A.2.1.4 Publications and events supported, also in the Netherlands A.1.4, A.2.1.4 Low costs compared to the (albeit long-term) outputs 2.2 + 5.1, 5.2 Outputs and inputs - ref:ws358.tmp FG Intensification of partnerships within ‘branch’ (or consumers, or producers, or policy makers) 5.1, 5.2 Globalisation (and ‘continentalisation’) of co-operation within ‘branch’5.1, 5.2 Significant amount and quality level of outputs 5.1, 5.2 Multiple participation and exposure in workshops, international meetings etc.5.2, A.4 Research contracts established and performed A.2.1.5 Publications for public education etc.5.1, 5.4, A.2.1.5 Low costs compared to the (albeit long-term) outputs 2.2, 5.2, 5.4 Few tabled data but lots of narrative reporting and stakeholder witness allow to prove these evaluators’ impressions 6.3 - Page 33 Assessment criteria Vision, Mission & Strategy Structure and Systems Local Partner TMF organisation - - Staff, Management & Culture - - - Intervention logic - M&E systems - 18 Well developed and described missions and strategies, recently reviewed and published professionally, by nearly all partners both in the South A.1.2, A.2.1.2 All NGO’s financially depending on external donors/clients except for Undugu, having some (limited) revenues from products traded. A.2.1.3, A.1.3 All Southern organisations have more ‘donors’ and little staff. Hence all staff works on more than one project and deals with a multitude of Northern ‘advisors’ and ‘partners’ A.2.1.8 Most of the interviewed persons consider the partners of the SNF consortium as better partners than others, because of more openness and mutuality. This is always subjective and might be biased, as they are related partners in the project. Nevertheless it shows a positive attitude and a recognition of this GTJ contribution to their success. A.4 In general the activities are planned in the international way showing objectives, activities and timelines. 4.4.3 CIN also distinguishes results and verifiable indicators App18.2 Most donors require such plan presentations. However the differences in presentation are considerable over the donor organisations. 3.11, 6.3 In general the Southern partners assume the responsibilities for reporting on events organised in the South.6.3 Systematic reporting is not according to the format of one Northern partner. Often the activities in the South are of mixed financial origin.6.3, A.2.1.3, A.2.1.5 Via intensive e-mail correspondence and phone calls the Southern and Northern partners communicate about progress, concerns, ideas, questions, demands etc. 5.2.1 - - - - - Well developed and described missions and strategies, recently reviewed and published professionally, by nearly all partners both in the North A.1.2, A.2.1.2, A.2.1.9 NGO’s financed on basis the project-subsidies and contracted projects except for Fair Trade Assistance being basically financed from Fair Trade business. A.1.3, A.2.1.3 All SNF consortium partners have 1 staff member who is mainly occupied by this project (component) one or 2 other colleagues being involved to a minor degree. Only Wemos has a wider spreading of staff involvement, the head of unit being the main co-ordinator for this project. 3.8, A.1.8 All are very much concerned about Southern partners driving the agenda’s in the South. 3.10, A.3 All SNF consortium partners make the annual plans showing objectives, results, activities, timelines and budgets. The way the Logical Frameworks are completed is however confusingly different. 4, 6.3 DAWS/FTA and SOMO/BothENDS show budgets per activity while Wemos and SNF show budgets per result 2.2, 6.3 A reporting system was agreed upon within the SNF consortium. However this is not fully respected to such an extent that minor but confusing differences continue to disturb fluent reporting. This results in unaccepted delays.6.3 It is always a dilemma international co-operation is facing that partners in the South need and want to see from the Northern partners lots of contributions to strengthen their (Southern) performance. Logically the TMF organisation registers the Southern (and international networks’) performance. The Dutch ministry App. = Appendix ref:ws358.tmp FG Page 34 Assessment criteria Learning practices Local Partner - TMF organisation Workshops and seminars allow lots of mutual exchange of information and experience A.3, A.4 Strategic leaders see a wider context and are reflecting at double and triple loop level. The evaluation debriefing meeting for example showed strong competences to reflect at different levels A.3, A.2.1.5 - however needs and wants to see the Northern contributions to that performance as well”.6.3 Most striking is the systematic after-event- reflection practice among the organisers. 3.7, A.1.7, A.2.1.7 The reports of these reflections are not systematically produced nor distributed 6.3 3. Analysis of the intervention chain in TMF economic Development Table 3.1.: Intervention chain TMF-Woord en Daad-Hope Enterprises (only TMF relevant actions) Assessment criteria General Objective (mission) ref:ws358.tmp FG Target groups (needs and expectations) Children in families of the poorest of the poor need access: - Basic needs - Basic education - Vocational training - income (through jobs and MSME’s) (6.1, 6.10, 6.11, 6.12) Local Partner TMF organisation DGIS/DDE Provide Hope for the needy through holistic human development - Chain approach - In depth investments in individuals (in core interventions) (6.2) Poverty reduction in development countries and awareness raising on consequences of poverty in South and North (2.2, 2.3) Contribute to pro-poor and sustainable economic development, recognising the role of the private sector. TMF-specific: - Enhanced policy dialogue with TMF organisations Strengthening pluriformity and autonomy civil society Three intervention levels: International markets National policy environment Business and entrepreneurship (2.1, 2.2 report volume I) Page 35 Project Purpose Results ref:ws358.tmp FG - Certificates for TVT-training - Continuation of education (higher education) - Jobs and income - Selfemployment in MSME’s (6.10, 6.11, 6.12) See table 4.1 (aspects funded by W&D): Increased employment and self-employment of youngsters, through technical and vocational training, job-mediation and support to MSME’s ((6.10, 6.11, 6.12) Labour and income programme: Increased awareness and social-economic selfsustainability of youngsters (2.3, 5.1) Intervention level: Business and entrepreneurship development: Strengthened businesses and entrepreneurship, through developing support services to private sector (2.5 report volume I) Main results (2004) - 161 graduates from TVT - 118 ex-graduates employed after TVT - 22 ex-graduates (Dessie) continue education after TVT Until 2004: - 28 ex-graduates self-employed in MSME’s - 4 MSME’s established - 1 micro-credit provided (7.1, 7.2, 7.3, 7.4) Main results world-wide (2004): - 2.100 students trained in technical and vocational skills in 8 countries - 2.925 scholarships in 5 countries for higher education - Building and infrastructure improvement and expansion of 6 TVT centres in 6 countries - 2 TVT centres networks have been set up in 2 countries - 8 Job and business centres in 8 countries operational - several hundreds exgraduates placed in job or internships in 8 countries - Micro-finance provision approximately 50 MSME’s in 4 countries (repayment-rate between 90 and 95%) - Start up micro-finance and - Results of W&D are considered adequate by DGIS-DDE - Performance of W&D is highly valued by DDE - No enhanced policydialogue (8.1, 8.2, 8.3) Page 36 support for 15 MSME’s (5 have been started up in 2004) - 5 business plans in South Africa and 2 in the Philippines supported by W&D business platform - 14 expert-missions for exchange expertise Netherlands and southern expertise and regular dialogue - 72 entrepreneurs members of W&D business platform (seminar and symposium attended by 300 participants) - 8 experts-missions of members of the business platform to 6 countries (3 and 3.1 volume 1)) Activities - participation in programmes Consultation, feedback and evaluations of activities and performance Hope Enterprises Elements funded by W&D (partially with TMF-funding): 1. Economic Development Dessie, Vocational training 2. Human Development Addis, Childcare Dessie, Childcare Gambela, Childcare 3. Social Cultural Development: ref:ws358.tmp FG Labour and Income - Scholarship programme (not funded by TMF) - Running costs VTC’s - Infrastructure VTC’s - JBC’s - MSME-development - Capacity development partners (funded by PSO) - Administration costs partner - Administration costs W&D Human Development Monitoring of policy-plans, yearly operational plans, and yearly reports - Twice-yearly meetings to discuss developments with W&D - One monitoring visit with W&D to Ethiopia - No dialogue with Embassies and no involvement of RNE in Ethiopia (8.1, 8.2, 8.3) Page 37 Addis, Education Dessie, Education Gambela, education 4. Other Dessie, Relief services Remark: At this level it becomes difficult to relate TMF support to activities of local partner. In 2003 the support in the framework of TMF economic development was mainly spend in Dessie. In the following year JBC and MSME activities where also supported in both Addis en Dessie. Outside the framework of TMF economic development childcare activities in Addis, Dessie en Gambela are likely to be supported partly with DGIS-funding for the human development programme of W&D (6.3, 6.4) Inputs (budget/ expenditure) figures for 2003, % for total period Specific W&D funding to Hope Enterprises Economic Development Dessie, Vocational training: 210.695 (34%) ref:ws358.tmp FG - Health Centres Specialist and preventive care - Basic needs - Capacity development partners - Administration costs partner - Administration costs W&D (unknown which specific elements are funded by TMF) Social Cultural Development: - General education - Quality improvement education programmes - Other education programmes - Programmes for children at risk - Administration costs partner - Administration costs W&D (not funded by TMF) Remark: The support of TMF economy is mixed with funding of other donors. There is no direct relation anymore between DGIS Euros and W&D support to partners in development countries (1, 3) Total budget W&D (data only on 2003): Economic Development 3.909.803 (100%) Contribution of TMF to W&D (specified only at the programme level and data on 2003): Economic Development: 1.675.803 ( 43%) Page 38 Human Development Addis, Childcare: 228.900 (30%) Dessie, Childcare: 911.720 (68%) Gambela, Childcare: 541.387 (94%) Social Cultural Development Addis, Education: 70.494 (9%) Dessie, Education: 213.969 (90%) Gambela, education: 207.161 (62%) Other: Dessie, Relief services: 662.851 (29%) Total W&D: 3.047.177 (28%) Total local partner: 10.731.149 (100%) Indicators Conditions/ Assumptions ref:ws358.tmp FG Appreciation of satisfaction of beneficiaries on: - changes in quality of life as a result of participation; - quality of the services delivered by Hope Enterprises; - performance of Hope Enterprises; (7.1, 7.2, 7.3, 7.4) - Continued involvement of local remark: period 2003-2007 (6.3 and project agreements) Targets and indicators have been developed at the activity and results level, but no indicators developed for the outcome and impact level (6.2, 6.10, 6.11, 6.12) - Continued and diversified support of donors Continued appreciation of the Human Development 2.755.511 (100%) Social Cultural Development Human Development 1.037.548 (38%) Social Cultural Development 0 (0%) Total: 2.713.351 (17 %) (1,3 and project agreements) 9.206.448 (100%) Total: 15.871.762 (100%) (1,3 and project agreements) Targets and indicators have been developed at the activity and results level and only in a limited extend indicators have been developed for the outcome and impact level (4.2, 5.1) - - - - Continued support from donors and TMF/MFS; Continued support of No indicators developed for monitoring and evaluation of programmatic activities of W&D - Financial indicators (budgetitems) are used for monitoring of W&D programme (8.1) Sufficient time available at DDE for proper monitoring of the W&D programme in Page 39 M&E systems: accountability M&E systems: learning community committees; - Continued appreciation of results and quality of services Hope Enterprises (7.1, 7.2, 7.3, 7.4) Pupils evaluate teachers (6.10, 7.1) Government at all levels for the work of Hope Enterprises - Minimum conditions for enabling environment for NGO’s (difficult at the moment) (6.1) - general public/sponsorships Consolidated business platform (with sufficient expertise) (2.1, 3) all its aspects (8.1, 8.2) - Quarterly reporting is good and timely Annual reporting suffers significant delays - Financial audits are done yearly on the whole accounts of Hope Enterprises (6.4, 8.1) - Quarterly reports of partners are transcribed in quarterly track records on thematic issues - Financial and narrative reporting of partners is handled by desk-officers who give written or verbal feedback during monitoring visits - Special financial monitoring visits conducted every 5 years - No external evaluations available (4.2, 8.1) - - - - No systems in place to enable systematic learning from experiences with a focus on impact - Priority on implementation (6.4, 8.2) - ref:ws358.tmp FG Financial and narrative reporting of partners is handled by desk-officers who give written or verbal feedback during monitoring visits. Which enables exchanges on lessons learned Lack of evaluations at effects and impact-level limit Year-reports are received by DGIS. DGIS only marginally gives follow-up and feedback on these reports - Specific financial reports are submitted to DGIS (this needs to be validated) - Year-plans are submitted to DGIS. DGIS has reviewed them and in one case not approved changes in expenditures in different budget-items (the Hope College University) (8.1) - Little learning, systematisation and sharing of information takes place at DGIS-DDE on TMF activities (also W&D) Limited dialogue and policyinput of W&D in DDEpolicies Very limited contact with RNE’s and MFO’s Page 40 Learning practices/ Mechanisms: exchange etc. - Learning is experience-based and activist - Active participation in events organised by W&D and active delivery and exchange of inputs - Not much networking with specialised organisations (on MSME) or outside existing networks (8.2, 8.3) possibilities for learning (4.2, 8.2, 8.3) - Seminar on Job and Income in April was important event for learning and is introduced as a new practice - Seminars and reflection meetings contribute much to learning - Exchange of experiences in limited, particularly outside existing networks and with other specialised organisations on MSMEdevelopment - Limited exchange with Embassies and MFO’s at the country level (8.2, 8.3) (8.2, 8.3) - The DGIS desk-officer for W&D realised a work-visit to Ethiopia and produced a very insightful report - Only one such visit has taken place - Exchange with embassies is limited on TMF programme and Embassies are not systematically involved with TMF organisations and their partners (8.2,8.3) Table 3.2: Intervention chain TMF, IDE global and IDE Zambia Branch Office (only TMF relevant actions) Assessment criteria General Objective Project Purpose Results ref:ws358.tmp FG Target groups (needs and expectations) (II-II- 2.2.3) Local Partner TMF organisation Reduce Poverty among Small Holders in rural Zambia Increase the net income of 2000 smallholders by an average of $US 300 per year after the second year - Farm Level - Input Markets - Output Markets Smallholder Poverty Alleviation through Wealth Creation (II-II- 2.1) Reach 20mln Small Holder farmers in the programme in 10 years (until 2014) (II-II- 2.1) *Engage in a multitude of smallholder market development projects that directly contribute to more effective market participation and DGIS/DDE Page 41 Activities 1.*Promote irrigation technologies Improve technical and managerial skills of smallholders *Assist in group formation Investigate credit needs and possible delivery mechanisms *Improve smallholder access to credit *Assess market information needs and possible delivery mechanisms 2.*Investigate alternatives for improving treadle pump affordability, e.g., by stimulating competition. *Identify and develop input technologies to improve comparative advantage of smallholders in the production of cash crops (e.g., paprika-sower) *Develop the capacity of the treadle pump manufacturing base *Develop local capacity in the production of extruded plastic pipe (used for treadle pump hoses and drip irrigation tubing) *Develop local capacity for drip system assembly *Develop local capacity to distribute pumps, drip systems and farm inputs to smallholders ref:ws358.tmp FG increased incomes for the rural poor * Promote widespread application of smallplot irrigation and smallholder market development principles by other organisations * Build a knowledge base to support the application and extension of small-plot irrigation and smallholder market development methods by capturing, consolidating, and documenting field experience. (II-I- 1, 2) Strategic Objective (S.O.)1 *Country Programs. Country Programs design, develop, and identify funding for projects that respond appropriately and effectively to the market needs of local smallholders and MSEs. *Engage in Strategic Partnership with Country/Regional Entities. *Engage in Project Partnerships Worldwide. IDE will increasingly participate in projects that are implemented through consortia where IDE acts as partner, lead agency, or subcontractor. S.O. 2 * a Capture field experience through project monitoring, evaluations, and research projects. b Consolidate field experience through internal reflection, workshops, and critical review provided by consultants, partner agencies, and advisors. c Document lessons learned in manuals, guidelines, training materials, and case Page 42 *Develop local capacity to distribute pumps, drip systems and farm inputs to smallholders *Develop local capacity to distribute pumps, drip systems and farm inputs to smallholders *Establish link between seed/fertiliser companies and irrigation retailers *Assist input suppliers to access credit 3.*Identify and develop post-harvest technologies to reduce crop losses, add value, and/or facilitate transport of crops *Investigate feasibility of medium-scale food processing operations *Develop linkages between smallholders and markets *Assist output SMEs in accessing credit *Assist farmer associations in access credit for post-harvest equipment studies. * (a) Attract private investment into smallholder agricultural market systems by demonstrating S.O. 3 a bottom-line smallholder advantage, (b) Influence research agendas to focus on the needs of smallholder farming and market systems, (c) Persuade decision-makers in governments and donor agencies to include smallholder market development as a key strategy in their poverty reduction plans, and (d) Equip implementing organisations to apply the PRISM approach on the ground (II-I- 1, 4) Inputs (budget/funding) The major project “PROFIT” has been accepted is for a 5-year period and is worth fifteen million dollars (US$ 15,000,000) for the entire project period. The intervention is proposed to address smallholder production, finance and technology. (II-II- 4) The total projected budget amount for the ten-year period is approximately $200mln, which corresponds to a donor investment of $50 per household reached by IDE directly through its own field programs (4 million households). (II-I- 1 and 14) Indicators Number of irrigation technologies sold and in use Number of promotional activities and attendance/participation Number of smallholder households that meet the following criteria as a result of project interventions: 1) have control over water, 2) purchase agricultural inputs for the production of cash crops, and 3) sell cash crops to output markets. (II-II- 2.2.3 and Annex I) Number of smallholders trained (II-II- Annex 1) ref:ws358.tmp FG Number of farmers applying new skills Total new area under irrigation as a result of project interventions (Annex II also in volume I) Page 43 Number of FAs formed, number of members, number of leaders trained Capability and effectiveness of Fas Number of smallholders accessing credit Number of pumps imported and sold Percentage change in pump market price Number of enterprises providing products/services to smallholders for the production and sale of cash crops Total value of products/services provided through the market system. Average price mark-up for products sold in the market system (an indicator of market competition) Average distance and time from smallholder location to nearest input purchase point and output sale point (an indicator of market access). M&E systems: accountablity M&E systems: learning In process of design No systematic approach at country level (11- 2.2.1) Learning practices/ Mechanisms: exchange etc. ref:ws358.tmp FG No systematic approach at country level (II-II- 2.2.2) Financial resources spent and number of functions/services performed by IDE/ Winrock and other external agencies (an indication of market subsidy; decreasing subsidy requirements over time is an indication of market sustainability.) In process of implementation Strategy and Work Plan for the Task Unit on Impact Assessment and Organizational Learning” (28-01-2004) Strategy and Work Plan for the Task Unit on Impact Assessment and Organisational Learning” (28-01-2004) (II-I- 11) (II-Annex III and II-I- 11) Page 44 Table 3.3: Intervention chain TMF-South North Federations and partners in Kenya (only TMF relevant actions) Assessment criteria General Objective (mission) : Together with its partners in the South a rights-based approach is developed to regional and multilateral trade negotiations and international trade and investment relations ref:ws358.tmp FG Target groups (needs and expectations) - Nowadays many people especially in Southern countries are negatively affected by the WTO negotiations and EPA proposals of the EU. 2.1 - This has negative effects on the position of the poor (and their countries) 2.1 Local Partner TMF organisation DGIS/DDE - - - - Local NGO’s had no means to have a strong influence on their governments, who in their turn also have a weak position in the international negotiations. 2.1 Their missions are to have a stronger influence on behalf of their respective target groups (consumers, small producers, disabled, rural poor etc.) 3.2, A.1.2, A.2.1.2 - The professional competence and collective intelligence built up in the Dutch NGO’s form an important asset four the Dutch society as a whole.`5.1.4 Consequently these NGO’s have very good reasons to maintain and where possible strengthen their basis in order to work for: - More international justice and fair trade 3.2, 3.5 - Poverty reduction in Southern partner countries and awareness raising on consequences of poverty in South and North 3.2, 3.5 - For the Netherlands in WTO trade negotiations, not sufficiently knowing the interests of the poor and the effects of unilateral negotiation positions, would strongly jeopardise the millennium goals of the UN: ‘make poverty history’ in particular. And this jeopardises the Dutch government having signed the millennium goals. e.g 5.1.4 The TMF programme allows the Dutch government to acquire this knowledge and experience at low costs including the support from the South. e.g 5.1.4 Page 45 Assessment criteria Project Purposes Results Target groups (needs and expectations) - Southern small-scale producers and consumers have made their voice and interests clearly heard in international NGOnetworks and coalitions 4.2 Local Partner TMF organisation DGIS/DDE - - - - - - - Tangible proposals are tabled and public acceptance is raised to promote a better coherence between trade- and human rights law 4.3 Economic literacy as to trade and investment agreements is raised to a level that enables an informed public and parliamentary debate in the Southern countries, Europe and in the Netherlands on trade policies and – priorities;4.3 See Outputs table 4.3 4.3 GJT project is strongly and directly in line with the purposes of TMF programme 4.2 Though poorly reported, in general the results of SNF project ‘get the benefit of the doubt’ according to DGIS-DDE 6.3 Activities perceived by the evaluators in Kenya (as most activities are performed in international networks, evaluators have strong reasons to believe that these Kenyan activities are not exceptional, but rather representative) Activities Fair - Fair income for: - Organising and doing fair trade - Organising and doing fair trade - No special observations Trade with Northern partners 5.1.1 with Southern partners 5.1.1 - small producers & from DDE for this - workers - Co-operate in and expand - Support and do co-operation in component 4.4.1 - Market access (inter)national networks (IFATà and expand international - Evaluators observed RNE COFTAà KEFAT) 5.1.1 improved for these networks (IFATà COFTA) in Kenya having no stake products 5.1.1 5.1.1 - Organising and participating in yet, but positive interest now. A.5.2 workshops, advocacy and network - Organising and participating in capacity building and quality workshops, advocacy and control system in order to meet network capacity building in needs of target groups 5.1.1 South 5.1.1 - Pilot ISC system for product - Introduce pilot ISC system for quality 4.4.1, 5.1.1 product quality, reinforcing trade justice 4.4.1, 5.1.1 Activities - Market access - Organise national lobby’s (South) - Support international and - No special observations ref:ws358.tmp FG See Outputs table 4.3 4.3 - Southern CSO’s, participating in the programme, can show a clear record of lobbying their governments to include human rights concerns in trade and investment negotiations 4.3 Economic literacy as to trade and investment agreements is raised to a level that enables an informed public and parliamentary debate in the Southern countries, Europe and in the Netherlands on trade policies and – priorities;4.3 See Outputs Table 4.3 4.3 - Page 46 Assessment criteria Market access and investment 4.4.2 Activities Health and Trade 4.4.3 Target groups (needs and expectations) improved for the country as a whole 5.1.2 - The 2 organisations piloting the ICS claim ‘there is not so much new in it. We already do it’.5.1.2 - Consumers rights fulfilled: - A/ consumer education/information, - B/ safe and good quality food, - C/ basic needs fulfilment. 5.1.3 Local Partner - - for WTO Hong Kong and “Stop EPA” campaign 5.1.2 Participate in creation of African Trade Network (ATN) 5.1.2 Produce (also materials for) public education campaign to influence EPA’s 5.1.2 Co-operate in tripartite partnership: consumer studies and education 5.1.3 Activities in national committees 5.1.3 Do advocacy for consumers 5.1.3 Co-operate in network CI 5.1.3 TMF organisation - - Activities SNFBureau – overall coordination 4.4.4 Inputs (budget/ expenditure) figures for 2003, % for total period 2.2 - Indicators - (in general indicators are - ref:ws358.tmp FG - Linking networks for a common purpose of justice and fair trade 5.1.4 Participation No target group indicators can be found in the plans 4.5 Only at the general - - Organising multi-stakeholder workshops in Kenya 5.1.4 Overall project information and feed-back reporting 5.1.4, 6.3 Participation and facilitation 5.2.1 Active inputs in activities 5.2.1 Research and information 5.2.1 30% of total GTJ budget spent in (or to) the South for project activities 2.2 - Indicators are formulated in strategic plans of Southern NGO’s only. A.2.1.7 Wemos’ report 2004 only - - DGIS/DDE national lobby’s (South and North) for WTO Hong Kong and “Stop EPA” campaign 5.1.2 Support creation of African Trade Network (ATN) 5.1.2 Co-operate in tripartite partnership: consumer studies and education 5.1.3 Activities international for a 5.1.3 Participation in international Food Trade and Nutrition FTN network 5.1.3 Support Southern partners 5.1.3 Co-ordinating Coalitie Eerlijke Handel 5.1.4 Co-ordination activities for project management 5.1.4 Participation and facilitation 5.2.1 Active inputs in activities 5.2.1 Research and Information 5.2.1 70% of total GTJ budget spent in the North (mainly salaries of project staff) for project activities.2.2 Wemos’ report 2004 shows concerning themselves and other Northern participants: 4.4.3 from DDE for this component - No special observations from DDE for this component - Responsible contact and control person 6.3 - Management monitoring 6.3 An M&E system and format was proposed by DDE shortly after the start of the GTJ project. It was discussed but not concluded or imposed. 6.3 No indicators are formulated for monitoring and evaluation of programmatic activities of - - Page 47 Assessment criteria not ex ante formulated in the GTJ project. Therefore only some ex-post examples are shown in this table) Target groups (needs and expectations) objective level four “indicators” are mentioned (thought these are not SMART) 4.3 - Only Wemos shows attention to indicators in its annual report.4.5 - The other GTJ partners have distributed quantitative data over nearly all boxes of the “logical frameworks”, which are not consistent with each other, among the different GTJ partners. Project plan 2005 Local Partner Conditions/ Assumptions - - None are made explicit indicates, as an indicator for the Southern partners: 4.4.3 - 2 more Southern partner NGO’s are identified, selected and involved in the project - in the FTN-coalition: - Information about national lobby strategies has been shared among the group members and, if relevant, the strategies have been co-ordinated - at the international level (WTO and other relevant international institutions like the Codex Alimentarius) a systematised and coherent joint lobby has been implemented - All group members have collected and shared factual information and evidence on WTO issues, including gender specific information - 2 case studies have been conducted in 2 countries, preferably gender specific No conditions/assumptions formulated TMF organisation - - FTN-coalition: - each partner shares information and positions with interested NGO’s and networks and tries to mobilise support for the positions of the group - GATS and FTN - At least 2 groups of health workers (i.e. home care, general practitioner assistants) have been mobilised and involved into the work of Wemos. - In at least 7 provinces 1 group of health workers or health institution has organised activities at the ‘solidarity day’ - From the majority of the provinces 5000 health workers and 14 health institutions have visibly expressed their solidarity at the ‘solidarity day’ No conditions/assumptions formulated DGIS/DDE SNF consortium Project plan 2005 - M&E systems: accountability ref:ws358.tmp FG - Ad hoc field studies by local partners A.2.1.4 - Systematic accountant reports by local partner are reported A.2.1.7 Systems different for each donor, - Liquidity forecasting in context of annual plans A.1.7 Systems different for each - No formulated conditions/assumptions An observation was made at contracting about a meeting about the reporting formats 6.3 Project supervisor and financial controller use indicators (budget-items) Page 48 Assessment criteria M&E systems: learning Learning practices/ Mechanisms: exchange etc. Target groups (needs and expectations) - Lobby NGO’s are much keen at participation level, numbers e.g. for public events A.2.1.5 - Ad hoc field studies by local partner A.2.1.4 - Consumer information systematically collected A.1.4, A.2.1.4 - Immediate and often short-term interests leave little room for other learning than about practical aspects a.2.1.5 - Although the 2 organisations piloting the ICS are not happy with ICS yet, all partners’ show to match properly with GTJ partners as they say to ‘learn a lot with competent Dutch partners’ A.2.1.5 Local Partner but all have accountant control systems A.2.1.7 - - - ref:ws358.tmp FG TMF organisation donor, but all have accountant control systems A.1.7 Narrative and financial reporting of events (workshops, training, seminars, exposure visits, international meetings etc.) A.2.1.7, A.2.1.10 - Long term interests are at stake A.5 Much information is received from and delivered to international partners A.4 Sharing experiences, mutually crossing sector borders (consumers-producerspoliticians), has advanced and is being discussed, though of course problematic a.3 Advocacy training allows for much guided discussion A.4 Exposure in international scene calls for professional reflection A.2.1.10 Regular reflection sessions after events allow for double and triple loop learning 3.7, A.1.7, A.2.1.7 - half yearly reporting App.2 annual planning App.2 annual reporting App.2 DGIS/DDE - - - - - Long term interests are at stake 4.2 Sharing experiences, mutually crossing sector borders among Dutch NGO’s, has advanced and is at stake in the GTJ project. 5.2.1, A.1.1 Facilitating advocacy training is evaluated regularly though not reported on paper. 3.7, 6.3 Exposure in international scene is sensitive and needs and receives lot of attention 3.7, A.2.1.7 Regular reflection sessions after events allow for double and triple loop learning 3.7, A.1.7, A.2.1.7 - - for monitoring 6.2 Systematisation and sharing of management information takes place at DGIS-DDE 6.3 M&E is in practice restricted to the puzzling financial aspects. 6.3 Little DDE time can be spent to content, hence no dialogue on policy issues takes place. 6.3 In general the relation is rather distant: 6.3 - The DGIS desk-officer had one meeting with the co-ordinator if the SNF - Mainly telephone, emailing and formal letters form the means of communication The embassy in Nairobi was generally informed about the existence of the project, though not clearly committed. A.5.2 Page 49 4. Analysis of outcome, effects and impact at the local level from TMF organisations and their local partners Table 4.1: Effects interventions Hope Enterprises on target-groups (relevant to TMF-funded areas of work) Description main areas of activities (output/products/ Services) Job-mediation for graduates and exgraduates of Hope Schools MSME-incubation and development (56-66) Results/Outcome Effects Impact (wider environment) - - - 274 (ex-) graduates in Addis Ababa and 42 in Dessie have been placed in a job. 80% of the total number of beneficiaries that opt for this possibility - Contacts and agreements with 186 enterprises for internships and jobplacement (6.11) - Business plans developed for 5 enterprises - 4 micro enterprises established and running - Not achieving planning (6.12) Provision of collateral for microfinance of MSME’s (62-66) - Provision of general education (48-51) - ref:ws358.tmp FG Only one enterprise has taken a loan of 5,000 Euro (6.12) Approximately 150 children (yearly) have completed the chain from kindergarten to basic education (10 years) in two schools (other schools are still underway to complete the The ex-graduates interviewed showed good self-esteem - The ex-graduates showed satisfaction with salary (and increases obtained) - Interviewees indicated they are now able to help families and households (7.2) - Partners outlook and confidence levels have improved - Owners in two of the four micro enterprises are able to sustain their lives from own income - Two of the enterprises have secured contracts with a construction company (7.3) - The business has taken off with the bank loan - Owners are able to sustain their lives through incomes earned from the business (7.3) - Many Hope graduates proceed to University preparatory college - Other Hope graduates continue in Technical and Vocational training (7.1) No wider economic impact of jobplacements in the environment of the interviewees (above family level) - Enterprises in the network of JBC’s now pro-actively request for new applicants - Other colleges (through bureau for social and civil affairs in Addis Ababa) have learned from Hope approach (7.2) - Too early to see wider economic impact (7.3) - Too early to see wider impact (7.3) - - Government institutions at the local level are satisfied with Hope performance, but no or limited interest to adopt or fund Hope approaches and activities Limited impact at the national policy level Page 50 Delivery of vocational education (48-51) chain (6.10) - 140 graduates in Dessie and 469 graduates in Addis have completed vocational training in various fields in the last 4 years (6.10) (7.1) - 80% of graduates opting for employment have received secure paid employment (excluding 2005) - more than 40% students in Dessie have continued education in third year government vocational college. In Addis competition is to fierce to get Hope children placed in colleges (7.2) - Government institutions at the local level are satisfied with Hope performance, but no or limited interest to adopt or fund Hope approaches and activities - Limited impact at the national policy level: on one issue (flexibility and decentralisation of TVT curriculum, Hope Enterprises has achieved impact) (7.2) Table 4.2: Effects interventions IDE Zambia on target-groups (relevant to TMF-funded areas of work) Description activity (output/produc t/service) Results/Outcome Distribution of simple low cost irrigation system Treadle Pump, Drip Irrigation and related technology (e.g. tanks for rain harvesting) - Effects Impact (wider environment) - The extra income is spent on the following items in order of importance: - Food - Education-fees, uniforms - Inputs - Clothing - Health This was based on some available data and confirmed during discussions with farmer families - Programme does not reach the 10% poorest people in society (landless) (II-Annex II) - Since 1997 a total of 8000 TP have been distributed through IDE and direct private sector partners 394 Drip irrigation systems sold since 2000 Setting up a network of producers and ref:ws358.tmp FG - Local producers trained to produce TP Local producer issued a loan US$ - A crop mix of at least 3 or 4 urban vegetable crops cultivated on a 3 lima plot of land with two to three crop production cycles, the farmers have exceeded the incremental net income of US$ 300, earning a total net annual income in excess of US$ 500. This is in addition to the other crop enterprises that the smallholders have, translates to a higher net annual income. The drip systems have predominantly been sold to emerging farmers(as opposed to SM’s) 15 retailers established of which 13 active 16 manufacturers of which 9 active Signs of independent business development and competition begin to show e.g producer who sells at lower price then IDE Page 51 retailers Arrange credit for the sale of the technology with partners Sub sector analysis to explore viability of variations in cash crops Intermediate in finding markets for output of small holder produce 28000 to produce pipes for drip systems Arrangements with Micro Bankers Trust have been established (II-II- 7, 8, 9, 10) TP sales to SH on bank credit Retail network slowly extending (II-II- 9) Credit system developing independent of IDE Studies on paprika, cotton and vegetables have been conducted by researchers - - - - - ref:ws358.tmp FG IDE has linked 100 smallholder producers of paprika to Cheetah Zambia. Cheetah Zambia provides processing facility then exports to RSA Contacts between farmers and supermarkets were established Organic vegetable production is in trial Experiments with new cash crops have been promoted Farmers gain experience in the choice between various alternative ways to gain and increase cash incomes Cheetah input 50% Large farmers and 50% SH positive about the link with Sylva Catering, which buys traditional crops for drying. production of lemon grass failure because the buying company did not keep promises to farmers one farmer lost his special bean crop because the buying company (Agriflora) had failed to provide promised crop spraying in time which resulted in a total loss of the field Premium prices paid for organic products in Chongwe area, 40 – 60 km east of Lusaka (II-II- 7, 8, 9) Farmers have shown preference for the informal market of vegetables and successfully increased incomes. - Out-grower contracts meet criticism from farmers side because of their week negotiating position (II-II- 8) extra cash income contributes directly to poverty reduction by the way it spent on direct pressing needs like school fees, food. (Volume I- 3.4.2) Page 52 Table 4.3: Effects interventions South North Federation Network GTJ on relevant stakeholders (relevant to TMFfunded areas of work) Description activities (output/product/s ervice) Results/Outcome Effects Impact (wider environment) Fair Trade - Pilot trials on ICS Market access reinforced trough FINE advocacy office in Brussels for networking at EU level COFTA created Southern small-scale producers and consumers have made their voice and interests clearly heard in international NGO-networks and coalitions Research findings launched in educational version for public awareness (EcoNews 27th Sept) Almost all Southern partners have sent participants to relevant international conferences/ meetings ATN created Most southern partners are members of national committees of government (CIN in Kenya Bureau of Standards, IEA/EcoNews/ members of KEPLOTRADE, NCWTO - 2 African companies execute plan to introduce ICS Undugu tries to adopt ICS for its own internal organisation Fair Trade has adopted ICS for its internal organisation Awareness of real product quality questions increased among producers and traders of fair trade products Position of Kenya in EPA’s /WTO negotiations enhanced. Prominent performance of Kenyan delegation in Hong Kong Stronger advocacy for consumers, small producers (including handicapped people) Southern CSO’s, participating in the programme, can show a clear record of lobbying their governments to include human rights concerns in trade and investment negotiations - presidency of National Kenyan WTO subcommittee on consumer rights Presence in all committees of standardisation bureau Chapter on consumer rights in new draft constitution of Kenya Tripartite partnership Kenya-Bolivia- - Strong influence on Kenyan position for WTO ministerial Influence on national standards Plus-value from co-ordinated research Effects of extensive coverage in media on consumer rights Stronger advocacy of consumers - 5.1.1, 5.2.1 - Market access and investment - 5.1.2, 5.2.1 - Health and Trade - 5.1.3, 5.2.1 - ref:ws358.tmp FG - - - - - - Standardised quality and potential started to develop for more ‘Fair Trade’ trademarks like Max Havelaar Strengthening of IFAT by stronger coordination at African Continent Southern and Northern positions better informed and prepared earlier. Hence more balance in WTO and EPA negotiations Significant mutuality in North-South cooperation Stronger South-South co-operation Strengthened democracy by stronger role of NGO’s in Kenya. More and better exposure of the South in world matters Strengthened African co-operation in trade affairs Better informed and balanced Southern policy making and implementation WTO negotiations less unilaterally producer and trader biased, i.e. more consumer related Tangible proposals are tabled and public acceptance is raised to promote a better Page 53 Description activities (output/product/s ervice) Results/Outcome SNF-Bureau – overall coordination - 5.1.4, 5.2.2 ref:ws358.tmp FG the Netherlands Media exposure nourished by GTJ CIN has better content for its media education branch in Mombassa (outreach) Dutch policy document “Op weg naar een duurzaam resultaat in Hong Kong” Tigoni workshop inspired ideas and very important initiatives, which are yet to be materialised and need further efforts (as scheduled) Effects - Awareness created on consumer rights - The Dutch parliament and ministries of Economic Affairs and of International Co-operation Affairs have appreciated the ‘Result’ mentioned. Positive motivation and efforts to organise again multi-stakeholder actions. Strong demand for assistance exists now while no demand existed before Tigoni - Impact (wider environment) coherence between trade- and human rights law.” - - Economic literacy as to trade and investment agreements is raised to a level that enables an informed public and parliamentary debate in the Southern countries, Europe and in the Netherlands on trade policies and – priorities A rights-based approach to regional and multilateral trade-negotiations and international trade and investment relations. Page 54 Annex 5: Sub-study ToR The sub-study ToR is derived from: Request for quotations Evaluation of the Theme-Based Co-financing Programme 2005 / S 4-003592 ECONOMIC DEVELOPMENT STUDY 1. Policy context Economic growth in developing countries should come about with the active participation of the poor, so that they can directly contribute to that growth and also benefit from it. According to this view, referred to as pro-poor growth, economic growth must be accompanied by sustainable job creation, health care and education, reforms in access to land and other factors of production, the promotion of social organisation, decent pay and an emphasis on the most vulnerable groups in society. Well-functioning public institutions are essential for pro-poor growth. But it is equally important that the private sector be given full scope to develop. Striking a good balance between the public and private sectors is the best way of creating an upward spiral. Full advantage has not yet been taken, however, of the private sector’s potential for pro-poor growth. It is therefore important to develop policy that encourages the private sector to reach its potential. The Policy Framework for Theme-based Co-financing (TMF) for the 2003-2006 and 2004-2007 grant periods state that the aim of policy is to contribute to sustainable economic development in developing countries by supporting interventions at different levels: · Improving the international policy environment by contributing to the Dutch position and efforts in the area of trade policy and trade and investment issues, with a view to improving economic conditions in developing countries · Improving the national policy environment by contributing – via embassies and international/multilateral organisations – to capacity building for policy making and implementation in the field of sustainable pro-poor economic growth · Strengthening private enterprise and business development in developing countries The activities must contribute to policymaking in the fields mentioned in the policy memorandum and to qualify for support, they must satisfy one or more of the following criteria: · Activities must act as catalysts, expanding the range of possibilities or the scope for support from third parties. · Activities must be innovative. Making use of lessons learned, they must contribute to the development of new insights, approaches, methods and methodologies, which, if successful, can be applied on a larger scale. · Activities must help to influence policy with a view to improving the national and international policy environment. · Activities must have a cross-border effect. 2. Study-Specific Questions Three TMF organisations have been selected for the economic development study, which focuses on Africa. The study-specific questions are: 1. Chart the sphere of activity of TMF organisations working in the field of sustainable economic development. Explanation: The answer to this question must offer of present insight to the extent in which the three to evaluate organisations are representative for all organisations which are supported by the Dutch government within this topic. ref:ws358.tmp FG Page 55 2. How does the TMF policy framework influence the form and effects of activities in the field of sustainable economic development and what are the specific advantages and disadvantages of TMF’s theme-specific approach to sustainable economic development? 3. To what extent do TMF partners operating in the field of sustainable economic development help strengthen civil society in the developing world? 4. The aim of TMF is to give organisations more money with fewer conditions attached and with a longer-term (three to four-year) relationship. To what extent has this led to greater efficiency, effectiveness and professionalism among TMF organisations operating in the field of sustainable economic development? 5. What are the main aspects of sustainable economic development in the selected region, and how have they changed in the past 5 to 10 years? 6. To what extent do TMF activities tie in with these aspects, and to what extent have TMF organisations responded to developments in the field of sustainable economic development in the selected region? 7. How do the activities and partner organisations of TMF organisations operating in the field of sustainable economic development and in the selected region differ from bilateral activities and partner organisations or activities and partner organisations connected to the cofinancing organisations (MFOs) in the same field and in the same region? 8. Was there co-ordination with MFOs and embassies and, if so, did it lead to changes in the activities and partner organisations of the TMF organisations, MFOs or embassies? 9. Following on from the previous question, to what extent is there (a) duplication of activities, (b) parallel activities, and (c) synergy? 10. To what extent is gender structurally and systematically integrated into policy, policy implementation and monitoring of TMF organisations operating in the field of sustainable economic development? 11. To what extent do the activities of the TMF organisations contribute to the policy objectives of sustainable economic development? 12. To what extent do the activities of the TMF organisations satisfy one or more of the four criteria mentioned in the policy framework? ref:ws358.tmp FG Page 56
