Compendium Lessons Learnt electronic version

Compendium

of Lessons Learnt

Monitoring system for the implementation of projects and programmes of external cooperation LOT 3 – Asia and Central Asia

Compendium of Lessons Learnt – Asia – January 2009 2

This document (Annex 4 to the Annual Report 2009) comprises a collection of lessons learnt identified by monitors in the course of their work in Asia over the last year and includes both positive and negative experiences. One of the main lessons learnt arising from the ROM exercise is that on the one hand, the same mistakes are frequently made and on the other, successes are not capitalised and built upon. There is clearly a need to pay more heed to what works, what doesn’t and why. The information provided on the selected projects is not meant to be exhaustive but rather to draw attention to some of the more commonly occurring weaknesses and strengths of EC financed actions in the region. Our sincere thanks to the following monitors for their contributions:

Ameije Karel Canossa Massimo Colson François Cook Francesca Debord Pascale Degryse Sylvie del Bas Jordi Faber Floris Fisher Keith Girod Raphaël Graves Geoff Labeeuw Jaak Madsen Britta Matthijssen Judith McLure Douglas Meindertsma Jan Douwe Newman Steven Reichert Rolf Tonchev Plamen Topper Egbert Van Esbroek Dirk Vivar Jorge Welch Peter Wilke Marcus


I. DESIGN ISSUES --------------------------------------------------------------------------------------- 5

i General -------------------------------------------------------------------------------------------- 6

1 - EU China River Basin Management Programme -------------------------------------------------------- 7

2 - Bangladesh Investment Climate Fund (BICF) ----------------------------------------------------------- 9

3 - Amélioration des conditions sanitaires des populations rurales vulnérables (provinces de Vientiane et de Sayabouri) par l’appropriation communautaire et le renforcement des capacités de la Croix-Rouge --- 10

ii The Importance of a Conducive Environment ------------------------------------------- 11

4 - Towards the local ownership of rehabilitation sector for people with physical disabilities (PWPD) – Handicap International ------------------------------------------------------------------------------------- 12

iii Roles and Responsibilities ------------------------------------------------------------------- 13

5 - Increasing Relevance and Effectiveness of HIV/AIDS Prevention ------------------------------------ 14

6 - Health Behavioural Change Communication (BCC) Project - UNICEF ------------------------------ 15

iv The Need for Focuss -------------------------------------------------------------------------- 17

7 - EU-China Natural Forest Management Project (NFMP) ---------------------------------------------- 18

8- Integrated Community Based Program for Conflict Affected People through Livelihood Support and Capacity Development in Western Region Nepal --------------------------------------------------------- 19

9 - Support to the Renovation of Education Management (SREM) --------------------------------------- 21

v Pilot Projects ----------------------------------------------------------------------------------- 23

10 - Eliminating Torture in India: from Public Awareness to State Accountability ---------------------- 24

vi Consolidation ----------------------------------------------------------------------------------- 25

11 - Including the excluded: vulnerable communities build secure livelihoods --------------------------- 26

vii Procedural Weaknesses ---------------------------------------------------------------------- 27

12 - Support to the livestock sector in Bhutan ------------------------------------------------------------- 28

13 - Thai Nguyen Women’s Economic Collaboration for Development (ECCODE) -------------------- 29

14 - Upgrading the technical know-how and marketing skills of Indonesian SMEs producing and processing patchouli essential oil with a view to promoting fair trade partnerships with EU companies producing natural fragrances and food flavourings ---------------------------------------------------------------------------- 30

viii Project Set Up ---------------------------------------------------------------------------------- 32

15 - Java Reconstruction Fund (Multi-donor Trust Fund) ------------------------------------------------- 33

16 - EU-China Trade Project (EUCTP): Support to China’s Integration into the World Trading System (WTOII) ---------------------------------------------------------------------------------------------------- 34

17 - Basic Education – Sector Capacity Support Programme (BE-SCSP) -------------------------------- 36

II. REGIONALS ---------------------------------------------------------------------------------------- 37

18 - ASEAN Centre for Biodiversity ---------------------------------------------------------------------- 38


19 - Linking the postgraduate education in aquaculture and aquatic resources management with its industries through an internship programme -------------------------------------------------------------------------- 40

III. SECTOR SPECIFIC --------------------------------------------------------------------------------- 41

i Agriculture ------------------------------------------------------------------------------------- 42

20 - Improved Livelihoods for Cotton Farmers, Weavers and Garment Makers in South India --------- 43

21 - Economic and Social Relaunch of Northwest Provinces (ECOSORN) – Ministry of Agriculture, Forestry and Fisheries of Cambodia --------------------------------------------------------------------------------- 44

22 - Increasing Food and Nutritional Security for Resource Poor Farmers in Jamalpur and Faridpur Districts - FoSHoL – ITDG ------------------------------------------------------------------------------------------- 45

23 - Partnership for Food Security Project - FOSHOL - CARE ------------------------------------------- 47

ii Forestry ----------------------------------------------------------------------------------------- 48

24 - Promoting the conservation and sustainable management of the lowland forests of South Central Kalimantan ------------------------------------------------------------------------------------------------- 49

iii Natural Resources ----------------------------------------------------------------------------- 51

25 - Better Management Practices for ‘water thirsty crops’: ensuring sustainable sources of fresh water to support the livelihoods of poor communities in Pakistan -------------------------------------------------- 52

iv Health -------------------------------------------------------------------------------------------- 54

26 - Primary Health Care and Nutrition Services for Uprooted People in Northern Rakhine State” (REH/2007/141-810), implemented by Malteser International; and “A Primary Health Intervention for Uprooted People in the Western Border Areas of Myanmar ---------------------------------------------- 55


I. DESIGN ISSUES


i General


Project Title 1 - EU China River Basin Management Programme

Project Number 2004/006-083 Country China

EC contribution € 24,995,500

Project Background Objectives

A key element of China’s eleventh Five-year Plan for 2006-2010 is to strengthen environmental protection. Of particular concern is the decline in both the quantity and quality of China’s water resources at a time when there is increasing demand. In particular, China’s two largest rivers, the Yangtze River and the Yellow River contribute to a significant proportion of China’s water balance but are going through continual degradation due to a variety of factors. A significant proportion of China’s population and industry is concentrated within the catchment areas of these two rivers, thus impacting on demand and increasing pollution. The Overall Objective of the project is to attain sustainable management and use of China’s water resources which is compatible with current socio-economic and natural global change. The Project Purpose is “Established integrated river basin management practices in the Yellow and Yangtze River basins that are environmentally sustainable and address global, national and local environmental concerns which can be replicated in other regions of China”. The project has three expected Results:

An established platform for dialogue on river basin and water resource management resulting in evolution of policy directives linked to river basin management implementation which are derived from research, studies and exchange concerning water-related environmental issues at global, European, national, grassroots and intermediate levels.

A replicable approach to environmentally stable integrated river basin management among major stakeholders and the local population including women and marginalised/vulnerable groups, utilising knowledge from European and other river basin management practices, demonstrated through reduction of water pollution in the Yellow River project area (Wei, Fen, Shu Shui and Yellow River area).

A replicable approach to environmentally stable integrated river basin management involving major stakeholders and the local population at all levels demonstrated through reduction of the degradation of natural resources and consequent improved socio-economic condition of the local population including women and marginalised/vulnerable groups in the highly degraded environments of the upper reaches of the Yangtze River.

Lessons Learnt

The project represents an excellent training opportunity for EC HQ and EC Delegations in that there were many lessons learnt about aid effectiveness in relation to the project modality. Meta evaluations in the EC-Asia portfolio have shown that procedural and management issues account for a greater share of failure of projects to reach their purpose or desired impact/sustainability than any technical or sector specific issues. The fundamental issues can be broken down into (1) common weaknesses in aspects of design and (2) problems with procedures that mean that design weaknesses are rarely corrected.


Common design weaknesses

(1) The missing wisdom (coherence): The design of any intervention should be clearly explained in a single document. This is rarely the case. In chronological order, interventions can have an appraisal (identification or formulation) document, financing agreement, service contract, inception report, overall work plan, annual work plan and progress report. The most intensive and empirical design elements (especially critical assumptions) tend to be in the appraisal document. These elements are commonly degraded by transcriptions into later documents. Finding: It is common that the implementation team have never seen or heard of the appraisal document and it is rarely cited in the critical “inception report”.

(2) Clarity: Given the nature of international development which entails co-operation between people from different cultures who speak different languages it is important that the design elements are clear and simple. Finding: Most development interventions suffer from a lack of clarity in relation to critical aspects of design. Financing agreements are still inadequate in terms of clarity of outputs, underlying logic and arbitration procedures for changes in results or purpose. The following set of basic questions are rarely answered clearly in a unanimous way by the implementing partners:

What is the project about? What will be the state of affairs at the end of the project? (single project

purpose) Who or what will maintain the good work? (sustainability) How will the good state of affairs spread? (impact) Who is expected to do what by when? What are the power-relationships e.g. are the implementers’ advisors,

directors or planners? What are the assumptions and or hypotheses? What is flexible and what is not in the relationship and what is the protocol

for agreeing on changes and delays? What report and planning template should be used? What common MIS M+E GIS approach should be adopted so as to stop

projects inventing square wheels with its linked lack of efficiency? (3) Realism: The “superhuman” team leader or co-director is commonly

encountered The idea that a single person can be:

A technical advisor Good people manager/facilitator Finance, accounting, contracting and procurement expert Monitoring and evaluation specialist

Is totally unrealistic and known to be a non starter in the private sector where the tasks are done by a team. Procedural problems

An inception report is critical because it is an opportunity to update/correct the design after appraisal up to 5 years having elapsed.

Delegation staff still does not appear to have adequate training to allow them to detect and correct common design errors.

There are still problems of transcribing formulation documents into FA TAPS.


Project Title 2 - Bangladesh Investment Climate Fund (BICF)

Project Number 2006/125-220 Country Bangladesh



Bangladesh’s ambitious poverty-reduction goals (halving the number of people in poverty by 2015 while presently achieving a reported 2% annual poverty-reduction rate) necessitate sustained economic growth that can be fuelled by an improved business sector. Reform is underway but Bangladesh still ranks near the bottom of most private sector development-related indicators. Unstable energy and electricity supplies, corruption and regulatory and administrative burdens remain the largest barriers to business sector development. The project’s Overall Objective is to reduce poverty and improve people's lives through the promotion of sustainable private sector development in Bangladesh. Specific objectives comprise: i) reduced overall regulatory burden on investors, institution of regulatory impact assessments and re-engineered administrative processes; ii) improved regulatory framework and institutions for establishing economic zones, and iii) stronger Private Sector Development (PSD) capacity and awareness in Bangladesh.

Lessons Learnt

Project structure and set up. Having policy and operational capacities work together in a ‘centralised’ management structure has given credibility to the project. The International Finance Corporation in-house availability of PSD expertise and the permanent presence of M&E project staff and their collaboration with sector managers have allowed the project to be reactive and become results-oriented. The project operates at different levels – regulators, government, civil service, business stakeholders and operators, civil service – and this multi-pronged approach is giving the wide application that is required for instigating change (even if this is at an elementary level such as the introduction of automation in governmental business services). Donor collaboration. The project implementation to date has demonstrated the importance of establishing an adequate project identity, in the case where the EC is a significant donor to an intervention that is carried out by a specialised international organisation. The risk of under-exposure both in terms of acknowledgement for EC funding and a policy input deficit due to IFC’s country profile is real. Project duration. The provision of an 8-year timescale for this project has proven relevant and adequate. The aimed objectives of the project are vast and often highly ambitious, and the interface with complex or contentious issues such as land entitlement and the establishment of Economic Zones (ECs) deserve sufficient time.


Project Title 3 - Amélioration des conditions sanitaires des populations rurales vulnérables (provinces de Vientiane et de Sayabouri) par l’appropriation communautaire et le renforcement des capacités de la Croix-Rouge Lao

Project Number 2007/133-960 Country Laos

EC contribution € 750,000


The overall objective of the project is to contribute to poverty reduction among vulnerable rural populations of Laos through the improvement of their living conditions by addressing their needs and rights to access to water, sanitation, health education and first aid in 30 villages in the Vientiane and Sayabouri Provinces. The project is building on a previous project implemented in the same provinces from June 2003 to January 2007 “Education à la Santé et Amélioration des Conditions Sanitaires sur les Provinces de Vientiane et Sayabouri”. The approach is participatory and twofold: preventive and curative. It aims at improving the sanitary conditions of the vulnerable populations through the construction of water and sanitation schemes, through the adoption of hygienic behaviour as well as through capacity building of the Lao Red Cross in order to sustain the improvements achieved. It targets minorities with special attention to women and children. It aims at appropriation by the rural communities and the District institutional bodies.

Lessons Learnt

The project design is very good; it is participatory at different levels, however there are concerns regarding the prospects for sustainability. The lesson which can be learnt from this action derives from the indicators established by the GoL to reach the targets of the millennium development goals. As regards the sanitation schemes, the model of latrines selected by the GoL as being an indicator of development is a sophisticated model, which is not the most appropriate model for remote villages. Indeed, the long-term sustainability of such latrines is questionable as it involves the use of materials, which are relatively expensive and not locally available (ceramic rings, cement, etc) and the same can be said for the skills required for emptying the latrines. Attention needs to be drawn to the fact that projects are sometimes caught between the requirements of high level development targets and their measurement instead of adopting solutions adapted to the needs of people in the most sustainable manner (using local material etc.). In this kind of situation, the project does not seem to have a lot of room for manoeuvre; it can only advocate for the use of better adapted solutions but leaves the final choice with the beneficiary population. In conclusion, some development indicators established at higher levels are probably relevant for the medium term but can sometimes be more questionable in the longer term.


ii The Importance of a Conducive Environment


Project Title 4 - Towards the local ownership of rehabilitation sector for people with physical disabilities (PWPD) – Handicap International

Project Number 2005/094-721 Country Cambodia – 2006-2009 (no-cost extension from 31-12-08)


Project Background and

Objectives

Cambodia’s recent history of war has resulted in numerous internal problems. These include the breakdown of basic social and health services, the destruction of national infrastructure, the presence of millions of landmines throughout the country, and the absolute poverty of a significant proportion of its citizens. In this context, People With Physical Disabilities (PWPD) suffer from a wide range of problems and form one of the most vulnerable groups. In a country where assets and income are constrained, most people need to rely on physical labour to generate income. Overall Objective: To improve the quality of life of PWPD in 5 provinces of Cambodia (Kampong Cham, Takeo, Siem Reap, Kampong Thom and Preah Vihear) through the provision of diversified rehabilitation services (physical and socio-economic). Project Purpose: To increase the capacity of Cambodian public authorities and civil society in providing access for PWPD to physical and socio-economic quality rehabilitation services in physical rehabilitation centres (PRC) in Kampong Cham, Siem Reap and Takeo as well as in the community.

Lessons Learnt

The key lessons learnt from this project include: Clearly identify and ensure the level of commitment of relevant public authorities and civil society at project design phase. A Memorandum of Understanding (MoU) was signed in 2008 between the Ministry of Social Affairs, Veterans and Youth Rehabilitation (MoSVY) and the five international NGOs managing the 11 physical rehabilitation centres (PRC) in the country. The MoU stipulates that by the end of 2010, the five INGOs will phase out their involvement in the 11 physical rehabilitation centres (PRC) and that MoSVY will take over. This clear sign of commitment from the Ministry is considered a positive development and makes the project’s overall and specific objectives even more relevant for the entire sector. However, it has become clear that more time is needed to build up ownership at national and provincial government level and civil society than the lifespan of the project. It would have been far more beneficial to have had this agreement in the early stages of the project i.e. design. The project has proven to be flexible in adapting operational approaches to ensure achievement of the specific objective based on the new strategic choices of the public authorities and orientation of the public decision-makers to take ownership of the Cambodian rehabilitation sector.


iii Roles and Responsibilities


Project Title 5 - Increasing Relevance and Effectiveness of HIV/AIDS Prevention

Project Number 2003/045-809 Country Thailand - Cambodia



This pilot project drafted in 2003 was directly relevant to the Cambodian “Strategic Plan for HIV/AIDS Prevention and Care 2008-2010” objectives. The Overall Objective of the project was to decrease HIV related morbidity and mortality. The Project Purpose was twofold: (1) to further strengthen the capacities of the National Centre for HIV/AIDS, Dermatology and STD (NCHADS), and selected operational districts and non-governmental partners to set up and manage comprehensive AIDS control programmes at district level; (2) to strengthen HIV prevention towards youth and care activities of HIV infected people. The relevance of the project has successfully evolved in tune with international and national strategies. The Institute of Tropical Medicine of Antwerp (ITM), Applicant & Contractor with its partners has been able to identify the need to set up new approaches.

Lessons Learnt

The lessons to be learnt from this project are: 1- The role of coordinating multiple stakeholders with different backgrounds should be reserved for organisations with proven coordination, monitoring and reporting experiences. In the case of partnerships amongst different countries, it would be better to establish these among organisations with a similar scope of responsibilities, with similar target groups, or with similar mandates. In addition, the lead organisation should be able to demonstrate linkages with the government, NGOs, private sector agencies, local communities and other grass root stakeholders. 2- Funding should only be channelled to experienced organisations, with a proven financial information system. In the ITM case, a multi million budget project, involving several types of partners in two different countries proved too complex to manage efficiently. It would be advisable to focus on the core know-how of this knowledge based organisation and exploit its expertise in this field rather than giving it a role where it has limited experience. In the present case, ITM had a specific expertise in Research & Action (R&A) so it would have been more appropriate to outsource this specific component to them. 3- There is still a strong need for financing research and action based projects to prevent and treat HIV/AIDS. A multidisciplinary approach that attributes tasks to partners in line with their expertise is essential.


Project Title 6 - Health Behavioural Change Communication (BCC) Project - UNICEF

Project Number 2005/094-868 Country Cambodia



Objectives

Cambodia's health profile is serious enough to undermine the country's economic and social development. Cambodia is included in the global list of countries with fewer than 50% of women receiving antenatal care (38%) and less than 50% of the population using adequate sanitation facilities (17%). Although substantial efforts have been made to strengthen the provision of health services with a mixture of delivery and management modalities, these services are still very much under-utilised. In order to increase the level of utilisation of essential health services, there is a need for substantial improvement in the quality of services; in the skills, attitude and behaviour of health care providers towards their clients; and in the level of awareness of the general public on health-related matters. Behavioural Change Communication (BCC) is a critical strategy to address these issues and to initiate a virtuous circle between the provision of good quality services, improved attitude and behaviour of health care providers and better awareness of the general public to facilitate informed decision-making with regard to their health. Overall objective: To contribute to a healthier lifestyle, better health-seeking behaviour and improved delivery of aspects of the Primary Health Care Services, contributing to the reduction of poverty of the Cambodian population. Project Purpose: To improve the capacity of national, provincial and district health providers to deliver effective BCC, and in particular the capacity to plan, implement, evaluate and coordinate BCC for health.

Lessons Learnt

The BCC project has had a complex and challenging history based on difficult organisational, management and financial issues that affected the project’s progress and coordination between the EC, UNICEF and the National Centre for Health Promotion (NCHP). These issues have now been resolved putting the project largely back on track with increased ownership at national and provincial level. However, improving managerial and technical capacity at national and provincial level is key to making the BCC activities sustainable. It is unlikely that the required capacity building and implementation of remaining project activities can be accomplished within the limited project time frame. A no-cost extension was advised for this reason. Part of these problems could have been prevented if the roles and responsibilities of UNICEF and NCHP had been discussed and clarified at the project design phase. The financial and economic viability and the management capacity of NCHP as the implementing institute for BCC are not sufficiently considered in the post project context. Funds allocated by the Ministry of Health by means of a pool fund will not be enough to cover expenditures. NCHP has made some progress in developing strategic planning and reflecting on its future role and direction. Simultaneously, NCHP has made initial steps to explore simultaneously future funding


possibilities in 2008 by promoting its BCC activities in order to raise its professional and public profile. However, project sustainability and the capacity of local organisations to ensure sustainability should receive more attention at the project design stage.


iv The Need for Focus


Project Title 7 - EU-China Natural Forest Management Project (NFMP)

Project Number 2000/003-253 Country China



The Project Purpose was “to contribute to environmental stability and sustainable development of local communities by testing and demonstrating an increased range of options for sustainable management of natural resources for a variety of beneficiaries”. The project has been designed for the south western provinces of China affected by the 1998 logging ban in natural forests. It started on 01/07/2003 and was granted an extension of two years until 30/06/2010. Six years after project start, the last ROM mission highlighted limited project effectiveness: the project achieved many results in the areas of infrastructure, credit and livelihood micro projects but sylviculture demonstrations were not very effective and the four Village Forest Management Plans, finally prepared between Aug. 2008 and Nov. 2009, could not be tested because the legislation about co-management was about to change. Thus, impact will be mainly in the area of community development and moreover not 100% sustainable.

Lessons Learnt

The first lesson to be learnt from this intervention is that Financing Agreements should never focus on technical issues without paying sufficient attention to policy, especially when the intervention plans to test co-management and participatory development approaches to managing natural forests. The Village Forest Management Plans represent key outputs for the set up of co-management in China but they have no legal validity and will be potentially used only after project end, with the recently announced new status of collective forests. The second lesson to be learnt is that an adequate definition of project area, focus and organisation represent key factors in project performance. Many of the difficulties experienced by this project can be explained by design issues: i) the extensive project area (58 villages in six counties in three provinces), ii) the fragmentation of activities with a mix of micro-projects, a credit component, thematic demonstrations and finally a forest management component, iii) the inadequate project organisation with two co-directors, a Project Management Office based in Beijing where the Technical Assistance team plays the main role, a Provincial level not sufficiently involved in project management and Field Management Offices, with seconded staff, at county level, in charge of implementation of activities but without any permanent PMO coordination. Finally, the pilot aspect of an intervention should be clearly visible in the project logical frame. The process approach was not specified in the project logical frame and this tool never stressed the importance of defining models and capitalisation aspects, despite recommendations to that effect from the Monitoring Mission in 2005.


Project Title 8- Integrated Community Based Program for Conflict Affected People through Livelihood Support and Capacity Development in Western Region Nepal

Project Number 2007/142-054 Country Nepal



This project is being implemented in a post-conflict environment. The overall objectives are to increase the quality of life of conflict affected vulnerable and marginalised groups. The project aims to contribute to the achievement of sustainable holistic development in order to reduce poverty and to prevent further conflict through five components, each with a number of expected results.

Livelihood support: To upgrade the economic status of the participants by providing training and improved technology in various livelihoods related to agriculture, animal health and husbandry.

Strengthening health and psycho-social services: To increase the access and utilisation of targeted communities to basic primary health care services by upgrading the physical facilities of local health institutions, providing them with essential drugs and equipment, developing the technical capacity of the health personnel and by providing drinking water and sanitation facilities.

Child, women and youth development: To increase the self-reliance and freedom from discrimination and abuse of children, women and youths in decision making through increased awareness, skills and control of financial resources.

Community based disaster preparedness: To develop the disaster coping capacity of targeted vulnerable communities.

Capacity development of community based organisations: To strengthen the capacities of community-based organisations and local government offices by developing their conceptual, technical, social, organizing and managerial skill. The main implementation strategy to achieve these objectives and results is the provision of training to the target groups and to government and non-government supporting institutions. This is supported by limited infrastructure development.

Lessons Learnt

This is an ambitious project aiming to support development in scattered communities across a large geographic area. The project aims to have a holistic approach with interventions in the five sectors listed above. The project implementation area is very dispersed, targeting specific communities within just three Village Development Committees in each of nine districts. With the wide range of technical interventions, only some are implemented in each of the selected communities. The implementation of most interventions is also limited in terms of quantity in any one area. Despite effective and efficient project implementation, this combination of sector diversity and geographic dispersion is likely to have a significant negative effect on the impact of the development objectives.


The NGO management acknowledge that this is a weakness in the project design. One reason for this design is an understanding by the implementing NGO that the more sectors and the more geographic regions covered by the project, the more likely it is that the project proposal would be selected. The quality of project design is therefore being compromised by this perception of the project proposal selection process. The fact that this project was selected reinforces this perception.


Project Title 9 - Support to the Renovation of Education Management (SREM)

Project Number 2004/016-841 Country Vietnam

EC contribution € 12,000,000 (SREM)


The Government of Vietnam has embarked on a series of renovation programs towards a complete renewal in all sectors (1986 Resolution of the 6th Congress for Social Change). The purpose of these programs is the reform of public administration and the move towards a modern, efficient and transparent working environment, particularly in the public sector. For the Ministry of Education and Training (MoET), this means implementing the Education Strategic Plan 2001-2010 with an emphasis on renovation for equitable, quality-driven and cost-efficient delivery of universal education to grade 9. The MoET is attempting to direct a complex web of change activities with numerous and extensive donors’ assistance. There is full agreement at all levels of MoET, including schools, that people do not have the key management skills to deal with a massive change process. Most managerial staffs are teachers who have been promoted. The two main components of the programme are the establishment of an Education Management Information System (EMIS) and the training of managers ranging from MoET personnel to school principals. The SREM approach is to make strategic inputs at all levels namely at MoET, DoET (province), BoET (district) and school level. This will create the momentum to implement the renovation of education management. The programme was implemented in two phases, Support to MoET (SMoET) represented phase one and SREM can be considered as phase two. The Overall Objective is to facilitate achievement of the Strategic Plan 2001-2010. The Project Purpose is to make a strategic difference to improve key management levels through building the capacity of a sufficient number of staff to build the necessary momentum, training trainers in existing institutions and complement this with evolving, improving and creating a new management information system to support the information needs of the managers. Activities are grouped around 7 results: 1: Direct assistance to MoET with restructuring management including legal framework. 2: Strengthen education management capacity through training, workshops. 3: Strengthen the two education training institutes in education management training. 4: Specific support targeting women in education management. 5: MIS redevelopment for personnel, school level, finance, overall education data (EMIS). 6: Develop MIS for inspectors to improve ability to monitor school performance and quality standards. 7: A grant scheme is available for 17 less capacitated provinces to close the gap.


Lessons Learnt

The ownership of the SREM project was with the Ministry of Education. The programme was not a success. SREM was a highly valuable learning laboratory in the area of education management. However, the project suffered from five weaknesses: 1. The objectives defined in seven clusters (results) are too ambitious. 2. The capacity of the MoET to unite all staff around SREM is lacking. 3. The process of decentralisation supports subsidiarity but has stalled due to a lack of management capacity at the provincial level. 4. Management methodologies are missing in the area of project management and systems development. 5. End user needs have not been central to SREM. The scope of projects should be limited. Seven result areas are too much to manage. Capacity building within a regime which is in transition from a strictly hierarchical system towards a more liberal structure is bound to be difficult. A key factor missing is the capacity of the MoET to unite its own people behind SREM. The National Institute of Education Management (NIEM) has received insufficient support. The NIEM is the institution which is there to stay long after SREM has ceased to exist and is responsible for continuing the training of education managers that SREM had initiated. There was an excellent opportunity to strengthen NIEM but that opportunity has been missed. Large projects should adhere to standard methodologies. On methodology: Project management methodologies such as PRINCE2, PMBOK, PCM; systems development methodologies such as Rational Unified Process; and planning tools such as MS Project should be used. Data management: Definition of a comprehensive entity-relationship model, a fixed schedule of when to review codes and indicators (to avoid continuous change), a comprehensive data dictionary, a definition of metadata and the design of a data warehouse are needed. Process management: Data gathering functionality and business process functionality should be clearly separated. Business processes should be defined as processes and not as systems with names such as PMIS or IMIS. Users should understand the difference between inputting student numbers (data gathering) versus calculating salaries and producing teacher schedules (business processes). Architecture management: A client-server approach should be eliminated and a full migration to Web based DOT NET3 should be adopted; standards need to be solidified; present systems should be congruent with a visionary education architecture embracing telecom evolutions and e-learning concepts.


v Pilot Projects


Project Title 10 - Eliminating Torture in India: from Public Awareness to State Accountability

Project Number 2005/098-933 Country India



The project was implemented between 2006 and 2008. Torture in police custody is widespread and systematic in India and perpetrators benefit from impunity. Despite the creation of a broad institutional framework to protect human rights, including the establishment of a National Human Rights Commission (NHRC), the Government of India (GoI) has so far failed to acknowledge this situation and has not ratified the UN Convention against Torture (UNCAT), which it signed in 1997. The objective of the project was to raise public awareness on the issue of police torture, improve the institutional response, as well as creating 10 state wide support networks for victims and lobby for the ratification of UNCAT and the Optional Protocol.

Lessons Learnt

This was a strategic project, fully in line with EC priorities to strengthen the rule of law and respect for human rights. It was particularly relevant given the national context of expansion of the Maoist armed opposition and the overshadowing of the general human rights debate by the discussion on terrorism and national security, in which state authorities try to justify human rights violations such as torture in the name of public safety. The empowerment of victims and ongoing legal assistance were the main achievements of this project and the state-wide networks functioned well. Whereas local NGOs had been identified as project partners previous to the implementation, in the states where a completely new structure had to be set up, better accompaniment from the national coordinating NGO would have been necessary. The project was highly ambitious by trying to work in 10 states and as a pilot experience, should have chosen a more limited geographical area in order to produce a successful model and then replicate it in a larger area in a second phase. Also important is to plan and allocate resources for a start-up phase of several months, which allows for the recruitment of staff. In human rights projects as sensitive as this, local partners might be subject to attacks because they denounce public authorities. During this project local staff was physically assaulted by police and a project office was raided, allegedly without a warrant; not only the financial, but the political support to this type of project by the relevant ECD is crucial. The design of risk management strategies which identify scenarios that might require intervention by the EC on behalf of project staff should be a requirement for such projects. The main difficulty of this project was the poor communication between the contractor and the local implementing partner, which hampered smooth implementation. The EC should have insisted on a mid-term review which would have helped to identify corrective measures, especially in relation to management, communication and internal monitoring.


vi Consolidation


Project Title 11 - Including the excluded: vulnerable communities build secure livelihoods

Project Number 2007/142-065 Country Nepal



This project is implemented in a post-conflict situation and the overall objective is “to assist vulnerable populations that have been most affected by the conflict, including ethnic minorities, dalits and other lower social strata of the population so that the current conflict potential can be reduced and the socio-economic conditions of the target population improved.” The project purpose has three inter-connected aspects which are:

Provide immediate support to most affected households and communities helping them to restore and ensure basic livelihoods;

Assist vulnerable communities to diversify and develop secure livelihood options;

Facilitate and support a process for establishing technical, managerial and good governance capacities in community and VDC level institutions to ensure sustainability of a socially inclusive development.

Lessons Learnt

This EC-funded project, implemented by Helvetas Nepal, was able to cost-effectively target specifically selected vulnerable communities within the wider region that Helvetas was already active in. The impact prospects of the project are very good and the potential for sustainability is high. This project was implemented by an NGO that was already active in the region and that had established good relations with district officials and local service providers. Systems were already in place for technical and social interventions as well as for management functions. In addition, high quality technical back up was available due to the established capacity of the NGO. The technical team were not only providing services to the EC-funded project but also to other Helvetas implemented projects in the region. Often donors are reluctant to fund projects that are similar to, or may overlap with existing work of the same entity, preferring instead to fund completely new initiatives. The lesson from this project is that NGOs or other types of partners that are already active in a region in specific technical areas are able to provide rapid and effective delivery of project outputs. This project is a very good example of how efficient and cost-effective an intervention can be when an implementing partner is provided funds to extend their work within their existing area of operations.


vii Procedural Weaknesses


Project Title 12 - Support to the livestock sector in Bhutan

Project Number 2004/004-989 Country Bhutan



The agrarian economy of Bhutan, a landlocked and mountainous country, remains subsistence oriented and very little surpluses are produced for market purpose. Over 90% of the rural population (50,000 to 60,000 Bhutanese households) own livestock, many of them migratory herds. Whether at household or national level, the contribution of livestock - the primary source of manure and drought power for agriculture in the country - to food security and food sufficiency is essential. Besides, livestock is an asset which can be easily converted to money when needed. With an expanding population, the current level of food self-sufficiency within the country is only 65% and declining. Although few Bhutanese actually go hungry, 29% of the rural population are living in conditions of adverse poverty (Central Statistical Organisation 2001). The Ninth Five-year Development Plan for Bhutan aims to ensure food security, to enhance livestock production capacity, to contribute to poverty alleviation by enhancing rural income and to improve the nutritional status of the people. It encourages a gradual transition from a subsistence-oriented to a more market-oriented system of farming, building on the lessons learnt from previous projects. It envisages a focused programmed commodity approach, with the promotion of dairy, pig and poultry production through the sustainable use of resources, enhancing rural employment opportunities and income. Conservation of indigenous breeds is an important component of the strategy. This is a nation-wide project between the EC and the Ministry of Agriculture (Department of Livestock) covering all 20 Dzongkhag (districts).

Lessons Learnt

The major lesson learnt from this type of large Technical Assistance project refers to the application of the “sunset clause” or N+3 rule, meaning that all contracts have to be signed three years after the start date, which is defined as the date of the respective Commission’s Decision (in the case of this project, Nov. 2004), whereas the actual start of projects is often much later (in the case of this project, Nov. 2006 - conclusion of the contract for International TA). The contracting deadline came into effect in November 2007 i.e. one year after the start of the project. This led to huge difficulties in the procurement process, forcing the project to undertake procurement without sufficient time for planning (feasibility studies and needs assessments) and with hardly any involvement of the target groups/beneficiaries. Application of the rule forced the project to take a top-down approach, instead of a process approach and meant that funds were later lacking for new initiatives and/or to support successful components of the project. At the same time, very limited funds remained available for the last 2 years of the project (end date Dec. 2011). There is a need to reduce the time between the date of the Commission’s Decision and the actual start date, for instance by starting the tendering process for TA early, i.e. before the signing of the Financial Agreement, using a so-called “suspension clause”. The suspension clause means that in case the national authorities do not sign the FA, the contract is suspended.


Project Title 13 - Thai Nguyen Women’s Economic Collaboration for Development (ECCODE)

Project Number 2005/114-868 Country Vietnam



The project’s Overall Objective is to contribute to poverty reduction for the rural population of impoverished mountainous Thai Nguyen province, in North Vietnam, by ensuring access to economic resources and influence over decisions that affect their lives. The project approach is to build capacity in local agencies for support to economic cooperation groups among farmers. Three different forms of groups cater to different strata among the target population, thus ensuring that opportunities are also available to poorer households. The Specific Objective is to ensure that 12,000 poor women and men in eight communes in Thai Nguyen province have improved their income and influence on economic decision-making through membership of rural cooperation groups.

Lessons Learnt

The lesson to be learnt here comes from the fact that there is a strong discrepancy between the very good quality of the design of the project and the poor quality of its implementation. This is a striking feature, reinforced by the fact that there is another project implemented by the same beneficiary (CARE Denmark) which follows exactly the same pattern. This project was at the time of the monitoring mission still in its inception phase, unlike the other one, which was a little more advanced. If we reflect on the potential causes of this discrepancy and the loss of potential time/results, we can identify that the root of the problem is the lack of availability of adequate human resources for the implementation of the project. This raises questions about the way proposals are being selected under the different calls for proposals by the EC. If we compare the process between the selection of a proposal following the rules of a grant contract and a service contract, we can see that a major difference between the two is the presence or the lack of details concerning the human resources that the project will provide for the implementation of the project. On the other hand, in the case of calls for tender, experts’ CVs need to be provided with the submission of the offer. In this case, the CVs of the experts form part of the quality of the offer. By including this kind of requirement for proposals in case of grant contracts would in all likelihood improve the efficiency of the project, as it would force beneficiaries to not only look at the design of the project but also consider implementation aspects at an early stage. However, the long delay between the first submission of a proposal and the date of the contracting could be an obstacle. In any event, a means of building accountability for the provision of suitable staff into the grant funding mechanisms should be seriously considered in order to avoid too many serious staff problems once the project starts the implementation process.


Project Title

14 - Upgrading the technical know-how and marketing skills of Indonesian SMEs producing and processing patchouli essential oil with a view to promoting fair trade partnerships with EU companies producing natural fragrances and food flavourings

Project Number 2006/129-640 Country Indonesia



In April 2006, the Indonesian French Chamber of Commerce and Industry (IFCCI), the project’s applicant, implemented an Asia-Invest matchmaking initiative involving French companies in the natural fragrances, food flavourings and cosmetics sectors as well as exporters of essential oils. During the event it was found that EU companies were very concerned by the unstable and irregular quality of the patchouli essential oil supplied by Indonesian exporters. This was due to structural technological deficiencies in the methods used for growing and processing the oil. The idea to address this concern through another Asia-Invest intervention came from IPP Consultants, a French consultancy company with experience of dealing with European buyers of essential oils. The main objective of the intervention is fully included in the project title above.

Lessons Learnt

This project is an illustrative example of an intervention that attempted to initiate a long-term process of change, aiming to conclude an estimated 10-year process in a 12-month intervention timeframe, which made it unavoidably unrealistic. The proposed implementation sequence included a training needs assessment, capacity building, and application of this technical knowledge by farmers which would result in quality improvements which had to be disseminated to EU companies and finally result in business opportunities - all in a one year time span. Given that Calls for Proposals are done on a competitive basis, this leads to a scenario whereby the approval of overly ambitious projects with unachievable objectives penalises more realistic interventions. This undesired effect could have been somehow offset if the Applicant’s accountability towards the indicators and targets agreed upon in Grant Contracts had been ensured when approving the Final Report i.e. if the ECD had demanded fact-based evidence on targets achieved as well as justifications for unmet targets. Unfortunately this was not the case. This project is also an illustrative example of the structural cost-effectiveness constraints of EC-funded interventions that, due to eligibility and procedural aspects, have supply-driven designs originated in Europe. Although IFCCI was involved in the design of the project proposal, a Europe-based consultancy company with relevant experience in the sector led the formulation process. The analysis and formulation stages were done only on the basis of desk research and secondary sources of information and did not encompass any field visit to the target area. As a result, the design’s approach underestimated the baseline situation of the target area (North Sumatra and Aceh) e.g. i) non-existence of SME companies, only informal farmer groups unable to establish commercial relationships with EU companies; ii) the proposal contained a series of one-off training sessions to be delivered by


international experts in remote backward rural areas. The actual effects of the project were all generated by a mere four-session training package; yet the cost of the entire intervention was ten times higher than what the local cost of such training sessions would have been. The difference was due to the international travel and salaries of expatriate staff organising the event.


viii Project Set Up


Project Title 15 - Java Reconstruction Fund (Multi-donor Trust Fund)

Project Number 133-233 and 144-860 Country Indonesia



In May and July 2006 earthquakes and tsunami struck Java, Indonesia with heavy casualties in the Districts of Yogyakarta, Central Java, and West Java. ECHO provided €9.5 million in humanitarian assistance in the first six months. A multi-donor Java Reconstruction Fund (JRF) was established n October 2006, at the request of Government of Indonesia (GoI), to help prepare and support its Yogyakarta-Central Java Reconstruction and Rehabilitation Action Plan. The EU contributed over 50% of funds to the JRF, with the World Bank Group acting as the partner agency. The Overall Objective (OO) of the project was to assist in rebuilding and improving the living conditions of the people affected by the recent disasters in Java. The Project Purpose (PP) was to contribute to the JRF, as a common platform to mobilize donor resources, in order to support GoI's efforts in housing reconstruction and rehabilitation, and livelihood recovery. Activities of the fund were (I) housing reconstruction and rehabilitation; (II) livelihoods restoration-rehabilitation; (III) programme administration. Expected results are (i) affected communities’ houses and related infrastructure are rehabilitated or reconstructed; (ii) the livelihoods of affected people in the communities are restarted.

Lessons Learnt

In programmes designed to address the consequences of natural disasters, speed of delivery is essential. The delays in funding, primarily from the EU, gravely reduced the impact and relevance of some components of the project. In programmes designed to address disaster mitigation (i.e. preparedness) participation of beneficiaries in construction, design and planning is highly beneficial. Incorporating disaster mitigation aspects into each project component and ensuring that implementing agencies are competent in this area ensures good integration in each activity. Although multi-donor trust funds are “managed” by a partner agency, principal funders such as the EU should ensure regular monitoring and on-going overview of this management. The selection process for implementing agencies should ensure that national organisations/companies are considered seriously. In Indonesia national competence is high but applicants provided bids that were too low to be considered by the World Bank Group or estimated to be weak in fiduciary issues. Since GoI managed successfully and rapidly most of its own reconstruction, it may be necessary to review what information on bid requirements is provided and how bids are examined.


Project Title 16 - EU-China Trade Project (EUCTP): Support to China’s Integration into the World Trading System (WTOII)

Project Number 2003/075-870 Country People’s Republic of China



The EU has been supporting the accession process from the onset by means of Technical Assistance projects e.g. a WTO-specific project (WTO I, 1999-2003), the Intellectual Property Rights project (1999-2004). The current project supported China’s further integration into the world trading system from February 2004 to December 2009.

Lessons Learnt

The EUCTP offers valuable lessons learnt in terms of how Technical Assistance can work effectively in China in complex set-ups encompassing a broad range of stakeholders (several Ministries were involved) and interests. Aspects that offer useful lessons learnt are, in particular, EUCTP’s PMU arrangements and implementation set-up; the flexibility of the design to ensure responsiveness in a fast-changing context and the composition of the technical assistance team. The PMU followed a decentralised/delocalised set up i.e. it was not embedded in any particular Ministry. This enabled its recognition as a neutral technical-based unit free from political pressures and interests. Thanks to this unofficial/informal status the PMU became an excellent channel for open communication with both sides (Chinese and European institutions). The project received high-level support from all beneficiary institutions. Such high-level support was intrinsically associated to the project’s link with on-going policy dialogues, which were used as a guiding framework for project activities. This link implied incorporating a high degree of flexibility into the project (in terms of work plans), as policy dialogues are highly dynamic. The end result was a high degree of support from high-level decision-making levels (Directors General, Deputy Director Generals) within the beneficiary institutions, which proved instrumental to smooth implementation (efficiency), to ensure that TA inputs were directed at the right strategic areas (effectiveness and impact) and to ensure high levels of ownership. Another key to success was a right balance between Chinese and EU experts both within the PMU and in terms of STE involved in workshops, seminars or conducting studies. There was an excellent division of labour. EU TA within the PMU had a clear added value in terms of recruiting European experts and communicating with the ECD, Directorates General in Brussels, the EU Chamber of Commerce in China, industry associations, etc. Chinese TA was comprised of high profile LTE with relevant professional experience and reputations amongst beneficiary institutions. This resulted in excellent communication flows and in promoting an active commitment of the beneficiary institutions at high decision-making levels. The EUCTP also proved that in China an exclusive beneficiary-driven approach does not always result in win-win activities given the nature, breadth and depth of the strategic partnership between China and the EU, which is far from being a donor-ODA recipient relationship. The project revealed that joint criteria for identifying actions


were far more suitable in this scenario. This particular cooperation framework gives indications that the Development Cooperation Instrument may be obsolete in China and calls for consideration of the need to develop mechanisms that are better suited to the nature of the strategic partnership between China and the EU.


Project Title 17 - Basic Education – Sector Capacity Support Programme (BE-SCSP)

Project Number Component 1: ASIE/2007/145-855; Component 2: ASIE/2006/115-794 Country Indonesia

EC contribution Primary commitment: € 4,600,000 (component 1); € 14,300,000 (component 2)


The Basic Education Sector Capacity Support Programme (BE-SCSP) is a significant part of the EC CSP 2002-2006 and in line with the subsequent 2007-2011 CSP that has Education as one of its focal sectors. The programme has two mutually reinforcing components that are implemented by ADB and UNICEF in close cooperation with the Ministry of National Education (MONE). The first project component focuses on the revision of the existing Minimum Service Standards (MSS) for Education and on strengthening capacities at national, provincial and district level to plan, budget, manage, implement and monitor MSS achievement. The second component aims at improving the quality of basic education via mainstreaming and institutionalising good practices in policy priorities and plans at district and national level. These good practices relate both to teaching methods, school management, community participation and adequate district planning, budgeting and M&E. The project is to be situated against the background of the decentralisation process in Indonesia that provides district authorities with a key responsibility in providing basic education services, without them necessarily disposing of the necessary skills and resources.

Lessons Learnt

Overall, both project components have been successful or are expected to become so, provided a few key assumptions related to the endorsement of the adapted MSS hold true. Most significantly, it is expected that both project components will generate considerable sustainable impact. The major lessons learnt that also constitute explanations for the project’s success can be summarised as follows. The project’s considerable impact can be explained by both internal and external factors. In terms of the project set-up, its division into two separately run components has, in particular in the early stages, created problems but can eventually be considered a wise decision as it allowed the maximisation of the respective strengths of the two international organisations in charge of implementation of two highly different project components. Secondly, the intrinsic quality of the project outputs, in particular with regard to Component 2 (the level of progress of Component 1 is not far enough to be that affirmative) has laid down a strong base for eventual achievement of higher level results and the spontaneous dissemination of good practices. The fact that Component 2 started with a thorough systematisation, testing and repackaging of good practices (withstanding pressure to disburse project funds quickly) before actually engaging in broad mainstreaming activities is another important explanation. Finally, and without downplaying the intrinsic merits of both project components, the Government of Indonesia’s strong determination to increase the quality of education, has created a highly favourable environment for the project and allows the integration of its key results in the country’s national and decentralised policies.


II. REGIONALS


Project Title 18 - ASEAN Centre for Biodiversity

Project Number 2005/110-361 Country/Region South East Asia Region EC contribution € 6,000,000


The richness of the biodiversity resources of the ASEAN region is well recognised. Although occupying only three percent of the Earth’s surface, the region contains over 20 percent of all known plant, animal and marine species. Biodiversity in the region contributes to global environmental sustainability. However the region is confronted with massive habitat and species loss. Drastic environmental changes brought largely by increasing population, globalisation of trade, shifting demographic patterns from rural to urban economies, and an expanding demand for social equity coupled by irresponsible human practices are causing serious harm to plants, animals and their habitats. Between 1990 and 2005, the rate of deforestation in the ASEAN region averaged about 1.04 percent per annum, which is among the highest in the world. The region has four of the world’s biodiversity hotspots. Biodiversity loss is one of the greatest threats to the ASEAN region which could affect over 500 million people in 10 countries and undermine the current economic progress. The ASEAN Centre for Biodiversity (ACB) is a regional inter-governmental institution established for the purpose of facilitating cooperation and coordination among the 10 ASEAN Member Countries (AMCs), and with relevant national governments, regional and international organisations, on the conservation and sustainable use of biological diversity and the fair and equitable sharing of benefits arising from the use of such biodiversity in the ASEAN region. The project intervention is to support the start-up phase of a new international organisation to enable ASEAN Governments and international organisations to collaborate with this new entity and to widen awareness among the stakeholders of the need to address urgent and increasing biodiversity problems in the region in a more coherent and coordinated manner. The Overall Objective is to enable the AMCs to achieve reduction of their biodiversity loss by 2010. The Project Purpose is to achieve strengthened regional capacity on biodiversity in ASEAN.

Lessons Learnt

ACB has greatly improved the regional coordination of biodiversity related activities. It has provided capacity building on the regional level and facilitated cooperation among ASEAN Member States. It has increased its potential to provide regional analyses on biodiversity trends and challenges and facilitated common understanding and positions on key biodiversity issues. The real value of ACB lies in the sharing of lessons learnt and best practices. ACB is perceived as very useful for capacity building for meeting commitments of multilateral environmental agreements and on biodiversity conservation. ACB supports policy development (e.g. on access and benefit sharing) and has performed valuable work on protected areas, emphasising management effectiveness, communication and public awareness and training on gap analysis. ACB supports weaker countries with advice to


implement CPD through the provision of guidelines and conclusions from policy development workshops. A significant reduction in the rate of biodiversity loss by 2010 was an unrealistic objective. The 2010 Nagoya Conference will reveal what the ASEAN states have achieved and what urgently needs to be done with much more serious emphasis. ACB although strongly needed in the past and present will be more needed in the future to help the ASEAN region and its Member countries. The requirements of accelerating relevant reforms will increase the role of the ACB and hence its capacity needs, further increasing the relevance of this project.


Project Title 19 - Linking the postgraduate education in aquaculture and aquatic resources management with its industries through an internship programme

Project Number 2007/141-287 Country Thailand, Vietnam, (Cambodia), Nepal, Bangladesh



Overall Objective: This project is intended to help to find better and more affordable solutions to income poor farmers. Through technology and know-how aquaculture could become more productive and less expensive and lessen the risks of failed investments in it. Project Purpose: The project was set up to establish a relationship between teaching institutions and the aquaculture industry. The means to do this was by supplying students who would become interns throughout the industry thus providing inexpensive labour and having students learn by doing. The institutions also benefit by attracting more students and from their research/work done at the industry. The students increase their employability opportunities. The project is part of the ASIA Link programme.

Lessons Learnt

The main lesson learnt is the fact that the project had already achieved its PP even before it started. The “regionality” of it, or geographical area covered would have made it very difficult to confirm if this intervention was valid as such. Whilst the project should have been about improving and formalising/institutionalising already established relationships and setting up a system to include internships as part of the courses’ requirements, it remained relevant and useful, in theory, for poverty alleviation (the OO). However, the project did not promote integration, did not present a solution to a regional problem (poverty is a problem affecting several countries in the region but in the region in question no countries shared any borders- so a country’s poverty is not spread over other partner countries thus is not regional from that point of view) and was not about establishing a network that would help to solve this common problem (through aquaculture technical dissemination). It was a project spread over four countries providing benefits but confined locally. ASIA Link is a good example of this type of project where many universities or teaching institutions have common interests in a topic but the results benefit local stakeholders and do not spread outside (regionally) each of the beneficiaries’ countries.


III. SECTOR SPECIFIC


i Agriculture


Project Title 20 - Improved Livelihoods for Cotton Farmers, Weavers and Garment Makers in South India – OXFAM GB

Project Number 2007/133-499 Country India



The Indian cotton industry employs approximately 60 million people in cultivation, processing and trade. Though its modernisation has brought benefits to many, it has also created acute economic, social and health-related problems, especially among weavers and garment makers. Many economic players are too small and disorganised to wield any political power and too poor to invest in new technologies that would improve their livelihoods. Most farmers are still caught in the vicious circle of dependency on moneylenders, who charge exorbitant interest rates, and many eventually commit suicide. Cotton farming is also associated with an increasing use of pesticides, a major health hazard. This action contributes to improving the livelihoods of small cotton farmers, handloom weavers and garment workers in Southern India, building on existing community-based organisations. More specifically, it promotes organic farming for small-scale cotton producers, providing the necessary credit, technical and market support required to shift from traditional to organic farming.

Lessons Learnt

Cooperation with civil society organisations in India can produce cost-efficient, high impact projects with a strong potential for replication, though their scale may be limited. This project is a demonstration of how small can be beautiful and highlights the causal relationship between success and dedicated individuals. It is implemented through an international NGO (OXFAM) in cooperation with 7 local NGOs. OXFAM meets the EC requirements (grant management, backstopping, supervision and coordination of the NGO network and reporting to the EC) with a limited number of people, while the local NGOs focus on the identification of needs and implementation of activities. Local NGOs are typically driven by individuals, whose commitment goes beyond the regular professional assignment (a militant approach often seen in India). This makes them receptive and reactive to the challenges/opportunities faced by beneficiaries. The result is an innovative and audacious response to well-identified needs: making farmers shift from well-established chemical-based cotton farming to organic farming requiring a complete shift in agrarian systems. At the time of monitoring, the project was not even half way through its life cycle but had already surpassed its overall targets for the farming component and the potential impact was very high. That the project builds on an earlier one (implemented by the same partners) has helped significantly but it also shows that, by nature, agricultural-related interventions need time to build momentum. Provided beneficiaries are well driven and given the time and space to build confidence, they become empowered and can respond beyond expectations.


Project Title 21 - Economic and Social Relaunch of Northwest Provinces (ECOSORN) – Ministry of Agriculture, Forestry and Fisheries of Cambodia

Project Number 2004/016-793 Country Cambodia



Poverty is high is the rural North-Western provinces of Cambodia where infrastructure is deficient and markets underdeveloped. Besides, the impact of the recent conflict was deeper with the highest rate of mine damage in frontier areas. The agricultural sector is characterised by predominant lowland rain-fed rice farming with limited dry season irrigation, low productivity, lack of investment possibilities, poor access to products and input markets and a high rate of debt with informal money lenders. The Overall Objective is to contribute to poverty reduction through increased household income, especially increased agricultural productivity and local community empowerment in selected rural areas of Cambodia. The Project Purpose is the economic and social development of smallholder farmers and their families, in ways that accrue equitably to both men and women.

Lessons Learnt

The lessons learnt from this project should be compared with those learnt from the project entitled “133-499 Improved Livelihoods for Cotton Farmers, Weavers and Garment Makers in South India” because the former project is the antithesis of the latter: it is a large institutional intervention piloted by a Project Task Force (PTF) and implemented by a multitude of contractors (private, public and non-profit) who, for most of them, do not have a stake (other than financial) in the project. As a result, though the government of Cambodia and the EC are strongly committed to the success of the project, the coherence and the integrity of the intervention logic is not apparent to the beneficiaries because too many of the contractors are focused on their activity schedule, not on the quality of results and they are not sensitised to the project’s objectives. Caught between the Government of Cambodia, the EC and the contractors, the PTF has a limited manoeuvring margin. Besides, the intervention was inherently flawed by two design weaknesses from which there is much to learn, especially because the same causes produced the same effects in other EC-funded projects of a similar nature in Asia. 1/ A 5- year duration is much too short for a project of this magnitude, of this nature (agricultural activities are always delayed by uncertain weather patterns) and involving a participatory approach that typically requires time-consuming empowerment processes. 2/ In addition, the project is proof that the existing EC regulatory contracting framework is incompatible with the efficient implementation of a large integrated rural development project.


Project Title 22 - Increasing Food and Nutritional Security for Resource Poor Farmers in Jamalpur and Faridpur Districts - FoSHoL – ITDG




In Bangladesh, almost 80 percent of the population live on less than USD 2 per day. The Government has developed a Poverty Reduction Strategy which outlines plans for rapid agricultural growth by diversifying the local economy. Within this context, with the objective of improving livelihoods of small and marginal farm households by increased availability of and access to food as well as improved utilisation of limited resources, the NGO Practical Action-Bangladesh initiated the four year FoSHoL project. The Overall Objective of the project is to increase food and nutritional security of small and marginal farmers in Jamalpur and Faridpur districts. The Project Purpose is to improve the food and livelihood security of agriculture dependent resource poor households by implementing appropriate technical, social and organisational aspects of farming.

Lessons Learnt

Generally speaking, the holistic and market oriented approach has proven its validity in reducing poverty in rural Bangladesh. The most significant change promoted consists in having started with the long term process of farmers' capacity building at household level and community organisation in order to enable them to have access to productive services, technical innovation, markets and political influence. The most successful aspect has been the market oriented and community approach to TA through Rural Technology Extensionists (RTE), trained cadres within the communities that have set up sustainable businesses by providing specialist doorstep services to farmers. Organised farmers are able to deal with market forces and local governments in a better position. As a result, the project capacity framework approach proved to be true in reducing farmers’ food insecurity. According to the last survey (2009), families, which prior to the project were able to feed themselves for 6,3 months per year from their own farm production, are now able to attain food provisioning for roughly 10 months. The average household income has increased significantly. The project had a great potential policy impact, especially at local level, but lacked the time and resources for adequate systematisation and promotion of the many lessons learnt: Policy: 1) The holistic market oriented approach has demonstrated that hitherto neglected RPF (which account for 59% of rural poor) have the potential to break the vicious poverty circle and undertake the path to growth. 2) The TA market oriented approach deserves replication and improvement. The role of state services is determinant for technical innovation. 3) Farmers organisations have a big impact in terms of access to new opportunities (TA, credit), social development as well as political influence. 4) Access to credit is critical to small farmers. Project design: 1) Include provisions (budget and time) for systematisation, lesson learnt diffusion and policy impact.


2) Long term processes such as farmers' organisation and saving/credit schemes need more time for implementation. 3) M&E allow a clear assessment of the intervention logic at the level of the project purpose and test some crucial policy assumptions of the expected impact on household behavioural patterns and well-being.


Project Title 23 - Partnership for Food Security Project - FOSHOL - CARE




The project was implemented by CARE Bangladesh between 2005 and 2009. Its Overall Objective is: Livelihoods and especially the food security of rural farm households improved by increasing the availability and access to food as well as improving its utilisation by the targeted households.

Lessons Learnt

The project aimed to (1) sustainably build capacities of participating farm households to increase farm production through adoption of innovative diversified farm activities; (2) develop and make functional women and men resource farmers to facilitate agricultural innovations prioritised by their communities; (3) strengthen community based groups of participating farm households representing women and men to address constraints and opportunities for enhanced food security. Sustainability is strong: the stream of benefits continues 7 months after project completion. Beneficiaries show increased and diversified production and report substantial improvements in livelihoods. Community based groups' savings and credit schemes enable farming households to invest in individual and group assets and farming inputs. Thanks to project advocacy, government line departments view farmers holding signed share-cropping agreements as having land. This entitles the farmers to receive government inputs (e.g. fertiliser, HYV seed). The organised group structure facilitates interaction with government line departments and other service providers. There is secondary adoption, also by the ultra-poor, of innovative and diversified farm activities. Employment opportunities for the ultra-poor appear to have increased as FoSHoL beneficiaries move away from day labouring, leaving more opportunities for the ultra-poor, and with some project beneficiaries themselves starting to employ day labourers from amongst the ultra-poor. Several community groups are demonstrating political engagement, interacting with local government, joining school management and other committees, and in several instances planning to nominate a group member for local councillor. Some groups are challenging abusive power structures, for example threatening en masse not to work on a landowner's land if he is unwilling to sign sharecrops agreements. Keys to the project's success have been: 1. A high sense of ownership by the beneficiaries fostered by an approach which allowed beneficiaries to determine priorities and to set their group's by-laws and saving and credit scheme rules. 2. The savings and credit schemes, which unified and empowered the groups and continue to help increase individual and group assets 3. Strong continued 'win-win' linkages with service providers and sources of innovation which benefit the project participants and help service providers to meet their goals. 4. The group structure and its savings and credit schemes which have been central to the project contributing indirectly to social change, liberating participants from money lenders and micro-finance, and for farmers being able to claim rights and access services.


ii Forestry


Project Title 24 - Promoting the conservation and sustainable management of the lowland forests of South Central Kalimantan

Project Number 2006/130-531

Country Indonesia (2007-2012)



Objectives

Southern Central Kalimantan has three forested protected areas; two National Parks, Tanjung Puting and Sebangau, and one wildlife reserve, Lamandau. Of these, the Lamandau Reserve is the most threatened, because it lacks the official “National Park” status and does not receive any significant donor support. If no action is taken, the Reserve will be lost, due to a combination of factors: expansion of large-scale production of palm oil and logging and farming, even though these are illegal activities inside the reserve. The project interacts with local governments, communities and the private sector to revert the threats. It is implemented by the Orangutan Foundation-UK, with the Provincial Agency for the Conservation of Natural Resources (BKSDA) and a local NGO, YAYORIN as partners. The project targets the population of the villages surrounding the Reserve, applying a multi-stakeholder approach. The Overall Objective is the Maintenance of functioning tropical forest ecosystems in the context of a protected area network that supports sustainable rural development. Project purposes are: 1) Strengthening of the protected area network of Central Kalimantan, with a focus on the Lamandau Wildlife Reserve; 2) Improvement of the capacity of stakeholders to sustainably manage and benefit from the protected area network; 3) Establishment of income-generating mechanisms that support forest conservation. The project is intended as the first phase in a long term ‘Lamandau Ecosystem Conservation Partnership’ (LECP) for protection of the Reserve.

Lessons Learnt

The project is developing a good model of collaborative management of a protected area, based on management agreements between local populations, local government, state forest protection services and conservation NGOs as key stakeholders. This approach is in line with the EC FLEGT Action Plan which aims to address underlying forest governance issues that lead to illegal logging, such as poverty, lack of alternative livelihoods, or lack of capacities of law enforcement agencies. The project rightly puts the BKSDA (Provincial Agency for Protection of Natural Resources) in a lead role, and reinforces its human and operational capacities, without creating any parallel structures. At the same time, by partnering with a local community development NGO, it develops alternative livelihoods which reduce pressure on the forest reserve. A key success factor, however, is that local populations are allowed to continue extraction of non-timber forest products (rubber, fish, cane) from the Reserve, on a controlled and sustainable basis. This approach results in acceptance - across various stakeholder groups - of the Lamandau Reserve, and increased cooperation of rural people and local governments for forest conservation. Another success factor is the annual multi-stakeholder meetings which include private sector


actors; the LECP partnership recently (July 2009) facilitated the signing of a Memorandum of Agreement between BKSDA and two oil palm plantation companies -which have their plantation area close to the Reserve- , not to do any business activities within a radius of 500 meters around the Reserve. It is the first MoU in Indonesia for conservation of a buffer zone. Further documentation: http://www.orangutan.org.uk/ec-funded-project


iii Natural Resources


Project Title 25 - Better Management Practices for ‘water thirsty crops’: ensuring sustainable sources of fresh water to support the livelihoods of poor communities in Pakistan

Project Number 2005/094-888 Country Pakistan



By 2025 Pakistan will need over 100% of its available water to feed a growing population. Rural communities and freshwater ecosystems face inadequate access to water and suffer from pesticide-related sicknesses. The World Wide Fund for Nature (WWF) sought to reduce the amount of water and pesticides used in sugarcane and cotton production and worked with targeted farmers, farmer groups, and governmental research centres / extension services to develop and implement appropriate Better Management Practices (BMPs) in two regional centres. WWF also worked with businesses to develop markets for sustainable (BMP) products and local and national governments on policy reform. Overall Objective: Sustainable sources of clean freshwater are available to support the livelihoods of poor communities in Pakistan. Project Purpose: By 2010, 80% of small and large-scale sugarcane and cotton farmers in Faisalabad and Bahawalpur, who participated in project activities, apply Better Management Practices (BMPs), with socio-economic and environment benefits, underpinned by policy and private sector mechanisms. The Expected Results of the project are:

The Appropriate BMPs selected and tested in Faisalabad and Bahawalpur Selected BMPs disseminated and promoted in at least 8,000 ha of cultivable

land Uptake of BMPs in other districts facilitated through increased capacity in

extension services Farmer Organisation strengthened and developed for collective decision

taking and action in three selected districts Financial mechanisms provided which encourage and enable small scale

farmers to invest in BMPs National agriculture and water policies reviewed and reform

recommendations made to encourage BMP uptake International mechanisms support wide scale uptake of commodity specific

BMPs

Lessons Learnt

This project shows available synergies from a confluence of ecology and economy. WWF found that small farmers are vulnerable to the marketing efforts of pesticide and fertiliser companies and use 25-30% too much fertiliser, 30-50% too much inorganic pesticide and 20-25% too much water. The same yields were demonstrated in sample plots in each village at less cost and ecological burden. Prices were unchanged so net incomes rose, and the ecological burden was reduced. The project supported governmental institute research which fed into, and was informed by, village level guided groups of Farmers in Field Schools on the ground. The collaboration and enthusiasm of partners (Field Staff,


Trainers, and FFS participants, government, NGOs, and Research Institutions) -and the demonstrated savings- enabled great impact and many more farmers were reached than was expected. BMPs are now incorporated into the literature of the government extension services. These BMPs provided the local calibration of benchmarks for the local implementation of the “Better Cotton Initiative” (BCI) and “Better Sugar Initiative” (BSI). Major retailers with Corporate Social Responsibility concerns have expressed interest in being able to market their products as "Made with Better Cotton“ and this will enable greater penetration of the practice on the ground. The Pakistan BSI is less advanced. A future price premium for BMP crops is possible, but currently the reduced cost of production is justification enough. The commitment and expertise of the WWF is strong, but manifestly ecological, and so avoided some critical livelihoods elements (notably gender) whereas the commitment of the participants is more focussed on livelihoods issues (increased farmer family incomes) - and ecology is secondary. Nonetheless the confluence of interests enabled reduced cost of inputs and a sustainable increase in net incomes of up to 50%. Although the gender issue in livelihoods was not deliberately addressed, cotton pickers (generally women) have shown a 30% (30 Rupee) premium for each 40 kg “maul” picked using BMP methods. While formal registration of farmers groups into Community Based Organisations enabled access to government funds for community projects, this was largely ignored as were opportunities for cooperative development (to enable volume purchases of agricultural inputs). The objectives and approach proved very effective at the level attempted. Many farmers now have to tools for deciding on optimal levels of appropriate fertiliser and pesticides and thus increased net income. Having a track record of working with the community enabled WWF to bring together a range of stakeholders for an informed policy debate leading towards a National Water Policy. This stage has yet to reach fruition.


iv Health


26 - Primary Health Care and Nutrition Services for Uprooted People in Northern Rakhine State” (REH/2007/141-810), implemented by Malteser International; and “A Primary Health Intervention for Uprooted People in the Western Border Areas of Myanmar

ADDITIONAL CONSIDERATIONS INTRODUCTION The purpose of this note This note complements the analysis contained in the ROM Monitoring Reports produced during the mission to Myanmar during the period 16th to 30th of November 2009. It focuses on a series of common / cross-cutting issues associated with EC-funded NGO health projects. The following sources of information were used to produce this note:

• Inputs from the monitoring visit to the projects: “Primary Health Care and Nutrition Services for Uprooted People in Northern Rakhine State” (REH/2007/141-810), implemented by Malteser International; and “A Primary Health Intervention for Uprooted People in the Western Border Areas of Myanmar” (REH/2007/141-809) implemented by the Medical Emergency Relief International Charitable Trust (Merlin).

• The ROM monitoring mission to Northern Rakhine State took place concurrently with an internal monitoring mission conducted by the ECD in Bangkok that encompassed two projects funded by the Aid to Uprooted People Programme. This enabled the monitor to have discussions on comparative findings from other projects.

• Discussions with several agencies and NGOs operating in Northern Rakhine State (NRS) such as the United Nations High Commissioner for Refugees (UNHCR), Médicins Sans Frontières, Holland (AZG) and Action Contre la Faim (ACF). These agencies work both in the health sector as well as in other sectors such as livelihood improvement and water, sanitation and hygiene (WASH). This also constituted an additional input as it enabled a comparison with implementation strategies and approaches adopted by other NGOs.

• Other important sources of information were the internal ROM team debriefing and the debriefing sessions with the two Task Managers at the ECD in Bangkok. OBSERVATIONS AND SUGGESTIONS Integrating Health, WASH and Livelihoods improvement A common feature of health interventions in Myanmar is that they operate in a relief framework rather than in a rehabilitation or development one. This is due to the country’s socio-political situation Regardless of whether projects target returnees and groups affected by humanitarian crisis (Muslim communities in NRS), groups marginalised for ethnic reasons (the Chin) or Burmese communities in Sagaing State, the ultimate causes of lack of access to health tend to be associated with two variables. Firstly, to the structural lack of funds and capacity in the highly dysfunctional public health system; and secondly, to the extreme poverty levels and the ensuing low household income levels in the target communities. Moreover, the core health problems of the population are also very much associated with the inexistence of sanitation infrastructure and clean water.


In this context, there is a growing need for integrating health, livelihoods improvement (income generation) and the hardware/infrastructure1 side of water, sanitation and hygiene (WASH). However, NGOs specialise and rarely combine these three areas in one single intervention for two reasons: they increase the complexity of the interventions, and they imply calling upon external expertise. Yet, it was observed that not integrating these three areas results either in sustainability constraints due to lack of income or in reduced prospects for impact. For example, the level of awareness may increase thanks to health education, but it cannot translate into effective changes in behaviour due to lack of latrines or clean water; the level of awareness on the importance of nutrition increases, but nutritious food is not available or affordable. There are some incipient attempts to start working in this direction. In NRS, the UNHCR has started a process to encourage the development of a joint / consortium approach to presenting project proposals. The fact that UNHCR made a recent demand for a Common Humanitarian Action Plan (CHAP) in NRS presents good prospects for advancing towards proposals designed in partnership. In the Delta, and within the framework of the Post-Nargis Recovery and Preparedness Plan (PONREPP), health NGOs are working on a consortium approach to integrate livelihood and health. Suggestions

During the evaluation of Calls for Proposals (CfP), ensure that the appropriateness of whether health interventions should include a hardware component on WASH is assessed in detail.

The Guidelines for Applicants in CfP should explicitly encourage the presentation of joint proposals i.e. on the basis of a consortium of NGOs in cases where combining health and livelihoods is a precondition for a minimum degree of impact and sustainability. Exchanges of experiences on different approaches to health interventions NGOs in Myanmar focus on addressing the lack of access to health and the appalling health status of vulnerable groups. In doing so they deal with elements that tend to be the same in most interventions, yet NGOs take different approaches to tackling these problems. This is the case of Malteser (NRS) and Merlin (Chin State). Comparing the outcomes of different approaches taken to address the same issue offers a very valuable source of information for the EC in terms of ascertaining what works, what doesn’t, in which circumstances and the reasons why. Some examples of such elements and the different approaches to them as are follows:

� Referrals Merlin and Malteser, as well as most health NGOs, work on referrals. But whereas Malteser pays for the full cost of primary health care referrals, Merlin does not. Subsidising referrals costs allows Malteser to have access to information about how effective referrals were and the quality of the health services delivered, thus enabling them to have a full picture of the entire ‘access to health’ sequence. The downside is that the approach is not self-sustainable. On the other hand, Merlin does not cover the cost of referrals but promotes the establishment and re-activation of Village Development Committees (VHC), who are trained on the establishment and management of Village Emergency Funds (EF). The EF is then used by communities to pay for referrals. This approach is more conducive to sustainability but does not allow Merlin to have data on the results

1 The ‘soft’ part of WASH is always incorporated in health education activities.


of the referrals. Exchanges of experiences in this regard could lead to halfway approaches such as partially subsidising referrals while building-up Emergency Funds.

� Support to Community Health Workers (CHW) Most health-related NGOs implementing community-based health interventions in Myanmar, also work with CHW. Approaches to capacity-building and supervision of CHW’s performance for Merlin and Malteser coincide to a great extent. Both NGOs provide medicines for free to CHW, but whereas Malteser encourages CHW to charge consultation fees as well as for the medicines they supply to patients, Merlin decided in a staff workshop that CHW would not charge as medicines are provided to them for free. CHW supported by Malteser faced difficulties because some patients complain they are charged for medicines the CHW obtains free of charge, but the approach is conducive to sustainability. Merlin’s CHW do not face such complaints. On the other hand, VHC have decided that CHW will charge for the medicines after the intervention, but Merlin does not have any information on whether the approach will work because it has not tested it yet.

� Community contributions Malteser Mother and Child Nutrition Centres follow a hand-out approach i.e. the project provides for the inputs required without asking communities to contribute. They decided on this approach in light of the extreme levels of poverty Muslim target communities live in. However, in the case of Merlin, communities are required to make contributions when implementing Community-Based Initiatives, which are partly funded by Merlin. They decided to impose this requirement despite the fact that Chin communities in Chin State are as poor as Muslim communities in NRS. Given community contributions have direct implications in terms of ownership, discussing the pros and cons of both approaches would be highly appropriate and recommendable.

� Health delivery mechanisms Malteser opted for the establishment of Primary Health Centres whereas Merlin decided to put in place an outreach mechanism based on mobile clinics. Both approaches require a phase-out and a sustainability strategy since they are not self-sustainable. However they have different repercussions in terms of staff, operating costs and outreach.

� Training of Auxiliary Mid-Wives (AMW) Merlin and Malteser projects are primary health care interventions focusing on maternal and child care, thus encompassing support to AMW, a crucial element for sustainability. Generally, AMW are government-trained Traditional Birth Attendants (TBA). To become an AMW one has to go through a 6-month government training delivered by the Township Medical Officer (TMO). NGOs are not entitled to lead this first induction training, but can support it. After this initial training NGOs do not have any restrictions to provide additional training and refreshers to AMW. Malteser’s intervention includes a budget allocation to support these induction trainings in an attempt to guarantee that a sufficient number of AMW are available for the project. Merlin’s intervention, however, does not include such an allocation.

� Community mobilisation The approaches to community mobilisation applied by Merlin and Malteser are quite different. The latter bases them on a close accompaniment process led by Community Mobilisers (project staff), whereas Merlin opted for building the capacity of VHC. These two approaches also have different implications. As mentioned in Merlin’s Monitoring Report, the NGO has started working on the development of a sustainable low-cost CHW model. The piloting of this model will start in April / May 2010. The


outcomes and findings of this initiative are extremely relevant for Malteser as well as for other NGOs operating in Myanmar since whatever the approach taken to deliver health care services during an intervention (mobile units, fixed facilities) the phase-out and sustainability strategies necessarily rely on CHW and other community-based health providers. Actually, Merlin’s idea is to produce a model that, if successful, could be replicated by other NGOs and even adopted by the Department of Health. In the framework of the PONREPP, some preliminary exchanges have taken place on approaches to sustainable and affordable CHW models i.e. unit costs of supporting CHW, discussions on what elements should be included in CHW training, costs of supervising CHW, etc. However these exchanges only involve NGOs working in the Delta. The EC could play a pivotal role in ensuring that exchanges of information between EC-funded NGOs on the implications (costs, benefits) of different approaches take place effectively. There are two factors calling for a role of the EC in this regard: (i) the relatively limited amount of players (donors and NGOs) and funds – beyond the Nargis Cyclone response- available in Myanmar; and (ii) the importance of the specific weight of EC funds as a donor in the country. Moreover, the EC tends to fund large projects in the health sector. Suggestions

Promote periodical / regular exchanges among EC-funded health NGOs to encourage discussions on models for sustainable community-based health service delivery systems and the feasibility of different approaches enabling a move from emergency and rehabilitation to development interventions as much as possible. The ECD plans to have a consultative meeting in April 2010 with all EC-funded NGOs in Yangon with the purpose of exchanging experiences amongst them. This meeting is also intended for the EC to get the wider picture of NGO interventions in Myanmar. But before that, in December 2009, the ECD will have a meeting with NGOs and other relevant stakeholders to collect feedback so as to proceed with the design of the forthcoming Call for Proposals (CfP) on Aid for Uprooted People. In this context it would be advisable to bring forward the consultative meeting (e.g. to December/January) so that the outcomes of the interaction among NGOs could feed into the CfP, either by promoting the development of joint/consortium-led proposals or by ensuring that the topics discussed (see some suggestions in the box below) are incorporated in the proposals. Suggestions: The agenda for the consultative meeting could include, among others, the following discussion points:

The appropriateness of community contributions in a context of extreme poverty; Different approaches to referrals i.e. full financial support, partial support, no support; Cost/benefit and phase-out strategy analysis for NGO approaches to health services

delivery e.g. outreach based on mobile units, establishment of health centres. Full free-care approaches versus partially subsidised care: analysis of the implications on

demand for health services that cannot be satisfied in a sustainable manner; Integration between health, WASH and Livelihood components: expertise, role of

partnerships amongst NGOs, presentation of joint proposals… Considerations of whether the combined Livelihood-Health interventions being

implemented in the Delta could be replicated/adapted to other areas e.g. Northern Rakhine State, Chin State;


Appropriateness of approaches/strategies to funding/not funding government-led AMW training;

The role of the private sector i.e. private health providers / medicine suppliers and analysis of the effects of NGO-introduced free care on these businesses;

Human Resource (HR) strategies: (i) pros and cons of staff nationalisation strategies versus maintaining or increasing the proportion of expatriate staff; (ii) overview of approaches to salary policies (incentives, social benefits, salary increases, etc.). Considerations on Human Resources This last section of elaborates a bit further on the final bullet point above. There are considerable variations in the ratio ‘eligible direct costs / expatriate staff’ across EC-funded health projects. This reflects different HR strategies. Some NGOs spend a considerable proportion of the budget on expatriate staff (ACF in NRS would be one example), whereas others have embarked on a nationalisation strategy (Merlin) i.e. reducing the number of expatriates to the minimum necessary. These different approaches have important immediate implications in terms of project efficiency2 and cost-effectiveness, as well as long-term implications in terms of sustainability and wider impact. At the end of the day it is EU tax-payers’ money that pays for these salaries, and the rationale between these strategies should be clearly elucidated. I would be appropriate to take this ratio into account when evaluating proposals in CfP. It was also observed that there are considerable variations between HR development strategies among NGOs. Some have standardised salary policies (bonus, insurance policies, social benefits) and in-house development training programmes for staff whereas others do not or do but not to the same extent. It would be advisable for the ECD to have a say in this matter, either by stipulating minimum common requirements (unifying approaches) or by considering HR development policies as a factor/criterion to be considered in evaluations of CfP. This is for three reasons: (i) salaries are all paid with EC money and when NGOs work in similar areas, salary levels and salary policies call for a coherent/harmonised approach; (ii) some NGOs receive EC funds for rather prolonged periods of time, which legitimates the EC having a say on, or at least, being informed of HR policies; and (iii) given the socio-political context in Myanmar, building the capacity of local human resources constitutes a tangible and sustainable effect of EC funds.

2 E.g. national staffs do not require Travel Authorisations (TAs) whereas expatriates do. The requirements for TAs have become more stringent which results in a week lost per month and increased travel costs. On the other hand national staffs have less leverage than expatriates when dealing with health authorities.

Documents

Compendium Lessons Learnt electronic version