Blog

Sustainability Ready: what it takes to support & measure lasting change webinar

Posted by on Jul 7, 2020 in Accountability, ex-post evaluation, International aid, Participation, post-project evaluation, Sustainable development | 2 comments

On June 24th under GLocal’s UNConference, “Co-creating our future stories of hope and action”, Jindra Cekan, Holta Trandafili, and Isabella Jean presented their work on sustainability evaluations and exit strategies via local voices. We chaired a 2-hour discussion session on the following topics:

  • Sustainability of global development projects and exit from them,
  • The importance of valuing local partners’ and participants’ voices,
  • How to embed ex-post evaluation of sustainability into the project cycle,
  • How expectations, benchmarking, and early joint planning in exit strategies, as well as considering long-term ownership & relevance will support projects to be sustained locally, including questioning who will maintain results,
  • Considering power dynamics between donors and ultimate ‘beneficiaries’ and
    the value of the impact of the project from a variety of perspectives, and more

Here is the recording of our presentation or see just the PowerPoint presentation. We harvested lessons from our three presentations:

Jindra Cekan:
· Fear of learning about failure in our global development industry – INGOs are “waiting for a successful enough project” to commission ex-post project sustainability evaluation
· It needs to be a culture of learning, not a culture of success.
· Lack of transparency in sharing program evaluation results with communities and local government is widespread, and even more rarely do we come back after many years and share learnings
· Participatory approaches are vital, listening to participants about sustained impacts is key
· It is never attribution, always contribution. To isolate impacts, we need to look for project sites that haven’t had multiple other organizations overlapping through all phases.
· Building sustainability planning throughout the project cycle is key – but often doesn’t happen

Holta Trandafili:
· Sustainability needs to be planned to be researched, including evaluating why or why not were project elements sustained, and why? What has the project done to enable communities to sustain improvements?
· Expectations of sustainability need to be more modest (as most results are mixed good/bad)
· We need to ask: How are you defining and measuring sustainability – for how long should the results last? Among how many participants? Have you set benchmarks for success?
· We should expand your toolbox on methodology to investigate sustainability. Stories of success are one of a myriad of methods used, including mixed-methods, cost-benefit, etc.
· Start with the need for learning not [just] accountability

Isabella Jean:
· Sustainability investigation/evaluation/learning should be mindful that this is NOT about projects. It is about people.
· We have a system that focuses on gaps and needs to be filled vs. existing capacities’ structures to be reinforced. How can our work on measuring sustainability bring this to light and call it out, so that we change the norm?
· Planning for sustainability requires the insight to integrate resources and experiences of outsiders with the assets and capacities of insiders to develop context-appropriate strategies for change

If you would like to discuss this with any of us, please send us comments and we’re happy to respond. Thanks again to the G-Local UnConference team!

 

 

 

 

 

 

Below please find our bios:

Jindra Cekan/ova has worked in global development for 33 years focused on participatory design and M&E for global non-profits. She founded Valuing Voices 7 years ago. For details, see: Valuing Voices Founder

Holta Trandafili is the Research, Learning, and Analytics Manager with World Vision US and has been leading field research, monitoring, and evaluation since 2007. She has led sustainability measurement studies for World Vision programs in Uganda, Kenya, Sri Lanka, India, Burma, and Bolivia. Her areas of expertise and interest include program and community groups’ sustainability measurements; agency-level measurements; empowerment approaches to development; integrated programming; local capacities for peace; gender analysis; and outcome monitoring. Currently, Mrs. Trandafili serves as an Advisory Committee member for InterAction’s Effectiveness and Program Evaluation Working Group and chairs one of the sub-working groups under The Movement for Community-led Development.

Isabella Jean supports international and local organizations and funders to document promising practices, facilitate learning and strengthen capacities for conflict sensitivity, peacebuilding and humanitarian effectiveness. She has facilitated action research, collaborative learning and advisory engagements in over 25 countries, and serves as an advisor to policymakers, senior leadership and program teams. Isabella co-authored the bookTime to Listen: Hearing People on the Receiving End of Aid and developed practical guidance to support accountability to communities, listening and feedback loops, and responsible INGO exits. She teaches graduate-level courses on aid effectiveness, program strategies and M&E of peacebuilding at Brandeis University’s Heller School for Social Policy and Management. Previously, Isabella directed training at a community organizing network and conducted policy research for the Institute for Responsive Education, UNDP, and Coexistence International.

 

Sustainable Exit Strategies: USAID vs. EU

Posted by on Jun 28, 2020 in EU, Exit strategies, USAID | 0 comments

Sustainable Exit Strategies: USAID vs. EU

 

Sustainable Exit Strategies: USAID vs. EU

 

Once malnutrition has decreased, students’ attendance has risen, or the number of small businesses has doubled, program implementers may be quick to pack their bags and leave. But the impact of their work may be undermined if not undone if they leave before implementing context-specific, comprehensive plans for post-project sustainability. It is for this reason that exit strategies – and particularly institution-wide mandates by donors – are crucial components of effective development programming. The United States Agency for International Development (USAID and the European Union (EU) Commission both have close-out protocols in place, but much to learn from one another in ensuring long-term progress in the wake of their close-outs.

 

Recommendations for Project Close-Out

Although every program should develop and follow context-specific exit measures, non-profits and ex-post evaluators have found that some exit strategies consistently lead to long-term, sustainable impact. The International NGO Training and Research Centre (INTRAC), for example, states that donors and implementers should actively plan for close-out throughout the project – from program design to the post-exit stage [1]. It recommends the following:

  • Implementers should “build exit thinking into the design of the project,” and during the program, representatives should be monitoring pre-determined exit indicators [1]
  • “Senior staff and management need to prioritize resources for exits in order to do them well, embed learning within organizations and across teams, and ensure mistakes are not repeated” [1]
  • “Practitioners should also consider going the extra mile to look after staff at headquarters and within partner organizations” [1]
  • “Document experiences and share them externally” [1]
  • “Consider whether a timeline approach would work for you” [1]

 

The USAID Approach to Project Close-Out

According to USAID’s 2020 Program Cycle Operational Policy, the formal close-out process for specific projects are carried out by the USAID Mission team in the recipient country and Operating Units based in Washington, DC [2]. However, the Program Cycle does not reference the close-out process, let alone offer guidance [3]. Unlike country exits, which require thorough evaluation and international cooperation [4], the sustainability measures of close-out procedures for activities – components of country-wide programs – seem to be delegated to implementing agencies.

Tellingly, the USAID formally defines “sustainability” as “the ability of a local system to produce desired outcomes” after its projects end, which the Agency may “contribute to” by strengthening capacity in their respective realms [5]. After close-out, USAID currently considers the sustainability of its projects to be a matter of “the country and/or targeted community’s commitment and capacity to achieve development solutions” [5]. Commitment and capacity, in turn, are gauged by 17 country-level “self-reliance metrics” ranging from “liberal democracy” to “export sophistication” [6,7]. Even post-project monitoring and evaluation are explicitly meant to “reveal whether implementation is on track and results are being achieved” with no mention of sustainability or long-term follow-up [3].

In effect, this framework not only puts the onus of project sustainability on recipients, but evaluates it based on large-scale and potentially tangential metrics. The stakes of this practice are raised by the fact that the resultant “Country Roadmaps” inform when USAID ends its programming in a given country, endangering a range of populations that these metrics do not account for, like seniors and prisoners [6].

 

USAID’s official Program Cycle [3]

 

During close-out, USAID representatives seem to focus on administrative tasks. When a Mission is preparing for activity close-out, for example, Mission Directors are responsible for developing plans that include the following:

  • “The retention of sufficient and suitable staff members and the delegation of authority and assignment of specific responsibility to each to carry to completion the required close-out action” [8]
  • “Estimates of the personnel, space, and funds required to complete the close-out” [8]
  • “The timetable for phasing out, transferring, or terminating U.S. direct-hire, participating agency, and contract personnel and the replacement of assistance from other resources” [8]
  • “Actions for terminating the services of cooperating country and third country national staff” [8]
  • In its 2003 version, but since removed:
  • “Missions must think in terms of leaving sustainable and useful units of assistance” [9]
  • “A monthly timeframe/activity projection for the entire close-out period [approximately six months] of major activities that must occur” [9]

Similarly, in the case of Interagency Agreements, USAID Agreement Officers’ (AO) personal and delegated close-out responsibilities are limited to the collection of financial reports and compliance-related documents [10]. AOs are expected to work in this same, limited capacity as they terminate Assistance and Acquisition Awards [11].

By contrast, when USAID gives grants to NGOs and has “little direct involvement,” recipients are strongly encouraged to adhere to six substantial, well-rounded “tips,” which include [12,13]:

 

A List of Recommendations, including "Work with Staff to ensure a smooth transition"

*Staff refers to each NGO’s own staff; based on [13]

 

Among all of the terms and conditions reviewed, USAID’s exit strategies for foreign Missions, Agreements, and Awards have been almost exclusively administrative in nature. Although the Agency should not be solely responsible for ensuring the sustainability of its programming, its lack of regulation in this realm risks both undue pressure on implementing partners to do so and short-lived progress in the wake of its exit [14].

Fortunately, USAID has demonstrated its interest in sustainable close-out by commissioning studies and reports. In March 2020, USAID’s three-year “collaborative learning project” called Stopping as Success published a checklist for sustainable project transition [15,16]. The publication offers 16 concrete suggestions ranging from “build[ing] trust” with local communities to requiring implementers to report their progress in carrying out a pre-determined sustainability plan [16]. Similarly, the Food and Nutrition Technical Assistance III Project – a partnership between USAID and FHI 360 – studied the consequences of four food assistance programs and made thorough recommendations for ensuring the long-term impact of future projects [14]. These recommendations include accounting for “predictable external shocks and stressors” like natural disasters, and building “vertical linkages […] between community-based organizations or individuals and existing public or private sector institutions” [14]. Armed with this impressive base, USAID is well-equipped to account for new, evidence-based close-out practices.

 

The EU Approach to Project Close-Out

Given the sheer scale of EU development programming – 28 countries providing 47% of the world’s development aid – no specific, all-encompassing mandates for the close-out process was found [17]. Perhaps as a result, there is notoriously little development policy coordination among Member States:

  • Due to inconsistencies among the eight documents outlining the EU’s development objectives and indicators, an internal audit characterized its collective approach as “mixed – at best” [18]
  • High-level meetings have explicitly prioritized “consensus on development” and “working better together,” producing appropriately vague guidelines that do not specifically address closure [19,20]
  • e.g. EU staff should “help to promote more inclusive, sustainable growth that does not compromise the ability of future generations to meet their needs” [19]
  • Its main development finance body, the Development Cooperation Instrument, has been critiqued for its “ambitio[us] desig[n] to address a very broad range of issues, from policy priorities in the agenda for change to EU policy concerns” [21]

For insight into the EU’s exit strategies, one must look to guidelines for specific types of development programming.

 

Cover of the New European Consensus on Development

[33]

 

In the case of joint programming, when Member States work together to design and implement a country-wide, multi-sectorial project, donors must “reach agreement on a responsible exit strategy” for “phasing out sectors outside focal/centration areas, without creating a financing gap and with minimum disruption to the partner country” [20]. The policy offers two examples of such a strategy: “including scenarios in which other participating partners ‘plug the gap’ and/or other forms of cooperation beyond ODA [official development assistance] (e.g. the private sector)” [20]. The strategy must be drafted with input from the recipient country “as much as possible,” and may include either the intervention of other stakeholders or the private sector [20]. These discussions make take place at any of the following four “entry points” [20]:

  • “At the start of a new national development plan cycle, or a major change in the country” [20]
  • “At the start of a new strategic programming period or a review process for several important development partners” [20]
  • “During high-level country meetings […] where partner governments present their plans and solicit development partners support” [20]
  • “In situations of fragility or transition from humanitarian aid to more structured programmatic aid and more development partners” [20]

The development of context-specific exit strategies by Member States and recipients allows for practicable, fairly delegated, and concrete steps to exiting. However, this provision omits mention of enforcement or evaluation, may take place at the end of the implementation period, and does not encompass best practices as defined by INTRAC [1].

Outside of joint programming, the EU oversees projects funded by its executive implementing agencies, such as the Consumers, Health, Agriculture and Food Executive Agency and the Executive Agency for Small and Medium-sized Enterprises (EASME). In those cases, agency-wide final report guidelines could shed light on collective guidance but these are publicly inaccessible [22]. However, an early iteration of the Horizon 2020 Programme’s final report guide is still available online. The EU had required that implementers submit 20-30 lines of text addressing the following:

“Inform about activities undertaken during the project to ensure that your action
continues and reaches out further. Inform also about plans and intentions to continue
and sustain the project activities after the end of the project. Indicate the state
of advancement (e.g. agreed action, concrete proposal, idea)” [23].

Although field staff may not have been required to tangibly ensure the sustainability of their projects – and may not even make these assessments anymore – it is clear that at one time, the EU mandated assessments of expected sustainability at the end of program-specific project implementation.

With no overarching guidance for EU project exits, countries and individual NGOs have resorted to choosing or developing their own. The think tank E3G – funded in part by EASME [24] – has issued both internal and guidance for sustainable programming [25,26]. Its key points include “consultative engagement[s with] a broad range of stakeholders,” “integrat[ing programs] with long term national development plans,” and “strengthening city and local-level planning and institutions” [25]. These recommendations, however, are scattered among legal studies, commissioned reports, and briefing papers. By contrast, another EASME-funded program called Carbon Market Watch adheres to the project cycle guidelines of UN committees [27,28,29]. Although their Project Design Document and methodology forms request specific information about monitoring and evaluation, they do not ask for implementers’ plans for program close-out or long-term impact [30].

 

Cover of People in Need Evaluative Report

[32]

 

Other EU member-country NGOs end up developing sustainable exit measures mid-project. One example is a 2011-2013 agricultural project in Ethiopia implemented by People in Need, an international NGO based in the Czech Republic and funded in part by the EU’s Commission for Civil Protection and Humanitarian Aid [31]. Two months before its end, an evaluation of the program’s sustainability was conducted, receiving such recommendations as: 1) “increasing [recipients’] financial sustainability;” 2) “ensuring that FTCs’ [Farmer Training Centers] services benefit all, not only model farmers;” and 3) “providing books in Amharic language, not English” [32]. In the remaining time, 75% of these recommendations were met, leading to the internal assessment that the “sustainability of the project’s outcomes is likely to be largely positive” [32].

 

Learning from One Another

USAID and the EU operate at starkly different scales – one a country-specific bilateral donor, and the other an economic union of dozens of donor countries – but each of their exit strategies could be strengthened by incorporating elements from the other’s.

The EU could learn from the USAID’s multifaceted guidance for NGOs; the considerations listed in its final report guide are limited to the post-project involvement of EU field staff. It should explicitly promote local participation for sustainability during project close-out and beyond, such as transferring operations to local organizations or businesses.

In turn, USAID’s administration-centric strategy could benefit from the large-scale considerations of EU policies. Discussions with recipient governments, particularly in turbulent circumstances, could strengthen diplomatic relations with the US in addition to supporting reasonable transition plans. Formally soliciting exit plans from project implementers could also produce more sustainable project results.

 

NOTE: Valuing Voices thanks our excellent Harvard intern Rachel Sadoff for this research! We have a question: we found no EU/EC sites discussing exit strategies recommendations or guidance for global development projects. Do you have some? Please share in the comments below. Thank you.

Footnotes:

A) Projects and activities need to explain and demonstrate how their programming advances the objectives of USAID’s Country Development Cooperation Strategies for the given state (see ADS Chapter 201).

B) Current totals are publicly available on the Agency’s Country Roadmap website.

C) VV’s search spanned over five hours.

D) As of writing, final report guidelines are only available through an exclusive portal.

E) These are the Clean Development Mechanism and Joint Implementation Committee of the United Nations Framework Convention on Climate Change (UNFCCC).

 

Sources:

[1] Lewis, S. (2016, January). Developing a Timeline for Exit Strategies. Retrieved from https://www.intrac.org/resources/praxis-paper-31-developing-timeline-exit-strategies/

[2] USAID. (2020, June 16). ADS Chapter 201: Program Cycle Operational Policy. Retrieved from https://www.usaid.gov/sites/default/files/documents/1870/201.pdf

[3] USAID. (2016, December 8). ADS 201: Program Cycle Operational Policy – Fact Sheet. Retrieved from https://usaidlearninglab.org/library/ads-201-program-cycle-operational-policy-fact-sheet

[4] USAID. (2020, February 26). Strategic Transitions Fact Sheet. Retrieved from https://www.usaid.gov/documents/1870/strategic-transitions-fact-sheet

[5] USAID. (2020, May). Discussion Note: Ex-Post Evaluations. Retrieved from https://usaidlearninglab.org/library/discussion-note-ex-post-evaluations

[6] USAID. (2020, June 3). USAID’S Country Roadmaps Fact Sheet. Retrieved from https://www.usaid.gov/documents/1870/usaids-country-roadmaps-fact-sheet

[7] USAID. (n.d.). The Journey To Self-Reliance: Country Roadmaps. Retrieved June 2020 from https://selfreliance.usaid.gov/

[8] USAID. (2018, July 17). Mandatory Reference for ADS Chapter 527: Administrative Guidance on How to Close a USAID Operating Unit – Checklists. Retrieved from https://www.usaid.gov/sites/default/files/documents/1868/527mab.pdf

[9] USAID. (2003, October 1). ADS 527 Mandatory Reference: Guidance on How to Close a USAID Mission – Checklist. Retrieved from https://2012-2017.usaid.gov/sites/default/files/documents/1868/527mab.pdf

[10] USAID. (2015, November 30). ADS Chapter 306: Interagency Agreements. Retrieved from https://2012-2017.usaid.gov/sites/default/files/documents/1868/306.pdf

[11] USAID. (2010, October 6). Guidance on Closeout Procedures for A&A Awards. Retrieved from https://2012-2017.usaid.gov/sites/default/files/documents/1868/302sat.pdf

[12] USAID. (2020, February 13). Doing Business with USAID. Retrieved from https://www.usaid.gov/work-usaid/how-to-work-with-usaid

[13] USAID, & FHI 360. (2012). The Essential NGO Guide to Managing Your USAID Award. Retrieved from https://www.fhi360.org/resource/essential-ngo-guide-managing-your-usaid-award

[14] Food and Nutrition Technical Assistance. (2015, December). Effective Sustainability and Exit Strategies for USAID FFP Development Food Assistance Projects. Retrieved from https://www.fantaproject.org/research/exit-strategies-ffp

[15] Stopping as Success. (n.d.). About Us. Retrieved June 2020 from https://www.stoppingassuccess.org/about-us

[16] Stopping as Success. (2020, March 17). USAID Mission Checklist for Sustainable Transitions. Retrieved from https://www.stoppingassuccess.org/resources/usaid-mission-checklist/

[17] European Commission. (2015, December). EU Site Explorer: Overview. Retrieved June 2020 from https://euaidexplorer.ec.europa.eu/content/overview_en

[18] Froidure, P., & Devillé, H. (2015). Review of the risks related to a results oriented approach for EU development and cooperation action. Retrieved from https://op.europa.eu/en/publication-detail/-/publication/b2921ec1-c589-11e5-a4b5-01aa75ed71a1

[19] European Commission Directorate-General for International Cooperation and Development. (2018, November 19). The New European Consensus on Development: ‘Our World, Our Dignity, Our Future’. Retrieved from https://op.europa.eu/en/publication-detail/-/publication/5a95e892-ec76-11e8-b690-01aa75ed71a1

[20] European Commission. (2018, June). Joint Programming Guidance: Supporting EU Delegations to Work Better Together with Member States, Like-Minded Partners and Country Stakeholders. Retrieved from https://knowledge.effectivecooperation.org/node/77

[21] Parry, M., & Segantini, E. (2017, October). How the EU Budget is Spent: Development Cooperation Instrument. Retrieved from https://www.europarl.europa.eu/RegData/etudes/BRIE/2017/608764/EPRS_BRI(2017)608764_EN.pdf

[22] Linköping University. (2020, May 25). Reporting to the European Commission. Retrieved June 2020 from https://insidan.liu.se/forskningsfinansiering/horizon-2020/rapportera-till-eu-kommissionen?l=en

[23] European Commission: Intelligent Energy Europe. (2012). Guidelines for Drafting the Final Technical Implementation Report. Retrieved June 2020 from https://ec.europa.eu/easme/en/technical-reporting

[24] LIFE Program. (2019, June 3). 2019 Operating Grants for NGOs. European Commission. Retrieved from https://ec.europa.eu/easme/en/section/life/2019-life-call-proposals-ngos

[25] Wright, H., Dimsdale, T., & Healy, C., et al. (2018, June 26). Sustainable Infrastructure and the Multilateral Development Banks: Changing the Narrative. E3G. https://www.e3g.org/library/sustainable-infrastructure-and-the-multilateral-development-banks-changing

[26] Naidoo, C., Amin, A., & Dimsdale, T., et al. (2014, April 9). Strategic national approaches to climate finance: Report on scoping work in Peru, Chile and Colombia on national climate finance pathways and strategies. Retrieved from https://www.e3g.org/news/media-room/strategic-national-approaches-to-climate-finance

[27] LIFE Program. (2019, June 3). 2019 Operating Grants for NGOs. European Commission. https://ec.europa.eu/easme/en/section/life/2019-life-call-proposals-ngos

[28] Carbon Market Watch. (2014, June 25). The Joint Implementation offsetting mechanism is deeply flawed – time to consign it to history? Retrieved from https://carbonmarketwatch.org/2014/06/25/the-joint-implementation-offsetting-mechanism-deeply-flawed-time-to-consign-it-to-history/

[29] Carbon Market Watch. (n.d.) CDM Project Cycle. Retrieved 2019, May 10 from
https://web.archive.org/web/20190510064748/http:/archive.carbonmarketwatch.org/learn-about-carbon-markets/cdm-project-cycle/

[30] United Nations Framework Convention on Climate Change. (n.d.). Guidelines for Completing the Project Design Document (CDM-PDD), the Proposed New Methodology: Baseline (CDM-NMB) and the Proposed New Methodology: Monitoring (CDM-NMM). Retrieved June 2020 from https://cdm.unfccc.int/Reference/Documents/Guidel_Pdd/English/Guidelines_CDMPDD_NMB_NMM.pdf

[31] Directorate-General for European Civil Protection and Humanitarian Aid Operations. (n.d.). Agreements for Humanitarian Aid and Emergency Support Within the EU Awarded in 2017 by DG ECHO. Retrieved June 2020 from https://ec.europa.eu/echo/files/funding/agreements/agreements_2017.pdf

[32] People in Need Ethiopia. (n.d.). Final Evaluation: PIN’s Support to Strengthening Agricultural Extension Services in SNNPR, Ethiopia. Retrieved from https://www.clovekvtisni.cz/en/learning-series-on-agricultural-extension-738pub

 

 

Sustaining “Sustainable Development”

Posted by on Apr 20, 2020 in Aid effectiveness, climate change, environment, ex-post evaluation, Impact, international development, JICA, OECD, Participants, post project evaluation, Sustainability, Sustainable development, USAID, Vietnam, water/ sanitation | 0 comments

Sustaining “Sustainable Development”

 

Sustaining “Sustainable Development”?

 

As a global development industry, we have almost no evidence of how (un)sustained the outcomes or impacts of 99% of our projects because we have never returned to evaluate them. But from early indications based on the ex-posts, we have evaluated 2-20 years after donor departure it is, learning from what was and was not sustained is vital before replication and assuming sustainability. Most results taper off quite quickly, showing 20-80% decreases as early as two years post-closure and donor exit. A few cases of good news also appear, but more trajectories falter and fail than rise or remain. Sustainability, then, is not a yes-no answer, but a how much, yet too few ask… hence if they were, resilient, they are less so, or even not at all, now.

 

At Valuing Voices we focus on the sustainability of projects after external support ends. Still, those projects are also dependent on the viability of the environment in which they are based. As Andy Rowe, an evaluator on the GEF’s Adaptation Fund board, noted at IDEAS’ Conference in Prague late 2019 [1], a need for sustainability-ready evaluation to help us know how viable the resources are on which so many of our projects rest [2]. He states, “the evaluation we have today treats human and natural systems as unconnected and rarely considers the natural system”. He goes on to differentiate between biotic natural capital  (air, water, plants, and trees) and abiotic natural capital sources (fossil fuels, minerals, and metals, wind, and solar).

 

How much are projects designed assuming those resources are and will remain plentiful? How often do we evaluate how much our projects drain or rely on these environmental elements? Many projects are required to do environmental compliance and safeguarding against damage at project onset [3]. Others, such as agriculture and natural resource management or water/ sanitation, often focus on improving the environment on which those activities rely, e.g., improving soil or terrain (e.g., terraces, zais), planting seedlings, and improving access to potable water for humans and animals. Still, many projects ‘assume’ inputs like rainfall, tree cover, solar power, or do not consider the sustainability of natural resources for the communities in which they intervene. Examples are both those that rely on natural systems as well as those supposedly beyond them, e.g., enterprise development, education, safety nets, etc. Yet many enterprises, schools, safety nets do rely on a. viable environment in which their participants trade, learn, and live, and all are subject to the growing climate change disruptions. 

 

Why is this urgent? The OECD/DAC reminds us that “Natural assets represent, on average 26% of the wealth of developing countries compared to 2% in OECD economies” [4]. Unless we protect them and address the demand for natural resources, demand will far outstrip supply. “By 2030, an additional 1 billion people are expected to live in severely water-stressed areas, and global terrestrial biodiversity is expected to decline an additional 10%, leading to a loss of essential ecosystem services. By 2050, growing levels of dangerous air emissions from transport and industry will increase the global number of premature deaths linked to airborne particulate matter to 3.6 million people a year, more than doubling today’s levels. Failure to act could also lead to a 50% increase in global greenhouse gas emissions by 2050, and global mean temperature increases of 3-6°C by the end of the century, in turn contributing to more severe and sometimes more frequent natural disasters… [so] reconciling development with environmental protection and sustainable resource management is broadly agreed as a central concern for the post-2015 development agenda.”

 

When we return to projects that are a mix of behavior change and environment, we find a wide range of results:

  • Some projects, such as JICA Vietnam’s water supply and irrigation infrastructure reached 80% of the final results two years later [5]. And while the pilot projects were worse off (as low as 28% of irrigated hectares), longer-standing projects sustained as much as 72% of final results. While such agricultural development assumes continued water supply and access, does it evaluate it? No.
  • Some can define what ex-post lessons are more narrowly as functioning mechanisms: New ex-posts of water/ sanitation showed better – but still mixed results, such as USAID Senegal’s [6]. “While a majority (63 percent) of the water points remained functional, the performance varied significantly based on the technology used. Of the different technologies, the Erobon rope pumps performed poorly (27 percent functional), while the India Mark (74 percent functional) and mechanized pumps (70 percent functional) performed the best.”
  • Some projects that include environmental considerations illustrate our point by only focusing on behavior change as this sanitation/ hygiene ex-post from Madagascar did, where results fell off precipitously three years ex-post but without considering water supply or quality much [7]. 

[7]

  • There can be useful learning when one combines an evaluation of both types of sustainability (ex-post and environmental). A JICA irrigation project in Cambodia shows that when irrigation canals were mostly sustained over the five-years ex-post, they could serve increasing needs for land coverage and rice production [7]. The area of irrigated fields at the national level in 2010 reached the target, and the irrigated field area has since continued to increase in most areas. Even the largest drop [in area irrigated] post-closure was only 11%. They reported that the unit yield of rice at the end-line survey in 2012 at 11 sites was 3.24t/ha (average) versus 3.11t/ha of unit yield of rice at the ex-post evaluation in 2017, which [almost] maintains the 2012 level. The ex-post showed that “continuous irrigation development in the said site can be considered as the main reason for the increase in land area. Securing an adequate amount of water is an important factor in continuously improving rice productivity.” The research also found that 81% of agricultural incomes as a result of the irrigation had increased, 11% stayed the same, and 8% had decreased. Again, this looks to be among the most resilient projects that, based on ex-post research, included environment which was also found to be as resilient as the livelihoods it was fostering.
  • Sometimes more bad than good news is important when tracking environment and ex-post sustainability: Food for the Hungry, ADRA, and CARE Kenya found that unreliable water supply reduced the motivation to pay for water, threatening the resources to maintain the system [8]. What improved prospects of sustainability understand why communities could not sustain water and sanitation results based on willingness-to-pay models, as well as water being unavailable. Further, a lesson the organizations ideally learned was that “gradual exit, with the opportunity for project participants to operate independently prior to project closure, made it more likely that activities would be continued without project support.” So the question remains, what was learned by these organizations to avoid similar bad results and improve good, resilient results in similar circumstances?

 

[6]

 

Neither sustainability nor environmental quality can be assumed to continue nor to have positive results. Both are extensively under-evaluated, and given climate change disruptions, and this must change. Rowe concludes: “Climate change is a major threat to the long-term sustainability both attacking the natural systems (e.g. lower rainfall or higher floods, worse soil quality, increasing pests attacking crops, disappearing fish stocks, microplastics in our air and water, increasing sea levels from melting glaciers, worsening public health etc.) and destabilizining our Earth’s regenerative capacity. Fortunately, technical barriers do not prevent us from starting to infuse sustainability into evaluation; the barriers are social and associated with the worldview and vision of evaluation.”

 

Sources:

[1] IDEAS 2019 Global Assembly. (n.d.). Retrieved from https://2019.global-assembly.org/

[2] Rowe, A. (2019). Sustainability‐Ready Evaluation: A Call to Action. New Directions for Evaluation, 162, 29-48. Retrieved from https://www.researchgate.net/publication/333616139_Sustainability-Ready_Evaluation_A_Call_to_Action

[3] USAID. (2013, October 31). Environmental Compliance Procedures. Retrieved from https://www.usaid.gov/our_work/environment/compliance/pdf/216

[4] OECD. (2015). Element 4, Paper 1: Global and local environmental sustainability, development and growth. Retrieved from https://www.oecd.org/dac/environment-development/FINAL%20POST-2015%20global%20and%20local%20environmental%20sustainability.pdf

[5] Haraguchi, T. (2017). Socialist Republic of Viet Nam: FY 2017 Ex-Post Evaluation of Japanese ODA Loan Project “Small-Scale Pro Poor Infrastructure Development Project (III)”. Retrieved from https://www2.jica.go.jp/en/evaluation/pdf/2017_VNXVII-5_4.pdf

[6] Coates, J., Kegode, E., Galante, T., & Blau, A. (2016, February). Sustaining Development: Results from a Study of Sustainability and Exit Strategies among Development Food Assistance Projects: Kenya Country Study. USAID. Retrieved from https://www.globalwaters.org/resources/assets/ex-post-evaluation-senegal-pepam

[7] Madagascar Rural Access To New Opportunities For Health And Prosperity (RANO-HP) Ex-Post Evaluation. (2017, June 1). USAID. Retrieved from https://www.globalwaters.org/resources/assets/madagascar-rural-access-new-opportunities-health-and-prosperity-rano-hp-ex-post-0

[8] Kobayashi, N. (2017). Kingdom of Cambodia: FY2017 Ex-Post Evaluation of Technical Cooperation Project: “Technical Service Center for Irrigation System Project – Phase 2 / The Improvement of Agricultural River Basin Management and Development Project (TSC3)”. Retrieved from https://www2.jica.go.jp/en/evaluation/pdf/2017_0900388_4.pdf

 

Wishing for ex-post evaluation Christmas Lights rather than Needles in Haystacks

Posted by on Dec 11, 2019 in capacity, ex-post evaluation, Failure, Indonesia, JICA, Monitoring and Evaluation, RSA South Africa, water, World Vision | 5 comments

 

Wishing for Ex-Post Evaluation Christmas Lights
Rather than Needles in Haystacks

 

This is what life of most ex-post evaluation researchers looks like, mostly without the counting congratulator:

 

I recently spent three days looking for ex-post evaluations for a client across nearly a dozen organizations. I was hard-pressed to find 16 actual ones. Sorting through ‘impact evaluations’ that were done in the middle of implementation does not tell us anything about what was sustained after we leave, nor do delayed final evaluations that happen to be done after closure. While these (rightly) focus on cost-effectiveness, relevance and efficiency, measures of sustained impact are projections, not actual measures of what outcomes and impacts stood the test of time. I weeded out some desk studies that did not return to ask anyone who participated. Others titled ‘ex-post’ were barely midterms (I can only gather they misconstrued ‘ex-post’ as after-starting implementation?) and a few more reports only recommended doing ex-post evaluation after this final evaluation. For more lessons on how random and misconstrued ex-posts can be, see Valuing Voices’ research for Scriven. None of these 16 actual ex-posts even told us anything about what emerged (as we look at during Sustained and Emerging Impacts Evaluations) from local efforts in the years after assistance ended [1].

This is what I wish my ex-post haystack would look like, bountiful treasures of numerous ex-post-project evaluations, as numerous as these Christmas lights here in Tabor, Czech Republic.

 

If we had more ex-posts to learn from, we could learn from what lasted. What could locals sustain? Why? Why not? How can we do better next time? We could compare across sectors and countries, and we could see what conditions and processes during implementation supported sustainability -and importantly – why some failed, so we don’t repeat those mistakes.

We could move from our current orange slices that ends at closure to green sustainability of the project cycle:

I will be adding the ones I found to our Catalysts list soon, but when my client asked me who held databases of ex-post evaluations, I had to say only Valuing Voices and Japan’s JICA (since 1993 who even differentiates the ex-posts between Technical Grants and ODA Loans). This is not to say some cannot be found by trawling the OECD or the World Bank, but this is Needle-in-Haystack work again and so there are only 2 databases to learn from. Isn’t that shocking?

Now JICA has really upped the illumination ante, so to speak: They are now doing what they are calling JICA’s Ex-post Monitoring’ which was like Christmas come early [2]! Returning to learn 7 years after the ex-post which was 1-3 years after closure meant one could evaluate the sustained impacts of results, see if JICA’s recommendations to their partners had been implemented, how they had adapted to changes over a decade post-closure and find learning for new programming. While it was unclear why these specific projects were selected, it is amazing they are doing 5-10 per year. They are my ex-post gods/ goddesses and I fawned over two JICA evaluators at the last European Evaluation Society Conference.

“Ex-post monitoring is undertaken 7 years after a project was completed in principle in order to determine whether or not the expected effects and impacts continue to be generated, to check that there are no sustainability-related problems with the technical capacities, systems and finances of the executing agency nor with the operation and management of developed facilities, etc., and to ascertain what action has been taken vis-a-vis the lessons learned and recommendations gleaned during the ex-post evaluation.”

 

What we can learn from returning again is illustrated by one of JICA’s water project loans in RSA, which ended in 2003, had an ex-post in 2006, followed by monitoring of sustainability in 2013 [3]. While the report included issues of data access and evaluators expressed caution in attributing causation of positive changes to the project, but it not only continued functioning, the government of South Africa (RSA) solved barriers found at the ex-post:

  • “Data for the supply and demand of water pertaining to the Kwandebele region could not be obtained. However, considering the calculation from the water supplied population and supplied volume and the result from the DWAF interview, water shortage could not be detected in the four municipalities studied by this project…” [3]
  • “The ex-post evaluation indicated that the four components were not in the state to be operated and managed effectively. Currently, the components are operated and managed effectively and are operating under good condition [and] concerning sustainability, improvement can be seen from the time of ex-post evaluation. Shortage of employees and insufficient technical knowledge has been resolved…” [3]
  • “Compared to the time of ex-post evaluation, improvement was seen in the under-five mortality and life expectancy. However, since the components implemented by this project are limited in comparison with the scope of the project, it is impossible to present a clear causal relationship” [3].

In another, from Indonesia’s air quality testing labs which involved capacity building and equipment maintenance 6 years after the ex-post, they mostly found training and use continued despite organizational changes and maintenance challenges: [4]

  • “After the ex-post evaluation, many of the target laboratories changed their affiliation from the Ministry of Public Works (MOPW) and MOH to provincial governments. While the relocation of equipment has been carried out in a handful of provinces, in other provinces equipment is still located at the laboratories where it was originally installed and these laboratories still have the right of use” [4]
  • In spite of some irregularities ”As the Ministry of Environment (MOE) still has ownership of the equipment, some laboratories have inappropriate audit results that show allocation of O&M budget to equipment which is not included in their accounting…” [4]
  • “Out of 20 laboratories where the questionnaire survey confirmed that equipment still remained, 15 laboratories replied that spare parts for equipment are still available but are difficult to obtain…It takes several months to one year to obtain spare parts, occasionally out of Indonesia, even if a repair service is available” [4].

In this case, there were lessons learned for JICA and Indonesia’s Ministry of the Environment programs about ownership and the right use of the equipment and retiring obsolete equipment. Talk about a commitment to learning from the ongoing success or failure of one’s projects!

 

As you have read here on Valuing Voices for more than six years, unless we include post-project sustainability that asks our participants and partners how sustained their lives and livelihoods could be, and even resilient to shocks like political or climate change, we cannot say we are doing Sustainable Development. We need such lessons about what could be sustained and why.

We can prepare better to foster sustainability. In the coming months we are working on checklists to consider during funding, design, implementation, M&E pre-and post-exit, to foster sustainability. Will keep you posted, but as World Vision also found: “Measuring sustainability through ex-posts requires setting clear benchmarks to measure success prior to program closure, including timelines for expected sustainment.”

And as my gift to you this Holiday Season, let me share WV’s Learning Brief about Sustainability, with wise and provocative questions to ponder about dynamic systems, benchmarking, continuous learning, attribution, and managing expectations [5]. World Vision shares how infrastructure and community groups and social cohesion fared well, yet lessons circled back to the need for JICA-like ‘monitoring’ and mirror rich ex-post lessons from FFP/Tufts (Rogers, Coates) and Hiller et al. that explains why we do ex-posts at all: “Project impact at the time of exit does not consistently predict sustainability“ [6].

 

Now my gift: a few big lessons from  the six years of researching sustainability across the development spectrum.  I have found no evaluations that were only positive. Most results trended downwards, a few held steady, and all were mixed. We cannot assume the sustainability of results at closure, nor optimistic projections as we’ve seen in the climate arena.

Please consider:

  • Designing with our participants and partners so what we do,
  • Implementing with partners far longer to make sure things still work,
  • Adapting exit based on benchmarks to see how well the resources, partnerships, capacities, and ownership have been transferred,
  • Using control or comparison groups to make sure ‘success’ was due to you and being careful about attributing results to your projects while considering how you contributed to a larger whole of ongoing country progress or stagnation,
  • Being willing to jettison what is unlikely to be sustained and learn from what we designed and implemented poorly (due to our design, their implementation, external conditions),
  • Given climate-change, learning fast, adaptively and revising fast given changing conditions,
  • Without knowing what has been sustained we cannot replicate nor scale-up,
  • Sharing lessons with your leaders – for people’s lives depend on our work,
  • Learning from what emerged as our participants and partners refashioned implementation in new ways could sustain it (without the millions we brought),
  • Refocusing ‘success’ from how much we have spent, to how much was sustained.

 

Please make our next Christmas merry. Do MANY ex-post evaluations, Learn TONS, Share WIDELY WHAT WORKED AND FAILED TO WORK (you will be praised!), and let’s CHANGE HOW WE DO SUSTAINABLE DEVELOPMENT.

 

May 2020 bring health, happiness, and to all of us a more sustainable world!

 

 

Sources:

[1] Cekan, J., Zivetz, L., & Rogers, P. (2016). Sustained and Emerging Impacts Evaluation (SEIE). Retrieved from https://www.betterevaluation.org/en/themes/SEIE

[2] JICA. (n.d.). Ex-post Monitoring. Retrieved December, 2019, from https://www.jica.go.jp/english/our_work/evaluation/oda_loan/monitoring/index.html

[3] Matsuyama, K. (2012). Ex-Post Monitoring of Japanese ODA Loan Project: South Africa, Kwandebele Region Water Augmentation Project. Retrieved from https://www.jica.go.jp/english/our_work/evaluation/oda_loan/monitoring/c8h0vm000001rdlp-att/2012_full_03.pdf

[4] Kobayashi, N. (2009, August). Ex-post Monitoring of Completed ODA Loan Project: Indonesia, The Bepedal Regional Monitoring Capacity Development Project. Retrieved from https://www.jica.go.jp/english/our_work/evaluation/oda_loan/monitoring/c8h0vm000001rdlp-att/indonesia2008_01.pdf

[5] Trandafili, H. (2019). Learning Brief: What does sustainability look like post-program? Retrieved from http://valuingvoices.com/wp-content/uploads/2019/12/Sustainability-Learning-Brief_final_WV-icons.pdf

[6] Rogers, B. L., & Coates, J. (2015, December). Sustaining Development: A Synthesis of Results from a Four-Country Study of Sustainability and Exit Strategies among Development Food Assistance Projects. Retrieved from https://www.fsnnetwork.org/ffp-sustainability-and-exit-strategies-study-synthesis-report

 

Learning from a river of ex-post project evaluations, tools and guidance… Thanks USAID!

Posted by on Nov 10, 2019 in Aid effectiveness, civil society, ex-post evaluation, Ghana, Impact, impact evaluation, Indonesia, Maternal Child Health, MCHN, NGOs, post-project evaluation, sanitation & hygiene, Senegal, Sustainable development, USAID, water/ sanitation | 1 comment

Learning from a river of ex-post project evaluations and tools… Thanks USAID!

Dear ex-post aficionados. It’s raining ex-post project evaluations. Here’s hoping learning from such evaluations in water/ sanitation, maternal/child health and even capacity building/ peacekeeping, and their number increases!

 

1. WATER/ SANITATION & HYGIENE:

USAID has a series of six ex-post evaluations of the water/ sanitation and hygiene sectors since 2017! What is exciting is that they are also looking to the future. These evaluations will “provide insight into what happens after an activity ends, and how to mitigate challenges in future programming, potentially. The series will inform USAID’s WASH activity design and implementation and contribute to a larger sector discussion on achieving sustainability.”

The E3 water division (Water CKM ) took sustainability on as their strategy and have made great strides these last two years. They have done five ex-post project evaluations, cited below, and MSI has completed one more wat/san/ hygiene ex-post evaluations, specifically:

Madagascar Rural Access to New Opportunities for Health and Prosperity (RANO-HP) – Published June 2017
The first evaluation in the series explores the sustainability of the sanitation and hygiene components of the RANO-HP activity, implemented in 26 communes from 2009–2013.

Indonesia Environmental Services Program (ESP) – Published August 2017
The second evaluation in the series examines the sustainability of water utility capacity building, microcredit, and financial outcomes associated with the ESP activity, which was implemented from 2004–2010.

Ethiopia Millennium Water Alliance (MWA-EP) – Published May 2018
The third evaluation in the series examines the long-term sustainability of outcomes related to rural water point construction, rehabilitation, and management, as well as participatory sanitation and hygiene education and construction related to the MWA-EP activity, implemented in 24 rural districts between 2004–2009.

Financial Institutions Reform and Expansion–Debt and Infrastructure (FIRE-D) – Published September 2018
This evaluation is the fourth in the series. It examines how urban water and sanitation services in India have changed since FIRE-D closed and to what extent policies, practices, and financing mechanisms introduced through FIRE-D have been sustained.

Millennium Water and Sanitation Program in Senegal (PEPAM/USAID) – Published July 2019
The fifth ex-post evaluation in the series looks at the PEPAM project (Programme d’Eau Potable et d’Assainissement du Millénaire au Sénégal), implemented from 2009–2014 to improve sustainable access to WASH in four regions of Senegal.

 

USAID-funded by MSI: USAID/Ghana’s Water Access, Sanitation, and Hygiene for Urban Poor (WASH-UP)– published Nov 2018

Also USAID and Rotary International developed a WASH Sustainability Index Tool, “to assess a WASH activity’s likelihood to be sustainable according to the following factors: availability of finance for sanitation; local capacity for construction and maintenance of latrines; the influence of social norms; and governance.” This is similar to what we learned from USAID/ FFP/ Tufts/ FHI360 12 ex-posts that resources, capacities, motivation and linkages (aka partnerships, including governance) are vital to sustaining outcomes and impacts.

 

It will be interesting to see whether they examine the other ex-posts for excellent lessons, as they have the Senegalese evaluation:

  • “Whether or not to subsidize sanitation access …Based on this evaluation’s findings and exploration of the literature, subsidies can help improve the quality of household latrines, but increasing use of those latrines remains a challenge.
  • In contrast, CLTS (a nonsubsidized approach) is often credited with increasing use of unimproved latrines, but serious questions linger about quality and long-term sustainability of the latrines built after CLTS triggering, particularly as it relates to moving up the sanitation ladder. This evaluation… provides the opportunity to examine the potential value of a hybrid approach….
  • The handwashing results suggest that low-cost, low-quality handwashing stations such as tippy taps do not lead to sustained behavior change. It may be worth considering hygiene investments that reduce the behavior change burden on targeted beneficiaries.

2. MATERNAL/ CHILD HEALTH & NUTRITION:

 “Sustainability of a Community-Based CHOICE Program to Improve the Health and Nutrition Status of Mothers and Infants in Indonesia,” The report focused on whether the USAID-funded CHOICE program had left sustainable impacts: improving the health and nutrition status of children under the age of five, as well as the health status of pregnant and lactating women and mothers or caretakers of young children in the Pandeglang District of Indonesia. “After examining the data collected from the PSS, the researchers found that there were significant improvements in many indicators—such as births attended by skilled personnel, the treatment of diarrhea, and the nutritional quality of food fed to infants—in the six years after the CHOICE program ended. However, despite these improvements, the researchers found no significant statistical differences between villages that received the CHOICE program interventions and comparison villages, which did not. This speaks to using such a comparison methodology to focus on actual contribution and rule out the “rising tide lifts all boats” phenomenon.

 

3. CAPACITY DEVELOPMENT & PEACEBUILDING:

USAID’s Regional Office in Thailand evaluated its capacity building and peacebuilding program 1.5 years ex-post.  While civil society was strengthened and there were inroads made on peacebuilding,many interventions initiated during Sapan did not continue post-Sapan, although some did remain. For example, “stakeholders cite evidence of continuing to use some governance tools in local governance related to service delivery [although] because of limited financial resources after Sapan ended, they had to change some of their interventions and reduce the range of people they could include. There are lessons for whose capacities are built, two-way feedback loops with local partners, using local organizations such as universities to sustain training, planning sufficient time for partners to internalize training lessons, etc.

 

4. USAID FUNDED GUIDANCE:

‘Impact Evaluations’ have a new focus on long-term impact, rather than effectiveness during implementation (which was at least the original intent of impact evaluation in the 1980s)! In September 2018, USAID and Notre Dame issued a Guide for Planning Long-term Impact Evaluations as part of the Utilizing the Expertise of the ERIE Program Consortium. The guide covers the difference between traditional impact evaluation designs and data collection methods and how to apply them to long-term impact evaluations (LTIE). It also shares examples across a range of sectors, including later evaluating past impact evaluations, which ended before final evaluation.

Finally, in new 2018 USAID guidance, ex-post evaluation is clarified as the source of the sustainability of services and benefits. USAID clarifies that “questions about the sustainability of project services and benefits can be asked at any stage, but must usually be adjusted to take evaluation timing into account. Thus, for example, in a mid-term evaluation, a question about the existence of a sustainability plan and early action on that plan might be appropriate. An end-of-project evaluation could address questions about how effective a sustainability plan seems to be, and early evidence concerning the likely continuation of project services and benefits after project funding ends. Only an ex-post evaluation, however, can provide empirical data about whether a project’s services and benefits were sustained.”

Such richness that we can learn from. Keep the momentum going on the 99% of all global projects yet unevaluated ex-post, and change how we fund, design, implement, monitor and evaluate global development projects!

Our Accountability for the SDGs

Posted by on Sep 24, 2019 in Uncategorized | 11 comments

Accountability: Are we responsible for meeting the SDGs? Yes, personally and by programming for more sustainability

In a 2014 article about mutual accountability for the SDGs, Dr. Paul Zeitz states that “Sustainable development is the most urgent challenge facing humanity. The fundamental question is how the world economy can continue to develop in a way that is socially inclusive, advances human rights, and ensures environmental sustainability.” Today, the UN Secretary General’s report on SDG Progress on progress to meeting them is unveiled. As many of us work in global development, we need to consider our accountability for its findings.

First, Dr. Zeitz points to key aspects to such accountability, of which three are most relevant to sustainability:

  • Universal, Voluntary and Commitment-Based Approach

For the SDG agenda to be successful, “Shared and joint commitments by partners from governments, civil society and the private sector can inspire faster and bolder action, can garner enhanced citizen and media attention; and can contribute to the mobilization of resources from internal and external sources.”

Our industry has pushed for greater investments for decades.

  • Broad-Based Youth and Citizen Engagement

Local youth- and citizen-driven monitoring and accountability mechanisms are essential for improving budget transparency and service delivery outcomes. If citizens are enabled to pay attention, respond and engage, and then take responsibility and action, then everyone can be empowered to foster an enabling environment for “mutual accountability” and measurable results.”

While most of our work does M&E and listen to ciitzens, even foster voice through civic engagement and feedback loops, we are far from done.

  • Call for a Multi-Stakeholder SDG Monitoring and Accountability Mechanism

“… it is more challenging and more complex to ensure ‘mutual accountability’ for results. Given the advances in human cooperation and technology, we know that the SDG era can usher in and foster a new culture of ‘mutual accountability.’

It is here where we fail quite badly in global aid. We rarely talk about our reciprocal accountability with our participants and partners, with the countries themselves.  Too often we push money, extract data, claim success and leave abruptly. These SDGs push us to think about “global accountability” and how our actions at work and home need to change to (un)affect others. In a piece on mutual accountability, “Accountability for Development Cooperation under the 2030 Agenda” by Timo Mahn Jones explores “global accountability”, based on “mutual accountability, by which two partners agree to be held responsible for the commitments they voluntarily made.”

  • He warns of the danger that “development cooperation stakeholders do not follow through with their commitments, and are not held accountable.
  • He suggests that existing donors need to honor ODA/aid targets and new partners, especially the private sector are vital for the implementation of the 2030 Agenda, “to move from billions to trillions” in funding.
  • Equally in need of revision is the roles of ‘donor’ and ‘recipient’ as we have entered a new world of “sharing of risk and ‘mutual pain’ where all of us are affected if we do not reach the SDG targets – although unequally.

How do those of us in our industry foster such accountability? We can say, rightly that we have played a role in sectors like health, agriculture, natural resource management through many projects over the last century or more. Absolutely but we know, our projects are piecemeal and often scattered, more short than long in implementation (typically 5 years) and as we rarely return after clcose-out, we do not know how long will results will be sustained. Yet we have tried to do good and there are many public and private players. Is it adding up? .

The Sept 2019 UN report shows promising if mixed results.  

Immunizations are increasing, thereby saving millions of lives (SDG3).


There is also good news from investments in
renewable energy growth.

However, while those living below minimum living wage is falling on every continent, still, “one child in five lives in extreme poverty” (SDG1).


Hunger
, unfortunately, is rising (SDG2), partly due to a 150% increase in “direct economic losses from disasters… over the past 20 years, with losses disproportionately borne by vulnerable developing countries” and 68.5 million people have been forcibly displaced, sometimes from wars donor governments supply arms to or refugees are forced to remain in other developing countries, the UN report tells us, with shrinking refugee funds.


C
limate is the most worrisome of the UN reports. Reversing CO2 emissions and fostering the sustainability of climate adaptation and mitigation projects is imperative given today’s UNEP report that includes this graph. Collective accountability is key to reining in CO2, for our emissions are leading to unprecedented ice melt, sea-level rise, and high pollution, not globally sustainable. 

While we in ‘development’ could say we affect the earlier SDGs, climate is a global problem, one that each one of us affects with our consumptive actions… or aren’t all of them? Don’t we affect hunger through our food waste and food purchases from afar? Don’t we affect child survival and immunization through our advocacy for aid and even private donations to other health and food security charities?

Some of us disproportionally affect emissions by our wealth, population, or both. The Global Carbon Atlas from 2017 shows how wealthier and more populous countries emit far more than the poor ones. As CO2 rises, climate is affected, storms are more severe, yet the poorest countries have the fewest means to prepare or respond. In their World Disasters Report, The International Federation of the Red Cross found that “Between 1991 and 2010, the impact of recorded disaster events in poor countries resulted in over $840 billion of financial losses. Yet, over the same period, only 0.4% of the $3.3 trillion spent on aid was dedicated to prevention or risk reduction“. Our industry does some Disaster Risk Reduction (DRR) but why have we not advocated to prevent more suffering?

Thinking about “collective accountability” makes this graphic from the UN SDG report uncomfortable, as the burden of climate change falls disproportionately on the poor through economic losses from disasters.

The UN Secretary General states: “The world will soon enter a decade that will be decisive for both current and future generations and for all life on this planet. It is the world’s responsibility and within its power to make it a decade of action and delivery for sustainable development.”

This will require both a clear accountability to them – not just us and ‘our’ projects. This will require us seeing such projects as our continued responsibility to sustain, namely, to design them collaboratively enough, led by local partners ranging from governments and private sector to communities, with the means to sustain what they value. As we return to evaluate sustainability less than 1% of the time, learning opportunities have been scarce to improve current and future projects.

USAID has talked about long-term transparent and accountable investments in “local solutions” partners. Has it worked? Not yet. While President Obama and former United States Agency for International Development (USAID) Administrator Raj Shah promised up to 30% of all contracts would go to ‘local solutions’ that “promote sustainable development through high-impact partnerships and local solutions”, little of that was met, given bureaucracy and the need for fast success, rather than investing more in long-term capacity development of partners. While there seem to be good examples such as HaitiAfghanistan is a poorer example. While most international non-profits implement projects through local sub-contractors, certainly building their capacity to manage and account for foreign taxpayer dollars spent, like this MSI in Lebanon example, is important. But if we extend the measure of ‘success’ beyond our project implementation, then policies and programming needs to change to sustain capacity and implementation post-exit (INTRAC report). Too often we still exit when funds are spent. USAID’s new Journey to Self-Reliance does promise to listen, to “ support partners to become self-reliant and capable of leading their own development journeys.“

It requires listening to those whom our aid, aids. Time to Listen talks movingly of a desire for collaboration during design, implementation, monitoring and evaluation. It requires we take the time to listen, have an openness to learn from our partners and participants about what they could – and could not- sustain and why. We need to do so before, during and well-after projects close, learn quickly and do better and be collectively accountable for longer. It requires seeing such people as real experts, not abstractions. How? Listening to those living with hunger and climate change is vital. While we read about Amazonian fires threatening over 2 million acres of rainforest, contextualizing statistics with stories that illustrate that those whose Development Goals donors are ‘sustaining’ know best what works there.  In this case, understanding the range of why the Amazon rainforest reserves are endangered is important for design, so that better approaches to achieving SDGs become a driving force to change all our lives. We need to be  accountable to them.

Let me know your thoughts on bringing the SDGs to our work and lives…

Implementing, Scaling and Planning for Aid Exit and Sustainability

Posted by on Jun 18, 2019 in ex-post evaluation, Exit strategies, foreign aid, impact investing, international development, Sustainability | 0 comments

Implementing, Scaling and Planning for Aid Exit and Sustainability

Reposted from: https://medium.com/@jindracekan/implementing-scaling-and-planning-for-aid-exit-and-sustainability-b1b92e70fb36?postPublishedType=initial

Rarely do funders return to evaluate (ex-post) what lasts after aid projects end, but when they do, we can find myriad pleasures:

1) sustainability of activities we launched and nurtured together and hoped would last as is, even 15 years later, or

2) new ways local participants or partners made old activities last which we would have never imagined, or

3) wholly new activities or collaborations that emerged which we could not have foreseen but which meet the evolving needs of participating country nationals.

All three elicit two questions: a) ‘what did we (funders, designers, implementers, evaluators) do right during design, implementation, and exit?’ and b) ‘what did they do so well after we left?’ There are rich answers for this, which involves how we co-funded, co-designed, co-implemented, and co-evaluated all along the program cycle, and how we exited.

Did we make enough time and measurement to foster sustainability, as we phased-down and phased-over an array of activities, alongside those remaining (white paper forthcoming)? Did we abruptly phase-out leaving partners and participants at a loss? Sharing power over all these decisions will influence what lasts.


There is an amazing breadth of local, ongoing resources, skills & capacities, linkages, motivation (thanks to Tufts FHI360’s work for USAID’s Food For Peace) that we can explore and learn from. There are local innovations and an array of unplanned collaborations (e.g., funding for health staff (Niger), training in small enterprise from the national government (Bangladesh), or private sector markets (Ethiopia) that can be accessed when partnerships are transparent and created one or more years pre-exit to collaborate on post-exit.

Ideally, we design and implement for exit from the onset. When we jointly set the timeframe and jointly assess risks to sustainability and adaptively manage exit, rather than exit based on pre-set timeframes, all sides win, with partners and participants able to foster sustainability. As USAID/ GIIN wrote about Responsible Exits for Impact Investors (2018), “the foundations for a responsible exit are laid even before an investment is made. To increase the likelihood of continued impact after exit, investors often select investees based on whether impact is embedded in their business model or inextricably linked to financial success. They also seek to understand the likely growth trajectory of the business, which has implications for which exit paths and options will become available.” They also note that a “growth strategy’ is needed throughout and at (investment) exit is “a company’s continued access to the right resources, networks, and knowledge” for sustained impact.

The need for a thoughtful approach to sustainability is shown by Hiller, Guthrie, and Jones in “Overcoming Ex-Post Development Stagnation“ (2016). The authors cite “limited evidence of program efficacies coupled with government and agency preference for planning, approval, and implementation processes rather than sustainment of outputs, outcomes, and impacts means that ex-post performance, scaling, and sustainability is not well understood or well pursued…. [There is a] lack of willingness to commit time and resources to rigorous evaluation of post-project effectiveness“. This affects a vast number of projects. For instance, they found 63,000 projects in 2003 alone, and “relative to the number of development projects undertaken, ex-post project [evaluations] are not commonly carried out, meaning that rates of success are often unknown and the complexity of causalities and ex-post dynamics of interactions and processes are not well understood.“ This limits our learning from what has (not) worked and what to do more (or less) of, including those that could not be sustained with only local resources.

We make sustainability assumptions are participants long for them, as Valuing Voices also found. Hiller et al. state that “whilst project documentation commonly conveys an expectation that some process of spread will occur ex-post, it rarely does, despite strong ex-post case-study evidence of stakeholder requests for further development opportunities.” This cautionary feedback could mean some project activities could be so resource-intensive that they could not feasibly be sustained or spread without long-term support, and retaining results may be limited to less costly activities. Valuing Voices found that other activities could be remunerative enough (financially, in health or education outcomes, for instance), as to be locally demanded and continued to be pursued. We have found in our Valuing Voices research and the Tufts research that activities where incentives did not continue, tended to die ex-post, while those which continued to bring benefits, such as cash crops and credit, water supply, and health, were prioritized ex-post, even in the absence of external funding continuing.

Hiller et al. outline that there are multiple ways in which scaling-up environmental sustainability over time, over area and, interestingly, scaling-within projects. The Ex-post Development Stagnation authors are clear that “creating conditions to support longer-term sustainability beyond project completion represents a recurring challenge, and it is not uncommon for activities and institutions to become inactive ex-post or for stakeholders to revert to previously unsustainable practices.” They note that some watershed studies have even found that participants actively destroy project measures in some cases. Certainly, the inability of locals to sustain often expensive activities without a project or larger organization’s support is common. “If it is assumed that development needs remain outstanding, then there may be merit in ensuring that development projects do not just remain “isolated, one-time interventions, like unconnected dots on a white page” or “islands of salvation.” The authors concur, “based on project subsidiarity and participatory principles, scaling-within management should be devolved to the local level (local authorities and local communities) to allow communities and individuals to filter out irrelevant practices and encourage adaptation and evolution of activities which are of greatest perceived livelihood benefit”.

As Valuing Voices research on exit has shown, it is a process, not an event(forthcoming, with thanks to I. Davies). The Hiller article notes that sustainability is best enhanced by capacity-building during implementation and with time for handover where “organizations adopt modes of functioning that allow local communities and organizations to build conceptual, operational, and institutional capacities. While scaling-down does not mean that governments disengage from processes such as community-driven development — it does, however, require it to be more flexible and responsive to locally generated demand to ensure the terrain is fertile for community organizations to emerge, learn, and grow.“

Let’s work together to extend the sustainability of impacts. Would love to hear your thoughts…

“Impactful” Investments? Will investments change lives or just bottom lines?

Posted by on Mar 20, 2019 in Sustainable development | 0 comments

 

“Impactful” Investments? Will investments change lives or just bottom lines?

 

Needs are growing in the developing world and blended finance, including Impact Investing, with the “intention to generate positive, measurable social and environmental impact alongside a financial return” could help amid pressures on philanthropy [1][2]. Investments look to fill the $4 trillion annual funding gap to fulfill the Sustainable Development Goals by 2030, as current donations to aid programs can only meet so much need. Such investment is rising. In 2018, investors interviewed by GIIN, an industry thinktank, managed over $228 billion in impact investing assets and more are aimed at SDGs. The Sustainable Development Goals (SDGs) are “a call for action by all countries – poor, rich and middle-income – to promote prosperity while protecting the planet. They recognize that ending poverty must go hand-in-hand with strategies that build economic growth and address a range of social needs including education, health, social protection, and job opportunities, while tackling climate change and environmental protection.” SDGS are to improve basic needs, natural capital, address climate change improve peace, equity and sustainability through a range of governance and empowerment interventions.

[3]

 

Impact Investing comes from a decade of ESG investments reorientation, based on these assumptions: “If environmental, social and governance (ESG) factors are ingrained in investors’ thinking, then a triple-win will follow – more valuable companies, more value for end-investors and, ultimately, a more sustainable system“ [4]. While there is a new focus on the 17 SDGoals by investing in enterprises in sectors such as agriculture, microenterprise, health and environment, investing broadly into sectors does not mean intended grassroots results are achieved (e.g. no poverty, no malnutrition). Far more tracking of the effects on the lives and livelihoods of those the SDGs aim to help is needed.

There is so much good business news, from companies investing in their own ‘circular economy’ in Asia to decrease waste, and carbon-neutral or forest-positive or health & justice initiatives and incubators in the USA, Europe and Africa [5][6][7][8]. There are positive clean energy examples such as large global investors in solar power which seem to have local effects [9]. A range of grassroots for-profit social businesses such as Greenlight Planet and Solar Sister, tangibly help address ‘energy poverty’ of two billion people with scarce access to basic and reliable electricity in developing markets [10]. Some crowdfunding is emerging through outlets such as Trine where micro-investors get a return for loan investing in poor communities’ solar projects which have proof of at least access to electricity [11]. Unfortunately, the depth of coverage is not sufficiently growing to reach the two billion given the climate change needs. Forbes reported that Toniic impact investor members have “$2.8 billion of impact investments, which are up from $1.65 billion in 2016 but the hype can be louder than proof of lives changed [2].

The funding is not yet living up to its promise as most investors are unwilling to sacrifice immediate profits for later returns, and what is called ‘patient capital’ with below-market returns may be needed to nurture those businesses in Asia, Africa and Latin America incurring some early losses while business models mature. GIIN in 2016, an industry tracker, notes that many investors lament risks being too high and businesses not having enough of a track record to justify investments [12]. Expertise from (I)NGOs working in global development can help. There is a growing risk of impact investment funds being more willing to invest in safe markets in North America and Europe, compared to higher risk emerging markets like Africa [13].

More perniciously, investments sold as being ‘impactful’ and addressing environmental sustainability, can include some wolves in sheep’s clothing (see italics): Axios 2019 revealed the following about “Green bonds” and an investment aimed at funding to help Ebola ravages:

  • “A recent World Bank bond was ostensibly designed “to raise awareness for the importance of investing in women and girls.” There’s no obvious way in which it does that, and it’s a minuscule $4 million in size — a drop in the bucket, compared to the Bank’s annual $50 billion in bond issuance….” [14]
  • “US municipal green bond issuance fell to $4.9 billion in 2018, per S&P Global Ratings, down more than 50% from $10 billion in 2017. Development banks also saw their green bond issuance fall. But for-profit banks, largely in China, took up a lot of the slack. They issued $48 billion of green bonds in 2018, up from $23 billion the previous year. The real impact: A lot of people who think that they’re making socially responsible investments are really just buying Chinese bank debt” [14]
  • “The World Bank’s Ebola bond was, it said, “a momentous step” that would “serve the world’s poorest people.” The idea: Were Ebola to flare up again in west Africa, investors’ money would be used to address it. Investors so far haven’t lost a penny, despite the outbreak of the 2nd-largest outbreak of Ebola on record.” [14]

What are the aims of impact investing if not tangibly having a social and environmental impact? Instead, a 2018 finance article, the drivers for investors are 1) risk management, 2) return potential, 3) mission alignment and 4) constituent/ stakeholder demand [15]. Much of the focus is on funding ‘checking the box’ of the 17 goals rather than showing results that funding changes people’s lives. While 76% of GIIN’s investors claim to “track their investment performance to the SDGs or plan to do so in the future,“ there is little data on how much their investments have decreased poverty, hunger, or increased literacy [16]. Sites like B-Analytics ‘track impact’ but actual changes to lives are assumed; Key Performance Indicators (KPIs) focus on business performance not on grassroots improvements [17].

I wanted to be delighted by Rockefeller Foundation’s Impact Investment Management (IIM)’s asset management platform that “aims to tap into mainstream markets and investors, scaling up investments into promising new finance vehicles that help to close the (SDG) funding gap” [17]. Yet they typify how impact investors misuse terms like ‘impact’. It is not synonymous with generic ‘results’, especially surprising given the strength of their M&E. IMM touts “Impact: The Rockefeller Foundation’s investment is expected to directly support 2,500+ loans to students“ [18]. As any monitoring & evaluation person knows, giving a loan is an input into their lives and is not an indicator of success. Recipients could drop out of school or fail to graduate, default on the loan, or conversely wildly succeed. We do not know ‘impact if we do not measure properly [19].


For those of us who care about results on the ground, among people in the ‘developing world’, so far ‘impact investing’ is still miles from outcomes and impacts that meet the aims of the SDGs, and more than ‘intent’ is needed in the 11 years until 2030. One think tank GALI screens results by headquarters location and “Impact Orientation: Indicates whether the organizations have the explicit intent of supporting ventures with social or environmental objectives” [20]. As a new Impact Investor Network Map notes, “a primary characteristic of “impact” is intentionality – the explicit pursuit of social impact“ and similar to the loan example above, ‘Access to Financial Services’ is the most frequently reported impact objective by investors“ [21]. Another source found that financial accelerator projects tracked are funded only 1-12 months, so those of us in global development wonder how much sustained impact could be generated in such a short time. Instead, some celebrate intermediate steps such as (good) new principles to foster environmental sustainability such as in the wild fisheries sector, and funding for U.S. forest restoration bond, which focuses on inputs/outputs only and principles are voluntary.

We at Impact Guild believe international and national non-profits and experts like us can fill this measurement expertise gap were funders interested. A recent report by Amplify, an international non-profit (INGO) consortium shows how these two communities can help each other to change lives [22].

While some impact investors are saying there aren’t enough viable investments with returns and track records, the INGOs are looking for that funding for the projects they know do work that affect lives on the ground. Challenges were: “identifying and acquiring funding’, ‘legal (and regulatory) barriers’, ‘communicating strategy’ and ‘organizational staff capacity’ to work in a for-profit manner to show ‘impact measurement’. As over 40 INGOs involved all indicated that delivering technical assistance was their favored approach, with ecosystem building and establishing social enterprises also considered by a majority, tracking results on the ground to fill this significant gap in current impact investor expertise is a logical bridge. As Mercy Corps Ventures said: “Early-stage businesses need more than just capital to grow and scale up their impact — they also need business and technical support to realize their vision. INGOs have unique assets that make them well-placed to provide such support. In fact, the real value INGOs add to investees comes through their post-investment engagement” as well as M&E expertise. So too do national research institutes, building real, national capacity for sustaining results.

Impact investors will need to create funding vehicles that have more ‘patient’ and smaller infusions of capital, and INGOs will need to focus assistance on enterprises and projects that are remunerative to investors. Further, INGOs noted the absorptive capacity of local ‘impact’ investments, as a median of only $37,000. Is this cost-effective for the for-profits to lend so little, even when ‘bundling’ investments into funds? Time will tell. While Development Impact Bonds supported by bilateral donors can fill a gap in confidence in more local, even riskier investments, the industry needs to focus on results on the ground before making claims of impact. Such funders, e.g. DFID and the new US government Development Finance Corporation (DFC) launching late 2019 can be the key [23]. Sorting out how much the investments will focus on poor countries, what will “development assessments” include, and how will USAID M&E expertise be used to look at actual, not just intended, “development impact” is vital.

Impact Guild remains hopeful that the for-profit sector, even aided by INGOs, can have actual grassroots impact. As Exponent Philanthropy said in 2016, “So much time and effort is focused on getting an impact investment closed and the funds disbursed. However, executing an agreement isn’t the finish line and, in fact, it may not even be the halfway point. Post-closing, there is still a lot of work to do in monitoring the performance of an investment to ensure financial health and intended impact” [24]. An array of metrics are being collected but often only to inform front-end due diligence on the investment bottom line rather than sustainable development results of lives changed. That gaping hole must be acknowledged and filled to start to meet the SDGs.

Do you agree?

 

 

Sources:

[1] OECD. (2017). The Private Sector: The Missing Piece of the SDG Puzzle. Retrieved from http://www.oecd.org/dac/financing-sustainable-development/development-finance-topics/Infographic%20-%20The%20Private%20Sector%20-%20Missing%20Piece%20of%20the%20SDG%20puzzle.pdf

[2] Dallman, J. (2018, December 31). Impact Investing, Just A Trend Or The Best Strategy To Help Save Our World? Retrieved from https://www.forbes.com/sites/jpdallmann/2018/12/31/impact-investing-just-a-trend-or-the-best-strategy-to-help-save-our-world/#3828adf775d1

[3] MSCI ESG Sustainable Impact Metrics. (n.d.). Retrieved 2019, from https://www.msci.com/esg-sustainable-impact-metrics

[4] Fraser, I. (2018, July 17). How ESG investing entered the mainstream. Retrieved from https://www.raconteur.net/finance/esg-investing-enter-mainstream

[5] Cheam, J. (2015, March 10). The rise of the circular economy in Asia. Retrieved from https://www.eco-business.com/news/rise-circular-economy-asia/

[6] Edie Newsroom. (2019, March 20). HP Pledges to Make All Printed Pages ‘Forest Positive’. Retrieved from https://www.edie.net/news/5/HP-pledges-to-make-all-printed-pages–forest-positive-/

[7] Edie Newsroom. (2019, March 19). Energy Catapult launches SME support for low carbon heating and cooling. Retrieved from https://www.edie.net/news/6/Energy-Catapult-launches-support-for-low-carbon-heating-and-cooling/

[8] Mpala, D. (2019, January 31). Here are 8 accelerators, incubators African startups can apply for in 2019. Retrieved from https://ventureburn.com/2019/01/accelerators-incubators-african-startups/

[9] CB Insights. (2017, December 6). The Solar Industry’s Most Active Investors. Retrieved from https://www.cbinsights.com/research/most-active-solar-startup-investors/

[10] Vella, H. (2018, July 19). Financing sustainable energy for developing economies. Retrieved from https://www.raconteur.net/finance/financing-sustainable-energy

[11] Lu, J. (2019, February 13). Crowdfunding the Sustainable Development Goals. Retrieved from https://www.undispatch.com/crowdfunding-the-sustainable-development-goals/

[12] Mudaliar, A., Pineiro, A., & Bass, R. (2016, December 7). Impact Investing Trends: Evidence of a Growing Industry. Retrieved from https://thegiin.org/research/publication/impact-investing-trends

[13] SGG Group. (2018, September 21). Impact investing in Africa. Retrieved from https://www.hvst.com/posts/impact-investing-in-africa-ERrTdDm3

[14] Salmon, F. (2019, March 17). Bill McGlashan’s firing exposes hypocrisy in impact investing. Retrieved from https://www.axios.com/tpg-capital-bill-mcglashan-impact-invsting-06828a4f-7390-46d8-b7e4-c6d3f7fbc7c7.html

[15] Digard, R. (2018, September 10). SDGs: Financial centres take cue from UN on sustainability. Retrieved from https://www.raconteur.net/finance/sdgs-financial-centres-sustainability

[16] Global Impact Investing Network. (2018, June 6). Annual Impact Investor Survey from the Global Impact Investing Network (GIIN) Shows Evidence Of Dynamic And Diverse Impact Investing Market (Press Release). Retrieved from https://thegiin.org/assets/2018%20Annual%20Impact%20Investor%20Survey_Press%20Release.pdf

[17] B Analytics. (n.d.). Demonstrate Your Leadership with a GIIRS Rating. Retrieved from https://b-analytics.net/giirs-funds

[18] Rockefeller Foundation. (n.d.). Impact Investment Management. Retrieved 2019, from https://web.archive.org/web/20190623144658/https://www.rockefellerfoundation.org/our-work/initiatives/impact-investment-management/

[19] Simister, N. (2015). Outputs, Outcomes and Impact. Retrieved from https://www.intrac.org/wpcms/wp-content/uploads/2016/06/Monitoring-and-Evaluation-Series-Outcomes-Outputs-and-Impact-7.pdf

[20] GALI. (n.d.). Accelerator Directory & Survey Methodology. Retrieved 2019, from https://www.galidata.org/accelerators/methodology/

[21] Impact Investing Network Map. (n.d.). Retrieved 2019, from https://impactinvestingmap.com/insights/

[22] Dente, T., Libby, S. B., Turpin, S. M., & Sharma, S. (Eds.). (2018, December 5). Amplify Impact Investing 2: The Next Mile of Impacting Investing for INGOs. Retrieved from https://www.humentum.org/impact-investing

[23] Saldinger, A. (2019, March 19). New US development finance institution edges toward launch. Retrieved from https://www.devex.com/news/new-us-development-finance-institution-edges-toward-launch-94497

[24] Velasquez, C. (2016, December 2). Impact Investing: Impact Measures and Monitoring Tools. Retrieved from https://www.exponentphilanthropy.org/blog/impact-investing-impact-measures-and-monitoring-tools/

 

Holiday Hallelujahs and my Wish List for Sustained Impact(s)

Posted by on Dec 18, 2018 in Sustainable development | 0 comments

There are six bright Hallelujahs on the sustained impact journey this Holiday. I’ve paired each of them by a wish, so appropriate this Holiday Season.

1. Netherlands Greatness! The government of theNetherlands has recently started talking with their implementing agencies about how to track and prove sustainability six years after exit, as one Dutch colleague told me at the European Evaluation Society Conference this Oct.

WOW.

As we know, demanding evaluation of sustainability after project closure is rarer than vegan turkey on Thanksgiving, and the Dutch Ministry of ForeignAffairs is tacking the issues of a) how will they pay for it after project funding has ended (hint: see 3ie), b) how will the data disseminated and influence which decision-makers? Note: Japan’s development agency JICA is the only other bilateral to have this as a mandated aspect of their ongoing evaluations. We congratulate the Dutch for joining Japan in sustained impact evaluation leadership!

My Wish: For the other bilaterals and multilaterals for whom such evaluations are exotically occasional learnings to see the value from learning about the successes and failures of how(un)sustained your results are. Also to fund such evaluations for at least 10% of all programming per year, and do better programming focused on helping locals sustain the results they want. See, that wasn’t such a huge wish was it?

2. USAID Transformation to Self-Resilience is a promising analysis USAID is doing under the leadership of AdministratorMark Green. This Transformation “Journey to Self-Reliance” is “reorienting the way it does business to focus on supporting our partner countries… to solve their own development challenges.” It consists of a variety of policies, from using more private sector money for development to two exit-related initiatives including Financing Self-Reliance “to strengthen support for our host country partners in their efforts to finance their own development journey”and includes continuing to build local capacity and Partnering and Procurement such as using adaptive approaches and “principles of supporting locally-led development and long-term sustainability.”

Will USAID really follow the SDG aim to Leave No one Behind in terms of focusing on the poor? Metrics of USAID’s Country Roadmaps, range from national economic growth and democracy/governance to sectoral measures in health, food security etc. Maybe this is not just a way to use national data to justify exit of aid programs due to shrinking funding, but instead is a way for USAID to determine who is actually self-reliant among their recipient countries and focus more resources on those who aren’t on more needs-based criteria than politically strategic bases than in the past.Maybe it will look hard at assumptions rather than Uganda’s CDCS which projects sustainability in 30 years but will program on until then. OXFAM’sAid Localization may be a better, faster route.

My Wish: that bilateral donors like USAID test how well their current aid projects support self-reliance and how well they’re furthering sustainability. This includes learning what has been self-sustained and not renewing what hasn’t. We offer our database of 25 catalytic organizations’ ex-post project evaluations at Valuing Voices which were informed by local voices of our participants and partners. These fascinating evaluations need to inform new programming as sustainability is only high occasionally, unlike what we assume. We ask commissioners of such evaluations to tell us what they have learned and how they have done things differently (e.g. have they funding differently, chosen what projects are selected as implementers differently, and while adaptive monitoring is a terrific addition, how has evaluation changed -other than pending OECD DAC Criteria and Ofir’s blog commentary plus the WorldBank’s sustainability blog) and how has exit, sustainability planning and handover to national government using data about sustainability and impact changed and people really can sustain themselves? NOTE: this may lead to less money being spent over a longer time, more flexibly and locally-directed. We donor nations may benefit less as locals take their own ‘development’ in hand. Hallelujah.

3. Recently I did a webinar for InterAction webinar with dear sustained impact aficionados from Catholic Relief Services and World Vision on “How Sustained and Resilient are our Impacts?” Lessons about accountability for locally sustainable development was front and center. We all shared that ex-posts project evaluations have, shall we say, mixed results of success and failure. This can be difficult for agencies to absorb as the projects selected are not only typically selected to showcase success, but normally these are selected to be showcased as the best projects. Also, unsustained results can question the quality of funder’s design the agency’s and implementation, risking reputation and funding for both. But hiding failure is worse. A recent Evidence Action statement admitting failure of a promising intervention, promising to evaluate why and learn from it only gained kudos. Conversely, great results can show where future focus could be, or much can be (rightly?) attributed to unexpected new conditions which led it in very different directions.

My Wish: My CRS colleague was challenged by a younger American colleague who asked him “are we liable if we don’t deliver sustainable development?” Astonished, he answered “yes.”. Let’s get over our infallibility and inclination to promise something only the countries themselves can deliver. Yes, we are liable for wasting money and locals time and hopes. Yes, we can claim success when partnerships go well. May we all learn from failures, celebrate successes –especially those locals consider successes, and replicate only those.

4. Impact Investment is slowing inching forward in helping move more of the Sustainable Development Goals (SDGs) toward fruition.  The pressure on many global funders and countries alike to meet the 17 SDG targets set in 2015 is rising.  Funding needs to accomplish the goals is $4 trillion a year, yes, trillion, compared to $150 billion available now in foreign aid. Accessing private capital is a wise investment if such development could unleash up to $12 trillion in growth. Repeatedly people like myself and Impact Guild read that “demand for SDG-aligned investment products outstrips supply“ which is true not in terms of the actual business and civil society non-profits trying to generate Social, Environmental, Governmental and financial Return on Investment (SROI and ESG), but in terms of profitable and stable investments.  Investors tend to be risk-averse yet there are a range instruments that cover the range of development to humanitarian needs. It is not a mechanism to ignore as for-profit funding will sharply increase in coming years with up to $8 trillion of impact investments moving into global disasters recovery alone and vital “climate finance” investments only going to grow, as $100 billion are year is being raised for poor countries to stem the rising effects of climate change. Combined with a $10.3 billion private Green Climate Fund that privately funds climate resilience projects all over the world to meet SDG13, we can no longer rely on diminishing foreign aid alone.

While patient pessimism is needed to overcome the hype that now private capital can replace philanthropy, INGOs are – cautiously innovating. As this month’s Amplify report from 40 international NGOs dipping their toes into impact investment collaborations notes, there are a wide array of collaborations. Some are investing their own private donors funds – or those leveraging other donors’ and investors’ funds in Development Impact Bonds (DIBs) or Social Impact Bonds (SIBs), and other instruments to the tune of $545.1million in assets. These are mainly in profit-low-hanging fruit development sectors of agriculture, livelihoods, and financial inclusion. Yet some of the INGO’s greatest strengths are least appreciated and what the relatively risk-averse and ‘due-diligence-focused’ impact investors do not yet know they need: ”their deep knowledge of local environments, programs, and technical solutions; their long-standing networks and sophistication in partnering with multiple actors; their financial sophistication from their wide-ranging donor relationships; and their experience in complex, multi-year measurement of impact.“

My Wish: that these two industries listen to one another. Non-profits can be mired in a can’t spend-can’t-risk mindset while being queasy about generating revenue, while impact investors can be torn between profits being king and claims of ‘impact’ from just investing in a sector without monitoring actual effects on the ground. There is simply too much good to be done.

5. Brazil/ France’s Corporate Social Responsibility (CSR) – The French renewable energy company Voltalia has created their first CSR-funded Social Projects for Social Responsibility. It is using some excellent sustainability principles as well as leveraging Brazilian Bank BNDES social sub-credit seed financing. I met Voltalia’s small CSR team at the EES conference. They started working in impoverished northeast Brazil, using great non-profit processes of communities identifying needed projects and processes that overlapped with what CSR could offer, over half of which were in education, health and ‘social responsibility’ (aka livelihoods linked to water access and use such as fisheries etc). They invested substantial funds into these grassroots projects, alongside interesting Social Management Tools that included cost management tracking of local co-investment, great collaborative communications plans, sustainability reporting, including Social Return on Investment (SROI). Like many non-profits before them, it has been hard, but also enormously rewarding and their work has led to greater employee engagement and was recognized by global headquarters – kudos! – interested? Contact them.

My Wish: Walking in the shoes of our partners and participants teaches us about their capacities and needs, and how to adapt what we can offer to be of greatest use. We need more companies with ‘dust on their shoes’, as my PhD advisor called my fieldwork. This epitomizes the Sidekick Manifesto approach where we offer local leaders help, rather than ‘solving’ poverty, hunger, ill-health, un-representation for them (which our efforts only accomplish for a short-term anyway, see #1, 2).

6. Climate Conference COP24 corralled nearly 200 nations to create technical targets and measurements to try to keep us below IPCC’s dire projections that we are not on target to limit the temperature increase to 1.5C degrees, and that it will cost billions to the economies of the world, not to mention jeopardize past development gains. You may wonder why this is a Hallelujah. It is because for those I most care about – my children and future generations-especially those in the ‘less developed countries’ who have least-caused yet are least able to mitigate climate change effects- are finally starting to be seen and heard. Conferences such as COP24, as well as a huge range of ‘non-state actors’, including corporations, non-profits, philanthropies, tribes, even individuals like you and me.  Whether it is our self-interest or expenditure-avoidance which propels us to decrease our emissions and increase our use of clean technologies, or our altruism toward the millions of species on earth, we have globally begun turning to sustainability of the ecological kind. Scientists are proposing remarkable inventiveness to capture already present CO2, studies are showing how we can be more energy efficient, buy more sustainable fashion, to eat more kindly, etc.

My Wish: We have begun changing our consumption and carbon emission and our youth are pushing us to conserve our planet. I am hopeful that we will come together to address this threat to all species. Is it far enough? Is it fast enough? Santa – help! So since it’s my holiday hallelujah, read Hans Rosling on how it’s all getting better anyway.

Happy Holidays and New Year everyone!

Assuming Sustainability and Impact is Dangerous to Development (+ OECD/DAC evaluation criteria)

Posted by on Oct 19, 2018 in Doing Development Differently, Ethiopian Red Cross, European Evaluation Society (EES), ex-post evaluation, Exit strategies, foreign aid, Impact, impact evaluation, International aid, international development, NGOs, OECD, OXFAM, Participants, post-project evaluation, SDGs, Sustainability, Sustainable development, Sustained and Emerging Impacts Evaluation, Sustained and Emerging Impacts Evaluations (SEIE) | 0 comments

 

Assuming Sustainability and Impact is Dangerous to Development
(+ OECD/ DAC evaluation criteria)

 

We all do it; well, I used to do it too. I used to assume that if I helped my field staff and partners target and design funded projects well enough, and try to ensure a high quality of implementation and M&E, then it would result in sustainable programming. I assumed we would have moved our participants and partners toward projected long-term, top-of-logical-framework’s aspirational impact such as “vibrant agriculture leading to no hunger”, “locally sustained maternal child health and nutrition”, “self-sustained ecosystems”.

INTRAC nicely differentiates between what is typically measured (“outputs can only ever be the deliverables of a project or programme…that are largely within the control of an agency”) and what is not: “impact as the lasting or significant changes in people’s lives brought about by an intervention or interventions” [1]. They continue: “as few organisations are really judged on their impact, the OECD DAC impact definition (“positive and negative, primary and secondary long-term effects produced by a development intervention, directly or indirectly, intended or unintended“) allows for long-term changes in institutional capacity or policy change to be classed as impact” [1]. Do we do this? Virtually never. 99% of the time we only evaluate what happened while the project and its results is under the control of the aid implementer. Yet the five OECD/DAC evaluation criteria asks us to evaluate relevance, effectiveness, efficiency (fair enough, this is important to know if a project was good) and also impact and sustainability. So in addition to the prescription to evaluate ‘long-term effects’ (impact), evaluators are to measure “whether the benefits of an activity are likely to continue after donor funding has been withdrawn… [including being] environmentally as well as financially sustainable” [2]. 

How do we know we are getting to sustained outcomes and impacts? We ask people on the receiving end ideally after projects end. It is dangerous to assume sustainability and impact, and assume positive development trajectories (Sridharan) unless we consistently do “ex-post” project evaluations such as these from our research or catalytic organizations that have done at least one ex-post. At very minimum we should evaluate projected sustainability at end of project with those tasked to sustain it before the same project is repeated. Unfortunately we rarely do so and the assumed sustainability is so often not borne out, as I presented at the European Evaluation Society conference Sustainability panel two weeks ago along with AusAid’s DFAT, the World Bank, University College London and UNFEM.

 

 

Will we ever know if we have gotten to sustained impacts? Not unless the OECD/DAC criteria are drastically updated and organizations evaluate most projects ex-post (not just good ones :)), learn from the results and fund and implement for country-led sustainability with the country nationals. We must, as Sanjeev Sridharan tells us in a forthcoming paper embed sustainability into our Theories of Change from the onset (“Till time (and poor planning) do us part: Programs as dynamic systems — Incorporating planning of sustainability into theories of change” (Canadian Journal of Program Evaluation, 2018).*

There are remarkable assumptions routinely made. Many projects put sustainability into the proposal, yet most close out projects in the last 6 months. Rarely do projects take the time to properly phase down or phase over (unlike CRS Niger); many exit ceremonially ‘handing over’ projects to country-nationals, disposing project assets, and leaving only a final report behind. Alternatively, this USAID Uganda CDCS Country Transition Plan which looks over 20 years in the future by when it assumes to have accomplished sustained impact for exit [3]. Maybe they will measure progress towards that goal and orient programs toward handover, as in the new USAID “Journey to Self-Reliance” – we hope! Truly, we can plan to exit, but only when data bears out our sustained impact, not when the money or political will runs out.

As OXFAM’s blog today on the evaluation criteria says, “Sustainability is often treated as an assessment of whether an output is likely to be sustained after the end of the project. No one, well, hardly anyone, ever measures sustainability in terms of understanding whether we are meeting the needs of the present, without compromising the ability of future generations to meet their own need” and “too often in development we evaluate a project or programme and claim impact in a very narrow sense rather than the broader ecology beyond project or programme parameters” [4]. In fact, most ‘impact evaluations’ actually test effectiveness rather than long-term impact. Too rarely do we test impact assumptions by returning 2-10 years later and gather proof of what impacted locals’ lives sustainably, much less – importantly – what emerged from their own efforts once we left (SEIEs)! Oh, our hubris.

if you’re interested in the European Evaluation Society’s DAC criteria update discussion, see flagship discussion and Zenda Offir’s blog which stresses the need for better design that include ownership, inclusivity, empowerment [5][6]. These new evaluation criteria need to be updated, including Florence Etta’s and AGDEN‘s additional criteria participation, non-discrimination and accountability!

 

 

We can no longer afford to spend resources without listening to our true clients – those tasked with sustaining the impacts after we pack up – our partners and participants. We can no longer fund what cannot be proven to be sustained that is impactful. We talk about effectiveness and country ownership (which is paramount for sustainability and long-term impact), with an OECD report (2018) found “increases [in[ aid effectiveness by reducing transaction costs and improving recipient countries ownership” [7]. Yet donor governments who ‘tie’ aid to their own country national’s contracts benefit a staggering amount from ‘aid’ given. “Australia and the United Kingdom both reported … 93 percent and 90 percent of the value of their contracts respectively went to their own firms” [7]. It is not so different in the USA where aid is becoming bureaucratically centralized in the hands of a few for-profit contractors and centralized hundreds of millions in a handful of contracts. We must Do Development Differently. We can’t be the prime beneficiaries of our own aid; accountability must be to our participants; is it their countries, not our projects, and we cannot keep dangerously assuming sustained impact. Please let us know what you think…

 

 

Footnotes:

[*] This paper is now available at https://journalhosting.ucalgary.ca/index.php/cjpe/article/view/53055

 

Sources:

[1] Simister, N. (2015). Monitoring and Evaluation Series: Outcomes Outputs and Impact. Retrieved from https://www.intrac.org/wpcms/wp-content/uploads/2016/06/Monitoring-and-Evaluation-Series-Outcomes-Outputs-and-Impact-7.pdf

[2] OECD. (n.d.). DAC Criteria for Evaluating Development Assistance. Retrieved September, 2018, from https://web.archive.org/web/20180919035910/http://www.oecd.org/dac/evaluation/daccriteriaforevaluatingdevelopmentassistance.htm

[3] USAID. (2016, December 6). USAID Uganda Country Development Cooperation Strategy 2016-2021. Retrieved October, 2018, from https://www.usaid.gov/uganda/cdcs

[4] Porter, S. (2018, October 18). DAC Criteria: The Hand That Rocks the Cradle. Retrieved from https://views-voices.oxfam.org.uk/2018/10/dac-criteria-the-hand-that-rocks-the-cradle/

[5] European Evaluation Society Biennial Conference: Flagship Symposia. (2018). Retrieved from http://www.ees2018.eu/1539782596-flagship-symposia.htm

[6] Ofir, Z. (2018, October 13). Updating the DAC Criteria, Part 11 (FINAL). From Evaluation Criteria to Design Principles. Retrieved from https://zendaofir.com/dac-criteria-part-11/

[7] OECD. (2018, June 11). 2018 Report On The DAC Untying Recommendation. Retrieved from http://www.oecd.org/dac/financing-sustainable-development/development-finance-standards/DCD-DAC(2018)12-REV2.en.pdf

 

Translate »