Follow our path on Ex-Post Sustainability and Resilience Seasonal Joy
Rarely do we get to teach, innovate, learn, and expand a hidden corner of one’s field. This is what is I am experiencing, and the Fund is sharing. Here is the Adaptation Fund’s ex-post project evaluation of sustainability and resilience path and progress in 2021.
I am quoting liberally and highlighting our work from the Adaptation Fund’s website where their commitment to learning from what lasts is clear. “Ex post evaluations are a key element of the AF-TERG FY21-FY23 strategy and work programme, originating from the request of the Adaptation Fund Board to develop post-implementation learning for Fund projects and programmes and provide accountability of results financed by the Fund. They intend to evaluate aspects of both sustainability of outcomes and climate resilience, and over time feed into ex-post-evaluation-informed adjustments within the Fund’s Monitoring Evaluation and Learning (MEL) processes.”
How are we defining sustainability’s path to evaluate it? Here is a flowchart from our training:
There are four phases from 0 to 3:
Phase 0 Foundational Review: Not only was this work preceded by months of background research on both evaluability of their young portfolio (e.g., under 20 of the 100 projects funded were closed at least three years, a selection criteria we had) and secondary research on evidence of ex-post sustainability evaluation in climate change/ resilience across the Adaptation Fund’s sectors.
Phase 1 Framework and Pilots Shortlist: Our Phase 1 report from mid-2021 provided an overview of the first stage of ex-post evaluations, outlining methods and identifying a list of potential projects for ex-post evaluation pilots from the Fund’s 17 completed, evaluated projects. The framework presented in the report introduced possible methods to evaluate the sustainability of project outcomes, considering the characteristics, strengths, and weaknesses of the Fund portfolio. It also presents an analysis tool to assess climate resilience, bearing in mind that this area is pivotal to climate change adaptation yet has rarely been measured.
The Phase one report on ex post project sustainability evaluation
Vetting and pilot selection, revised design for evaluating sustained outcomes related to resilience to climate change. Key aspects are: 1) Timing (3-5 years since closure or projects at least 4 years long within the last 5 years and seasonality matches the final evaluation) and 2) Good quality of implementation and M&E with measurable outputs and outcomes traceable to impact(s) and 3) Safety to do fieldwork re: Covid, civil peace, etc.
We (my so-clever colleagues Meg Spearman and Dennis Bours) introduced a new resilience analysis tool that includes consideration of the climate disturbances, the human and natural systems (and their nexus) affected by and affecting project outcomes. This includes five characteristics of resilience in the outcomes (presence of feedback loops, at scale, plus being diverse, dynamic, and redundant) and means/actions to support outcomes. Resilience can be identified via a clear summary of the structures (S) and functions (F) that typify Resistance, Resilience and Transformation showing where a project is and is moving towards. It is a typology of resistance-resilience-transformation (RRT) onto which the overall project can be mapped based on how actions are designed to maintain or change existing structures and functions. That was integrated into the Adaptation Fund resilience evaluation approach.
Phase 2 Methods Testing and Ex-post Field-testing: Training of national evaluators and piloting two ex-post evaluations per year includes selecting among these methods to evaluate sustainability ex-post plus the RRT and resilience measures above. In the first ex-post in Samoa’s “Enhancing Resilience of Samoa’s Coastal Communities to Climate Change” (UNDP) happening December 21, it is through qualitative evaluation of wall-infrastructure. The second, Ecuador’s “Enhancing resilience of communities to the adverse effects of climate change on food security, in Pichincha Province and the Jubones River basin “(WFP) has training completed and fieldwork should be from January 22, likely be of food security assets and methods TBD.
Phase 3 Evaluations continue, with MEL Capacity Building: Two more years of ex-post pilot evaluations (2 per year) with lesson informing integration into the MEL of the Adaptation Fund. We are already finding out lessons of rigor, of knowledge management, of unexpected benefits of returning years after closure, including indications of sustainability and resilience of the assets, with much more learning to come.
Innovations include “the relative novelty of climate change adaptation portfolios and the limited body of work on ex post evaluation for adaptation, it presents possible methods that will be piloted in field-tested ex post evaluations in fiscal year 2022 (FY22).” This includes piloting shockingly rare evaluation of oft-promised resilience. In the update to AF’s Board three months ago, it transparently outlined shortlisting of five completed projects as potential candidates for the pilots, of which two projects were selected for ex post evaluations. It outlined our process of co-creating the evaluation with national partners to prioritize their learning needs while building national capacity to assess sustainability and resilience of project outcomes in the field onward.
Also, training materials for ex post pilots are being shared to foster country and industry learning, focusing on evaluating projects at ex-post and emerging sustainability and resilience, as well as presenting and adapting methods to country and project realities.
The training material for ex-post pilots
The training had three sessions (which could not have happened without colleague Caroline’s expertise):
- Part A: Understanding ex-post & resilience evaluations. Introduce and understand ex-post evaluations of sustainability and resilience, especially in the field of climate change adaptation
- Part B: Discussing country-specific outcome priorities and co-creating learning with stakeholders. Discuss the project and its data more in-depth to understand and select what outcome(s) will be evaluated at ex-post
- Part C: Developing country-specific methods and approaches. Discuss range of methods with the national evaluator and M&E experts to best evaluate the selected outcome(s) and impact(s)
Overall progress can be seen in the document updating the AF’s board: A progress update on ex post evaluations (AFB/EFC.28/Inf.4)
So in 2018 I Wished for Sustained Outcomes to be explored and in 2019 I Wished again for more Ex-post Evaluation than Needles in Haystacks. In 2021 some of these wishes are becoming fulfilled! Seasonal Happiness for me is learning about resilience to climate change, diminished vulnerability and searching for proof of sustainability and emerging outcomes and impact(s) and I am grateful to the Adaptation Fund for its commitment to sustainability.
Accompany us on this path, cheer us on, and do your own ex-post sustainability and resilience evaluations! Happy holidays from the Czech Republic!
Aid providers: More puzzle pieces, including unexpected outcomes; ours is not the whole picture
When we did our first ex-post evaluation/ delayed final evaluation in 2006 in Niger for Lutheran World Relief (LWR) funded by the Bill & Melinda Gates Foundation (pg75 on), we found all sorts of unexpected/ unintended outcomes and impacts that far outweighed the original aid’s expectations. The project measured success by the livelihoods rebuilding post-drought ravaged sheep herds and water points for them. Instead, while the LWR aid was beautifully based on ‘habbanaye,’ a pastoralist practice of lending or giving small-stock offspring to poorer family members (and was expanded to passing on animals to poorer community members), and results showed a majority of the poor benefitted, our respondents showed it was far more nuanced. We aid providers (and our expectations) are only a part of any ‘impact’, which needs to be defined by the communities themselves:
- While many families benefitted from the sheep, enabling some young boys to shepherd several at a time, it turns out the poorest chosen by the communities were not necessarily ones who lost small livestock during the drought but were, in fact, the ultra-poor who had never had them. Therefore, proof of successful ‘restocking’ post-drought left these poor who were helped the most, out, as they were… unexpected;
- Holding onto the donated sheep was not as important an indicator for some: one woman told us that selling her aid-received sheep to buy her daughter dowry to marry a wealthier husband was a far better investment for their financial future than the sheep would have been. Our main measure of success was not nuanced enough;
- The provision of water through well-rehabilitation and building in the five villages was a vital resource. Women reported they saved 8 hours every two days by having potable water in their villages. Before then, they spent three hours walking each way to the far-off well and waited two hours to fetch 50l water, which they head-carried back. With the well in place, they generated household income through weaving mats, cooking food for sale, etc., which amounted to as much as 20% of increased household income – a boon! Also, having both time and water access enabled them to bathe themselves and their children, make their husbands lunch, and make their mothers-in-law tea, which led to far more household harmony. No ‘impact’ measures outside of livestock and water were included or could be added;
- Finally, the resulting show-stopper: in the last village where we interviewed women participants, they said that the groups of fellow recipients were a boon for community solidarity across ethnic groups. In their meetings, thanks to the sheep, water, and collective moral support, they said the conversations turned from conflict to collaboration, and best of all, women reported, “our husbands don’t beat us anymore.” Peace among ethnic groups, within and between households was completely unexpected.
Such a highly unexpected outcome would fall under #2 and #4 of the Netherlands study below. Unfortunately, the Foundation seemed less interested in these unexpected but stellar results. Yet at the same time I have empathy for their position, as so many of us in global development want to help solve problems, and demand proof we have.…. so we can leave and help others, equally deserving. Taking complexity into account, seeing lives in a wider context where our aid can be helping differently or even harming makes garnering more aid hard.
As the brilliant Time to Listen series by CDA showed, aid intervenes in people’s lives in complex ways and we need to listen to our participants and partners who always share more complex views than our reports can honor..A few of hundreds of quotes of 6000 interviews, this from the Solomon Islands:
Some appreciate the aid as it is given:
“People in my village are very grateful for the road because now with trucks coming into our village, the women can now take their vegetables to the market. Before, the tomatoes just rotted in the gardens. Tomatoes go bad quickly and despite our attempts in the past to take them to the market to sell, we always lost.” Woman from East Malaita
But for others there are great caveats:
“Donors should send their officers to Solomon Islands to implement activities in urban and rural areas. This will help them understand the difficulties we often face with people, environment, culture, geography, etc. ‘no expectem evri ting bae stret’ [Don’t expect everything to go right].” Man, Honiara
“They have their own charters, sometimes we might want to go another way but they don’t want to touch that. So sometimes there is some conflict there; some projects are not really what we would like to address – because the donors only want to do one component, and not another, because it is sensitive, or because they want quick results and to get out.” Government official, Honiara
“What changes have I noticed since independence? Whatever development you see here is due to individual struggles. No single aid program is sustainable. NGOs are created by donors and are comfortable with who they know. NGOs eat up the bulk of help intended for the communities. NGOs become international employers. They do their own thing in our province. Most projects have no impact. I want to say stop all aid except for education and health. If international assistance concentrates on quality education and health, the educated and healthy people will take care of themselves.” Government official, Auki, Malaita
“The most important impacts of aid people do not think about – they are not listed, not planned, they are remote, but these are the longest lasting. Often they are the opposite of the stated objectives. So remote, unintended, unexpected impacts are very often more important and more lasting and more dramatic than the short term intended, measured ones.” Aid consultant, Honiara
How widespread is our myopic focus on our intended results? A recent Netherlands Foreign Aid IOB study found unintended effects were an evaluator’s blindspot as across 664 evaluations over 20 years, “The ‘text miners’ found that only 1 in 6 IOB evaluation documents pay attention to unintended effects.” This dearth of attention to all the other things happening in projects led to 10 micro, macro, meso, and multiple level effects, from negative price effects such as food aid on local food producers or nationalist backlash to Afghan projects to positive effects (they found 40% of projects had this) such as a harbor built happening to expand beach tourism as well.
But if we don’t look for such effects, we don’t know the true impact of our aid programming. We also don’t honor the breadth of people’s lives rather than just as narrow ‘aid beneficiaries’ (ugh), not even honoring them with the terms’ participants’ much less ‘partners’ in their own development).
In our ex-post work, we find a wide array of ways ownership and implementation of activities is done after donors leave and without additional or with different resources, capacities, and partnerships. Taking emerging outcomes and impacts examples from a different Niger project, and one from Nepal:
1. Partnerships & Ownership: Half of the members of the all-women Village Banks reported helping one another deal with domestic disputes and violence. (Pact/Nepal)
2. Capacities: Trained local women charged rates to sell course materials onward (PACT/Nepal)
3. Ownership: Participants valued clinic-based birthing and sustained it by introducing locally-created social punishments and incentives (CRS/Niger)
4. Resources: New Ministry funding reallocated to sustain [health] investments, and private traders generated large crop purchases and contracts (CRS/Niger)
The assets and capacities we bring to help people and their country systems help only a sliver of their lives, and often in unexpected ways that sadly we aid donors and implementers don’t seem interested in. There are other puzzle pieces to add…
Let us not forget, as a Sustainable Development Goals Evaluation colleague said in 2017 on a call:
I am sure you, my dear colleagues, have reams of similar findings from your fieldwork. Please share yours!
“What IS Sustainability?” It depends on whom you ask: OECD, the UN, or Harvard Business School
Recently I’ve had conversations where I had to define which sustainability we were talking about. Was it:
- ex-post-project sustainability of outcomes and impacts,
- environmental sustainability, or
- business sustainability?
Since I spend most of my time evaluating the ex-post sustained and emerging impacts of foreign aid projects years after projects close, or at least advocate for it, let’s start there.
- The Organisation for Economic Co-operation and Development (OECD) is a “forum and knowledge hub for data and analysis, exchange of experiences, best-practice sharing, and advice on public policies and international standard-setting.” Regarding evaluation specifically, the OECD has “established common definitions for six evaluation criteria – relevance, coherence, effectiveness, efficiency, impact, and sustainability – to support consistent, high-quality evaluation”. Focusing on long-term sustainability, their evaluation guidance is:
Source: OECD, Better Criteria for Better Evaluation, 2019
The good news is that in this recent publication on Applying Evaluation Criteria Thoughtfully (2021), OECD keeps the updated definition but inches towards recommending actual ex-post project sustainability evaluation, rather than just projected (and assumed “likely to continue” sustainability). For this, “likely” is the most significant reason evaluators for donors and implementers have assumed, rather than evaluated, sustainability for decades. Further, positive, ‘sustained’ trajectories are also assumed at close-out/ exit, but rarely tested ex-post.
The OECD criteria give not evaluating it as an option. I far prefer “net benefits of the intervention continue” as it is a marching order: Prove that results were sustained. In this evolution, this 2021 report states, “After the completion of the intervention, and evaluation of sustainability would look at whether or not the benefits did continue, this time drawing on data and evidence from the intervention’s actual achieved benefits.”
OECD even goes on to recommend implementing and monitoring for sustainability. The new piece de resistance is: “Sustainability should be considered at each point of the results chain and the project cycle of an intervention”:
- “The sustainability of inputs (financial or otherwise) after the end of the intervention and the sustainability of impacts in the broader context of the intervention…. as well as whether there was willingness and capacity to sustain financing (resources) at the end of the intervention
- For example, an evaluation could assess whether an intervention considered partner capacities
- Built ownership at the beginning of the implementation period…. And
- In general, evaluators can examine the conditions for sustainability that were or were not created in the design of the intervention and by the intervention activities and whether there was adaptation where required.”
Yes, Valuing Voices highlighted this at the American Evaluation Association presentation “Barking up a Better Tree: Lessons about SEIE Sustained and Emerging Impact Evaluation” in 2016, and we have developed this into 2020’s Exiting for Sustainability trainings and checklists. Wonderful to see implementing for sustainability in guidance by the OECD!
Moreover, while the 2019 OECD report mentioned resilience in passing, related to sustainability, “encourages analysis of potential trade-offs, and of the resilience of capacities/ systems underlying the continuation of benefits”. Such resilience and continuation of benefits evaluation involve examining huge systems (the financial, economic, social, environmental, and institutional capacities) that projects and programs are implemented within, whose stability is needed to sustain net benefits over time. Yes, for ex-post sustainability questions for evaluators to consider should include: “To what extent did the intervention contribute to strengthening the resilience of particularly disadvantaged or vulnerable groups” on which the sustained impacts of so much of our “Leave No One Behind” myth of Sustainable Development rely.
However, OECD makes suggestions to evaluate even broader, overwhelming what is feasible: “…this involves analyses of resilience, risks, and potential trade-offs.” Whose? All stakeholders, from participants to local partners and national and international implementers, and international donors? How far back and how far forward? What a huge undertaking. Further, the OECD points evaluators to define resilience, but as I learned in my Famine Early Warning System research and a current ex-post evaluation process for the Adaptation Fund, that involves creating evaluable boundaries by determining resilient to what kinds of shocks? Vital questions current industry monitoring and evaluation budgets for all evaluations, much less (too-rare) ex-post project evaluations, are insufficient for as they hover around 3-5% of total costs.
- Slight progress at OECD is being made by acknowledging environmental sustainability first brought up by the Brundtland Report, “Our Common Future” back in 1987. This linchpin report highlighted that “critical global environmental problems were primarily the result of the enormous poverty of the South and the non-sustainable patterns of consumption and production in the North. It called for a strategy that united development and the environment – described by the now-common term “sustainable development”… that meets the needs of the present without compromising the ability of future generations to meet their own needs.”
While an OECD brief in 2008 considers the environmental aspects of our thinking about sustainability, it argues that sustainability primarily about “using economic development to foster a fairer society while respecting ecosystems and natural resources.” The 2021 Applying Evaluation Criteria Thoughtfully rather unhelpfully mostly ignores the environment’s role in sustainability: “Confusion can arise between sustainability in the sense of the continuation of results, and environmental sustainability or the use of resources for future generations. While environmental sustainability is a concern (and maybe examined under several criteria, including relevance, coherence, impact, and sustainability), the primary meaning of the criteria is not about environmental sustainability as such; when describing sustainability, evaluators should be clear on how they are interpreting the criterion.” Given rapid climate change, I would argue that any sustained and emerging outcomes and impacts of projects that does not include an evaluation of the environmental context will fail to foster sustained resilience. Yet donors’ fixed funding timeframes that set completion to disbursement without evaluating sustainability or resilience continue to be huge barriers.
- Finally, business sustainability brings together these impacts on communities and society along with impacts on the environment. These are called ESG (Environmental, Social, and Governance) criteria. A Harvard Business School brief defines sustainability as “doing business without negatively impacting the environment, community, or society as a whole. “Where applied well, the aspiration is that “beyond helping curb global challenges, sustainability can drive business success.” While Harvard Business Review highlights “What Works’ in Calculating the Value of Impact Investing, they are, like almost all of global development ‘while- we-are-there’-measures. There is one mention of ‘terminal value’, 5 years after close of ownership, and they estimate social return on investments. This is a good, step, but as insufficient as foreign aid – for these are projected, not actual results.
At Valuing Voices, we have found hopeful examples such as IKEA as well as where ‘impact investing’ hype does not match the claims. Nonetheless, increasingly businesses are trying to consider circular economy systemic principles of “economic development designed to benefit businesses, society, and the environment.” This is regenerative, aims to decouple growth from the consumption of finite resources, not generate excess waste that cannot be reused and actuals seem to be measured at least during investments. As Harvard notes, “this leads investors to look at factors such as a company’s carbon footprint, water usage (both Environment), community development efforts (Social), and board diversity (Governance).” We encourage them to measure long-term/ longitudinally. A current Harvard Business Review sobering article on the ineffectiveness so far of measuring environmental sustainability and ESG. “…reporting is not a proxy for progress. Measurement is often nonstandard, incomplete, imprecise, and misleading. And headlines touting new milestones in disclosure and socially responsible investment are often just fanciful ‘greenwishing’”.
Australia’s RMIT defines business sustainability as comprising 4 pillars: Human, Social, Economic, and Environmental which combines a) “Human sustainability focuses on the importance of anyone directly or indirectly involved in the making of products, or provision of services or broader stakeholders;… b) Social sustainability focuses on maintaining and improving social quality with concepts such as cohesion, reciprocity and honesty and the importance of relationships amongst people;… c) Economic sustainability aims to improve the standard of living [and] the efficient use of assets to maintain company profitability over time;… d) Environmental sustainability places emphasis on how business can achieve positive economic outcomes without doing any harm, in the short- or long-term, to the environment.” But how well measured?!
Would ESG success be sustained over the long-term rather than short-term shareholder profit cycles? Will the OECD start to recommend extensive ex-post evaluation? Will they develop guidance to incorporate environmental concerns in evaluation for our common good? I do not yet know, but I implore these silos to start talking. No time to waste!
As my colleague and collaborator Susan Legro commented, we need to:
1) Continue to seek clarity and specificity in the terminology that we use, ensuring that it is clear to all stakeholders and beneficiaries; and
2) Find ways to study projects and initiatives over the longer term, which is the only way to study the designation of “sustainable” for any initiatives seeking that label.
What are your thoughts?
Sustained Exit? Prove it or Improve it!
(reposted from Medium https://jindracekan.medium.com/sustained-exit-prove-it-or-improve-it-702ac507e2a5)
Do we exit global development projects knowing our impacts are sustained? We hope so. As Professor Bea Rogers of Tufts said after evaluating 12 projects 2 years post-closure ( https://www.fsnnetwork.org/resource/exit-strategies-study), “ Hope is Not a Strategy”, yet too often that is what projects that assume sustainability does. They/we hope. But is this good enough? For me, confirming that hope means evaluating beyond exit to ex-post, at least 2 years after donor investments end. 99% of the time, donors & development practitioners don’t return to see what lasted, what didn’t, why nor what emerged from people’s own effort. Yet we implement similar programs over and over onward, not learning lessons from the past. Sigh.
We need to evaluate what we expected to remain from our implemented projects. We also need to learn from what evaluator Bob Williams calls, “the sustainability of the idea that underpinned the results (even if the results were no longer evident)”. This is often beneath what emerged: Our projects catalyzed the local’s desire to sustain activities: taking new ways, that are locally manageable (changing how the development idea is implemented onward) or even having entirely new initiatives emerge from the participant groupings — from their own priorities, not ours. (For more on emerging impacts: https://www.betterevaluation.org/en/themes/SEIE)
Evaluation leaders talk about power, they talk about the environment. After 7 years of researching and evaluating projects ex-post evaluations, I have found there are no brilliant 100% sustained + projects nor are there any 100% abjectly scorched earth ones either. Our results are middling at best. And therein lies the rub. Projects are what donors want to give. Sometimes that overlaps with what recipient countries want, sometimes not. Most of the time the resources to sustain our multimillion-dollar, -euro, -yen, etc., investments aren’t there. We can use incentives (e.g. food aid or cash) that can bolster short-term success while we spend, but once phased out, can lead to sustainability sharply falling off as early as 2 years after we exit. It’s because while ‘development’ is about ‘our’ spending on ‘our’ programs, about short-term success while we’re implementing, rather than our equal partners’ priorities and ability to sustain it. We misuse our power. We care about ourselves far more than the people we ostensibly went there to ‘save’.
And as esteemed evaluators Andy Rowe/ Michael Quinn Patton noted, given climate change we need to question even more assumptions about how sustained and resilient our programming can be, by evaluating the natural environment on which our programming relies pre, during & implementation, at exit and ex-post closure. (More on sustained environment: https://valuingvoices.com/sustaining-sustainable-development/)
It also means we need to talk to those to whom we will eventually hand over early on to make sure we’ve built-in resilience to the climatic, economic shocks we know of so far. I recommend my colleagues Holta Trandafili and Isabella Jean’s presentations on partnering we did a couple of months ago: https://valuingvoices.com/sustainability-ready-what-it-takes-to-support-measure-lasting-change-webinar/
Finally, I have come to see that to make sustainability more likely for years to come, we must fund, design, implement, and monitor/ evaluate For Sustainability throughout the project cycle. I have come to see that folks need guidance to help support their integration of sustainability throughout, including environment & resilience, benchmarks, and more. We can learn from what ex-posts teach. Join me please, to help craft more sustained development:
Upcoming Sustained Exit Webinar: 6 Nov 2020, 14:30–17 CEST, 8:30–11 EST
“Sustained Exit? Prove it or Improve it!” Interactive webinar discussion of ex-post sustainability evaluation lessons and how to integrate into ongoing #aid programs. On Zoom, participants get resources: checklists, slides, recording, Join us to #sustain #impacts! Register, sliding scale: https://sustainedexit.eventbrite.com
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 , a need for sustainability-ready evaluation to help us know how viable the resources are on which so many of our projects rest . 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 . 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” . 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 . 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 . “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 .
- 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 . 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 . 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?
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.”
 IDEAS 2019 Global Assembly. (n.d.). Retrieved from https://2019.global-assembly.org/
 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
 USAID. (2013, October 31). Environmental Compliance Procedures. Retrieved from https://www.usaid.gov/our_work/environment/compliance/pdf/216
 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
 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
 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
 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
 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
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!