country evaluation:india

COUNTRY EVALUATION: INDIA

United Nations Development ProgrammeEvaluation Office

United Nations Development ProgrammeEvaluation Office

COUNTRY EVALUATION: INDIA

Design: Colonial Communications Corp., New York, NYProduction: John S. Swift Co., Teterboro, NJ

Contents

Foreword ____________________________________________ i

Executive Summary _________________________________ 1

Overview __________________________________________ 11

1. Introduction _______________________________________ 15

2. Strategic Positioning and Programme Relevance ___ 23

3. Programme Performance __________________________ 27

4. Management Issues ________________________________ 45

5. Lessons Learnt and Recommendations _____________ 53

6. Future Directions __________________________________ 61

Concluding Reflections ____________________________ 65

Attachments _______________________________________ 67Attachment I: Composition and Methodology

of the Country Review Team ................................ 67Attachment II: Acronyms .............................................................. 69

Annexes ___________________________________________ 71Annex 1. Terms of Reference ........................................................ 71Annex 2. List of Persons Met ........................................................ 72Annex 3. Documents Consulted .................................................... 75

C O U N T R Y E VA LUAT I O N : I N D I A

Foreword

The India Country Review is the first in a series of country reviews thatwas conducted under the concept of Assessment of Development Results(ADR)*. The ADR assesses the country programmes from a strategic perspective and focuses on results and impact. In that light the India review focused on intended results as articulated in its Strategic ResultsFramework (SRF) and Results Oriented Annual Report (ROAR), examinedthe achievements and constraints and culled lessons for the future. Thereview raised some macro issues: questions on the net effect of UNDPefforts in poverty eradication and the value added by UNDP interventions.It assessed whether the UNDP was optimally placed for maximum results,specifically if macro-micro linkages were attended to a priori so that projectsuccesses indeed led to (or had the potential for) macro level results.

The review is forward-looking and its objective is to incorporate thelessons learned into the dialogue process for the next Country Programme(CP). The review’s recommendations for the subsequent programme drawupon the comparative strengths of the UN and UNDP, and address theissue of UNDP's advocacy and partnership supporting India’s developmentefforts. The latter is especially important given the country’s impressiveprogress in poverty reduction over the past decade.

The review was designed in a way that generated substantial synergyand support for the process and its outcome. The main building block ofthe review was the country level evaluation work (six cluster evaluationsand three thematic studies), which was planned as part of the process andcarried out by Indian evaluators. This provided invaluable ground truth to

iC O U N T R Y E VA LUAT I O N : I N D I A

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------* The cover page titles the report on ‘Country Evaluation’. Here the generic term “Evaluation” refers to boththe Country Reviews (done under the new outcome based ADR approach) and to future ADRs.

the exercise. A two-day special stakeholdermeeting was organised to discuss, back-to-back, the review findings and the proposedthrusts of the future programme. This greatlyfacilitated the integration of the review recommendations into the discussion of thefuture programme.

A number of people contributed to makethis review a reality. Rafeeuddin Ahmed provided invaluable leadership to the reviewprocess. Narendra Singh Sisodia made a vitalintellectual contribution to the exercise and keptthe review process tied to Indian developmentalreality. He is also the main author of thereport. Giles Whitcomb deserves mention forhis untiring efforts and hard work. Nurul Alam,Deputy Director of the Evaluation Office,managed the process throughout and providedsubstantive inputs, methodological supervisionand brought organisational perspective to theexercise. We are grateful to Department ofEconomic Affairs (DEA) for the excellentcooperation and assistance it providedthroughout the process. In particular we areindebted to Dr. Adarsh Kishore for his personal commitment and valued input to the exercise. We would also record ourappreciation for Mr. Behura and his team for their support and contribution.

We would like to acknowledge the enormoussupport received from our colleagues at theRegional Bureau for Asia and the Pacific (RBAP).Our sincere thanks and appreciation to HafizPasha, the Regional Director, for his deepinterest, support and intellectual contributionto the process.

Finally the exercise owes a great deal toMs. Brenda McSweeney, Resident Coordinator/Resident Representative, and the countryoffice team for their untiring efforts and thetime they took to provide substantive inputsto the work of the review.

Khalid MalikDirectorUNDP Evaluation Office

C O U N T R Y E VA LUAT I O N : I N D I Ai i


ExecutiveSummary

BACKGROUNDThe Evaluation Office of the United Nations Development Program(UNDP) undertook the India Country Review (CR) in consultation withthe Government of India (GOI) and the UNDP Country Office. This isthe first in a series of CRs to be conducted under the Assessment ofDevelopment Results (ADR) concept. This concept is expected to provideUNDP’s senior management, host countries and other stakeholders anevaluation of the development effectiveness of UNDP’s interventions in agiven country. The objective of the India Country Review is to provide anindependent assessment of the first Country Cooperative Framework(CCF-I) for India (1997-2002). This review assesses outcomes, indicatesthe lessons that can be learnt from the experience of CCF-I, makes recommendations in the light of these lessons and finally suggests a rangeof options for the upcoming country programme.The review is based on theinitial desk research done in the Evaluation Office, information gatheredfrom the team’s field visits, discussions with key actors and stakeholders,review of evaluation reports and the three consultants’ reports.

THE NATIONAL CONTEXTThe Indian economy has performed impressively over the past two decades.During the 1980s, India’s average rate of economic growth was the highestamongst large countries outside East Asia. A major fiscal and balance ofpayment crisis led to a package of radical economic reforms in 1991, althoughsome steps towards liberalisation had been initiated in the 1980s.The reformmeasures included a greater private sector role in India’s development by

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improving the investment and tax regimes,dismantling industrial licensing, openinginfrastructure to private investment, reformingpublic enterprises and the financial sector,and reducing price controls. The package alsoinitiated the liberalisation of foreign trade andexchange regimes.

The Indian economy responded well tothese measures and during the financial years1994-95, 1995-96 and 1996-97, the economygrew at 7.2%, 7.5% and 8.2%, respectively,becoming one of the ten fastest growingeconomies in the world. Given this background,a growth target of 6.5% was set for the NinthPlan (1997-2002). The actual performancefor the years 1997-98, 1998-99, 1999-00 and2000-01 has been 4.8%, 6.6% (provisional),6.4%(quick) and 6.0% (advance estimates)respectively. India’s GDP per capita in 1999(PPP) was US $ 2248.0.

Despite the priority accorded to povertyalleviation in India’s Five Year Plans, its magnitude remained high until the late 1970s(51.3% in 1977-78). However, since the early1980s, with the high economic growth theproportion of people below the poverty line hasbeen declining. According to a survey conductedfor the period July 1999 to June 2000 therewas a significant decline in poverty to 26%based on a 30-day recall methodology.Significant gains have also been recorded inthe sphere of human development as is evi-dent from the data relating to life expectancy,infant mortality, literacy, higher education,availability of safe drinking water, agriculturalproductivity, food reserves, total fertility rate,and decentralisation. Despite improvements inits human development indicators, the UNDP’sHuman Development Index (HDI) ranksIndia 115th out of 162 countries and places itin the group of countries with Medium HumanDevelopment, with an HDI of 0.571 in 2001moving up from 0.439 in 1992.

India today is the world’s largest democracywith a vibrant electorate, active Judiciary andcivil society groups, and a fiercely independentmedia. Despite its many noteworthy achieve-ments, the country faces several challenges.Economic growth is decelerating, the incidenceof unemployment on current daily basis ishigh, there is widespread undernourishment,the infant mortality rate has been stagnating,electricity is not available to 60% of rural and20% of urban households, the environment

has been deteriorating and gender inequalitypersists. A key problem faced by the Indianeconomy is the high fiscal deficit at both thecentral and state levels.

In order to address these problems, theGovernment has been trying to accelerate theprocess of economic reforms. The ApproachPaper to the Tenth Plan takes the currentweaknesses into account and suggests areform instead of merely a resource plan. ThePlan has an indicative target of 8% GDPgrowth.The Approach Paper also takes a morecomprehensive view of human development.Some important areas of focus of the TenthPlan are employment creation, institutionalreform to facilitate a greater private sector rolein industrial and infrastructure development,greater emphasis by the Government on social sector development, overhaul of theexisting healthcare system, increase in grossdomestic savings and investment ratio,fiscal health, civil service reform, improvedcapacity and funding for major institutions of decentralisation, and measures to ensureequitable gains from globalisation.

TRANSITION FROM COUNTRY PROGRAMME IVImportant shifts in the strategy of CountryProgramme IV (CP IV) were made in orderto encourage national capacity building andsustainability. CP IV included a change froma project approach to a programme approach,a focus on long-term capacity building andinstitution building at the community levelrather than purely technical inputs, greaterinvolvement of national expertise instead of reliance on international consultants, a shift to national execution and ownership by the GOI, and stronger partnerships withNon Governmental Organisation (NGOs).

DETERMINANTS AND STRATEGY CCF-ICCF-I – a collaborative endeavour betweenthe GOI and the UNDP – focused on growthwith equity, with poverty alleviation and humandevelopment as its central concerns. Theobjectives and contents of CCF-I were influencedby some important policy announcements,including the emerging priorities of the NinthFive Year Plan, the 73rd and 74th Constitutionalamendments and India’s commitments in globalconferences. The framework was finalised at a

C O U N T R Y E VA LUAT I O N : I N D I A2

India

today is

the world’s

largest

democracy

with a vibrant

electorate,

active Judi-

ciary and

civil society

groups, and

a fiercely

independent

media.

time when the Indian economy was witnessingstrong growth. The national policies sought toconsolidate economic gains and achieve a 7%growth rate, which was considered essentialfor poverty eradication and promotion ofhuman development.

THEMATIC AREAS OF CCF-IFor CCF-I, “ten inter-related and mutuallyreinforcing” programmes were developedunder four broad thematic areas as follows:I. Employment and Sustainable Livelihoods

(i) Small Industry DevelopmentProgramme

(ii) Food Security ProgrammeII. Access to Basic Services

(iii) Primary Education Programme(iv) Health Support Programme

III. Management of Development(v) Economic Reforms Programme(vi) Capacity Building Programme(vii)Community-Based Pro-Poor Initiatives(viii)Technology Programme

IV. Sustainable Development(ix) Capacity building in environmental

management(x) Energy and Environment ProgrammeCrosscutting themes such as gender

equality, employment, environment, technologymanagement, population, HIV/AIDS, anddevelopment were to be appropriately addressedin all programmes.

The total resources estimated for CCF-I,along with the carry over resources of the previous cycle were US $ 125.7 million.This includes an outlay of Rs 88.40 million for CCF-I.

STRATEGIC POSITIONING ANDPROGRAMME RELEVANCEThe themes and programmes constitutingCCF-I are closely aligned with India’s nationalpriorities. This harmony, however, needs to beviewed in the context of the multiple objectivesof UNDP programmes and the comprehensivenature of India’s Plans. The stronger the linkbetween the CCF-I programme and a nationalpolicy/goal, the greater the probability of programme outcome serving as an input tothe policy discourse.

Since CCF-I was initiated, a number ofchanges have taken place in India’s socio-economic scenario. Economic growth hasslowed down and the fiscal deficit has become

worrisome. The GOI proposes to addressthese problems through a number of remedialmeasures and a package of second generationeconomic reforms. However, the long-termhuman development concerns like poverty,gender disparities, inter-state disparities,unemployment, inadequate access to basicminimum services and their poor quality forthe underprivileged, deteriorating environment,burgeoning slum population, and genderinequality persist. With the Government’semphasis on economic reforms, control of fiscal deficit and stepping up the pace of socialdevelopment, the programmes included inCCF-I continue to be relevant in the contextof long-term priorities.

COMMON COUNTRY ASSESSMENT (CCA) AND THEUNITED NATIONS DEVELOPMENTASSISTANCE FRAMEWORK (UNDAF)The CCA carried out in 1999 by the UN systemin India is a well-researched, collaborativeexercise, designed to draw attention to India’smany achievements and the challenges itfaces. UNDAF was designed to “increase theeffectiveness and efficiency of UN operationsby bringing about a greater synergy in action.”It is based on rigorous analysis and a dialoguewith the Government and other developmentpartners in India to sharpen the focus of theUN system’s endeavours. This process ofanalysis and dialogue led to the identificationof gender equality and decentralisation as twocritical areas of importance to India’s futuredevelopment. Both these UNDAF themesare closely linked to CCF-I programmes, andwill therefore strengthen the implementationprocess of CCF-I.

PROGRAMME PERFORMANCEThe CCF-I comprises four principal themes,ten programmes and 93 sub-programmes. Ittook a considerable amount of time finalisingthe sub-programme documents, and the lastlot was signed only in 2000. The NationalExecution (NEX) guidelines were also issued in July 1998, over a year after CCF-Ibegan. Due to procedural problems there weredelays in the release of funds. The CountryReview (CR) team faced difficulty in assessingthe outcomes as many sub-programmes are inthe early stages of implementation and it is premature to expect visible outcomes. The

E X E C U T I V E S U M M A R Y 3

programme is designed to pilot holistic strategiesand participatory approaches for food securityand poverty alleviation at the national, communityand household levels, focusing specially on therole of women. The team was able to review a fewsub-programmes in some detail. An overviewof the CR team’s assessment is given below:

Food Security ProgrammeThis comprises five sub-programmes three ofwhich relate to women’s empowerment and oneeach to rice and maize production. Accordingto the available information, women’s groups andNGOs in Andhra Pradesh are campaigningto support the registration of land ownershipin the name of men and women jointly. Underthe maize sub-programme, higher yields havebeen recorded.

The Food Security Programme has twodistinct streams – one seeks to facilitate women’saccess to resources, and as yet, it is early toassess its impacts; the other focuses on spreadingtechnology at the grassroot level. The UNDPhowever needs to consider whether given thevariety of programmes being implemented bythe Ministry of Agriculture and state govern-ments, it can add substantial value in this area.

Leather Development ProgrammeThis programme aims at assisting artisans inthe leather sector. It’s primary focus is onpoverty alleviation, sustained livelihood, andbuilding linkages between the organised andthe unorganised sector. The programmes haveresulted in higher incomes, higher wages, andavailability of work throughout the year. Theactual composition of beneficiaries suggeststhat the poorest in the industry (the job workers)have not been directly targeted. Except for the Athani project (Karnataka), and in a small measure in the Mojari Project, the sub-programmes have not specifically targetedinterventions among women.Technology, designand marketing interventions have been helpful.The experience with foreign consultants/experts has been mixed. Self-sustenance ofthe programme is likely only in centres thatare actively engaged in selling designs, lasts,patterns, CFC machine usage time, and consultancy. NGOs have generally achievedbetter results than government departments.

The programme offers quality service thatis highly subsidised. Most state governmentsmay not be able to bear the financial burden of

running these successful interventions.Therefore,exit strategies will require exploring ways ofmaking the interventions financially sustainable.It appears that both artisans and industry are developing a dependency syndrome. Theimplementing agencies’ direct interface withthe leather workers’ community appears to becausing apprehension to the local panchayatleaders, creating potential tension between themand the disadvantaged community of leatherworkers. However, despite its deficiencies andproblems, the review team found the programmeto be successful, with the beneficial impacts of its interventions being clearly visible. Theevaluation report notes that “the new businessmodel propagated through National LeatherDevelopment Programme had worked verywell and could hold the key for transformingthe Indian Leather Industry…”.

Fibres and HandicraftsThis programme proposes to demonstratesustainable livelihood approaches throughintegrated interventions in sectors such as jute,non-mulberry silk, cane and bamboo, and carpets. The sub-programmes focus on nichesectors, which are generally neglected in main-stream efforts, and they target the disadvantagedartisan groups (predominantly women) withtraditional skills living in underdevelopedregions. These sub-programmes are hence soundin design. They hold out the promise ofpoverty alleviation through technological andskill upgradation and marketing support in asustainable manner. The cane and bamboo andthe non-mulberry silk sub-programmes arewell conceived and are showing encouragingresults. The Cane and Bamboo TechnologyCentre (CBTC) has done noteworthy workand has been received well in the North Easternstates. The sub-programme intervention hasshown encouraging results and with thelaunching of the National Bamboo Mission,can also be said to have influenced policy.The jute programme is focused more on smallentrepreneurs, and one needs to examinewhether it has achieved its objectives.

Small Scale IndustryThe basic thrust of this sub-programme is onstrengthening the Khadi and Village IndustriesCommission (KVIC) and developing three rural,non-farm sectors,mainly beekeeping, clay potteryand handmade paper. The sub-programme


was initiated recently and disbursement hasbeen low. The line ministry has pointed outthat there is a time lag in understanding andinternalising the concept and modalities of thesub-programme, including UNDP termino-logies, systems and project procedures. Thesub-programme has considerable potential inthe future, provided the capacity of KVIC canbe strengthened and the sector made marketoriented and commercially viable.

Concentrated in four southern states, thecoir sub-programme has been quite successful.Nearly 80% of coir workers are women. Theavailable information indicates that satisfactoryprogress has been made in the areas of capacitybuilding, community mobilisation, and intro-duction of innovations.

Community Based Primary EducationThis programme aims to demonstrate modelsof effective community participation in schoolmanagement and protection of children’s rights.Better known as the Janshala Programme, inthis intervention UNDP, UNICEF, UNFPA,UNESCO, and ILO have come together with nine state governments and two GOIdepartments to support the ongoing efforts inthe country towards the universalisation ofprimary education in India. With activeinvolvement of the community, enrolment ofchildren has increased and the dropout ratehas declined. The schools have become a place of attraction for children and with theintroduction of innovative concepts, learninghas become a joyous experience. Teachers’attendance has also become regular.

Health Support ProgrammeThis programme seeks to pilot effective modelsof public-private-community partnerships for improved healthcare for the poor. At US $4.5 million, the outlay of this programmeis relatively modest. With a utilisation of US $0.69 million till December 2001, it is pre-mature to assess the impact of this programme.

Both the education and health programmes,while worthwhile in themselves, are relativelysmall interventions compared to much largerprogrammes being implemented throughother sources. In both sectors the UNDP canmake a limited impact in terms of its directintervention. It needs to be examined whetherits pilot interventions on a limited scale will

be able to make a distinctive contribution tonew thinking in these sectors.

Economic Reforms ProgrammeThis programme essentially envisages a numberof action-research studies in a variety of areasrelating to economic reforms. The issues rangefrom pricing of municipal services to preparingoperational strategies for financing and improvingaccess to health. Funds available under theprogramme will also be utilised for capacitybuilding of officers involved in the privatisationprogramme. The programme has yet to showconcrete results, although the utility of theproposed studies and training is unquestionable.In pursuing these activities in the future, UNDPneeds to carve out its own niche, avoid anypossible overlap and keep in view its own strengthsand constraints vis-à-vis other, bigger playersin the field.

Capacity Building ProgrammeThis programme supports a core activity ofthe decentralisation theme, with the potentialto sensitise key grassroot players to genderconcerns. Under the sub-programme, sixregional resource centres are being developed.These will assist in the capacity building of3.4 million elected representatives of localself-government institutions, of which one thirdare women. Full ownership by the concernedministry and the six regional resource centres,and putting effective implementation arrange-ments in place are crucial to the success of this sub-programme.

This sub-programme also includes strength-ening administrative training institutes at thestate level and developing a Centre for PublicPolicy at the Indian Institute of Management,Bangalore. Other interventions relate to urbangovernance and citizen’s access to information.

The capacity building programmes, ifimplemented well, can make a significantcontribution to developing the effectivenessof elected representatives at the local level.This is crucial to strengthening decentralisationand improving governance.

Community Based Pro-Poor InitiativesThis programme seeks to support people-orienteddevelopment planning, social mobilisation andcommunity participation, particularly amongwomen, tribals and backward communities.


Both the

education

and health

programmes,

while worth-

while in

themselves,

are relatively

small inter-

ventions

compared to

much larger

programmes

being imple-

mented

through

other sources.

The Community Based Pro-Poor Initiatives(CBPPI) programme has 17 sub-programmes, ofwhich 12 are being implemented through NGOs.

Overall, the sub-programmes are welldesigned and take into account the needs,strengths and limitations of local communities.Special efforts are being made to mobilisewomen. Self-help groups are being promoted.For poverty alleviation in tribal communities, anattempt is being made to revive the traditionalknowledge system.

The sub-programmes have demonstratedmany new and innovative approaches. Theyhave made several impressive achievements.The available evidence suggests that the inter-ventions have been accompanied by intensemanagerial and technical inputs, a great dealof commitment, and external supervision for relatively small operations. It may not, therefore, be easy to replicate the sub-programmes. Given the fact that there areother, bigger players in the arena of povertyalleviation, a better strategy may be to widelyshare the experiences of UNDP-supportedprogrammes so as to influence the perspectivesand approaches of these other players, who,with their substantially larger funds, can beexpected to exercise greater influence inensuring replication and mainstreaming of thesuccessful approaches demonstrated. Somebeginnings have been made in CCF-I. Forinstance, under the District Poverty InitiativeProgramme, the World Bank has adopted themodel of the UNDP South Asian PovertyAlleviation Programme (SAPAP) and hasprovided an additional resource support ofabout US $2 million for each district.

Technology Management ProgrammeAccording to information furnished byUNDP-India, two technology development andapplication centres with ten rural technologyresource centres under them have been established. In addition, four centres for providing vocational training in need-basedtechnical skills to rural and semi-urban youthhave been set up. If they are successful, theinitiatives could spread technology at thegrassroots. The UNDP’s involvement has alsofocused on the linkages between technologyand poverty alleviation. However, it is not clearwhat value has been added by the UNDP sinceits partner is the Department of Science andTechnology, which has the requisite resourcesand access to national and international experts.

State Human DevelopmentProject/Human DevelopmentResource CentreThis project seeks to support PlanningCommission and state government efforts in the formulation of state-level human development reports so as to promote humandevelopment oriented policies at the state level.The UNDP’s annual Human DevelopmentReports (HDRs) are its flagship product andover the years they have emerged as the principal advocacy platform for sustainablehuman development. They have demonstratedthat income alone does not capture all dimensions of development and have made asignificant contribution to promoting humandevelopment oriented policies world-wide.The Planning Commission’s recently publishedIndia HDR and its additional resource supportfor sub-national HDRs can be seen as a signalachievement of UNDP advocacy. Although theoutlay for this project is only US $0.5 million,it can be expected to make a significant difference in ensuring higher priority to issuesof human development in public policies anddevelopment plans, particularly in the states.The State Human Development Reports(SHDR) for Sikkim and Rajasthan havealready been published, and HDRs for fivemore states are being finalised.

HDRs need to be followed up by studiesin priority areas, evaluation studies of specificprogramme interventions, etc. In the future,more downstream work is needed by offeringstrong support to states. This programme hasconsiderable potential, particularly in terms ofadvocacy, as it addresses key UNDP concernsof gender and decentralisation, and strengthenspartnerships to fight poverty across the country.

The achievements of SHDR/HDRCinterventions are encouraging, but theirpotential to make a significant impact onIndia’s development endeavour is even greater.Given its capacity to impact public discourseand policies in favour of the poor as well asissues requiring special focus in the context ofglobalisation,this programme merits addedemphasis in the future.

Environment ProgrammeThis programme’s principal objectives are to facilitate natural resource management,strengthen the existing capacity for public policy, and disseminate information/knowledge


The UNDP’s

annual Human

Development

Reports (HDRs)

are its flagship

product and

over the years

they have

emerged as

the principal

advocacy

platform for

sustainable

human

development.

on environmental management/conservation.Its main advantage is its linkage and access tothe Global Environment Facility (GEF) andMontreal Protocol (MP) resources whereUNDP plays a major role. The rationale topursue sustainable development initiatives isunexceptionable. However, a large number ofscattered sub-programmes are not amenableto proper monitoring and evaluation.Hence, it is advisable to focus on a few key sub-programmes.

Disaster Mitigation and ManagementIn the wake of the Orissa super-cyclone andthe Gujarat earthquake, the UNDP countryoffice has demonstrated its ability to addressemergent needs. Under the United NationsDisaster Management Team (UNDMT) convened by UNDP, a coordinated UN systemsupport to the Government has been put inplace. Its objective is to promote enhancedcommunity participation and preparednessfor disaster mitigation and management. TheCountry Office is involved with 19 projectsinvolving an amount of about US $10 million.The UNDP pursued a strategy focusing on vulnerability reduction and sustainable recovery in the post-emergency relief phase.With this entry point it also pursued pro-poorinitiatives, empowerment of women, villageand district level planning, and skill andcapacity building.

MANAGEMENT ISSUES

Programme FormulationThe process of programme formulation iselaborate. While programmes/sub-programmesare well designed and comprehensive, theirpreparation and approval tends to get delayed.It took three years to get all the programmescleared under the CCF-I. There is a need toreview the two-tier programming approach afresh.

Resource FlowThe flow of resources to sub-programmes andtheir utilisation has been slow (45.22% up toDecember 2001). Delays in release of fundssuggest procedural or simply processing delays.

National Execution (NEX) GuidelinesThe NEX guidelines were finalised in July 1998.They strengthen responsibility and ownership

within the Government and facilitate linkagesand coordination. On the whole, the NEXguidelines of July 1998 are a welcome reform.However, due to a variety of reasons, theyhave not been conducive to prompt release of funds. The CR team noted numerousinstances of procedural delays that adverselyaffected programme performance. There isneed for the Department of Economic Affairs(DEA), National Programme Directors(NPDs), and the UNDP to further discussthis issue, and resolve practical impedimentsto fund release.

Management StructuresProgramme Management Boards (PMBs)headed by secretaries to the GOI should continue, but look at only macro policy andcoordination issues rather than at administrativeapprovals and financial sanctions. The Pro-gramme Standing Committees headed byNPDs must be empowered, with the neces-sary administrative and financial functionsdelegated to them. The programme designmay be modified to meet the requirements ofboth the Expenditure Finance Committees(EFC) and Standing Finance Committees(SFC), so that clearance of the EFC/SFC isnot required afresh.

State Level Steering CommitteesState Level Steering Committees should be setup under Chief Secretaries of states to facilitatehigher level attention, ownership, disseminationof lessons, best practices, replication, statelevel coordination and interaction with civil society partners. Programme ManagementUnits (PMUs) may be approved where thesize and nature of the programme justifythem. The PMU may be carved out of ministry staff and paid at Government scales.In exceptional situations, when an officialbrings to bear upon the programme some special expertise that is distinct from his/hernormal managerial functions, emoluments athigher scales could be considered.

Panchayati Raj Institutions (PRIs) shouldbe encouraged to actively participate inUNDP programmes. Alternatively, they shouldbe taken in confidence and a collaborativerelationship between NGOs and PRIs shouldbe established. Similarly, the district adminis-tration should be taken on board.

A corps of community animators/volunteers


should be developed.They can then disseminatethe programme ‘message’, do extension work,motivate the beneficiaries, liaise with programmemanagers, promote self-help groups and help carry on the work when the programmemanagers are no longer there.

UN System CoordinationThe concrete steps taken to bring about greatercoordination and synergy among UN agenciesinclude the CCA exercise completed in 1999,followed by the finalisation of the UNDAFdocument, the full harmonisation of programmecycles among UN system organisations by 2003,learning about ongoing efforts to bring aboutcost savings through Inter Agency WorkingGroups (IAWG), joint learning and trainingfor UN staff, development of a commonintranet etc. As UN organisations proceedwith the harmonisation process, and UNDAFpriorities get reflected in the new CountryProgrammes (CP), new opportunities for collaboration will emerge and will need to beseized. Five UN organisations participated inthe Joint UN system Education Programme( Janshala) and the UN system adopted acoordinated approach to support the disasteraffected states of Orissa and Gujarat.

LESSONS LEARNT AND RECOMMENDATIONS

Preserving UNDP’s ImageUNDP’s consistent support to people-centreddevelopment processes, and its effective advocacy of the concept of sustainable humandevelopment through the global HDRs, hasestablished for it an image of impartiality andneutrality which should be preserved in orderto protect its unique position. This will requirea keener understanding of each country’sstrengths, constraints and sensitivities. The IndiaCountry Office has so far sensitively calibratedUNDP’s global agenda to suit the local circum-stances. This effort needs to be strengthenedand encouraged in the future. The GOI also needsto appreciate that while the UNDP’s financialinputs may be modest, it has other uniquestrengths which should be taken advantage of.

Avoiding Multiplicity of Objectives,Programmes and Sub-ProgrammesMultiplicity of objectives and a large numberof programmes and sub-programmes diffuse

focus, strain managerial resources, rendermonitoring and evaluation difficult, and lead to sub-optimal utilisation of resources.There is, therefore, a need to ensure that sub-programmes converge both thematically,focusing on a few clearly identifiable themesand objectives, as well as geographically.

Partnerships for Synergy and Long-Term SustainabilityIn order to bring about synergies in collabora-tive efforts and long-term sustainability ofprogrammes, partnerships and alliances needto be built at several levels. Special attentionneeds to be given to building partnerships withthe state governments, district administrationsand PRIs, which will ultimately carry forwardthe programme.

Approaching DevelopmentHolisticallyA uni-dimensional intervention will notensure results in the long-term and thus it isessential to take a holistic approach. Whilethe entry point may be a key priority or a felt need, other related elements will have to be addressed incrementally. The impact of a programme can be maximised and its sustainability ensured when a more holisticapproach to development is adopted.

Inter-Sectoral Linkages Among ProgrammesA greater emphasis must be laid on buildinginter-sectoral linkages in developing conceptualframeworks, design, and management tomaximise impact. Often programmes andsub-programmes are designed independentlyand function more or less in isolation fromeach other, despite cordial interpersonal relationships. Hence, intersectoral linkagesneed to be consciously built up to improve thequality of design and implementation and toenhance impact.

Active Involvement of Zila Parishads, Blocks andPanchayats (PRIs)PRIs are now consciously mandated and a

large number of development programmes are to be planned and implemented by them.In this context, a conscious and vigorous initiative in the upcoming CP to ensure active participation of PRIs in appropriate


programmes is essential. Where the imple-menting agencies are NGOs, efforts will beneeded to promote a collaborative relationshipwith PRIs.

Maximising Impact through ‘Indirect’ InterventionsThe UNDP’s efforts will be better rewarded if it focuses on indirect interventions likedemonstration programmes to validate innovativeapproaches, sharing lessons learnt and theirdissemination, human development initiativeslike the HDR, capacity building etc. However,in order to lend credibility to its indirect inter-ventions, the UNDP will need to continuewith some direct interventions for hands-onexperience. Advocacy by itself, without ademonstration of the ability to implement,will have only a limited impact.

Exit and Replication StrategiesExit strategies should be specifically built in atthe time of programme design.These strategiesshould be adequately explained to the stake-holders. Milestones for each stage of the projectneed to be specified in the programme/sub-programme document so that the stakeholdersknow at which stage external assistance willno longer be available. At present, most programmes or sub-programmes do not seem to incorporate, or in practice implement,such exit strategies. There are many instancesof beneficiaries developing a dependency syndrome. At the state government level, thereis an impression that UNDP intervention isanother source of additional resources or it istreated as such. The precise objective of theintervention needs to be explained upfront tothe stakeholders at the ground level.

Disseminating LessonsThe global HDR has been a vehicle for disseminating development lessons fromIndia. More systematic and intensive action isneeded to bring international experience toIndia, share experiences and best practices withinIndia, develop best practices documentationand take follow up action to widely communicateits messages. Some of this is underway andshould be expanded.

Gender MainstreamingAt present, despite a rights-based approach to gender equality in programme and sub-

programme documents, the focus on gender isstill strongest in community-based programmesimplemented through NGOs. Progress in thefield often seems to depend on the perspectivesand skills of the implementing NGOs. In someprogrammes, there is a risk of interventionsreinforcing traditional gender inequalities andbiases. Monitoring and evaluation frameworksneed to be consciously gendered. The CountryOffice has taken several steps to strengthenintegration of gender into CCF-I programmes,including capacity-building for programmeteams and partners, and participatory exercisesfor gender impact assessment. These effortsneed to be strengthened in the lead-up to thenext CP. Representatives of women’s groupsand gender experts should be consulted inprogramme formulation, as was done in a fewprogrammes under CCF-I. The Department ofWomen and Child Development (DWCD)and the National Commission for Women(NCW) should be actively involved. TheUNDP should contribute to the process of gender perspective building for NGOs.Men need to be fully involved in pursuingprogrammes for ensuring gender equality atthe community level. The UNDP should also undertake some focused action-researchprojects to explore the linkages betweenmacroeconomic policy and women’s lives. Thework on gender budget analysis initiated inpartnership with the DWCD is an importantinitiative in this direction.

NGOs-PRIs InterfaceIn the larger Indian scenario, the relationshipbetween NGOs and PRIs is not always positive. Greater attention must be given toensure that UNDP interventions contribute tostrengthening the links between NGOs andPanchayats, which, as the constitutionallymandated institutions of local governance, willplay a critical role in sustaining and takingforward the interventions.

Encouraging Transparency among PRIs and NGOsTransparency among PRIs and NGOs, whichcan contribute to enhancing their credibilityand effectiveness, can be ensured by disseminating information on their financialtransactions, accounts, and audit reports.UNDP-India should consider encouragingNGOs and PRIs to do so.


Despite a

rights-based

approach

to gender

equality in

programme

and sub-

programme

documents,

the focus on

gender is still

strongest in

community-

based pro-

grammes

implemented

through NGOs.

Refining Programme Design and Implementation StrategiesThis should be done by undertaking a rigorous analysis of the aspects of class,gender and replicability. Without such ananalysis and inclusion of appropriate measuresin the programme design, the poorest and themost vulnerable may be neglected, men maysabotage the process of women’s empower-ment, and replication may not happen. Theprogramme design should also incorporaterights-based perspectives. The precise nature ofthe programme, whether a ‘direct intervention,’a ‘complimentary effort’ or a ‘pilot project’should be made explicit in their designs at thevery outset.

Rethinking Strategies during ImplementationThe programme design should cater for mid-course evaluation and corrections.

Dealing with Vested InterestsNGOs should be encouraged to be proactiveand to find solutions when problems arise inconsultation with local administration, takepreventive measures against threats from vestedinterests, establish networks with like-mindedorganisation, and take the district administrationinto confidence. At the same time, the needfor NGOs to adhere to rules and procedures,and demonstrate transparency in their ownfunctioning cannot be ignored.

Developing Effective NGOs as Resource CentersThe UNDP and the Government need topromote more effective networking amongNGOs with proven expertise, field presenceand competence in addressing critical issues.Focused efforts are also needed to develop theseNGOs as resource centres and ‘mother NGOs’.

Developing a Cadre of Paraprofessionals/CommunityAnimators/VolunteersThe experience of some CCF-I sub-programmesshows that literacy is not a necessary pre-condition for training paraprofessionals likelivestock and health assistants. It is essential

to develop paraprofessionals so that they canoffer services locally to the community withoutdepending on bureaucratic structures.

Time Perspective for Social MobilisationThe fact the social mobilisation is a complexprocess and requires time should be kept inview while designing programmes and workingout the time schedule for their implementation.

Future DirectionsProgrammes for the ensuing CP should bedeveloped around the objectives of India’sTenth Five Year Plan, the overarching goals of UN system in India, and UNDAF themes.The CR team proposes the following set ofpossible options for the upcoming CP:1. Strengthening decentralisation2. Accelerated development of 20-30 back-

ward districts on pilot basis3. Human development4. Technology for poverty reduction5. Vulnerability reduction at community

level, including disaster risk reduction6. Civil services renewal7. Renewable energy8. Water conservation and harvesting9. Information Technology for development10. Partnering the private sector

Crosscutting themes like gender equality,sustainable human development, HIV/AIDS,and environmental sustainability should beappropriately incorporated. Communicationsand advocacy strategies should be stronglybuilt into all programmes as a means of sharingbest practice and ensuring replicability.

The above ten alternatives are being suggested as a set of options to enable theUNDP and the GOI along with their partnersto examine the relevance, pros and cons andcosts and benefits of each. The CR team wouldlike to reiterate emphatically that the UNDPneeds to sharpen its focus and choose only fiveor six of the most appropriate programmes.Only a concentrated effort can lead to a distinctive contribution and value addition.The temptation to undertake a large number ofscattered programmes, all very worthwhile inthemselves, may lead to dissipation of resources.

C O U N T R Y E VA LUAT I O N : I N D I A1 0


Overview

1. This is the first attempt in a series of Country Reviews (CRs) to becarried out under the UNDP’s Assessment of Development Results(ADR) concept. The ADR approach focuses on outcomes as expressedin the Strategic Results Framework (SRF) and their impacts. It distinguishes outcomes from outputs. The exercise aims to explorelinkages between programmes and the overarching objective of reducingpoverty and attaining the Millennium goals. It looks at the range andquality of development partnerships forged and their contribution tooutcomes. Its emphasis is more on learning lessons from successesand equally from failures, rather than on auditing performance.

2. Perhaps it is appropriate that this new process of assessing the development effectiveness of the UNDP’s interventions begins withIndia – a country that can justly pride itself on being the world’s largest democracy. It is also the largest recipient of the UNDP’s coreresources, and the largest non-DAC contributor to UNDP. During the1980s India’s rate of economic growth was the highest among largecountries outside East Asia. With the spurt in the rate of its economicgrowth during 1994-97, it became one of the ten fastest growing economics in the world. It has also made some impressive progress inthe area of human development. And yet, it is home to nearly 260million of the world’s poorest. Despite improvements in its humandevelopment indicators, it ranks 115th out of 162 countries on theUNDP’s Human Development Index (HDI). India thus offers a fascinating opportunity to learn what has worked, what has not, and why.

3. For the CR team, this exercise has been interesting and instructive atthe same time. The team began with exploring the answers to some

1 1

questions. As the process got underway,many new ones came up. It would bepretentious to assume that this Reportanswers them all. Hopefully, it will helpin understanding and defining them better.

4. Some limiting factors of this exerciseshould be mentioned at the outset.Firstly, while the programme formallycommenced in 1997, most of the CCF-Icomponents have been in actual operationfor just around two years—a period alltoo brief for process changes to occur.Secondly, following the switch to theResults Based Management (RBM) system with SRF and Result OrientedAnnual Reports (ROAR) as its key management tools, measuring impacts hasbecome a challenge. It is easy to verifywhether a building has been constructedor equipment bought. It is not as easy toassess if a community has been mobilisedor women have been empowered. Thirdly,there is the problem of attribution.Changes in development policies can beinfluenced from diverse sources. Theimpulse for change can come from theconviction of policy makers themselves,successes and failures of other countries,experiences of other aid agencies, academicliterature, public opinion or pressuresexerted by interest groups. Sometimesan aid agency may justifiably advocate anapproach which already enjoys a measureof acceptance or it may be just one of thecontributing influences. In democracies,policy formulation is a multilayered andparticipatory exercise. In such a setting,for instance, to whom should the growthof self-help groups in Andhra Pradesh,now reported to be nearly 400,000 innumber, be attributed? To the GrameenBank of Bangladesh, to the South AsiaPoverty Alleviation Programme (SAPAP),to a progressive political leadership, to theAnnual Reports of some multilateral aidagency or to UNDP’s CCF-I which beganin 1997? Fourthly, there is the problem ofmeasurement. How does the reviewprocess measure, for instance, the precisecontribution of the Country Office toIndia’s Tenth Plan Formulation? Or howdoes one measure the influence of theUNDP supported programmes on thedesign of a mainstream anti-poverty

programme? The CR team has faced manydilemmas in the process of attribution ofoutcomes, their validation and measurement.The fact that in UNDP-India, RBM is sofar a work-in-progress and the quality ofreporting will be refined as the processmatures, does not help matters.

5. The CR seeks to answer the questionwhether UNDP’s interventions in Indiahave been relevant. During the 1990s,India witnessed impressive economicgrowth. The poverty ratio has alsodeclined significantly even though it isstill at a high level. In the context ofIndia’s development agenda, were theCCF-I interventions strategic? The team’sanswer is in the affirmative. The ten programmes under CCF-I cover smallindustry development, food security, accessto primary education, health support,support for economic reforms, capacitybuilding, community based pro-poor initiatives, technology management, ruralenergy and environment. All of theseaddress the problems of poverty orhuman development either directly orindirectly. Most interventions target therural areas. In their areas of operation,the interventions seek to promote anenabling environment for development.They aim at mobilising communities,reducing barriers to the market, providingaccess to credit, technological support,health and education, promoting non-farm employment and food security.Gender and decentralisation are cross-cutting themes. There is thus no questionthat the choices exercised in terms of programme interventions are strategicallyrelevant to the UNDP’s mandate andIndia’s development goals.

6. The review also points out that given themultifarious challenges faced by India andthe comprehensive nature of its plans,choosing an intervention that is relevant isnot a problem.The challenge is in selectingareas in which the UNDP can make uniquecontributions, which are distinct from thoseof others, and where it can add real value.An important lesson that emerges from thereview is the need to focus and converge,both thematically and geographically, sothat impacts are demonstrable.


The CR

seeks to

answer the

question

whether

UNDP’s

interventions

in India

have been

relevant.

7. Will these micro interventions – mere dropsin the vast ocean of India’s developmentefforts – cause any ripples? The answer to this question, at least so far, can be inthe affirmative, but only partially. Insome cases, the design itself is explicitlyfor demonstrating an innovative approach.In many other cases, there is a growingrealisation of the limits of ‘direct’interventions with meager resources.Hopefully, this will lead to much morevigorous efforts for ‘upstream’ work, interms of effective communication of ‘thepurpose’ of the interventions, disseminationof ‘lessons’, and building partnerships atlevels which have so far remained neglected. Some other enterprises, like theSub-National HDRs, by their very nature,should impact macro policy options andresource allocations. They could act as thetorchbearers of the human developmentphilosophy. Much will depend on thefollow-up work and the manner in which‘messages’ and ‘lessons’ are disseminatedand learnt. The CR shows that in stateswhere SHDRs enjoy strong ‘ownership’,their impact on development policies andprogrammes is significant.

8. In the development endeavour, can ‘one-size-fit-all’? Can policy prescriptions beuniformly applicable? Can there be ‘bestpractices’ which apply in all situations?The review suggests that while theUNDP’s global agenda is indispensablefor achieving focus and synergy, it needsto be appropriately nuanced to suit localcircumstances. The process of adaptationshould take into account local strengths andweaknesses, and indeed local sensitivities.The agenda should not be seen as externally driven. Ownership is critical inthis context. ‘One-size- fits-all’ cannotbe a practical solution to addressing thecomplex challenge of development.

9. The CR team found that while UNDP-India has developed many valuable partnerships, there are many other actorswho need to be brought into ‘the alliance’.Some state governments appear to treat

the UNDP merely as a source of additionalfunds. The same applies to some districtadministrations and many Panchayati RajInstitutions (PRIs). Since the action is inthe states, it is crucial to forge partnershipswith local actors.

10. Will CCF-I programmes survive theirtermination? In some communities there aresigns of a dependency syndrome developing.There is a demand for continuing UNDPsupported programmes indefinitely. Thereis not enough assurance that the programmeswill continue after the external actors andassistance have withdrawn. These pointto the need for greater attention to exitand replication strategies, greater effortfor ensuring ownership, and greateremphasis on building partnerships.

11. With some exceptions, Non GovernmentOrganisations (NGOs) have been theUNDP’s most reliable partners. Some ofthem have worked in the field for severalyears and have acquired a great deal ofcredibility. But their coverage is very limited. Some of them do not look atPRIs favourably and perceive them to be hotbeds of vested interests. And yet,PRIs are constitutionally mandated bodiesof local governance. It is not possible toignore them or risk their hostile reactionin the process of development. Buildingcollaborative relationships with PRIs andencouraging a constructive engagementbetween NGOs and PRIs are importantchallenges that must be addressed in the future.

12. In the pages that follow, there is a fullerdiscussion of the strategic positioning andrelevance of CCF-I, its performance,management issues, lessons learnt fromCCF-I so far, recommendations, and somesuggestions for future directions. TheReport concludes with a brief reference tosome questions to which the CR teamfound no answers. These hint at thecomplex tasks that practitioners face.Hopefully, these will provoke somereflection and debate for the future.

O V E R V I E W 1 3

Introduction

BACKGROUND AND PURPOSE OF THE COUNTRY REVIEWThe Evaluation Office has undertaken the Country Review (CR) togetherwith the UNDP Country Office in New Delhi and the Government ofIndia (GOI). This is the first in a series of CRs to be conducted under theAssessment of Development Results (ADR) concept that is to provide thesenior management of UNDP, host countries and other stakeholders ameasure of the development effectiveness of the UNDP’s interventions ina given country.

The purpose of the India CR is to carry out an independent, in-depthassessment and validation of the results achieved during the first CountryCooperation Framework (CCF-I) for India (1997-2002). The CR focuseson outcomes – notably as articulated in the Strategic Results Framework (SRF)and Results Oriented Annual Reports (ROAR) – examines achievements andconstraints, and draws out the lessons learned. The CR makes recommendationsfor enhancing performance and positioning future interventions in the upcomingCountry Programme (CP) in the backdrop of India’s development priorities.

Under the ADR concept, the CR is essentially concerned with the relevance of the CP to the national development context, UNDP’s SRFand the UN Development Assistance Framework (UNDAF). The exerciseaims to explore the linkages between the programmes and the overarchingobjective of reducing poverty and other Millennium goals. The focus is onassessing outcomes and impacts as distinct from outputs. It looks at therange and quality of development partnerships forged and their role incontributing to outcomes. The process lays special emphasis on learninglessons both from successes as well as failures.

1

1 5C O U N T R Y E VA LUAT I O N : I N D I A

A brief note on the methodology adoptedby the CR team and its composition is availablein Attachment 1.

THE NATIONAL CONTEXTThe Indian economy has performed impressivelyover the past two decades. India's average rateof economic growth during the 1980s was thehighest among large countries outside East Asia.However, the development strategy of thatperiod, based on a highly regulated and protecteddomestic market, proved unsustainable. Aspurt in oil prices and a sharp decline inremittances during the Gulf war precipitateda major fiscal and balance of payment crisis.Although some steps towards liberalisationhad been initiated in the 1980s, consequent tothis macroeconomic crisis, the GOI introduceda radical reform package. It included a greaterprivate sector role in India's development byimproving the investment and tax regimes,dismantling industrial licensing (except for 18industries), opening infrastructure to privateinvestment, reforming public enterprises andthe financial sector, and reducing price controls.The package also initiated the liberalisation offoreign trade and exchange regimes.

The new market friendly approach wasan important underpinning of the EighthFive Year Plan (1992-97), which also laidgreater stress on human development. TheIndian economy responded well to the new

measures introduced in nearly allits sectors. During the financialyears 1994-95, 1995-96, and 1996-97, the economy grew at 7.2%,7.5%, and 8.2%, respectively,becoming one of the ten fastestgrowing economies in the world1.It showed resilience despiteadversities, such as the EastAsian financial crisis of 1997-98 and the abnormal increase inoil prices. Encouraged by thisunprecedented boom, the NinthPlan set an annual growth ratetarget of 6.5%. The actual per-formance for the years 1997-98,1998-99, 1999-00 and 2000-01has been 4.8%, 6.6% (provisional),6.4% (quick) and 6.0 (advanceestimates) respectively2. India'sGDP per capita in 1999 (PPP)was US $ 2248.0.

Poverty alleviation has been a major goalin all of India's Five Year Plans. Yet, the estimated magnitude of poverty remainedhigh until the late 1970s (51.3% in 1977-78).How has India progressed towards its goal ofpoverty reduction in the period of relativelyfaster economic growth? Estimates of povertyshow that since the early 1980s, with higheconomic growth, the proportion of peoplebelow the poverty line has been declining.The 55th round of the Household ConsumerExpenditure Survey of India's National SampleSurvey Organisation, covering the period July1999-June 2000, shows a significant declinein poverty to 26 % based on 30-day recall and23.3% on a seven-day recall methodology3.These estimates are not strictly comparable tothe earlier estimates, but there is a broad consensus on the decline in India's overallpoverty ratio in the 1990s. The latest estimateshows a significantly reduced number of poorat around 260 million out of a total populationof 997 million in 1999-2000 (Table 1, followingpage). The trends in poverty reduction from1973-74 to 1999-2000 are exhibited in Figure 1.

The decline in poverty over the 1990s isfaster compared to the 1980s if the seven-dayrecall estimates are used. Since the comparabilityof the relevant sets of data has been questioned,


F I G U R E 1 : E S T I M AT E S O F P O V E R T Y I N I N D I A

350

300

250

All India (in millions)

Poverty Ratio (%)

54.9

321

329

323

307

320

260

51.3

44.5

38.9

36

26.1

1973-74 1977-78 1983 1978-88 1993-94 1999-2000

60

50

40

30

20

-----------------------------------------------------------------------------------------------------------1. Economic Survey, 2000-20012. Economic Survey, 2001-023. Economic Survey 2000-2001, Page-13

some experts have made estimatesof poverty with adjustments for differences. These show theestimates of poverty to be evenlower. Even if the latter estimatesshowing a more rapid decline inpoverty are rejected, it can be safely assumed that the economicreforms of the 1990s have not“adversely affected the trend ofdecline in poverty.”4.

Over the past five decades avariety of poverty alleviation programmeshave been tried out in India. What has beenthe experience of these so far? Transfers throughpoverty-alleviation programmes are ofteninefficient. The experience of the PublicDistribution System (PDS), which does notnecessarily confine subsidies to the poor,has been similar. Employment-based povertyalleviation programmes have been relativelymore effective because they are self-targetingand self-liquidating. There is empirical evidence to support the view that such programmes have proved more efficient attargeting the poor than those offering productive assets such as the Integrated Rural Development Programme (IRDP).Non Government Organisations (NGOs) havebeen found to be more successful in managinganti-poverty programmes, particularly interms of using credit, empowering womenand repayment. However, their coverage issmall. Nutrition based programmes havebeen found to be more useful for poor womenand children.

Past experience, both global and Indian,shows that in the long-term, the most effectivepoverty alleviation strategy is acceleratingeconomic growth – a process that offersincreasing and diverse opportunities for gainful employment to the poor. Economicgrowth should yield higher revenues bybroadening the tax-base and thus provideresources for anti-poverty programmes. Theseefforts however, need to be complemented withmeasures for human development, particularlyeducation and health. Decentralisation andwomen’s empowerment are crucial for bothpoverty alleviation and human development.This is where the UNDP has played animportant role. As this report suggests later,

this role needs to be strengthened in future. Inthe short run, direct anti-poverty programmescan be helpful and sometimes even necessary.

India’s achievements in the sphere of humandevelopment have also been noteworthy. Lifeexpectancy at birth has doubled to 62.9 yearsbetween 1950-99. Infant mortality has beenhalved between 1960-99 to 72 deaths per1000 live births. The Total Fertility Rate hasgone down from 5.4 in 1970-75 to 3.3 in1995-20005. Literacy rates have gone up from18% to 56% between 1951-99. India has acquiredan enviable reputation in higher education,particularly in medicine, management, science,and technology. Foodgrain productivity hasincreased from 710 kg/ha in 1960-61 to 1697kg/ha in 1999-2000. Per capita food availabilityhas gone up from 395 grams per day in 1951to 484 grams per day in 1990. India had builtup a sizable reserve stock of 20 million tons offood grains by January 20026. The singulatemean age at marriage for women has gone upfrom 18.4 years in 1981 to 20 years in 1992-93.India registered improvement on the GenderDevelopment Index, from 0.401 in 1992 to0.533 in 2001, and marginally on the GenderEmpowerment Measure, from 0.226 in 1992to 0.240 in 2001. One third of all seats inlocal bodies have been reserved for womenthrough a constitutional amendment. UNDP’sHuman Development Index (HDI), ranksIndia 115th out of 162 countries and places itin the group of countries with Medium HumanDevelopment, with an HDI of 0.571 in 2001moving up from 0.439 in 1992. (India’s comparative position on HD indicators isshown in Table 2, following page).

Today, India is the world's largest democracywith a vibrant electorate, active judiciary andcivil society groups, and a fiercely independent

I N T R O D U C T I O N 1 7

Past

experience,

both global

and Indian,

shows that

in the long-

term, the

most effective

poverty

alleviation

strategy is

accelerating

economic

growth.-----------------------------------------------------------------------------------------------------------4. Human Development Report, 2001.

-----------------------------------------------------------------------------------------------------------5. Human Development Report 2001.6. Department of Food & Public Distribution, Government of India

TA B L E 1 : E S T I M AT E S O F P O V E R T Y

All IndiaNumber(Million)

321

329

323

307

320

260

Year

1973-74

1977-78

1983

1987-88

1993-94

1999-00

PovertyRatio(Percent)

54.9

51.3

44.5

38.9

36.0

26.1

RuralNumber(Million)

261

264

252

232

244

193


56.4

53.1

45.7

39.1

37.3

27.1

UrbanNumber(Million)

60

65

71

75

76

67


49.0

45.2

40.8

38.2

32.4

23.6Source: Economic Survey, 2001-2002.

media. Political participation and democracyhave been strengthened by the 73rd and 74thConstitutional Amendments of 1992, providinga constitutional mandate to institutions oflocal governance.

PROBLEMS, CHALLENGES & ISSUESWhile India’s achievements are noteworthy inmany spheres, it faces several daunting challenges.These have been highlighted in the ApproachPaper to the Tenth Five Year Plan (2002-2007).The economy is currently in a deceleratingphase. Restoring its momentum, particularlyin the context of the global slowdown, is one ofthe key tasks7. The incidence of unemploymenton Current Daily Status basis is relativelyhigh at over 7%. More than half the childrenin the 1-5 age group in rural areas are under-nourished, with the girl children sufferingeven more severe malnutrition. For the lastseveral years the infant mortality rate hasstagnated at 72 per 1000. About 60% of ruraland 20% of urban households do not have electricity. The urban environment has deteriorated and the number of slum dwellershas been increasing. Air, river, and water pollution have adversely affected quality of life of the urban poor. Land and forestdegradation in rural areas and over-exploitationof ground water have reached disturbing levels. Today, India has 18% of the world’s

population and 15% of its livestock, but only2% of the world's geographical area, 1% of theworld's forest area, 0.5% of the world's pasturelands, and 0.08 ha per capita availability offorest as opposed to the world average of 0.8 ha per capita. Gender inequality persistsand women fare much worse than men onpractically all indicators of human development.One of the principal challenges faced by Indiais the persistence of disparities among states,within states, between rural and urban areas,and across communities8.

The government recognises high fiscaldeficit, at both the central and state levels, asa key problem of the Indian economy9. Thisis reflected in an increasing share of debt service in the expenditure budget of both thecentral and state governments. As a result,the Government’s capacity to undertake any significant public investment has beeneroded. This has led to a decline in thedemand for industrial goods, slowed downprivate investment in infrastructure, and kept the real interest rates high. In turn, theclimate for private investment, both foreignand domestic, has been dampened. The possible solutions to the problem have beenidentified and placed on the Government’sreform agenda. These include privatisation ofthe competitive segment of the public sector,expenditure control, review of subsidies,


-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------- 7. The IMF’s World Economic Outlook projects 2.4% growth in world 0utput during 2001, compared to 4.7% during 2000.8. The Common Country Assessment (CCA) prepared by UN System in 1999.9. According to Economic Survey 2001-02,gross fiscal deficit,as a proportion of GDP at current market prices for 2000-01 is now estimated to be 5.5%.

TA B L E 2 : C O M P A R AT I V E P O S I T I O N O F I N D I A O N H U M A N D E V E L O P M E N T I N D I C AT O R S

HDI Rank & Country

Medium HumanDevelopment81. Sri Lanka87. China115. India118. Myanmar

Low HumanDevelopment127. Pakistan129. Nepal130. Bhutan133. Bangladesh

LifeExpectancyAt Birth(Years)1999

71.970.262.956.0

59.658.161.558.9

AdultLiteracyrate (% age 15 &above)1999

91.483.556.584.4

45.040.442.040.8

CombinedPrimary,Secondaryand Terti-ary grossenrollmentratio (%)1999

70735655

40603337

GDP percapita(PPP US$)1999

3,2793,6172,2481,027

1,8341,2371,3411,483

LifeExpectancyIndex1999

0.780.750.630.52

0.580.550.610.57

EducationIndex1999

0.840.800.560.75

0.430.470.390.39

GDPIndex1999

0.580.600.520.39

0.490.420.430.45

HumanDevel-opmentIndex(HDI) value1999

0.7350.7180.5710.551

0.4980.4800.4770.470

GDPper capita(PPP US$)rank minus HDI rank

1970

22

-575

-4

Source: Human Development Report, 2001.

deregulation of the coal and petroleum sectors,power sector reforms, comprehensive measuresto enhance profitability of farming, downsizinggovernment, tax reform, inclusion of modernbankruptcy provisions in the Companies Act,reforms in labour laws and procedures, repeal ofurban land ceiling laws by states, dereservationof small scale industry, and social sector reforms,particularly those relating to education andurban infrastructure services.

TENTH PLAN PRIORITIESThe Approach Paper to India's Tenth Planpoints out that at the beginning of the newmillennium there is an opportunity “to buildupon the gains of the past but also address theweaknesses that have emerged.” It stresses the need to modify policies and institutionsbased on past experience, and the changesthat have taken place in the Indian and theglobal economy. In this context, the TenthPlan is envisaged as “a reform plan instead ofmerely a resource plan.”10. It proposes that theTenth plan should aim at an indicative targetof an annual 8% GDP growth. Given thedemonstrated medium-term growth potentialof around 6.5%, this target constitutes a significant increase. The Approach Paperviews the goals of national planning not only in terms of GDP growth but in thecomprehensive sense of human development.This would include adequate level of foodconsumption, consumer goods, access to socialservices like education, health, availability ofdrinking water, and basic sanitation. It wouldalso cover expansion of economic and socialopportunities for all individuals and groups,reduction in disparities, and greater participationin decision making. The Approach paper hasproposed specific monitorable targets for afew key indicators of human development forthe Tenth Plan and beyond (See Table 3).

Other important areas of focus proposed forthe Tenth Plan include: fiscal health, employmentcreation, institutional reform to facilitate agreater private sector role in industrial andinfrastructure development, greater emphasisby government on social sector development,overhaul of the existing health care system,increase in gross domestic savings and invest-ment ratio, civil service reform, improvedcapacity and funding for major institutions ofdecentralisation, and measures to ensure equitable gains from globalisation.

TRANSITION FROM UNDP SUPPORTED COUNTRYPROGRAMME IVInitially, Country Programme IV (CP IV) wasto cover the period from April 1990 - March1995. This was later extended up to March1997, to enable CCF-I to coincide with India'sNinth Plan. The extended CP IV was viewedas “largely a programme in transition”, to facilitate a gradual shift in orientation, consistentwith emerging national and UNDP priorities.

Pursuant to a midterm review, UNDPassistance focused on the following four areas:a) enhancement of industrial and agriculturalproductivity and competitiveness for exports;b) promotion of energy efficiency, mining andenvironmental management; c) developmentof transport and telecommunications; and d) development of social infrastructure.Significant new initiatives included supportfor human development, social and economicreform, and capacity development in the environment sector through assistance for formulation of the Environment Action Planand the National Forestry Action Plan. Toencourage national capacity building and sustainability, important shifts were made in thestrategy of CP IV. These included a change toprogramme approach, reduction in equipmentand long-term international experts, increasedrecourse to national execution and experts andgreater involvement of the NGOs.

The experience of CP IV highlighted theneed for placing projects in the context of


-----------------------------------------------------------------------------------------------------------10. Approach Paper to the Tenth Five-Year Plan

■ Reduction of poverty ratio by five percentage points by 2007 and by 15 percentage points by 2012

■ Providing gainful high-quality employment to the addition to the labourforce over the Tenth Plan period

■ All children in school by 2003; all children to complete five years ofschooling by 2007

■ Reduction in gender gaps in literacy and wage rates by atleast 50% by 2007

■ Reduction in the decadal rate of population growth between 2001 and2011 to 16.2%

■ Increase in literacy rate to 75% within the Plan period

■ Reduction in Infact Mortalilty Rate (IMR) to 45 per 1000 live births by 2007 and to 28 by 2012

■ Reduction of Maternal Mortality Ratio (MMR) to 2 per 100 live births by 2007 and 1 by 2012

■ Increase in forest and and tree cover to 25% by 2007 and 33% by 2012

■ All villages to have sustained access to potable drinking water within the Plan period

■ Cleaning of major polluted rivers by 2007 and other notified stretches by 2012

TA B L E 3 : M O N I T O R A B L E T A R G E T S F O R T H E T E N T H P L A N A N D B E Y O N D

national priorities and programmes; encouragingnational ownership and management; counter-part commitment through adequate staffing,resources and institutional support; an in-depthassessment of sustainability issues at the project/programme design stage; flexibility tosuit local conditions; internalising the genderdimension; and involving stakeholders, end-users,beneficiaries and civil society for maximizingimpact and ensuring sustainability11.

CCF-I – DETERMINANTS AND STRATEGYCCF-I formulation was a collaborative exercisebetween the GOI and the UNDP. Consistentwith India’s Plan priorities, CCF-I focused ongrowth with equity, with poverty alleviation andhuman development as its central concerns.A midterm review of CP IV (1990-1997) andthe policy and programme review meetingsbetween the Ministry of Finance and theUNDP during 1994-1996 led to a furthershift in alignment.This shift took into accountthe new focus in national development policieson improved economic performance, coupledwith the UNDP’s mandate of sustainablehuman development. The objectives and contents of CCF-I were also influenced bysome important policy announcements (such

as universalisation of basic socialservices announced at the ChiefMinisters' conference in July1996), the July 1996 budget document, emerging priorities of the Ninth Five Year Plan(April 1997-March 2002), andIndia's commitments undertakenin global conferences.

CCF-I was prepared at atime when the Indian economywas witnessing strong growth.The national policies sought toconsolidate economic gains andachieve a 7% GDP growth rate,considered essential for povertyeradication and human develop-ment. Democratic decentralisationwas a significant goal. TheCCF-I strategy was to providefurther impetus to the GOI/UNDP policy thrust of growthwith equity, through an emphasis

on technology upgradation, poverty eradication,rapid expansion of employment opportunities,provision of basic social services, consolidationof economic reforms, and environmental pre-servation by harnessing UNDP's comparativeadvantages. The effort under CCF-I was to intro-duce a few holistic and focused programmes inplace of a large number of small ongoing projects.Deepening of national execution, beneficiaryorientation, stakeholders’ participation, andstreamlining of the monitoring, review andevaluation systems were envisaged as crucialaspects of the strategy, which was to be further reviewed and refined in the light ofthe Ninth plan.

THEMATIC AREAS OF CCF IThe following ten “interrelated and mutuallyreinforcing” programmes were developedunder four broad thematic areas:I. Employment and Sustainable Livelihoods

(i) Small Industry DevelopmentProgramme

(ii) Food Security ProgrammeII. Access to Basic Services

(iii) Primary Education Programme(iv) Health Support Programme

III. Management of Development(v) Economic Reforms Programme(vi) Capacity Building Programme(vii)Community-Based Pro-Poor Initiatives


F I G U R E 2 : O U T L AY S A N D U T I L I Z AT O R ( I N U S $ M I L L I O N S )

CCF-I (1997-02)

CP-IV (1990-97)

CP-III (1985-90)

CP-II (1979-85)

CP-I (1992-79)

■ Acutals■ Total Funds

0 50 100 150 200

-----------------------------------------------------------------------------------------------------------11. UNDP: Country Cooperation Frameworks and Related Matters:First Country Cooperation Framework for India, 1997-2001.

89.00

75.30

155.00

146.60

155.00

137.00

152.24

139.80

88.40

40.20

(viii)Technology ProgrammeIV. Sustainable Development

(ix) Capacity building in environmentalmanagement

(x) Energy and Environment ProgrammeCrosscutting themes such as gender

equality, employment, environment, technologymanagement, population, HIV/AIDS, anddevelopment were to be appropriately addressedin all programmes.

FUNDING SUPPORTThe CCF-I document was approved byUNDP's Executive Board in March 1997.Although initially valid for the period 1997-2001, the programme was subsequently

extended up to 2002.At their peak in 1992, UNDP’s core

resources amounted to US $1 billion. Over theyears, its core resources have been decliningand were a modest US $670 million in 2001.On the other hand, the non-core, tied fundingwas much larger at US $2.515 billion in 2000.India is presently the largest recipient ofUNDP core funds and also the largest non-DAC contributor with an annual contributionof US $4.5 million. The funds committed forvarious programme cycles and their actualutilisation in India is exhibited in Figure 2(previous page). For the 1997-2002 period,Figure 2 shows the committed outlay andactual utilisation for CCF-I programmes only.



22 3

StrategicPositioning andProgrammeRelevance

This section seeks to answer three basic questions:i) Was CCF-I relevant to national development priorities and the goal of

reducing poverty ? ii) Did UNDP-India anticipate and respond to significant changes in the

national development context affecting the specific thematic/strategicareas it supports?

iii) How do CCF-I programmes relate to UNDP’s Strategic ResultsFramework (SRF) and United Nations Development AssistanceFramework (UNDAF)? The national priorities, which were determined in the context of the

conditions obtaining in the mid-nineties, are perhaps best documented inthe Ninth Five Year Plan. The Plan emphasised the need to strengthenthe process of economic reforms and a major reorientation of the states'role with primacy to the private sector in economic activities. The strategyenvisaged a more vigorous role for the state in social development. Thisincluded provision of basic services such as healthcare, education, and safedrinking water to the majority of India's population, especially in ruralareas. Similarly, the provision of economic infrastructure such as power,roads, ports, railways, telecommunications, and municipal services was seen

as another area where the state needed to play a continuing role, even while encouraging

the private sector to actively participate in this effort.

The four themes and ten basicprogrammes of the UNDP'sCCF-I, and India's Ninth FiveYear Plan objectives show a highdegree of congruence. They arejuxtaposed in Table 4 at left.

Of the ten programmestaken up under CCF-I, five relatedirectly or indirectly to the overarching national and UNDPgoal of poverty alleviation, twocontribute to human developmentpriorities – a critical area of workfor both UNDP and India; twoothers are targeted at supportingIndia’s efforts to accelerate eco-nomic reforms and enhancecapacities of local bodies andpublic administration; and theone relating to environment isdirected at sustainability of thedevelopment process. In this sense,the choices exercised for inter-vention in CCF-I were strategicin nature.

Since the CCF-I was initiated,a number of changes have takenplace in India's socio-economicscenario. Economic growth hasslowed down and the fiscaldeficit has assumed worrisomeproportions. The GOI hopes toaddress these problems through anumber of remedial measures anda package of second-generationeconomic reforms. However, thelong-term human developmentconcerns like poverty, disparities,unemployment, inadequate accessto basic minimum services and theirpoor quality for the underprivi-leged, deteriorating environment,burgeoning slum population, andgender inequality persist. With theGovernment’s added emphasison accelerating the process ofeconomic reforms, controllingfiscal deficit and stepping up thepace of social development (e.g.Expenditure Reforms Commission,Fiscal Responsibility Bill, Consti-


UNDP Themes and Programmes

I. Employment & Sustainable Livelihood

(i) Small IndustriesDevelopment and Employment

(ii) Food SecurityProgramme

II. Access to Basic Services

(iii) Primary EducationProgramme

(iv) Health SupportProgramme

III. Management ofDevelopment

(v) Economic ReformProgramme

(vi) Capacity BuildingProgramme

(vii) Community BasedPro-Poor InitiativeProgramme

(viii) TechnologyManagementProgramme

IV. SustainableDevelopment

(ix) Rural Energy

(x) Environment

India's 9th Five Year Plan

Full employment by 2007. This objective is accorded highpriority to village and small industries sector.

Ninth Plan’s agricultural development strategy is essentially based on the policy of food security, and aims to make India hunger-free by 2007.

Ninth Plan treats education as the most crucial investment in human development. The plan has madethe commitment of achieving full literacy by 2005.

The Ninth Plan approach was based on 14 elements includingimprovement in access and quality of primary healthcare,improving efficiency of healthcare infrastructure, promotinghuman resources for health, remedial measures againstnutritional deficiencies, preventive healthcare, safe workenvironment, increasing involvement of voluntary, privateorganisations and self-help groups in healthcare andinvolving the Panchayati Raj Institutions in planning andmonitoring of health programmes at the local level.

The Ninth Plan defined a new role for the state, stressinggreater involvement in social development, especially in ruralareas and in provision of economic infrastructure. It alsoemphasized a reduced role of the state in industry and trade.

The Ninth Plan emphasised creation of an enabling environ-ment for private-public sector partnership through capacitybuilding in public administration and institutional reforms tobring in transparency and effectiveness in implementation.

The Ninth Plan highlighted the need for people-centered pro-poor policies and people's participation in planningand implementation of programmes.

The Ninth Plan did not state general goals for science andtechnology but highlighted some important elements likepolicy initiatives to ensure that benefits emerging from tech-nologies reach the community including the weaker sections,nurturing of scientists with exceptional capabilities, clean andeco-friendly technologies, greater interaction among R&Dinstitutions and the users, and greater awareness amongscientists regarding patents and intellectual property rights.

The Ninth Plan incorporated a broader energy programme that covered power generation, oil and natural gas and other energy resources.

One of the main objectives of the Ninth Plan was toensure environmental sustainability of the developmentprocess through social mobilisation and participation of people at all levels.

TA B L E 4

tutional Amendment to make education afundamental right, accent on decentralisationand efficiency of public expenditure), the programmes included in CCF-I continue tobe relevant to long-term national priorities.

Under the UNDMT convened by theUNDP, a coordinated UN system support tothe Government has been put in place. Itsobjective is to promote enhanced communityparticipation and preparedness for disastermitigation and management. The CountryOffice responses to the Orissa cyclone and theGujarat earthquake are examples of quick andappropriate responses to emerging needs.

STRATEGIC RESULTS FRAMEWORK (SRF)SRF was introduced in 1999, well after CCF-I was finalised. It is designed to capturethe UNDP’s major areas of intervention andthe broad development outcomes to whichthe organisation is contributing at the countrylevel. The SRF is meant to be used for strategicplanning and performance assessment throughannual reporting. From a management perspective, it provides a basis for a results-oriented dialogue between the UNDP, theGovernment and other partners. It is expectedto focus programmes and sub-programmes onkey strategic results. SRF offers a frame ofreference for outcomes in the following sixareas that are critical to the UNDP:■ The enabling environment for sustainable

human development■ Poverty reduction■ Environment■ Gender■ Special development situations■ UNDP support to UN

It was anticipated that during the firstyear or two, for many countries where CCFwas ongoing, SRF preparation would involvereworking the outcome indicators and outputs.It would therefore be unrealistic to expect a perfect fit between SRF strategic areas andthe CCF interventions. Although CCF-Ipreceded the SRF, it turns out that goals arebroadly in harmony with UNDP’s globalthemes. The upcoming CP exercise by theGOI (Department of Economic Affairs) andthe UNDP Country Office should conformeven more closely to the SRF and UNDP’spractice areas.

THE UNITED NATIONSDEVELOPMENT ASSISTANCEFRAMEWORK (UNDAF) The Common Country Assessment (CCA)carried out in 1999 by the UN system in Indiaset the context for the formulation of theIndia UNDAF in July 2000. It was designedto “increase the effectiveness and efficiency ofUN operations by bringing about greater synergy in action.” It sharpened the focus of “Collective UN Action.” The process ofdialogue with the Government and broad basedconsultations with development partners resultedin the identification of two themes: (i) promotinggender equality and (ii) strengthening decen-tralisation – two areas of critical importancefor India’s future development. These were seenas crosscutting themes and are also closelyinterrelated. As the UNDAF documentpoints out, “Promoting gender equality is animportant way of making decentralisationmore effective.”

Persistent gender inequality is a seriousform of social injustice. Promoting genderequality implies effectively empowering onehalf of India's people and in the process optimising their contribution to variousaspects of national development. TheConstitution of India calls for equality ofwomen and men. This commitment has beenreiterated in national policy documents andinternational fora. The empowerment ofwomen is accorded a high priority in India'sNinth Five Year Plan. Decentralisation is an equally important theme in the Indiancontext. For a country as large and diverse asIndia, local solutions are key to addressing variousproblems concerning people, particularlyhuman poverty. Active participation of people in elected local bodies is necessary to“get priorities right, expand coverage andimprove quality of basic social services, reducewastage and improve efficiency.” (UNDAF,July 2000). The 73rd and 74th amendmentsto the Constitution of India provide a specialposition to elected bodies in both rural andurban areas. Both the UNDAF themes havethus been appropriately identified as crucial toIndia’s development.

How does UNDAF relate to CCF-I?Although UNDAF was also formulated wellafter the start of CCF-I implementation, both itsthemes are closely linked to CCF-I programmes,and can enrich and strengthen their imple-

S T R AT E G I C P O S I T I O N I N G A N D P R O G R A M M E R E L E VA N C E 2 5

mentation process. As in the case of SRF,given its timing, UNDAF too will be of much greater value for the upcoming country programme in charting out the roadmap forthe future.

The CCF-I period was marked by somecomplexities that need to be briefly mentioned.Firstly, the National Execution (NEX) guide-lines were issued by the GOI after CCF-I hadformally begun. The SRF for 2000-2003 wasformulated by the UNDP head office as acorporate management tool for Results BasedManagement (RBM) and got operationalisedin the latter part of CCF-I. UNDAF wasfinalised in 2000. Thus an already broad canvas of themes and objectives for CCF-Igot still broader with the superimposition ofnew frameworks. Secondly, the multiplicity

of goals and objectives arisingfrom a diverse set of frameworkshas not facilitated the UNDP’stask of evolving a clear identity or vision. Thirdly, the multiplethemes, goals and objectives ofvarious frameworks, expressed inbroad and general terms, provideenough flexibility to accommodatealmost any programme. In hisincisive analysis, one of the nationalconsultants engaged by theUNDP Country Office observes“virtually any programme takenup under CCF-I can be justified interms of one or the other frame-work and many in terms of all the frameworks12” (See the Matrix

of CCF-I, UNDAF, and SRF Objectives, inTable 5).

Finally, in a country like India wheredevelopment plans are comprehensive innature and needs are many, nearly any intervention arising out of these frameworkswill be found to be in conformity with nationalpriorities. What will determine their relevanceis the extent to which such interventions add real value or make a difference by being effective. The challenge is to identify areas within these broad frameworks for UNDP intervention, where it can contribute distinctively, with much greater precision. Itshould be able to carve out a niche for its ownspecial services or products.


-----------------------------------------------------------------------------------------------------------12. Supporting Enabling Environment for Human Development:A Preparatory Study for India Country Review by Rajan Katoch.

TA B L E 5 : M AT R I X O F O B J E C T I V E S

UNDAF 2000

Focus AreasGender EqualityDecentralisation

UN India:Overarching GoalsElimination of Poverty

and InequalitiesSustainable Human

Development

UNDP Mandate“Partnerships to

fight Poverty”

SRF (2000-2003)

GoalsGovernance/Enabling

Environment for Sustainable Human Development

Reduction of PovertyEnvironmentGenderDisaster ManagementEffective UN System

Source: Preparatory Study by Rajan Katoch.

CCF-I (1997-2002)

Central ConcernsGrowth with EquityHuman DevelopmentPoverty Alleviation

Crosscutting IssuesEmploymentEnvironmentTechnology ManagementPopulationHIV/AIDSDevelopment InformationGender

National Policy GoalDemocratic Decentralisation


The CCF-I comprises four principal themes, ten programmes, 94 sub-programmes, and one project for preparatory assistance. The 94 sub-programmes of CCF-I are spread in different states of India, fromHimachal Pradesh in the north to Kerala in the south, and from Assam inthe east to Rajasthan in the west. (A classification of Programmes andResources Profile is available in Table 6, following page).

The actual implementation of most CCF-I sub-programmes startedlate. There were delays in the finalisation of sub-programme documents,in the issue of NEX guidelines, and in many cases, in the release of funds.Where the implementing agencies were well established NGOs operatingin the field for several years, the sub-programmes had a head-start; butmany sub-programmes are just about gaining momentum. In this scenario,it was difficult for the CR team to make an assessment of impacts and outcomes, which in many cases will materialise later. Consequently, insuch cases findings may appear to be in the nature of an ex-ante rather thana post-facto evaluation.

While assessing the programme outcomes, the CR team has used anumber of criteria. These include the UNDP's strengths; linkage of theprogramme to the identified UNDP-India priorities; its potential for influencing policy dialogue; effectiveness in terms of multiplier effects andforging partnerships; and sustainability. The CR team was not able to giveequal attention to all programmes/sub-programmes and stand-alone projects.Some have been looked at in relatively greater detail. These illustrate several of the team’s findings with respect to CCF-I.

3

2 7

ProgrammePerformance

EMPLOYMENT AND SUSTAINABLE LIVELIHOODS The main thrust under this theme is todemonstrate new approaches to promotingsustainable livelihood opportunities in artisan/craft sectors that have been stagnating due to technological obsolescence and lack of appropriate institutional support. Demonstrationof models for empowering women as agentsof change for rural employment and povertyreduction in Indian agriculture is anotherimportant objective. The theme is sought tobe pursued through four distinct programmes,which are discussed in the following section.

Food Security Programme With a total budget of US $10.166 million, theprogramme has been designed to pilot holisticstrategies and participatory approaches forfood security and poverty alleviation at the national, community, and household levels, focusing specially on the role ofwomen. The programme comprises fivemajor sub-programmes, three of which relate

to empowerment of women andare being implemented in Orissa,Andhra Pradesh and Uttar Pradesh;the fourth relates to hybrid riceproduction and the fifth to maizeproduction. There is no independ-ent evaluation of this programme.However, according to the inputsfurnished by the UNDP CountryOffice in Andhra Pradesh, women’sgroups and NGOs are campaigningto support the registration of landownership in the name of menand women jointly. In Orissa,women’s groups are managing analternative community distributionsystem through the purchase andstorage of buffer stocks of foodgrains, thus breaking the cycle ofindebtedness in which the popu-lation finds itself trapped.

Regarding the maize basedcropping system, a report from theMinistry of Agriculture states thatthe first year was spent in findingsolutions for “procedural constraintslike funds flow arrangements”.Among the achievements underthe sub-programme, the report listsconvergence with other national

programmes (one of these is the AcceleratedMaize Development Programme), promotionof intercropping practices and organic/bio fertilizers, demonstration of a complete packageof practices, introduction of implements,installation of solar pump sets, increase in yields(e.g. during Kharif 2000, in Lalitpur district,against an average of 0.9-1.00 tonnes per ha,a yield of 3.00-4.00 per ha was achieved) etc.

This sub-programme appears to be in thenature of a demonstration or pilot project ofthe older type. If it succeeds, it could lead to thespread of technology at the grassroots. However,given the large variety of programmes beingimplemented by the Ministry of Agricultureand state governments, it is not evident whatdistinctive contribution the UNDP can makein this sphere.

Leather Development ProgrammeSince the Leather Development Programmehas been in operation for some years and targets the downtrodden segment of society, itis being discussed in some detail.


TA B L E 6 : C L A S S I F I C AT I O N O F P R O G R A M M E S A N D R E S O U R C E S P R O F I L E

Direct /Indirect

DirectDirect

Direct

Direct

Direct

Direct

Indirect

Indirect

Direct

Direct

Direct

Direct

IndirectDirect

—

TotalResources

of CCF-I(US $ million)

6.94

3.376

10.166

8.7

4.5

9.25

1.84

11.107

8.725

3.2

8.004

75.808

Total Budget

(US $ million)

7.166.59

3.42

10.49

8.70

4.50

9.16

1.84

10.90

8.66

2.81

8.31

0.501.120.50

84.66

TotalResources

of CCF-I(US $ million)

2.971.96

0.67

2.08

1.00

0.08

0.13

0.36

1.72

1.55

0.62

2.04

0.070.400.08

15.73


Programme

Small IndustriesDevelopment■ Leather■ Fibres &

Handicrafts■ Small Scale

Industries

Food Security

Primary Education

Health Sector

Capacity Building

Economic Reforms

Community BasedPro-poor Initiatives

TechnologyManagement

Energy

Environment

Stand Alone:■ SHDRs■ Spices■ Preparation of

Sub-programmes

Totals

S.No.

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

Building upon the success of the earlierphase (1992-1998), the CCF-I aims at assistingartisans in the leather sector by focusing onpoverty alleviation, ensuring sustained livelihood,and building linkages between the organisedand unorganised sector. The present UNDPallocation for the programme is US $7.15million. From a beneficiary perspective, theimpact of this programme has been generallypositive. Price realisation for the products isnow higher, with additional margins rangingfrom Rs. 5 to Rs. 20 per pair of open footwearin Andhra Pradesh, between Rs. 30 to Rs. 40per pair of Mojaris (an ethnic footwear), andRs 45 to Rs 60 for ladies' sandals in the Delhifootwear project. The wages for those workingin micro/small enterprises have risen from Rs. 200 to Rs. 500 per week. Mechanisation hassaved time and investment on labour intensiveprocesses like cutting/clicking of insoles andsoles. An indirect benefit is assurance of workall year round.

The actual composition of beneficiariessuggests that the poorest in the industry (thejob workers) have not been directly targetedand the intervention is essentially at theentrepreneur level. Among the small-scaleunits, mostly well-established manufacturershave been selected. Efforts at working withNGOs involved with the poor have been verysuccessful. Across sub-programmes it wasacknowledged that technical intervention atthe level of the poorest is somewhat difficult, asthey cannot sacrifice even a single day's earningfor training. Except in Athani (Karnataka)and in a small way in the Mojari project, thesub-programmes have not specifically targetedinterventions among women.

Provision of the polymer last has provedto be the single most significant technologyintervention; this has enabled footwear makersto manufacture products of standardised sizes.This example shows how simple, inexpensivebut appropriate technology can energise theartisan sector. The availability of machines hasimpacted quality, but they are unaffordable tomost artisans. Focus on leather treatment,finishing and tanning technology is lacking,even though foreign buyers frequently complain about the quality of leather. Designintervention has made a significant impact onproduct quality and has enhanced incomes.This has been particularly useful for the ethnic footwear.

The Mojari (an ethnic footwear) is beingpopularised abroad by regular representationin international trade fairs. ASCENT (an NGOin Karnataka) has arranged the participationof rural women in international fairs. Theexperience of marketing intervention in thesub-programme demonstrates that artisansbenefit more when they are able to marketdirectly in metro markets, or to export housesand large businesses.

The experience with foreign consultants/experts has been mixed. The footwear designssuggested by them are often too exclusive tobe useful. On the other hand, their associationwith institutions for the purpose of impartingtraining appears to have been more beneficial.In terms of direct benefit to artisans, the provision of Common Facility Centres (CFCs)was found to be successful. However, themachines recommended by experts familiarwith foreign designs and manufacturingprocesses remained underutilised.

The evaluation report on the programmepoints out that self-sustenance is likely only incentres that are actively engaged in sellingdesigns, lasts, and patterns as well as CFCmachine usage time and consultancy. Amongall such centres, only Delhi and Agra and tosome extent Hyderabad, appear anywherenear the breakeven point, others can hope torecover only 40-60% of the recurring costs ofthe sub-programmes.

The experience of the programme so farhas shown that NGOs have generally achievedbetter results than governments. The successof ASCENT in achieving both the social andeconomic objectives of the programme hasbeen most impressive. The relatively lesseffective interventions of the governmentcould perhaps be attributed to frequentchanges in personnel, resulting in lack ofownership, commitment, and continuity.

The programme is offering quality serviceat “practically throw-away prices, and costrecovery according to market prices was unacceptable to small artisans/entrepreneurs;and even the big businesses were reluctant tobear the cost.13” Most governments may notbe able to bear the financial burden of runningthese successful interventions. Therefore, exitstrategies will require exploring ways of making

P R O G R A M M E P E R F O R M A N C E 2 9

The experi-

ence of

the Leather

Development

Programme

programme

so far has

shown that

NGOs have

generally

achieved

better

results than

governments.

-----------------------------------------------------------------------------------------------------------13. Impact Assessment, Mid-Course Review and Evaluation of theSIDE-NLDP Programme by ORG Centre for Social Research,November, 2001.

the interventions financially sustainable. Asmost sub-programmes do not have measurablemilestones built into their design, the imple-menting agencies have no clear idea at presentas to where they are in terms of achievementand how they will exit.

The CR team’s visit to a cluster in Rajasthanbrought to light a growing dependency syndromeamong artisans and the industry, although the artisans testified to the benefits of the programme. Even though women contributedsubstantially to the process of footwear making, they have not been explicitly targetedand it is not clear how much benefit theyderive from higher incomes to the household.The success of the programme has arousedthe aspirations of the community, which isnow articulating demands like provision ofroads, health services, sanitation etc. Theimplementing agency's direct interface with theleather workers' community appeared to becausing apprehension amongst the local Panchayatleaders, creating a potential tension betweenthem and the disadvantaged community ofleather workers. Some of the sub-programmesfocusing specifically on artisan groups e.g. theMojari sub-programme, have helped leatherworkers from a poorer region.

In sum, despite its deficiencies and problems,the CR team found the programme to be successful, with the beneficial impacts of its interventions being clearly visible. Theevaluation report notes that “the new businessmodel propagated through the National LeatherDevelopment Programme interventions hasworked very well and could hold the key fortransforming the Indian Leather Industry…”It has significant employment potential bothin the organised and unorganised sector. Theintervention proves that quality products from even the unorganised sector can findexport markets.

Fibres and HandicraftsWith a budget of US $6.94 million the pro-gramme proposes to demonstrate sustainablelivelihood approaches through integratedinterventions in sectors such as jute, silk, angora,cane and bamboo, and carpets. ApproximatelyUS $2 million were spent on this programmein 2000. On the whole, the interventionsappear to be cost effective and desirable fromthe UNDP’s viewpoint. They focus on nichesectors, generally neglected in mainstream

efforts, and target the disadvantaged artisangroups (predominantly women) with traditionalskills, living in underdeveloped regions. Thesub-programmes are hence sound in design.The activities undertaken in the programmehold out a promise of poverty alleviationthrough technological and skill upgradationand marketing support in a sustainable manner.The intervention is also likely to bring abouta certain measure of women’s empowerment.The work done under UNDP sub-programmesin this sector has made a distinctive contribu-tion and has therefore been welcomed both by beneficiaries and the concerned officialagencies. The programme responds well tothe concerns of poverty alleviation, gender,decentralisation, and environmental sustainability.A brief overview of the sub-programmes isgiven below:

Cane and Bamboo: The sub-programmeaddresses gender, environment, and regionaldisparities with its focus on the North Easternstates. The Cane and Bamboo TechnologyCentre (CBTC) has done noteworthy work.It has been well received by state governmentsand also by the North East DevelopmentFinance Institution, with whom it has a closerelationship. Well-known national institutionsand international experts have been consultedin order to tackle the problems of this sector.These efforts have brought about encouragingresults and with the setting up of the NationalBamboo Mission, can also be said to haveinfluenced policy.

Non-Mulberry Silk, Angora Wool andHand-knotted Carpets: This is also a well-targeted intervention with its focus on theNorth East and the poorer Eastern states.The beneficiary groups belong to tribal communities and it is the women who largelycarry out activities. Likewise, the AngoraWool sub-programme targeting artisans inthe Himalyan states, and the Hand-knottedCarpets sub-programme which has beenundertaken in Uttar Pradesh, Rajasthan, andJammu and Kashmir also appear to addressthe central concerns of the UNDP.

Jute: The present programme is a follow-upto the US $20 million programme implementedunder CP IV. The main thrust of this sub-programme is to upgrade machinery, providetraining to jute mill workers and support tosmall NGOs and entrepreneurs. SubstantialUNDP resources have been committed for


the sub-programme, and it should be showingresults by now. Whether the programme hasachieved its objectives needs to be examined,and if not, does it require additional resourcesupport, which the UNDP may not be in aposition to provide.

Small Scale IndustryKhadi and Village Industries Commission(KVIC): In the past, KVIC has been a majorsource of support for cottage and villageindustries. Beset with a variety of problems, thissector has been languishing. It is necessary tostrengthen its institutional capacity to ensurethat it can operate efficiently and viably in a competitive and increasingly globalisingenvironment.

The basic thrust of this sub-programme ison strengthening the KVIC, and developingthree rural non-farm sectors, mainly beekeeping,clay pottery, and handmade paper. This sub-programme was initiated recently anddisbursement has been low. At this initialstage of implementation, it is premature toevaluate its impact. In the three sub-sectorsthat have been taken up for development, thetarget groups are mostly the rural poor. Thenodal ministry feels that the geographicalspread of the sub-programme is extensive andit should be more focused. It has also pointedout that there is a time lag in understandingand internalising the concept and modalitiesof the sub-programmes, including UNDPterminologies, systems, and project procedures.

The Khadi and Village Industries sectorhas been a source of livelihood support in the rural non-farm sector, particularly among the underprivileged communities andwomen. The sector has also been providingsupplementary incomes in single cropped,rain fed areas. Given the skills and creativityof underemployed artisans in the rural areas,the sub-programme has considerable potential,provided the professional capacity of KVICcan be upgraded and the programme mademarket oriented and commercially viable.This is truly a challenging task for the lineministry and the UNDP Country Office.

Coir: The sub-programme is concentratedin four southern states. It has a clear benefitfor women as most (nearly 80%) coir workersare women. It envisages assistance for the CoirBoard in its developmental efforts. The sub-programme is the first of its kind in the coir

sector and required substantial preparatory work.In physical terms, the base line survey in

the profiling of six clusters has been completed,nearly thirteen hundred women artisans havebeen trained, twenty-four women workers havebeen given trainer’s training, and equipment isbeing procured for mechanisation. Apart fromthis, initiatives have been taken to developnew equipment and pollution abatement tech-nologies, and to organise design workshops.So far about 30% expenditure against thefunds received has been incurred.

The impact of activities undertaken hasbeen encouraging. The women workers whowere trained in operating modern equipmentwere able to secure gainful employment. Thedesign interventions arranged through theNational Institute of Design have helpeddevelop innovative new products, which couldimprove prospects of the coir industry in the near future. The available informationindicates that satisfactory progress has beenachieved in the area of capacity building,community mobilisation, and introducinginnovations. It would however be desirable toexamine whether the UNDP can provide thetype of technical and resource support thatthe Coir Board cannot.

The sub-programmes being implementedunder the Small Industries and EmploymentDevelopment Programme are diverse innature and geographically dispersed. Theyare designed as catalytic interventions to helpgenerate productive employment throughkhadi, village and small industries in labourintensive sectors in regions of high povertyand unemployment. As direct interventions,their impact is bound to be limited. Hence,they need to be pursued with the objective ofreplication or influencing policy/programmedesign in the future. The precise mechanismfor ensuring this needs to be addressed.Greater effort is also needed to achieve thegoal of gender equality in sub-programmeslike leather development.

ACCESS TO BASIC SERVICESThe objective of programmes under this themeis to improve the availability and quality of twobasic social services,primary education and health,to those who presently lack access to them throughappropriate strategies in community management.The total outlay for this theme comprisingtwo programmes is US $13.2 million.


The objective

of pro-

grammes

under the

theme of

Access to

Basic Services

is to improve

the availability

and quality

of two basic

social services,

primary edu-

cation and

health, to

those who

presently

lack access

to them.

Community Based Primary EducationThe programme initially aimed to “complementthe Work Bank assisted District PrimaryEducation Programme”14. Better known asthe Janshala Programme, in this interventionthe UNDP, UNICEF, UNFPA, UNESCOand ILO have come together with nine stategovernments and two GOI departments tosupport the ongoing efforts in the countrytowards universalisation of primary education.It demonstrates models of effective communityparticipation in school management and protec-tion of children’s rights. Its cost of US $20 millionis being met by contributions of US $8.7 millionfrom UNDP, US $9 million from UNICEF,and US $2 million from UNFPA.

The CR team had an opportunity to visitJanshala Schools in the Holenarsinghpurablock of Karnataka, where ten developmentblocks have been covered under the programme.With community involvement, baseline surveys,micro-planning and village-mapping (showinghouseholds whose children were not attendingschools), the enrolment of children hasincreased and the dropout rate has declined, andthe schools have become a place of attractionfor children. The School Development andManagement Committees’ (SDMCs) involve-ment has ensured regular attendance of teachers,which has been a problem in rural schools.With the introduction of some innovativeconcepts, learning has become a joyous experience for children. The brief interactionwith the children in the schools visited showedthat they are highly motivated, confident, andkeen to display their accomplishments.According to the line ministry, the impact of the Janshala sub-programme has been particularly impressive in urban centres.

Irrespective of the merits of this programme,given the huge investments being made in thissector by the central and state governments aswell as external donors, its objectives andrationale at a macro level need to be moreclearly defined. Innovative approaches involvingcommunities have been tried out before underprogrammes like Lok Jumbish and ShikshaKarmi. The benefits of community involvementare no longer in question. The GOI is nowtaking up Sarva Shiksha Abhiyan (SSA-

Campaign for Universalisation of Education),which includes many innovative lessons learntfrom past programmes, including communityinvolvement. Certain problems have alsobeen reported in the operation of this multipartner programme. The Commissioner ofPublic Instruction, Karnataka, feels that this progamme will have to merge with SSA, which will provide Rs. 0.5 million forinnovations and new ideas. Given this back-ground, the UNDP needs to carefully assesswhether such interventions, even of a pilotnature, would add distinctive value in thefuture. In case the target groups in urban centres remain neglected under the main-stream efforts, this could be an opportunityfor useful contribution.

Health Support ProgrammeThis programme seeks to pilot effective models of public-private-community partner-ships for improved healthcare for the poor.Apart from this, an important objective is to mainstream HIV/AIDS concerns anddemonstrate the creation of an enabling environment for marginal communities bytargeting policy, legislation and attitudes. Theoutlay for this programme at US $4.5 millionis relatively modest. With a utilisation of US $0.69 million till December 2001, it is pre-mature to assess the impact of this programme.

MANAGEMENT OF DEVELOPMENTThe programmes under this theme seek tofocus on models of community participationin development and on broader issues of public institutional support for decentralisedgovernance, particularly their capacity buildingneeds. The theme also deals with two otherrelated issues – reform measures in areas suchas health,energy and urban infrastructure and newapproaches to management of science and tech-nology for rural transformation and employmentgeneration. The total outlay for programmesunder this theme is US $31.422 million.

Economic Reforms ProgrammeThe purpose of this programme is to supporteconomic reforms for the creation of an enablingenvironment and a legal and institutional frame-work in order to take advantage of globalisationand for enhancing public investment in basicservices and poverty reduction. The programmeenvisages action-research studies on issues


An important

objective of

the Health

Support

Programme is

to mainstream

HIV/AIDS

concerns and

demonstrate

creation of

an enabling

environment

for marginal

communities

by targeting

policy,

legislation

and attitudes.

-----------------------------------------------------------------------------------------------------------14. First Country Cooperation Framework for India, 1997-2001.There is some ambiguity regarding the nature of the programmeas to whether it is a pilot or a direct intervention.

ranging from pricing of municipal services topreparing operational strategies for financingand improving access to health. Funds availableunder the programme will also be utilised for capacity building of officials involved indisinvestment of Public Sector Enterprises.Concrete outcomes under the programme areyet to materialise. However, there is little doubtabout its relevance and utility. Economicreforms are a priority for the GOI and thefindings of action-research studies will helpclarify issues. This in turn should throw uppolicy options and help implementation ofthe reform agenda. More importantly, theyshould enable the state to effectively addresssocial sector issues. While there are other,bigger players in the field like the World Bankand the Asian Development Bank, the focusof the UNDP is mainly on human developmentand social sector areas. In pursuing theseactivities, the UNDP needs to carve out itsown niche, avoid any possible overlap andkeep its own strengths and constraints in viewvis-à-vis other players in the field.

CAPACITY BUILDING PROGRAMMEIts main objective is enhancing the capacity ofinstitutions of decentralised governance andplanning and management of developmentactivities, including provision of public services.It aims at capacity building of key grassrootopinion makers, i.e., the representatives of thePRIs. There are now an estimated 3.4 millionelected representatives of local self-governmentinstitutions. Of these, one third are women.This programme supports a core activity ofthe decentralisation theme, with the potentialto sensitise key grassroot players to genderconcerns. So far, the training needs assessmenthas been completed. The sub-programme hasfaced some difficulties in channelising funds.Full ownership by the concerned ministry andsix regional resource centres along with effectiveimplementation arrangements would be crucialto the success of the programme.

The capacity building sub-programmesrelating to Administrative Training Institutes(ATIs) at the state level, and networkingamong them will help upgrade professionalskills. The sub-programme for ATIs comprisesmany useful activities like developing trainingmaterials and training of trainers. However,this sub-programme document was signedonly in January 2001 and its implementation

was initiated in April 2001. Hence, it is pre-mature to evaluate its outcomes at this stage.

The report15 on SRF/ROAR outcomesand outputs for 2000 mentions that a “Centrefor Public Policy was set up at the IndianInstitute of Management, Bangalore”. However,the Centre is yet to become operational.Such a Centre, when fully developed, wouldoffer a good opportunity to harness the intellectual strengths of the country in itsefforts towards capacity building in the area ofpublic policy analysis and implementation.The Citizens’ Access to Information sub-programme seeks to disseminate best practicesthrough pilot projects. Under the UrbanGovernance sub-programme, at present, theselected centre's faculty are internalising theirrole as change agents. They have undergoneIT training. The process of “Municipality –Civil Society” dialogue has been initiated,which is expected to change the way cityagenda is set. The faculty, along with local urban officials of selected cities, haveundergone the first module of training in the so called ‘Citizen's Report Card’ – amechanism for citizens to evaluate the servicesprovided by municipalities. The sub-programmestarted recently and it is not yet possible toassess its results. It is confined to only onestate and unlikely to have a significant impactunless extended to other states.

The capacity building programmes, ifproperly implemented, can make a significantcontribution to developing the effectivenessof elected representatives at the local level,and of public servants concerned with policymaking and its implementation. No other aidagency is taking up a similar capacity buildingeffort. This is an activity where ‘investments’can yield rich dividends and deserves to bestrengthened in future.

COMMUNITY BASED PRO-POORINITIATIVES (CBPPI)This programme has the largest outlay of US $11.107 million. It seeks to support people-oriented development planning, socialmobilisation and community participation,particularly among tribals and backward communities. Under the CBPPI programme,17 sub-programmes are being implementedwith a total annual disbursement of just below


-----------------------------------------------------------------------------------------------------------15. SRF/ROAR outcomes and outputs for India, UNDP-India(16.01.2002)

US $2 million in 2000. Selected NGOs areimplementing 12 of these 17 sub-programmes.Their scope is generally small, e.g. in theDesertification sub-programme (SEWA,Gujarat), the total outlay is US $750,000 with a coverage of about 75 villages. TheSocial Mobilisation sub-programme beingimplemented by District Rural DevelopmentAgencies in Andhra Pradesh has an outlay of US $1.8 million and is expected to cover1025 self-help groups in three districts. Giventhe significance of CBPPI programme, itssubstantial outlay and geographical spread, it isbeing analysed in some detail. The observationsare based primarily on the evaluation reportsmade available to the CR team, discussionswith key players, the inputs furnished by themand a field visit.

Social Mobilisation and Community Empowerment for Poverty AlleviationThis sub-programme is being implementedby the Ministry of Rural Development in collaboration with the UNDP in the districtsof Anantapur, Kurnool, and Mahbubnagar ofAndhra Pradesh. Its goal is ‘comprehensivesocio-economic transformation through aholistic and integrated set of activities andpeoples’ grassroot institutions’. The sub-programme forms part of a vital framework of UNDP assistance to the South AsianAssociation for Regional Cooperation (SAARC)countries under the South Asia PovertyAlleviation Programme (SAPAP), whichemanated from the Dacca declaration onEradication of Poverty in 1993. Its emphasiswas on an empowerment approach where thepoor are seen as partners in development.The strategy envisages social mobilisation,skill development, enlarging choices for thepoor and capital formation for improved quality of life. It is noteworthy that SAPAPwas initiated in Andhra Pradesh in 1995 –before the CCF-I was initiated. According toan evaluation of this sub-programme, till May1997, 2,395 self-help groups had been formedwith 42,848 members in 695 habitations with18 partner organisations. The sub-programmeaimed at scaling up the level of operations in the same area by developing 1,600 moreself-help groups. By end of March 2001 thenumber of self-help groups had increased to 5,201groups in 953 habitations with 74,777 members,

of which 90% are women. Some highlights ofits progress are summarised below:

The self-help groups are federated intovillage organisations. These in turn are federatedinto Mandal Mahila Samakhya—a registeredorganisation, which provides services by wayof advocacy, linkages and delivery. Some note-worthy achievements of the sub-programmeinclude development by village organisationsfrom among their own community, a cadre ofvillage activists in the areas of health, livestock,networking, gender etc.,who are paid a fixedamount by the organisation; formation ofgroups of men, occupational groups and adolescent groups emulating the example ofsuccessful women’s groups; production of high quality training materials and modulesspecially for group level training.

The sub-programme’s present focus islargely on lending activities. It needs to follow-up with greater vigour issues such asviolence, rights and legal literacy, income generation, farm and non-farm activities, andlinkages for marketing etc.16. Transfer ofappropriate low cost technologies to the poorand conscious measures to promote convergence,particularly with government schemes and tie up with Aanganwadi centres, ANMs,Agriculture and other line departments, are all aspects that need to be pursued. The sub-programme design, training, and capacitybuilding need greater focus on gender issues.Special efforts are needed to generate awarenessabout rights in land, PRIs, and issues such asunequal wages. Effective community involvementin issues around rights and violence againstwomen also needs to be consciously encouraged.

Capacity Building of Women for Effective GovernanceThe sub-programme is being implemented bythe Society for Promotion of Area ResourceCentres—Swayam Shikshan Prayog (SPARC-SSP) in nine talukas of Latur and Osmanabaddistricts of Maharashtra state. The SPARC-SSP has been working in the area since theLatur earthquake in 1993 and has involvedcommunity groups on a large scale from disaster management to development. This hasgiven the organisation enormous credibility inthe Latur and Osmanabad districts. TheSPARC-SSP’s strategy seeks to build and


-----------------------------------------------------------------------------------------------------------16. Review of sub-programme on “Social Mobilisation andCommunity Empowerment for Poverty Alleciation”.

strengthen women-led community institutionsthat will sustain the social, economic, andpolitical empowerment processes. It has set upsavings and credit groups, which are a sourceof information, learning, and linkages for poorwomen. It has established other groups, whichare used for networking, reconstruction etc.

An evaluation of the sub-programmenotes some significant achievements likemaking women self-confident, active, andarticulate; breaking of caste barriers by self-help groups in Mahila Mandals; training ofwomen as masons; willingness of commercialbanks to support self-help groups; decliningdropout rate of school children; launching ofa campaign against liquor consumption byseveral groups; action to stop early marriages;and encouraging girls to attend schools.

The evaluation of the sub-programmehas also highlighted the fact that since itfocuses on women’s access to resources, men,who traditionally control the resources, areuneasy with the changes17. Other problemsand difficulties faced include irregular GramSabha meetings, women not being allowed to function either independently or fearlesslyby the village community and the GramPanchayat, hostility of Gram Panchayats ledby men to women’s initiative and threats andeven violence being faced by the women’scampaign against liquor consumption. Theabsence of whole-hearted cooperation of central and state government departments,district, bloc and village administration andlocal self-government institutions has beenhighlighted by the evaluation report. It alsoobserves that “the sub-programme being carried out by SPARC-SSP, cannot be effectiveand sustained without people’s involvementthrough local self-government institutions”.

Lokdrushti (LDK)LDK is an NGO that has its origin in theKalahandi (Orissa) drought of 1985. It has worked for a long time in the field and has acquired considerable credibility in the community.

The evaluation report on LDK notes asense of enthusiasm amongst staff and a feelingof achievement among the villagers in areaswhere LDK has worked for a certain number

of years18. The report generally testifies to the positive impact of the programme.LDK’s main area of work is around people’sorganisation for livelihood protection andregeneration, with a focus on water, land andforests, negotiating better prices for their produce,reviving local biodiversity, preventing migration,and encouraging children to study.

While the intervention of LDK has led tomany important achievements, the evaluationstudy draws attention to certain issues andproblems. As much of LDK’s work is land andwater related, its interventions are unlikely tohelp the landless. As the focus of genderissues is exclusively on women, men face anidentity crisis. The material benefits achievedthrough the sub-programme may not beenough to encourage replication, and it wouldbe necessary for people to internalise therationale and vision behind LDK’s work.Despite rigorous analysis before programmeformulation, some deficiencies relating to childlabour, displacement etc. have also beenobserved. These underscore the need forrethinking certain issues during the imple-mentation process. LDK has helped in building27 earthen dams and plans to construct manymore. However, the organisation has notsecured approvals for the construction fromthe competent authorities. This could lead toproblems in the future and points to a need onthe part of NGOs to respect rules and adhereto regulatory requirements. Other issueshighlighted by the evaluation report concernlikely adverse reactions from vested interests,temptation of many villagers to join the sub-programme midstream without internalisingthe rationale and LDK’s lack of effort to network with other similar organisations.Such a tendency, noticed among some otherNGOs as well, could limit their learning perspectives and capacity for organised actionagainst vested interests.

Traditional Knowledge System for Poverty AlleviationThis sub-programme is being implementedthrough the Academy of DevelopmentSciences (ADS). Its objective is to addressissues pertaining to hunger and health amongtribal communities in the Raigad and Thane


LDK has

helped in

building 27

earthen dams

and plans to

construct

many more.

However, the

organisation

has not

secured

approvals for

construction

from the

competent

authorities.

--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------17. Capacity Building of Women for Effective Governance under the GOI-UNDP Community Based Pro-Poor Initiatives; Society for Promotion ofArea Resource Centres (SPARC) – Swayam Shiksha Prayog (SSP) – A review, by Institute of Social Sciences.18. An Evaluation of Lokdrushti, Orissa by North Eastern Social Research Centre.

districts (Maharashtra), and also to make awider impact through training and networkingof NGOs in Maharashtra state. The ADShas been working since 1981 in about 180tribal hamlets of Maharashtra. The ADSexperience shows the possibilities of creatingand strengthening community level institutionsthat could provide long-term, sustainablesolutions to the problems facing tribal communities. Before UNDP assistance wassanctioned, the ADS had already undertakenwork for promoting grain banks, fruitorchards, crop improvement, small savingsand credit, strengthening of traditional health systems, watershed management, andnetworking among NGOs in Maharashtra.

Implementation of this sub-programmethrough ADS has shown several positiveimpacts which include a significant increasein the participation of both men and womenin Panchayat Sabhas; self-confidence in thecommunity to articulate demands for accessto basic facilities like drinking water, approachroads, health services etc; encouragement ofwomen by local men to take up causes likeprovision of water; and successful grain banks.On the other hand, however, the effectivenessof this intervention has been hampered due to lack of support from the Government and research institutions. For instance, theForest Department has turned down therequest of recognizing IA-initiated ForestConservation Committees as Joint ForestManagement Committees.

The evaluation report19 on this sub-programme highlights the need to moreactively pursue the rights based approach asthe beneficiaries did not have any awarenessof their rights to forest resources, healthcare,water etc. A conscious effort needs to be made to forge backward and forward linkageswith Panchayats. Issues pertaining to genderor caste discrimination need to be taken upmore vigorously in areas where women’sgroups have been formed recently. The self-help groups organised in the area seem toreflect a rather narrow vision restricted tothrift and credit.

The life span of this sub-programme isonly 28 months and it is felt that the expectedoutcomes like reduction in chronic hunger,tripling of cash income per family, enhancing

agricultural productivity of rice by nearly 50%etc. are rather ambitious.

One impediment to the smooth imple-mentation of the sub-programme pointed outby the evaluation report is the delay in releaseof funds that are required well before themonsoons. This is a major obstacle, particularlyas the sub-programme is being operated in anarea which has a single, rain-fed crop. Thereport observes that given the limitations ofNGOs to take on an activity without fundingsupport “an alternate strategy will have to be adopted to influence government policy on food security and conservation issues”.Another important aspect highlighted is theneed for step-wise documentation of theimplementation process, which could becomea source of learning lessons for the future.

Women’s Empowerment for Sustainable Natural Resource ManagementThe focus of this sub-programme is “to developthe capacity of the economically and sociallydisadvantaged groups to build their capacitiesto identify and address issues of sustainableresource management, including water, forestand land resources in one hundred villages ofAlwar and Jaipur district. The strategy has a particular emphasis on building of waterharvesting structures and conservation of biodiversity and rights of the community over these natural resources. Also as part ofthe strategy, the links between child labour,poverty and development would be strength-ened. The process would include building an enabling environment of education forchildren employed in the carpet and miningsectors from the sub-programme area.20”

The Tarun Bharat Sangh (TBS) sub-programme was approved in September 1997,signed in September 1999 and was due to end in December 2001. Its total budget was US $476,230. The Ministry of RuralDevelopment (MORD) has been the executingagency, and TBS, an NGO, the implementingagency. The main findings of the CR team,basedon its review of the relevant documentation,discussions with a wide range of stakeholders,and a visit to the sub-programme site, aresummarised below:■ The sub-programme was well conceived

in consonance with UNDP corporate


--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------19. Midterm Review of Academy For Development Sciences by Dr. Manju Ahal.20. Summary from the sub-programme document.

goals and the GOI’s priorities.■ UNDP successfully provided significant

additionality in an area strategicallyimportant to both the GOI and toUNDP – empowerment of women.UNDP’s funding supported watershedmanagement and community mobilisationtechniques, which already had a well-known, successful track record. TBS hasbeen involved with community-drivenwater resource management and, usingthis as an entry point, with communitymobilisation over various concerns forsome 20 years with considerable success;this was recognised in a Magsaysay Awardmade to TBS in 2001. In that sense, theUNDP only provided material and financialassistance which, given its reputation,TBS could be expected to have foundelsewhere. The UNDP’s merit lies inhaving helped define, develop, and support a gender dimension, which hadnot been previously recognised21.

■ The sub-programme took advantage ofthe neutral, partnership building capacitythat the UNDP values and for which it isrecognised, in order to develop communi-cation and mutual understanding betweenTBS and its constituency, and key officialsof the two districts concerned. The districtadministration had taken exception towhat it felt to be TBS’s usurpation ofauthority in developing the Alwar waterharvesting structures without officialadministrative or technical approval;there was a threat of breaching somestructures. TBS, however, felt that itcould stand on its record of achievement.

■ The Evaluation Report comments that“[t]he lack of communication, misreadingof signals and perhaps the vested interesthas led to the present unfortunate situationwhere the government seems to be considering the breaching of some structures”. In the first of a series ofseemingly well-balanced recommendations,the Report proposes that the UNDP

organise a two-day workshop under theSecretary of the Planning Commission, towhich the district administration shouldbe invited to resolve their differences.

■ A multiplier effect of appropriate aspects ofthe sub-programme’s achievements, notablywith respect to women’s empowerment ina comparable but larger scale initiativeseems unlikely. When the CR team metwith senior officials from different sectorsof the state government, there seemed to beno awareness, and certainly no recognitionof the sub-programme’s achievements.This reaction was especially noteworthygiven the major state-supported watershedproject – with comparable communitymobilisation goals – that was envisagedand which the team was briefed on.

■ The sustainability of these achievementsbeyond the end of the sub-programme isquestionable. The sub-programme doesnot address the issue of sustainabilityexplicitly, and with its end in December2001 – that is, just over two years after itstarted – the several changes brought aboutcould well be significantly diminished.The Evaluation Report comments,“components like formation of self-helpgroups, gender sensitization, women’shealth care, child labour, capacity buildingof stakeholders, coordinating with thePRIs and government structures etc. areprocess driven activities, which requiretime and patience”.

■ Monitoring and evaluation of the sub-programme was not sufficiently effectivein highlighting problem areas earlyenough, and especially in leading the parties concerned – the executing andimplementing agencies and UNDP – toaddress and correct the problems.

Some General Observations on CBPPIThe hope of CBPPI is to make a distinctivecontribution, even though its resources aremodest and interventions limited. Most


UNDP success-

fully provided

significant

additionality

in an area

strategically

important to

both the

GOI and

to UNDP—

empowerment

of women.

--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------21. The founder and head of TBS acknowledged to the team, that on first learning of the project proposal, he had not believed there to be aneed for attention to this dimension. Women’s concerns and strengths were being addressed along with those of the rest of the communities’through the mobilisation process.The experience of the sub-programme had surprised and convinced him otherwise. In the words of the independentreview,“TBS has greatly benefited from the women related intervention under the programme as it has added a new dimension to issues likewater, education, health, struggle against the mine lobby, child labor etc. Everyone in the organisation now feels that there is constant and fruitfulinteraction through the women’s self help groups which has created synergy in other areas leading to greater participation by the peoplethereby adding to the sustainability of the Project.” In its meeting in a village with one such group, the CR team was impressed by the group’sassertiveness in speaking of its accomplishments. The group took credit for having closed down a liquor store, curtailed child marriages andsecured the village’s first water took credit for having closed down a liquor store, curtailed child marriages and secured the village’s first waterpump – to which the village had been entitled, but which was spotted being diverted elsewhere. One spokeswoman gave an account of herunprecedented travel out of Rajasthan to participate in a meeting in New Delhi and speak on watershed management and women’s empowerment.

interventions are being undertaken directly by NGOs. Many of them have considerableexperience and credibility. It is expected thatas a result of these interventions, it will bepossible to effectively demonstrate innovativeapproaches to poverty alleviation and women’sempowerment, based on decentralisation andcommunity participation. Some of theseapproaches, like the UNDP approach togroup formation/community empowermenthave already been successfully demonstratedunder the SAPAP in many countries of the region and adopted by other agencies likethe World Bank in its District PovertyInitiative Programme.

The available evidence suggests that theseinterventions have been accompanied byintense managerial and technical inputs, agreat deal of commitment and external supervision for relatively small operations. Itmay not, therefore, be easy to replicate thesesub-programmes.

Another factor that needs to be kept inview is that there are other, bigger players inthe arena of poverty alleviation. For instance,The World Bank assisted District PovertyInitiative Programme provides an additionalresource support of about US $2 million foreach district. With their substantially largerfunds, these players are expected to exercisegreater influence in ensuring replication andmainstreaming of successful approaches.

TECHNOLOGY MANAGEMENTPROGRAMMEThis seeks to support innovative mechanismsfor application of technology for developmentin rural areas and other backward areas.According to UNDP-India, two TechnologyDevelopment and Application Centres withten Rural Technology Resource Centres underthem have been established. In addition, fourcentres for providing vocational training in needbased technical skills to rural and semi-urbanyouth have been set up. A sub-programme on IT for sustainable agriculture in Punjab isalso operational. This has brought togetherinstitutions such as the Indian AgricultureResearch Institute, Punjab AgricultureUniversity, Punjab Remote Sensing Centre,Indian Institute of Technology, Mumbai, andsome other institutions in a collaborative relationship. Bringing about this cooperativearrangement has been the UNDP’s distinctive

contribution. However, concrete informationon the actual outcomes or impact of these initiatives, particularly on the farming com-munity, is not yet available.

The programme documents for this STEPS/TBIS, vocational training and TDCs/RDCssub-programmes show that these are more inthe nature of demonstration/pilot projects.There is no explicit gender, decentralisation orpoverty thrust, though some initiatives couldspread technology at the grassroots, if they aresuccessful. Under the technology managementprogramme, disbursements by UNDP in 2000amounted to US $1.55 million. While taking aview on the future of these sub-programmes,it will be desirable to assess the impact ofthese interventions and the UNDP’s strengthsin the area, especially as its partner is theDepartment of Science and Technology,which does not lack capabilities, resources oraccess to national or international expertise.

STATE HUMAN DEVELOPMENTPROJECT/HUMAN DEVELOPMENTRESOURCE CENTREThe programme supports the PlanningCommission and the state governments intheir efforts to formulate State-level HumanDevelopment Reports (SHDRs). It supportsthem through the establishment of a HumanDevelopment Resource Centre (HDRC) inthe Country Office. UNDP’s annual HumanDevelopment Reports (HDRs) are its flagshipproduct and over the years they have emerged asthe principal advocacy platform for sustainablehuman development. They have demonstratedthat income alone does not capture all dimensionsof development and have made a significantcontribution in promoting human developmentoriented policies world-wide. In India, SHDRspreceded HDRC and the world’s first eversub-national report was published by theGovernment of Madhya Pradesh in 1995.Since 1998-99, the Planning Commission hasbeen allocating additional central assistance tostate governments for preparation of SHDRs(Table 7, following page). This can in itself beseen as a signal achievement of UNDP advocacy.As of April 2002, the state governments ofMadhya Pradesh, Karnataka, Sikkim, andRajasthan have released their SHDRs. India’sfirst National Human Development Report(NHDR) prepared under the aegis of thePlanning Commission was released in April


HDRs have

demonstrated

that income

alone does

not capture all

dimensions of

development

and have

made a

significant

contribution

in promoting

human

development

oriented

policies

world-wide.

2002. It is expected that six more SHDRswould be released during 2002.

The impact of SHDRs has differeddepending on the state, commitment of itspolitical leadership and the dynamics of theSHDR preparation process. The impact ofthe SHDR has been the most visible in the case of Madhya Pradesh. Social sectorallocations in the state have been enhancedfrom 19% in the Eighth Plan (1992-97) to 42% in the Ninth Plan (1997-2002).Special programmes for education, health and livelihood security have been launchedunder a mission mode approach, transcendingdepartmental boundaries, and there is anincreased focus on decentralisation and participation of women in decision-making.In Karnataka, the SHDR recommendationsare being implemented by the state governmenteven though the report was prepared under aprevious political regime – a remarkableexample of bi-partisan ownership of theSHDRs. The World Bank aided StateReforms Package has extensively used theKarnataka SHDR and a special cell has beenset up within the state government to sustainthe momentum of human development.Karnataka is a noteworthy example of aUNDP inspired report promoting publicdebate, action and follow-up work by agencieslike the World Bank.

HDRC has so far organised workshopson SHDRs, the estimation of district incomeand poverty, national health security, anddecentralisation. It has initiated preparation ofa ‘best practices’ manual, which is documentingthe successful government sector programmespromoting human development. The UNDP’sregional HIV/AIDS project has assignedHDRC the task of preparing the South Asia HDR on HIV/AIDS. As a part of itspublication series, HDRC has commissionedresearch on a number of issues. HDRC hasalso been asked by the Regional Bureau forAsia and Pacific at UNDP, New York, toimplement three Regional HDR initiatives.

The achievements of the SHDR inter-vention are encouraging, but the potential ofthis intervention to make a significant impacton India’s development is even greater. Givenits capacity to impact public policies in favourof the poor, and issues requiring special focusin the context of economic reforms, this programme merits added emphasis in future.

One major reason for the relatively slowprogress of follow-up work on SHDRs couldbe the low level of commitment by states,which may often find it difficult to look attheir own performance critically and sufferpolitically22. This concern can be addressedby emphasising that the thrust of SHDRs ison long-term perspectives and not on the performance of individual governments.SHDRs need not be looked at as the onlyinstruments for promoting human development.Supporting states on specific aspects ofhuman development and sponsoring studieson specific issues or areas can be alternative‘entry’ points. SHDRs are not an end inthemselves and would need to be followed up by:a) Downstream works on priority areasb) Translation of HDRs into local languages

and into policy decisions and actions c) Evaluation studies on specific programme

interventionsIn a scenario of shrinking budget allocations,

there is a need in the future to emphasisemulti-sectoral approaches, as distinct fromcompartmentalised investments in education,health etc. One strategy of achieving this


-----------------------------------------------------------------------------------------------------------22. Human Development Resource Centre: An Over view andPerspective for the Future, Indira Hirway, Centre for DevelopmentAlternatives, Ahmedabad.

TA B L E 7 : A L L O C AT I O N O F A D D I T I O N A L C E N T R A L A S S I S T A N C E B Y P L A N N I N G C O M M I S S I O N T O S T AT E G O V E R N M E N T S R E Q U E S T I N G A S S I S T A N C E F O R P R E P A R AT I O N O F S H D R S


Name of State Requesting Assistance

Assam

Andhra Pradesh

Arunachal Pradesh

Uttar Pradesh

Tamil Nadu

Himachal Pradesh

Punjab

Sikkim

Goa

Orissa

Haryana

Maharashtra

Madhya Pradesh

Jammu & Kashmir

Meghalaya

Uttaranchal

ACA Released(Rs. Lakhs)

20

25

20

25

25

17

20

6

8

25

20

28

0

0

0

0

Year

1998-1999

1998-1999

1998-1999

1998-1999

1998-1999

1999-2000

1999-2000

1999-2000

2000-2001

2000-2001

2000-2001

2001-2002

S.No.

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

objective is through the mission modeapproach as demonstrated in Karnataka. It isalso desirable to support specific studies as thesewill lead to consolidation of programmes andfacilitate demonstration of examples, whichcan be emulated by other states. Greaterattention to states and districts low in HDIwould pay rich dividends.

SUSTAINABLE DEVELOPMENTThe theme seeks to support efforts towards acomprehensive approach to national planning,sectoral policies, and institutional mechanismsfor environmentally sustainable developmentincorporating livelihood concerns. In additionto core resources, substantial non-core resourcesare being mobilised through funding windowslike the Global Environment Facility (GEF) andthe Montreal Protocol (MP) to support initia-tives like biodiversity conservation, sustainablenatural resource management, reduction inactivities that lead to climate change, eliminationof ozone depleting substances, and demonstrationof clean technologies to promote nationalprogrammes in these areas.

Environment ProgrammeIts principal objectives are to facilitate naturalresource management, strengthen the existingcapacity for public policy and for disseminationof information/knowledge on environmentalmanagement/conservation. The outlay forthis programme is US $8.004 million. Thecapacity building sub-programme mainlyaims at preparation of proposals/projects for the GEF. The main advantage of this sub-programme is its linkage and access toresources of the GEF and MP, where theUNDP plays a major role.

The problem with this programme is that

although it addresses all key environmentconcerns, it does so in a somewhat superficialmanner. (Classification of environment sectorsub-programmes by purpose and function isavailable in Table 8.) With meager resourcesand limited scope, it depends heavily on alarge number of direct interventions, whichare geographically dispersed and unlikely to havea significant impact. The sub-programmes donot appear to address gender concerns explicitly.

The projects, which aim at providinglinkages to possible GEF financing, e.g. bio-diversity, greenhouse gases etc., have a clearrationale. The main advantage enjoyed by the environment programme, which is notavailable to other programmes, is that itsmodest technical assistance can help mobiliselarger GEF resources for the UNDP to useand therefore, its emphasis should be on such activities.

The rationale to pursue sustainable development initiatives is unexceptionable.However, a large number of scattered sub-programmes do not lend themselves to effectivemonitoring and evaluation. It is thereforedesirable to focus on only a few key sub-programmes. Those with commercial potentialcan be left to industry; those that can bring inadditional resources should be pursued.Awareness building exercises can hardly beeffective if they are too small in size. To beeffective, they must be upscaled. Capacitybuilding of key actors in the area of environment is a worthwhile activity whereUNDP resources can have a substantial impact.

Rural Energy ProgrammeThe Rural Energy Programme (REP) of theUNDP has three major components beingimplemented in three different parts of thecountry by three separate implementing partners. In Orissa, the Orissa RenewableEnergy Development Agency (OREDA) isworking with poor communities in theKomna Block of Nuapada District. The majorinterventions include awareness building incommunities through workshops, demonstrationof community-level systems such as biomassgassifiers, solar PV power plants, and communitybiogas plants on a pilot basis and institution-alising operation and maintenance networkswithin the communities. This sub-programmeis expected to result in a community-basedsustainable energy model for replication by future


TA B L E 8 : C L A S S I F I C AT I O N O F E N V I R O N M E N T S E C T O RS U B P R O G R A M M E S B Y P U R P O S E / F U N C T I O N


Pilot/ Demonstration ProjectsEnvironmental Quality, DelhiBiodiversity, KumaonNeem Production, 24 Parganas/NagpurAgro Forestry, CoimbatoreMedicinal Plants, Andhra &

MaharashtraWildlife Protection, West BengalBiodiversity (10 villages), ManipurRural Industrialization, RanchiDecentralised Energy, OrissaSolar Energy Demonstration

Dealing with Commercial SectorNatural Dyes, MumbaiCircuit Board Industry, DelhiMethane Recovery, Jharkhand

Niche Environmental SubjectsRidley Sea TurtlesWetland Mapping

Awareness BuildingCAMPS, New Delhi schoolsWater SectorCentre for Conservation, Goa

programmes of OREDA and other agencies.The Social Work and Research Centre

(SWRC) in Tilonia is demonstrating a community-based solar energy project forsustainable development in seven remote,unelectrified village clusters in six states. Bytraining barefoot solar engineers they are creating capacity at the village level to installand maintain solar PV systems. The project is developing a network of seven RuralElectrification Workshops (REWs), installingsolar PV systems including lanterns and fixedsystems, demonstrating productive uses, andcreating participatory decision-making structuresat the village level. Seven community-managedrevolving funds are being created to contributeto sustainability of the installed systems as wellas the REWs over a ten-year period.

The Society for Rural Industrialisation(SRI), Ranchi, is demonstrating a RuralIndustrial Area (RIA) in Angara Block,Ranchi District, Jharkhand. Catering to 15core villages in this block, the sub-programmeseeks to provide energy services such as lighting, irrigation, agro-processing facilitiesetc. for these villages. The core of the RIA isa 100 KW biomass gassifier-based powergenerating station and a Common FacilityCentre (CFC).

The bureaucracy-driven non-conventionalenergy programmes have in the past had asomewhat mixed record. Maintenance inremote locations has been a problem andcommunity involvement very minimal. Thenew approach adopted in the programme hasbetter prospects of success, particularly interms of sustainability. The intervention iscrucial, given the fact that in many remotehabitations, electrification through the grid isneither efficient nor cost-effective.

DISASTER MITIGATION & MANAGEMENTIn the wake of the Orissa cyclone and theGujarat earthquake, the UNDP CountryOffice has demonstrated its ability to beopportunity driven. Under the UNDMT ofwhich UNDP is the convenor, a coordinatedUN system support to the Government hasbeen put in place. Its objective is to promoteenhanced community participation and preparedness for disaster mitigation and management. This has now emerged as animportant item on UNDP’s agenda for work.

The Country Office is involved with 19projects related to disaster management withan outlay of close to US $10 million. Ofthese, one project (US $565,000) carried overfrom CP IV aims to enhance national disastermanagement capabilities; nine projects (outlayUS $7,396,698) funded by external donorsconcern recovery from the Gujarat earthquakeof January 2001; nine projects (outlay US $1,704,414) funded by external donorsand by UN and UNDP funds relate to recoveryfrom the super cyclone in Orissa in 1999.

As these disaster management activitiesdid not fall under the CCF-I programmes,they were outside the CR team’s main focus.However, disaster management is importantto India, given its vulnerability to natural hazards, and it is an area of concern for theUNDP. Therefore the team did look at these activities through a review of relevantdocumentation and discussion with concernedCountry Office Staff. On this basis, and without the benefit of interaction with otherstakeholders, the team makes the followingobservations – essentially in support of itsview that disaster management can be astrategic area of UNDP assistance. UNDP’sactivities in the Gujarat earthquake recoveryin particular provide illustrations and insightsthat can be useful programme-wide.■ The UNDP pursued a strategy of focusing

its main efforts on the recovery-postemergency relief phase. This was judiciousboth in terms of the needs of the affectedcommunities and the best use of theexpertise that the UNDP could bring tobear or leverage.

■ The UNDP used the recovery from thedisaster as an entry point to engage andconverge in a number of areas that arepriority concerns of both the GOI and theUNDP. These included pro-poor initiatives,empowerment of women, village and district level planning, skill and capacitybuilding, etc. Advantage was taken of the characteristic post-disaster receptivityto address vulnerability reduction and disaster preparedness.

■ Use was made of relevant disaster management expertise, concepts andexperience from elsewhere in India.

■ The UNDP supported and encouragedbottom-up, community based approaches,notably with respect to information


The Country

Office is

involved with

19 projects

related to

disaster

management

with an outlay

of close to

US $10 million.

collection and dissemination, whichincluded practical use of PC-based technology (database management, GIS,website etc.)

■ Partnerships were established and sustainedwith government officials at the key levelsof village, district, and state.

■ Recovery efforts and plans were givenconsiderable support from national andinternational authorities and experts at aconference organised jointly between theGujarat State Disaster ManagementAgency (GSDMA) and the UN system.(International Conference on SustainableRecovery and Vulnerability Reduction,Ahmedabad, 12 May 2001).

■ The UNDP built on existing relationshipsdeveloped in the context of the CBPPI.The UNDP set up a website (www.undp

quakerehab.org) to inform on the many facetsof the earthquake’s effects, the recovery efforts,the participants, reconstruction policies andconcepts etc. While there was no opportunityto assess its usefulness to stakeholders, thewebsite is a well-conceived initiative as it’sprimary purpose is clearly to be a practicaltool for management and dissemination of substantive information, and access to knowledge centres. As has been pointed out elsewhere, there is great potential fordeveloping such websites for each programmearea addressed in the next CP. These pro-gramme (or when justified, sub-programme)websites if developed and maintained jointlywith the principals concerned would be anadded dimension to partnering.

In its consultations on the ensuing CP,the UNDP should examine with the GOI thepotential benefit of identifying disaster man-agement (preparedness, risk and vulnerabilityreduction) as a strategic programme area forUNDP support. The basis for this proposal is:■ Many populated areas of India are subject

to natural hazards.■ The GOI is in the process of reviewing

its disaster management structure, policiesand procedures.

■ Disaster management, notably at the district level, is pro-poor in reducing vulnerability, and is an effective entrypoint for addressing a number of priorityconcerns and themes of both the IndianGovernment, and of the UNDP, and can bemade fully consonant with UNDAF themes.

■ With respect to the principle of inter-agency focus and synergy behind theUNDAF concept, disaster managementis an area in which all UN agencies haveexpertise related to their respective sectors, and which is already reflected inthe UNDMT.

■ The UNDP in India has worked on various aspects of disaster management atdifferent levels with different partners. Inparticular, its experience is ‘grounded’ inthe experience of several severe disasters.Disaster management lends itself well to‘micro-macro’ linkages.

■ The UNDP has shown its ability to leverageexternal funding for disaster management.

■ Disaster management is a strong ‘knowledge area’ in which the UNDP can facilitate access to international experience and expertise, and vice versa,help project Indian experience andexpertise internationally.

GENERAL ASSESSMENTIn the preceding performance review, a number of outstanding achievements havebeen highlighted. It is significant that CCF-I’sfocus is mainly on the poor, the underprivileged,and on rural areas. In a relatively brief period,UNDP-India, along with its developmentpartners within the government and the voluntary sector, has brought about a profoundchange in the character of its interventions,from building institutions to developing community-based, people-centred programmes.In the process, it has actively sought andachieved people’s participation. It has succeededin developing strong partnerships with the morerelevant development actors and stakeholders,like a variety of civil society groups and women’sgroups. Given its resource constraints, it hassuccessfully initiated some ‘soft’, low-costinterventions. The emphasis of RBM duringimplementation of CCF-I has helped UNDP-India to focus on strategic goals and bringabout a significant measure of qualitativeimprovement in the managing and monitoringof programmes. Its partnerships and advocacyhave provided important inputs in the policydiscourse particularly in the areas of ruraldevelopment, gender, poverty alleviation,education, and the community’s role in theprocess of development.

Thus CCF-I comprises many useful and


Programme

(or when

justified, sub-

programme)

websites if

developed and

maintained

jointly with

the principals

concerned

would be

an added

dimension to

partnering.

worthwhile initiatives, and many of its achieve-ments have been noteworthy. It is desirable,however, to consider what factors may impedemany of these initiatives in having a significanteffect beyond the scope of the sub-programmesor programmes concerned. It is important forthe UNDP to have a significant long-termeffect, as the usefulness of UNDP to India’sdevelopmental effort lies in ‘currency of ideas’,and not in financial contribution, which is verymodest. Three important limitations of CCF-I,noted by the CR team are referred to below:

First, the number of programmes, sub-programmes, and projects tends to be toonumerous and diffuse. This seems to be partlydue to an overly ambitious initial ‘positioning’of CCF-I, with respect to the Ninth Five YearPlan, in terms of the resources and capacitieswhich the UNDP Country Office has been ableto draw upon or leverage. The several projectscontinued or adapted from CP IV extendedthe portfolio still further. The introduction ofSRF and ROAR considerations when CCF-Iwas well underway added further complexity ofthrusts and objectives, if not of actual initiatives.The overall effect could lead to a mismatch ingoals sought to be achieved and the available

financial resources.Second, other than with direct partners,

relationships with other important partnersand stakeholders could not be established ordeveloped sufficiently. Relationships betweenthe UNDP and its executing (mainly nationalministries/departments) and implementing(mainly institutions or NGOs) partners seem tobe supportive and productive. Such relationshipsare needed to ensure that programmes, sub-programmes and projects are carried out.However,they are not sufficient to build understanding,ownership and, eventually, adoption/replicationby the authorities and institutions concernedat the critical state and district levels.

Third, replication and sustainabilitystrategies are not developed sufficiently andagreed to with partners and stakeholders earlyenough in the design and implementation.Programmes, sub-programmes and projectsare generally implemented with an intent to‘demonstrate by doing’ the validity of a conceptor method. Such demonstration, even if thesubject of promotion be workshops, publications,media attention etc., is not sufficient in itselfto lead to replication of, or support for, theconcept or method.



This section discusses different aspects of programme management considered relevant by the CR team, including the process of programmeformulation, as it has important implications for programme performanceand management.

PROGRAMME FORMULATION1.0 The programme-based approach in place of the earlier project-based

approach, along with national execution, was adopted as a policy by theUNDP Executive Board in 1994. The new policy also involved a two-tier programming approach. The broad programme objectiveswere articulated in the Programme Support Document (PSD). Thisincorporated the overall approach and strategies of the programme, itsoutcomes, execution modalities, accounting and audit arrangements,and the monitoring and evaluation system, apart from identifying theimplementing partners. The second step of the programming processinvolved prioritising of proposals or sub-programmes by the concernedline ministry, the Department of Economic Affairs (DEA), and theUNDP, within the programme framework contained in the PSD. TheSub-Programme Document (SPD) included the sub-set of activitiesand locations under the broad programme framework, detailing theground level implementation arrangements.

1.1 The PSDs and SPDs are obviously a result of an intensive, rigorousand high quality programming exercise. The documents incorporate avariety of issues that need to be taken into consideration, ranging fromthe national programme framework to risks, work-plans, monitoring

4

4 5

ManagementIssues

and evaluation arrangements etc. Theirdesigns are comprehensive and can serveas models worthy of emulation, withsome improvements suggested later.

1.2 The CCF-I document had envisaged thata small number of holistic programmeslinked to national priorities will replacethe large number of ongoing small projects. Unfortunately, this goal doesnot seem to have been achieved. CCF-Icomprises ten programmes, three standalone programmes and a total of 94 sub-programmes. It is not quite evident if theactual outcome of the programmingapproach is substantially different from theearlier project approach. The large numberof programmes and sub-programmes seemto militate against CCF-I’s strategy tosharpen the focus of UNDP’s cooperationwith India.

1.3 This also resulted in a thin spread ofresources, diluting the impact of the programmes and increasing the managerialclutter23. The two-tier approach increasedthe lag in programme finalisation. Theactual process of programme developmentwas initiated late and could only be completed in 2001. The GOI’s require-ment of clearances by Standing FinanceCommittees (SFCs) and ExpenditureFinance Committees (EFCs) furthercompounded the matter. Only two sub-programmes were approved in 1997,followed by 40 each in 1998 and 1999,ten in 2000 and the remaining two in2001. In this context, there appears to be a case for looking at the two-tier programming model afresh. The pro-gramme document itself could be comprehensive and may include broaddetails of sub-programmes and imple-mentation modalities. The problem can also be addressed if the number ofprogrammes and sub-programmes is limited to a reasonable number. TheCountry Office has however given thefollowing reasons for the large number of programmes:a) Most programmes involved pilot ini-

tiatives with community participation,carried out in collaboration with NGOsin different socio-economic settings

b) It was considered desirable to startinnovative initiatives in a small way,which resulted in a larger scatteringthan originally envisaged in theCCF-I document

c) The number and range of sub-programmes has contributed to a poolof experience and expertise, and hascreated a base for a more comprehensiveapproach for the ensuing CP

Although it is possible to offer some rationalefor the large number of scattered interventionsin the country, if a lasting and demonstrableimpact is to be made, the temptation toattempt too many sub-programmes at toomany places will have to be avoided.

RESOURCE FLOW2.0 The flow of resources to sub-programmes

and their utilisation has been slow. Evenup till December 2001 (the original closingdate of CCF-I), utilisation was 45.42%.Cumulative Resource delivery from 1 July,1997 to 31 December, 2001 was less than20% under Capacity Building and Healthprogrammes, and less than 50% underTechnology Management, Small ScaleIndustries, Rural Energy, EconomicReforms, Food Security, and CommunityBased Pro-Poor Initiatives programmes.Only under Leather, Community BasedPrimary Education and EnvironmentProgrammes did resource utilisation exceed60% of the outlays by 31 December,2001. The chart in Figure 3 (followingpage) shows the availability and utilisationof funds programme-wise under CCF-I(Source: UNDP). Delays in release offunds suggest procedural complexities,inadequate appreciation of the prescribedprocedures or simply processing delays.

NATIONAL EXECUTIONGUIDELINES (NEX)3.0 NEX is defined as “a cooperative operational

arrangement entailing among other things,assumption of overall responsibility andaccountability for coordination of UNDPsupported programmes and/or sub-pro-grammes/projects by the programmecountry”. The NEX guidelines werefinalised only in July 1998 and this delayedthe start of CCF-I. The guidelines werean outcome of an agreed approach


-----------------------------------------------------------------------------------------------------------23. Of the 94, sub-programmes, 53 have an outlay of less than US $0.5 million. Source: UNDP Country Office.

between the GOI and theUNDP. They were promptedby a desire to decentralise thedecision-making process, whileensuring overall uniformityin procedures. However, sincetheir very inception, theguidelines have been subjectto diverse interpretations,particularly with respect toProject Monitoring Units(PMUs), fund flow mecha-nisms, hiring of consultantsand project personnel, andthe applicability of the procedures prescribed by theMinistry of Finance throughEFCs and SFCs.

3.1 The distinct advantage of theNEX guidelines of July 1998 isthat they ensure responsibilityand ownership within theGovernment and facilitatelinkages and coordination,essential for effective man-agement and maximisingimpact. A few case studiesof sub-programmes that havenot performed satisfactorily,however, highlight the problemareas. There is a need toensure that the proceduresprescribed by NEX for programme management andrelease of funds are very clearly understoodand internalised by all concerned. The lineministries/executing agencies, particularlythose saddled with heavy responsibilities,also need to fully own UNDP supportedprogrammes and provide the necessaryback-stopping. The occasional problem ofindifferent management is compounded bymidstream changes in the Government’skey programme personnel, which needsto be avoided.

3.2 Although UNDP supported programmesinvolve modest outlays, they are innovativeand often in the nature of pilot interventions.Given the limited amount of programmeprovisions and the fact that many of them are being implemented through thevoluntary sector, it is imperative thatfunds are released through a fast-trackprocedure. The section on programme

performance has cited instances of sub-programmes that have been adverselyaffected due to delays in the release offunds. The DEA may find it useful toanalyse some specific cases of delays and to implement measures needed forensuring the timely release of funds.

3.3 NEX guidelines provide considerableflexibility to meet different eventualities.Section six of the guidelines (paragraph6.1) permits direct release of funds. Sucha procedure is necessary for effective participation of the voluntary sector and enabling innovative or experimentalprogrammes/projects, which cannot beeasily accommodated in governmentbudgets. The provision for direct releaseneeds to be interpreted in its proper spiritto facilitate release of funds to executingagencies. The ambiguity created by the

M A N A G E M E N T I S S U E S 4 7

F I G U R E 3 : P R O G R A M M E F U N D S U T I L I S AT I O N ( U P T O D E C E M B E R 2 0 0 1 ; I N U S $ M I L L I O N S )

TECHNOLOGY

LEATHER

SSI

FHAP

RURAL ENERGY

ECONOMICREFORMS

CAPACITYBUILDING

EDUCATION

CBPPI

FOODSECURITY

HEALTH

ENVIRONMENT■ Utilisation ■ Total

Resources

0 2 4 6 8 10 12

3.62

8.73

6.55

9.45

1.45

3.38

1.1

3.2

0.85

1.84

1.26

9.25

5.28

8.7

0.69

4.5

4.97

8

3.9

10.17

5.48 11.11

3.39

6.94

phrase “...the funds may be allowed...”could perhaps be removed by replacingthe word ‘may’ by ‘should’ or ‘will’. The CRteam recommends a review by the DEAof the extant procedures in consultationwith the National Programme Directors(NPDs), implementing agencies andUNDP to remove operational bottlenecksin the release of funds.

3.4 The provisions relating to audit under theNEX guidelines appear adequate from thepoint of view of the GOI. Paragraph 7.4of these guidelines also provides flexibilityin regard to audit procedures for privatebodies or NGOs. The CR team, however,suggests that the audit procedures andtime schedules should also take intoaccount the mandatory reporting requirements of UNDP.

MANAGEMENT STRUCTURES

Programme Management Boards (PMBs)4.0 The PMBs lay down broad policies for the

programme and review its performance.It is argued that taking into account theUNDP’s relatively limited funding andthe fact that secretaries to the GOI, withtheir multifarious preoccupations, are unableto spare any time for PMB meetings, themechanism of PMBs may be dispensedwith. Such a step would be inadvisable asthe involvement of the department’sexecutive head provides the necessarymandate and prestige to the UNDPassisted programme, in turn facilitatingits implementation. The PMB also offersan effective forum of inter and intra-ministerial coordination and consultationwith stakeholders. It can be a usefulmechanism for micro-macro linkages and for drawing lessons from the imple-mentation process.

Programme Standing Committees5.0 The Programme Standing Committees

(PSCs) under the executing ministry’s NPD(a Joint Secretary to the GOI) however,should be reconstituted as EmpoweredCommittees, with representation of allrelevant officials so as to bring about greaterefficiency and speed in programmeimplementation This will also leave the

PMBs free to focus on macro policyissues rather than on routine managerialtasks. Two or even one meeting annuallyof the PMB should be adequate for thispurpose. The UNDP programmes aredesigned with rigour and after extensiveconsultations. The programme designcan be further modified to meet therequirements of EFCs and SFCs. Withthis improvement, it should be possible todispense with further processing at thelevel of the EFC, especially when theMinistry of Finance and PlanningCommission are represented on theempowered body.

Programme Management Units (PMUs)6.0 Clause 4.5 of the GOI-NEX guidelines

provides that when a programme/sub-programme component involves severalimplementing agencies and is spread overa large geographical area, a managementand coordination mechanism called‘Programme Management Unit’ (PMU)headed by a National Programme Manager(NPM) who together with support staff,is on contract with the UNDP, may beput in place. However, with downsizingof bureaucracy being a high priority forthe GOI, establishment of temporary postsunder a PMU is sometimes perceived as asurreptitious way of circumventing theban on creation of posts. The CR teamfeels that when a PMU is justifiedbecause of the nature of the programme,it should be permitted. It should providededicated support to the concerned JointSecretary, who serves as the NPD andunburden him of programme-relatedroutine chores. PMU staff may be paid atGovernment and not at UNDP pay scalesas special remuneration creates its ownaberrations and tends to isolate bothNPM and PMU. In exceptional situations,when an official brings to bear upon theprogramme work his special expertise,distinct from the normal managerialfunctions, emoluments at a higher scalecan be considered.

State-Level Steering Committee7.0 The CR team’s visit to two states and

interaction with state government officials


highlighted the need to strengthen thesense of ownership of UNDP supportedinterventions at that level. This impressionwas reinforced by observations in someevaluation reports and the feedback fromsome line ministries. In the CR team’s viewthe lack of awareness or commitment to somenoteworthy UNDP-assisted programmesat the state government level should be acause for serious concern. In the finalanalysis, programmes are implemented inthe states and that is where the real actionis. Their involvement in the programmesis therefore crucial, particularly becausethe UNDP’s resources are limited and itsobjective is to make a wider impact. Inthis context, it would be desirable to consider setting up apex level SteeringCommittees under Chief Secretaries of states.Such Committees will facilitate higher-level attention, ownership, disseminationof lessons and ‘best practices’, replication,state level coordination, and interactionwith civil society partners. The Committeescould be serviced by the State PlanningSecretaries, and assisted by National UN Volunteers. The opportunity for regular interaction at this level will help develop partnerships crucial for the success and sustainability of UNDP-supported programmes.

The Results Based Management Approach8.0 The UNDP RBM approach comprising

SRF and ROAR for the organisation as awhole and for each operating unit wasintroduced on a pilot basis towards theend of 1999. The approach has beenrefined in the years 2000 and 2001. Thissection comments briefly on the extent towhich the new planning and monitoringtools have been internalised by theCountry Office.

8.1 The RBM approach was introduced afterCCF-I implementation had commenced.Thus, the CCF-I objectives had to bealigned to the new framework. In thisprocess, the various programme and non-programme activities of CCF-I wereanalysed and 11 key outcomes identified.For each outcome, four to five outputswere defined. Most outputs involve anumber of sub-programmes and also

include non-programme activities such asadvocacy. An important aspect of theSRF exercise was the identification of key partnerships and the role of each inrelation to the development outcome.ROARs are being prepared to indicatethe progress in relation to the output targets for the respective years and alsowith respect to the outcome targets forthe SRF period as a whole.

8.2 There is no doubt that the SRF approachhas been of enormous value to the CountryOffice in sharpening its focus on outcomes.It has brought about greater clarity in thegoal of development cooperation. Theprocess has helped in placing greateremphasis on both the human developmentinitiative and on decentralisation. Althoughdisaster mitigation was not a thrust areaunder CCF-I, it was mainstreamedthrough the SRF in the Country Officepriorities. A schedule of outputs has beendeveloped for each of the outcomes. Theanalysis needed for the SRF exercise hasled to the addition of new need-basedoutputs and activities to the ongoing programmes. A case in point is the addition of advocacy-oriented outputs tosupplement the ongoing efforts of theSHDR project. The shift to an outcome-based approach has helped developgreater sensitivity towards the importanceof broad-based coalitions and partnerships.Some non-traditional partnerships suchas with the media have been identified.There is growing emphasis on stake-holder consultation and on a greater focus on programme resources vis-à-visthe outcome matrix.

8.3 The exercise for preparing the ROAR hashelped in the adoption of a more strategicapproach towards monitoring and reportingof programme results. It has encouraged abetter appreciation of strategic issues.

8.4 An analysis of ROAR reports, however,shows that outcomes and outputs havesometimes been expressed in terms that make measurement difficult. Forinstance, one of the output achievementsfor the year 2001 indicates “...centre forPublic Policy was set up at the IndianInstitute of Management, Bangalore”.This statement does not throw muchlight on the quality of output. The Centre


The exercise

for preparing

the ROAR

has helped in

the adoption

of a more

strategic

approach

towards

monitoring

and reporting

of programme

results. It has

encouraged

a better

appreciation

of strategic

issues.

is yet to become operational and therefore,it is questionable whether the progressreported can lead to a meaningful assess-ment. There are other examples of thiskind. There is thus a need to evolve outcome and output indicators that areamenable to some measurement or to ameaningful assessment.

8.5 The RBM system has only recently beenintroduced and therefore it should beconsidered to be a work-in-progress. It isexpected that the approach will becomefully operational and start paying richdividends in the next programme cycle.

Monitoring & Evaluation Strategy9.0 The monitoring and evaluation strategy

adopted by the Country Office indicatesa shift towards a participatory approach.The emphasis is on learning from experience and fine-tuning strategies and approaches through the analysis ofoutcomes. Importance is also being givento ensuring efficiency and accountabilityin the use of resources and in programmemanagement. The focus is now on RBM and the need to demonstrate development outcomes across selectedstrategic areas, rather than on outputsagainst individual projects.

9.1 The Monitoring and Evaluation strategyis attempting to stress learning, results,participation, and partnerships. Presently,it is in a pilot phase in which tools andmethodologies are being tested. It isexpected to become fully functional in thenext programme cycle.

9.2 The Country Office commissioned anumber of evaluation reports for anobjective assessment of programme performance and learning lessons. Thesereports provide very useful insights and are an evidence of the CountryOffice’s commitment to objectivity and tobecoming a ‘learning organisation’. Theycan be utilised profitably in introducingmidcourse corrections. Active involvementof the stakeholders, particularly the concerned officials in the the GOI and state governments, in sharing the lessons of these evaluations will help in the learning process, in improving programme performance, and in themainstreaming of effective approaches.

UN System Coordination10.0Each of the UN organisations with a base

in India and many non-resident agencieswork in close partnership with the GOI tomutually agree upon areas of co-operationon human development issues. Experiencesgained and lessons learned are shared regularly to improve the quality of programming, to become more efficient,and to enhance outcomes through several inter agency mechanisms. Underthe UNDAF, two priority themes – pro-moting gender equality and strengtheningdecentralisation – were identified toenhance collaboration with the GOI inthese strategic areas and within the UNsystem. To achieve these goals, steps havebeen taken in the following priority areas,gender sensitising the planning process,census and budgets, collaboration onHIV/AIDS with a focus on gender, andsupport to the Government on progressalong international development targetsand millennium development goals.

10.1Procedurally, several steps have reportedlyalready been taken by the UN agencies tobring about greater efficiency throughcollaboration. These are(i) Full harmonisation of programme cycles

among UN system organisations bythe year 2003. The UN country pro-grammes (anchored in the UNDAF)would in turn be harmonised withthe GOI's five-year planning cycle.

(ii) New initiatives for sharing successfullearning include the Inter AgencyWorking Group (IAWG) and thethematic group mechanism in 11crosscutting areas. UN agencies,government, and civil society part-ners regularly share information andexperience and explore opportunities forgreater synergy to complement ongoingagency initiatives in these areas.

(iii) There are ongoing efforts to bringabout cost savings by collectivelydealing with administrative matterssuch as security, travel, courier servicesand cafeteria facilities.

(iv) Procedures relating to procurement,quality control, after sales service, customclearance, and tax issues are beingstandardised on an ongoing basis.

(v) New initiatives have been undertaken


Each of the UN

organisations

with a base

in India and

many non-res-

ident agencies

work in close

partnership

with the GOI

to mutually

agree upon

areas of

co-operation

on human

development

issues.

to organise joint learning and trainingfor UN staff. Joint UN system trainingsessions are being held annually.

(vi) In the area of informatics, a commonUN intranet is being further enhanced.

11.0The concrete steps taken to bring aboutgreater coordination and synergy includethe CCA exercise completed in 1999.This culminated in the finalisation of theUNDAF document. In coordinating UNsystem activities for disaster mitigation in the wake of the Orissa cyclone and the Gujarat earthquake, the UNDMTdid commendable work. The JanshalaProgramme is another example of partner-ship among the concerned UN agencies.Some concrete steps taken to strengthenthe capacity of the UN system include acommon UN database with a set of common social development indicatorsfor monitoring and evaluation; setting up

of a UN-India Intranet, with subsets ofkey data/information on the UN system-India website (www.un.org.in). Thesecould be further strengthened by compilinga UN system catalogue of annual learningand training events. This may include allthe training available, from each of theUN organisations, to staff and partnerorganisations and mapping of best practicesto improve programming and operations.Common training modules and learningmaterials could be developed and staffexchanged for capacity building so as tostrengthen this system.

12.0As the UN organisations proceed withthe harmonisation process, and UNDAFpriorities get reflected in the new CPs,new opportunities for collaborative actionwill emerge. Seizing these opportunitieswill be critical for demonstrating theimpact of UN system coordination.



Preserving the UNDP’s Unique ImageThe UNDP enjoys a unique image of neutrality and impartiality. It is perceived as a truly multilateral organisation. The degree of influence itexercises goes beyond the financial resources it provides. It has relativelyeasy access to policy makers who are willing to share a platform with theUNDP. It gathers rich experience from its presence in well over a hundred countries. It has access to global networks, partnerships withinthe UN system, and with other development agencies. Its capacity todevelop collaborative relationships and synergies with other actors is commendable. It plays a useful role in coordinating aid. Its rigour andprofessionalism in programme planning and implementation, monitoringand evaluation, and its willingness to be flexible and adopt innovativeapproaches are its distinctive strengths. However, what the UNDP providesto India in terms of total quantum of funds is meager. The total externalassistance, as a percentage of India's plan outlay is 8.4% (See Table 9,following page). Of this, the total disbursements of other internationalinstitutions (which include UNDP) as a percentage of total external assistance were 0.21% in 1998-99 and 0.23% in 1999-2000. UNDPfunding for the next CP is likely to be even less. Thus, in purely financialterms, the UNDP’s contribution is modest. It is its other strengths,highlighted above and the 'currency of ideas' that it brings to bear onIndia's developmental effort that are of greater importance.

5

5 3

Lessons Learnt andRecommendations

India is a developing country with a varietyof problems. However, it has its own strengthsand potential. In this context both partners –UNDP and India – need to keep in view eachother’s strengths and constraints and attemptto build on mutual strengths to maximise thecontribution of the collaborative partnershipto India's developmental effort.

The UNDP as a multilateral agency isrequired to have a global agenda. All nationswho constitute the UN system need to contribute to this endeavour. One of the keylessons learned by the UNDP in its globalexperience is that developmental efforts haveto take into account the specific circumstancesof the local communities. At the global level,it has advocated the imperative of peoplecentred development. The logic of thisapproach dictates that the UNDP should takeinto consideration the specific circumstances,strengths, and sensitivities of each country.Such an approach will call for a strategy that tailors its programmes to suit the localcircumstances of each country. It is prudentto ensure that in pursuit of its global agenda,the UNDP does not tarnish its image ofimpartiality and neutrality. The trust it enjoysamong nations is one of its great assets and it should not be put at risk by following a uniform approach across all countries. TheIndia Country Office has a perceptive under-standing of the local context. The CR team’sassessment is that it has so far sensitively calibrated UNDP’s global agenda to suit thelocal circumstances and requirements. TheUNDP needs to encourage the Country Officeto adhere to this approach in the future also.

On the other hand, the GOI shouldrealise that while UNDP’s financial inputsmay be modest, it has other unique strengthswhich it can and should take advantage of.The value of the UNDP’s contribution cannotbe seen in narrow monetary terms alone. A

keener understanding of these issues on eitherside will be conducive to enhancing the UNDP’simpact on India's developmental effort.

Avoiding Multiplicity of Objectives,Programmes and Sub-ProgrammesMultiplicity of objectives tends to diffuse the focus of a programme. The situation iscompounded when goals or themes are superimposed midstream. It is necessary toensure that in the future, themes and objectives are of a manageable number and are clear to the planners at the very outset ofthe programme cycle.

Similarly, a large number of programmesand sub-programmes (ten and 94 respectively)under CCF-I needs to be avoided. Of the 94 sub-programmes under CCF-I, 53 have a resourcecommitment of less than US $0.5 million, 12of US $0.5-1.00 million, 17 of US $1.00-2.00million and only 12 of over US $2 million24.Small programmes, scattered across states in alarge country like India, can cause considerablestrain to managerial resources both within thegovernment and the UNDP, render monitoringand evaluation difficult, and lead to sub-optimalutilisation of funds. What is worse, such small,diverse and scattered interventions fail to create a visible impact. It is therefore necessaryto ensure that sub-programmes converge boththematically, around a few clearly identifiablethemes and objectives, as well as geographically.

Partnerships For Synergy and Long-Term SustainabilityIn order to bring about synergies in collaborativeefforts and long-term sustainability of pro-grammes, there is a need to build partnershipsand alliances at several levels – with key actors in the central government, nationalinstitutions, research institutes, media, electedrepresentatives, the private sector, multi-laterals and bilaterals, state governments,district administration, elected representativesof PRIs, NGO’s and others. A strong under-standing with the DEA on the principal goals and strategy should form the foundationof the CP. Special attention needs to be paidto building partnerships with the state governments, district administrations, andPRIs, which have so far not received adequateattention and appear to be in the margins.When the UNDP has withdrawn, it is the


-----------------------------------------------------------------------------------------------------------24. Source: UNDP Country Office.

TA B L E 9 : E X T E R N A L A I D D I S B U R S E M E N T S I N I N D I A1 9 9 8 - 9 9 & 1 9 9 9 - 2 0 0 0 ( R S . C R O R E S )


Item

Total Plan Outlay (Centre+States+Uts)

Total External Assistance

External Assistance as a percentage of Plan Outlay

Disbursements of “Other International Institutions”(Including UNDP)

OII disbursements as a percentage of Total External Assistance

1999-2000

170856.8

14404.5

8.4%

33.5

0.23

community and the local administration thatwill carry forward the initiative. The action isin the states. In this sense, they are amongthe key stakeholders. There could be aSteering Committee headed by the ChiefSecretary at the level of state governments forperiodic review, coordination, resolution ofproblems, preparation of a ground for replication, and policy impact. The centralgovernment needs to pay special attention to this aspect and devise an appropriate mechanism for securing active involvement of the state governments.

District administration is a crucial part ofthe administrative setup in India. A strongpartnership with it can greatly enhance prospectsof success; its hostility can do irreparabledamage. So far, the issue of building allianceswith district administration has not been considered critical. This aspect needs to beaddressed in the upcoming CP.

Approaching DevelopmentHolistically A uni-dimensional intervention does notensure results in the long-term; it is essentialto take a holistic approach to tackling a problem.For instance, a programme of water conservationor watershed development cannot succeed inisolation; it must be accompanied by initiativesfor community mobilisation, communityownership, gender sensitisation, afforestation,education, health, non-farm and off-farmdevelopment activities. While the focusshould be on the key area, these other aspectswill also need to be addressed. A narrow sectoral, compartmentalised approach mustbe avoided. There is a potential dichotomy inbeing holistic and focused at the same time.This will need to be avoided in the process ofprogramme formulation. While the entrypoint may be a key priority or a felt need,other elements will have to be addressedincrementally. For instance, it may not bepossible to effectively tackle the problem ofpoverty eradication by thrift and credit alone.Aspects like community mobilisation,empowerment, health, capacity building, andbasic education will also have to be attendedto. This approach is now fully appreciated bythe Country Office. Nevertheless, this is anaspect that needs to be emphasised in thecontext of the forthcoming CP.

Inter-Sectoral Linkages among ProgrammesThe CCF-I document lays great emphasis oninter-programme linkages and integration ofcrosscutting issues such as gender equality,environmental sustainability, HIV/AIDS, andtechnology management. The increasingemphasis on efficient management to maximiseimpact and optimise resource use also demandsa ‘matrix approach’ to programme management.This area needs to be strengthened.

Discussions with programme teams indicatethat programmes and sub-programmes aredesigned independently and function more orless in isolation from each other, despite thevisibly positive relationships among concernedProgramme Managers in the Country Office.This is evident in the field as well, where sub-programmes being implemented in the samestate or district appear to have little or no contact with one another. Discussions withprogramme teams brought to light the factthat this is also an area of concern for theCountry Office.

The gaps in the integration of genderissues into ‘hard’ programmes are mirrored by gaps in the integration of technology management or environmental issues intocommunity based programmes. The resourcesand strengths of each division of the CountryOffice in terms of both in-house capacitiesand professional networks do not seem tohave been tapped to any significant extent.For instance, technology programmes couldhave been implemented through women’s groupsinitiated under the CBPPI Programme.Similarly, women’s empowerment programmescould have been implemented in the sameareas, and through the same partners, as programmes for community management ofnatural resources or for development of rural technology.

The CCF-I document makes it clear thatUNDP supported initiatives are designed notso much to deliver development objectives inthemselves, as to contribute to the achievementof overarching development goals at the localand national levels. However, the impressionformed through discussions with programmeteams is that individual sub-programmes areseen as stand-alone models. The review teamwas unable to obtain any clarity as to howeach sub-programme actually contributes to thegoals outlined in the national or state plans, or, in

L E S S O N S L E A R N T A N D R E C O M M E N D AT I O N S 5 5

A uni-

dimensional

intervention

does not

ensure results

in the long-

term; it is

essential to

take a holistic

approach

to tackling

a problem.

some cases, even how different sub-programmesunder the same programme contribute to theachievement of programme goals.

In view of the above, the CR team suggeststhe following corrective measures:■ The design process for the next phase of

work should focus on identifying a limitedand manageable number of thematicareas. Time and effort should be investedin the initial stages on building a clearconceptual framework that makes visiblethe linkages between the selected areasand the UNDAF themes of promotinggender equality and strengthening decen-tralisation. This framework should beshared with and validated by the concernedline ministries, and with as wide a range aspossible of civil society groups, before it isused as a basis for developing individualprogrammes in the selected sectors.

■ The SRF, which was introduced in early2000 as part of the shift to RBM, tracksachievements against corporate goalsrather than in terms of the performanceof individual programmes. It is thus auseful tool for matrix management. Sincethe SRF was introduced well after CCF-Iprogrammes were developed, it has not beenoptimally used. In the next programmecycle however, the SRF goals should formthe basis for identification of specificareas for intervention, in order to ensure a balance between goals and resourceallocations in different areas. The SRFshould also supersede other organisationalmonitoring tools and should be used forregular tracking of progress on outcomes.

Active Involvement of Zila Parishads,Blocks and Panchayats (PRIs)PRIs are now constitutionally mandated and alarge number of programmes, specifically thoserelating to poverty alleviation and the socialsector, are to be planned and implemented bythem. And yet so far, PRIs’ involvement inUNDP programmes is minimal. With theUNDP’s considerable reliance on NGOs andwith the PRIs remaining in the margins, apotential for distrust and even conflict is created. With the progressive empowermentof PRIs, securing their cooperation in UNDPassisted programmes will be a major challengein the next CP. The CCF-I programme forcapacity building is a good beginning, but it is

not enough. A conscious and vigorous initiative in the upcoming CP, to ensure active participation of PRIs in appropriateprogrammes, will be necessary. Where theimplementation agencies are NGOs, effortswill be needed to promote a collaborative relationship with PRIs. Similarly, links willneed to be established with Zila Parishads and Blocks.

Maximising Impact through ‘Indirect’ InterventionsWith its limited resources (only a part of onequarter of a percent in India’s developmentoutlay), the UNDP cannot hope to make asignificant direct contribution in programmesrequiring huge resources like poverty alleviation,universalisation of education, access to healthfor all etc. Its efforts will be better rewardedif it focuses on indirect interventions in areaswhere it has strengths and can make a distinctive contribution. Such areas shouldbe selected jointly by the GOI and theUNDP, and could be identified on the basis of UNDAF and SRF. In case the UNDPchooses to operate in a sector in which biggerplayers are already operating, it would be prudent to see how value addition can beensured. This can be done by concentratingon a specific innovative approach or a geographical area; sharing lessons learnt andtheir dissemination; human development initiatives like the SHDR; introducing appropriate technologies; capacity building andleveraging global funds like GEF and MP.

In order to lend credibility to its ‘indirect’interventions, the UNDP will need to undertakedirect interventions for hands-on experience.Advocacy by itself, without the precedingdemonstration of the ability to implement,will have limited credibility. This should notbe taken as a justification for continuing witha large number of direct interventions (e.g. theKutch Mahila Vikas Sangathan). Here, successwould be best assured by exercising the rightchoice regarding the entry point. The entryshould be an issue/problem that is of criticalimportance to the community and a 'feltneed’, like water in the case of the TarunBharat Sangh villages (Alwar, Rajasthan) ortechnology intervention for leather footwear(Mojari) in the case of the cobbler dominatedUdaipuria village in Jaipur. Other interventionswould need to be built around such a thrust


In case

the UNDP

chooses to

operate in

a sector

in which

bigger players

are already

operating, it

would be

prudent to

see how value

addition can

be ensured.

area, and should be demand driven.It is also necessary to ensure that the

UNDP does not enter an area that is crowdedby other players with significantly largerresources. Intervention in a highly worthwhilearea may be desirable, but must always be tested on the criterion of the UNDP’s abilityto add value. The UNDP needs to carve out a specific niche for its distinctive anddemonstrable contribution.

Exit and Replication StrategiesFor a variety of reasons explained in the section on programme performance, exit forUNDP supported programmes may not besmooth. Abrupt withdrawal is likely to adverselyimpact the credibility of such interventions.Exit strategies should be specifically built intoprogramme/sub-programme designs, and shouldbe adequately explained to the stakeholders.Milestones for each stage of the project need to be specified in the programme/sub-programme document so that stakeholdersknow at which stage external assistance will nolonger be available. At present,most programmes/sub-programmes do not seem to incorporateor in practice implement such a strategy, andthere are instances of beneficiaries developinga dependency syndrome.

Similarly, the rationale for taking up aprogramme needs to be explained upfront tothe concerned actors and stakeholders.Especially at the state government level, thereis an impression that UNDP intervention isanother source of additional resources. Theprecise objective of the intervention, i.e. itscharacter as a pilot, a demonstration or aninnovative project with a view to learning lessons or initiating a larger programme,needs to be explained to key actors at theground level. Actors in the field need tounderstand that if certain approaches proveeffective, they should be replicated elsewhere,with appropriate modifications to suit thelocal conditions.

Disseminating Lessons Keeping in view the UNDP’s goal of maximising the outcomes of its efforts, moresystematic and intensive action is needed tobring international experience to India; shareexperiences and best practices within India;develop best practices documentation; andtake follow-up action to widely communicate

its messages. In the past, the Indian bestpractices have been successfully disseminatedto other countries. This process should becontinued and further strengthened. This willhelp both India and the UNDP in developingpartnerships, linkages, and visibility globally.

Gender MainstreamingGender equality has been identified in successivePlan documents as a priority goal of developmentin India. At the global level, gender equalityand the advancement of women are prominentgoals in the UNDP’s SRF. This is reflected inthe CCF-I document, which recognisesmainstreaming of gender equality concernsacross programmes as a critical element of thestrategy for sustainable human development.Promotion of gender equality is also one ofthe twin themes of UNDAF in India, andshould therefore be the principal crosscuttingtheme for the forthcoming CP. Programmesunder CCF-I have generated a rich experienceof working in partnership with diverse actors toimplement approaches to women’s empowermentand gender equality. It is important to analysethese experiences so as to draw out the lessonslearnt and build on them in the next CP.■ Despite the centrality of gender equality

to the SHD framework, the CR team’sdiscussions with programme teams andNPMs suggest that gender is still seen asbeing primarily relevant to community-based programmes implemented throughNGOs. Evaluation reports of some keyprogrammes in ‘hard’ areas like technologyand industry indicate that, even thoughprogramme and sub-programme documentssometimes contain some references togender, there is very little attention togender issues or even women’s issues atthe field level.

■ Where programme documents are largelysilent on gender issues, and work in thefield is being undertaken in partnershipwith communities, there is a very real risk of interventions replicating or evenreinforcing traditional gender inequalitiesand biases.

■ Similarly, monitoring frameworks tend toignore gender issues unless they are clearlyreflected in the sub-programme documentin terms of objectives and activities. Theextent to which evaluations and reviewsaddress gender issues also depends on the


perspectives and skills of the evaluator.■ Evaluation reports of sub-programmes

under the CPBBI, which has a stronggender focus, reveal that the outcomes ofgender interventions depend largely on theperspectives and skills of the implementingNGOs. In sub-programmes implementedby strong women’s groups or NGOs withclear gender perspectives, the outcomes interms of women’s empowerment andgender equality are clearly visible. Oneevaluation report mentions the need forthe internal practice of the implementingorganisation to conform to certain minimumstandards of gender equality.The Country Office recognises the above

issues and has attempted to address themthrough capacity building of in-house teams,workshops on gender for implementing partners, participatory exercises for genderimpact assessment, and a gender perspectivebuilding workshop for NGO partners.

These efforts need to be pursued andstrengthened further in the preparatory phaseto the next CP. The following steps could betaken in this regard:■ Involvement of a representative selection of

women’s groups and gender experts in theconsultations and programme formulationprocesses is necessary to ensure that thenext CP addresses emerging prioritiesand issues. Consultations should alsoinvolve the Department of Women andChild Development and the NationalCommission for Women, with whom theUNDP did not have a formal partnershipduring CCF-I.

■ The Approach Paper to the Tenth Planplaces a strong emphasis on speeding upthe process of economic reform and economic growth. At the same time,there is increasing evidence that womenhave so far not been able to claim an adequate share of the benefits of economicgrowth. Given its access to credible women’sgroups, and the institutional base providedby the HDRC, the UNDP should under-take some focused action-research projectsto explore the linkages between macro-economic policy and women’s lives,including ongoing and gender differentiatedmonitoring of social sector spending atthe grassroots level. Such an initiativecould be dovetailed with the preparation

of SHDRs, so as to build on their credibilityand sharpen their effectiveness as toolsfor planning and programming at thestate level.

■ Given its high credibility in the NGOsector and the strong linkages that havebeen established with a range of NGOsduring CCF-I, the UNDP could contributeto the process of gender perspectivebuilding for NGOs. This could be doneby facilitating networking betweenwomen’s groups and NGOs in the states/areas where UNDP interventions areconcentrated, and through issue-basedworkshops to share perspectives on criticalissues related to gender equality. It alsoneeds to be ensured that in the process ofgender sensitisation, men are taken onboard. In many cases, they seem to begoing along with these initiatives merelybecause the sub-programmes are bringingin material benefits. The EvaluationReport on Lok Drushti, Orissa, observesthat “At present men accept these inputsbecause of the benefits that accrue tothem”. Their acceptance is more an exercise in tokenism. Efforts to bringabout gender equality have a profoundimpact on interpersonal relationships. Itis about sharing and giving up power.Therefore, men need to fully internalisethe value and the rationale of the effort.Otherwise, they are likely to react whenthe programme managers are no longeron the scene.

NGO’S – PRI’S INTERFACEA common feature of almost all the evaluationreports is the concern expressed about weaklinkages between sub-programme activitiesand processes, and other structures involved atthe village level, whether PRIs, the districtadministration or community groups andgovernment departments. To some extent, thisseems to be a reflection of the attitudes andapproaches of implementing NGOs, which arelimited in their networking and sometimestend to follow exclusionary approaches.

The relationship between NGOs and PRIsis not always positive. Elected members ofpanchayats accuse NGOs of being unaccountableto the community, while NGOs are wary ofthe domination of panchayats by politicalpower brokers and local elite whom they have


confronted in the course of their work withmarginalised groups. The existence of thistension was confirmed to the CR team in discussions with senior government officialsas well as in the meetings with NGO partners.However, there was a consensus that, in thelong run, the sustainability of developmentprocesses depended on their being stronglyrooted within democratic institutions at thevillage level. The UNDP should promoteapproaches to inculcate synergy between thePRIs and NGOs.

There is a wide variation in the perspectives,skills and resources of NGO partners. Theseplay a major role in shaping the outcomes of interventions.

Encouraging Transparency among PRIs and NGOsTransparency in PRIs’ and NGOs’ financialtransactions and accounts can greatly improvetheir credibility and interface with governmentagencies and the community in general. Thiscan be ensured by the PRIs/NGOs freely disseminating information on their financialtransactions, accounts, and audit reports.Some NGOs have been able to enhance theircredibility by holding public hearings on their audit reports and accounts. The UNDPcountry office could encourage both PRIs and NGOs that it works with to adopt this approach.

Refining Programme Design and Implementation StrategiesThe experience of some CCF-I sub-programmesis that even where well-intentioned NGOsare the implementing agencies, benefits golargely to the well-off land owners or to marginal farmers, and the landless are likelyto remain deprived. For example, theEvaluation Study of Lok Drushti observes,“However, all their benefits will reach personswith some land. In many cases, they are small and marginal farmers who may end upas landless and Below Poverty Line (BPL)families without this support”. Also,programmesfor empowering women tend to neglect therole of men in the process, which may provecounter-productive. For sustainability andreplication, special measures are needed,including steps for ensuring that the communityinternalises the vision, the values, and therationale of the programme. In brief, while

designing programmes it is necessary toundertake a rigorous analysis of the aspects ofclass, gender, and replicability. Without suchan analysis and inclusion of appropriate stepsin the programme design, the poorest and themost vulnerable may be neglected, men maysabotage the process of women’s empower-ment, and replication may not happen. Theprogramme design should also incorporaterights-based perspectives.

The CR team sensed that in some sub-programmes there was a degree of ambiguityabout their precise nature. It was not quiteclear whether they were ‘direct’ interventions,‘complimentary’ programmes or just ‘pilot’projects. This ambiguity can also impact theprocess of monitoring and evaluating outcomes.The precise nature of sub-programmes should bemade explicit at the very outset in their designs.

Rethinking Strategies during ImplementationThe programme design should cater for mid-course corrections. There are several exampleswhere the initial design has failed to achievethe intended objective. Hence, the initialanalysis may not be sufficient. Interventionoutcomes should be analysed during theimplementation process in order to addressdeficiencies or failures. Annual ROAR exercisesunder the RBM system can be used as aneffective tool for analysis. Midterm or concurrent evaluations with stakeholder participation can strengthen this process.

Dealing with Vested InterestsSome NGOs tend to ignore rules and well-established procedures and thus expose themselves to a possible adverse reaction frombureaucracies, which may act along with vestedinterests to sabotage the programme. Theproblem can be compounded when NGOsharbour a prejudice against the administrationin general and tend to treat even well intentionedpolicies or government regulations with disdain.The voluntary sector must understand therules and adhere to them. There is also aneed to be proactive and where problemsarise, solutions must be found in consultationwith the local administration. Threats, even inthe form of physical violence, may arise fromvested interests. In this context, it is desirableto take preventive measures, establish contactswith other likeminded organisations and also


Some NGOs

tend to ignore

rules and well-

established

procedures

and thus

expose

themselves

to a possible

adverse

reaction from

bureaucracies,

which may

act along

with vested

interests to

sabotage the

programme.

take the district administration in confidence.The tendency among vested interests to circumvent ‘the process’ for the benefit of theend product must be effectively discouraged.

Developing Good NGOs as Resource CentresMany NGOs tend to work in isolation andprefer to go it alone. However, the UNDP andthe Government need to promote effectivenetworking among good NGOs. Such networkswould create ongoing relationships of trustand solidarity. They will involve sharingresources and experience. Conscious effortsare also needed to develop good NGOs asresource centres. These can assist otherNGOs in training, capacity building, sharinglessons, and extending support in case ofneed. A challenge for the UNDP could be tofacilitate mainstreaming of best practices andevolution of ‘mother NGO’s’ to spawn newNGOs, as the potential role they can play farexceeds their present capacity.

Developing Paraprofessionals/Community Animators/VolunteersThe experience of some CCF-I sub-programmesshows that literacy is not a necessary pre-condition for training paraprofessonals likelivestock and health activists. It is desirable todevelop paraprofessionals and/or communityvolunteers/animators. They can motivate,undertake extension work, promote self-helpgroups and ensure sustainability. They canoffer services that the bureaucracy may fail to provide.

Beneficiaries of a number of sub-programmesthat have achieved significant success desireprogramme assistance to continue indefinitelyand show no confidence in their ability tomanage on their own. With occasional andlimited presence of programme managersfrom headquarters, only a few members of thetarget group internalise the basic concept ofthe intervention, relying essentially on ‘hard’inputs. This underscores the need to developvoluntary extension workers from within thecommunity. These workers can disseminate‘the message’, liaise with programme managersand help carry on the work when the programme managers have finally gone. In theupcoming CP, an element needs to be built inconsciously to introduce a system of communityanimators/volunteers who can be assigned thework of motivation, extension, promotingself-help groups and ensuring sustainability.

Time Perspective for Social MobilisationSocial mobilisation is a complex and time-consuming process. Success cannot beachieved or expected from a one-time effort. Lasting results can be achieved onlythrough intensive and sustained work. Thisaspect must be kept in view while designingprogrammes and working out their timeschedule for implementation. An abruptwithdrawal can derail the process and damagecredibility. When process oriented interventionsare undertaken the issue of time frame shouldbe properly thought through and incorporatedin the programme design.



The themes and programmes for the next CP need to be developed aroundthe objectives of India’s Tenth Five Year Plan; the overarching goals of theUN system in India i.e. elimination of human poverty and inequalities andsustainable human development; and the UNDAF themes of promotinggender equality and strengthening decentralisation. These overarchinggoals and UNDAF themes are duly reflected in the Tenth Plan prioritiesand perhaps it is not necessary to have any separate objectives for the nextCP beyond Plan priorities, the UN’s global mandate, and the UNDAF.Given the UNDP’s resource profile, greater emphasis on indirect inter-ventions in areas mutually agreed upon by the GOI and the UNDP will bedesirable. Direct interventions for programmes like eradication of poverty,universalisation of education, health for all etc., although highly desirable,may not be feasible. For fighting poverty – one of the overarching goals of the UN system in India – the UNDP will have to focus on forging partnerships. It should consider achieving multiplier effects through sometargeted direct interventions involving innovative projects in consultationwith the line ministries and with a clear understanding regarding replicabilityby other development partners/the GOI/state governments.

India is a large country with many problems and enormous potentialfor development. Its development plans are comprehensive in nature andcover almost every important aspect of the country’s socio-economic status.In this background, there are many worthwhile programmes that theUNDP can take up. In order to maximise the impact of its efforts, however,the UNDP will need to resist the temptation of having its fingers in too

6

6 1

FutureDirections

many pies, and should instead focus its effortson a few carefully selected themes and programmes in consultation with the GOI.The CR team wishes to propose a menu of options for the upcoming CP for the consideration of the GOI and the UNDP.The list of these options is not exhaustive and other options can be considered. Nor is it necessary to take up all of these themes/programmes. As the CR team has repeatedlyemphasised the UNDP will have to resist thetemptation of doing everything worthwhileand will have to focus on a few well-consideredpriority areas. The suggested options arebriefly discussed below:

STRENGTHENINGDECENTRALISATIONThe importance of this goal cannot beoveremphasised. For both the GOI and theUNDP, decentralisation is a priority. It isexpected to ensure efficiency, improved designof programmes, greater accountability, andtransparency and people’s participation inprogramme formulation, implementation andevaluation. The decentralisation programmeshould, inter alia, include efforts for strength-ening the existing institutions for training ofelected Panchayat representatives as well asofficials at the local level. Capacity buildingfor local level planning and execution is alsorequired. It would be desirable to initially takeup pilot projects for decentralised delivery ofsocial services and for community involvementin planning, implementation, and monitoring.

Special emphasis must be laid on applyingInformation and Communication Technologies(ICT) for effective decentralisation. Thedecentralisation programme could alsoinclude a distinct component of capacitybuilding for district planning with a focus on improving quality of data, particularly forpurposes of planning and monitoring andconvergence among schemes and geographicalareas. In order to ensure that programmes/sub-programmes and projects are rooted inground realities, plans need to be prepared inconsultation with beneficiary communitiesand require their active involvement. Such aprocess will also call for strengthening thecapacity of local officials for project preparation,effective implementation, management, mon-itoring, and evaluation.

ACCELERATED DEVELOPMENT OF 20-30 BACKWARD DISTRICTS ON A PILOT BASISCurrently, the UNDP’s interventions are scattered and many of them fail to make a visible impact, sometimes even as pilot projects.The CR team believes that the UNDP shouldtake up accelerated development of 20-30backward districts on a pilot basis in the nextCP. Such districts may be selected on the basisof backwardness (like tribal/SC dominated,drought prone districts, and those with lowsocial indicators and poor existing partnerships).The intervention should focus on communitymobilisation, involvement of PRIs, gendermainstreaming and convergence among bothschemes and development actors. The programme design should focus on refiningdata, micro planning and gender equality.By converging the UNDP’s financial andmanagerial resources, these districts couldbecome good models of micro planning andpeople centred development. They shouldserve as examples for learning lessons andadministering best practices. The interventionshould also provide for replication and exit strategies in agreement with the stategovernments and the GOI.

HUMAN DEVELOPMENTGiven India’s goals in the sphere of humandevelopment and the UNDP’s acknowledgedwork in the area, this is an obvious candidatefor strong support in the next CP. HDRs forstates and subsequently for districts have thepotential of catalysing rapid development insocial sectors. Keeping in view India’s pastexperience in this activity, quantitative targetsfor publication of HDRs need to be avoided.Excessive emphasis on such targets may resultin glossy reports but no human development.SHDRs must be accompanied by bothupstream and downstream work. The lattermay involve, inter alia, preparation of HDRtheme papers, their dissemination, follow upworkshops, and promoting debates on issuesof concern. District level data relating tohuman development indicators would alsoneed to be compiled and analysed. Theprocess should involve mainstreaming genderconcerns in planning, gender budgeting, andanalysis of gender issues in national and statebudgets. This programme would lead tostrengthening of databases, policy research,and analysis and dissemination of findings.


DEVELOPING THE ARTISAN SECTORArtisan sectors like leather, fibres and handi-crafts with emphasis on gender equality andwomen’s empowerment have considerablepotential for providing non-farm employmentopportunities and thus need to be promoted.The sector provides livelihood/supplementalincomes to millions of households in droughtprone, tribal or other backward areas. Modernindustry and globalisation threaten their veryexistence. Artisans and small industries cannoteasily benefit from globalisation, as they do not have the resources to access the latesttechnologies and imported raw materials, norcan they easily make an entry into the exportmarket. No other multilateral agency has takenup the challenge of developing this sector.This is an area of considerable promise for thenext CP. It will provide an opportunity forintroducing appropriate technologies forenhancing artisan’s incomes, helping empowerwomen in the sector, and also aiding in theprocess of poverty reduction.

VULNERABILITY REDUCTION AT COMMUNITY LEVEL INCLUDING DISASTER RISK REDUCTIONUNDP-India’s contributions in mitigatingthe adverse impacts of the cyclone in Orissa in1999 and the earthquake in Gujarat in 2001are good examples of what it can do to effectively meet emergent requirements. TheUNDP is now planning to set up disastermanagement and vulnerability reduction hubs in Orissa and Gujarat. The GOI is itselfconsidering a proposal for setting up anational disaster management agency andstate level disaster management agencies.Considering the vulnerability of many Indianstates to disasters, this task has become anational priority. The UNDP, with its globalnetwork, can assist the GOI in buildingcapacities at the central and state levels for disaster mitigation management and vulnerability reduction.

CIVIL SERVICES RENEWALWhile the Government’s role has to undergoa change, civil servants’ capacity building toimplement the change is equally important.The focus of this effort has to be in the twoareas of skill upgradation and attitudinalchange. A UNDP supported initiative underCCF-I envisages development of a Centre for

Public Policy in the Indian Institute ofManagement, Bangalore. This facility, whichis being set up in collaboration with an international institute of repute, will startfunctioning in a few months time. It willimpart training to midcareer civil servants and other policy makers. Given India’s sizeand needs, as well as its intellectual and professional endowments, it would bedesirable to develop similar centres of excellencein other Indian Institutes of Management,Administrative Training Institutes at the statelevel, and selected local institutes. These centresshould develop teaching materials and casestudies relevant to India’s development context and draw upon the experience ofother developing countries. The goal shouldbe to create centres of excellence that matchthe quality of reputed international institutes.This programme can be a significant and distinctive contribution of the UNDP.

RENEWABLE ENERGYRenewable energy is a priority on the agendafor sustainable human development. Thereare thousands of habitations in India whereelectrification from the existing power grid isnot viable. These habitations can be providedenergy through renewable sources. Communityinvolvement would be a vital part of this programme. It would also greatly benefitwomen who suffer the most in the absence ofelectricity. The programme for covering suchisolated habitations through renewable sourcesof energy can make a significant contributiontowards sustainable development by providinglivelihood, reducing poverty, and alleviatingthe heavy burden carried by women in searchof domestic energy.

WATER CONSERVATION AND HARVESTINGRapid depletion of water sources is assumingalarming proportions. Some analysts considerscarcity of water to be a potential source offuture conflicts. In many parts of rural India, lackof water is a serious problem that profoundlyaffects the daily lives of people. This is one reason why programmes of watersheddevelopment, like that of Tarun Bharat Sanghin Rajasthan, have proved to be so popular andsuccessful. In many Indian villages water is afelt need and an appropriate entry point forintervention. It provides an opportunity for

F U T U R E D I R E C T I O N S 6 3

Artisan

sectors like

leather, fibres

and handi-

crafts with

emphasis

on gender

equality and

women’s

empowerment

have consider-

able potential

for providing

non-farm

employment

opportunities

and thus

need to be

promoted.

mobilising the community, enhancing theirincomes, and improving the quality of theirlives, particularly those of women. In view ofthese considerations the CR team feels thatprogrammes of watershed development, waterconservation, and harvesting should be strongcandidates for the next CP.

INFORMATION TECHNOLOGY FOR DEVELOPMENTInformation Technology (IT) is an area ofstrength for India. It can bring about efficiency, speed, and transparency in publicservice delivery, improve productivity, facilitatespread of education and improve the lives ofpeople in a number of ways. The CR teamsaw a promising model for the introduction ofIT in district planning to improve convergence,efficiency of expenditure, and greater publicsatisfaction. IT industry leaders can lend support to a well-conceived programme, whichharnesses the potential of information andcommunication technologies for development.This is a promising area and merits considerationfor inclusion in the ensuing CP.

PARTNERING THE PRIVATE SECTORSo far, UNDP programmes have been heavilypublic sector oriented. Some initial steps havebeen taken to forge a partnership with the private sector. However, these focus on the

area of corporate social responsibility. Whilethis is a worthwhile goal in itself, thedynamism, energies, creativity, and resourcesof the private sector in India need to be systematically harnessed for achieving the goalsthat are jointly selected by the GOI and theUNDP. In the CR team’s view, an appropriatearea to be explored is the possible support ofthe artisianl sector by the formal private sector.A symbiotic relationship between the twocovering technology, entrepreneurship, design,and marketing has the potential for trans-forming the artisanal sector. Another potentialarea is tourism development.The private sectoralso needs to be actively involved in crosscuttingconcerns like gender equality, HIV/AIDS,and environmental issues.

These possible areas of intervention arebeing suggested as a set of options to enablethe UNDP and the GOI along with theirpartners to examine the relevance, pros andcons, and costs and benefits of each. The CRteam would like to reiterate emphatically thatthe UNDP needs to sharpen its focus andchoose only five or six of the most appropriateprogrammes. Only a concentrated effort canlead to a distinctive contribution and valueaddition. The temptation to undertake a largenumber of programmes, all very worthwhilein themselves, may lead to dissipation ofresources and loss of impact.



ConcludingReflections

Convention dictates that such review reports should end with a conclusionthat encapsulates the overall assessment. Here, we make a break with tradition.The CCF-I is yet to complete its term and therefore the stage to make anyfinal judgment about impacts has not yet arrived. What can be concludednow is that the CCF-I programmes are wholly consistent with India’sdevelopment priorities. Their designs reflect lessons learnt in the past,analytical rigor, imagination, and professionalism. The preceding sectionsoffer but a snapshot of what the CR team saw of a work in progress. Inthe process, it may have answered some questions fully and some othersonly partially. The team feels that it would be worthwhile to conclude thisreport by referring to questions to which it found no conclusive answers.1. The basic strategy of the UNDP, especially in a country of India’s size,

is to ensure that the impact of its interventions is maximised throughreplication and mainstreaming of its innovative approaches, and thatits micro projects influence macro policies. There is much greateremphasis on ‘upstream’ work and on effectively using its ‘currency ofideas’. In many cases, this does happen. A case in point is the humandevelopment initiative and the SHDRs. The experience of at least onestate shows how profoundly such SHDRs can affect macro policies.There are instances in which a certain approach is found to be soimpressive that the political leadership takes it upon itself to replicate itthroughout the state. There is thus the case of a state where hundredsof thousands of self-help groups have been set up. Often, such ‘main-streaming’ of an innovative approach would be motivated by a desire forpublic weal. But in many other cases, it may just be political expediency

6 5

or populism. In such instances of main-streaming, there is a high probability ofmortality when the regime changes.There are other perils of populism likeexcessive bureaucratisation, emphasis onmere physical targets rather than on the‘process’, and overall dilution in the qualityof implementation. Cynical elements mayeven exploit opportunities arising fromreplication or mainstreaming for personalends. Thus the outstanding success of aprogramme and its replication on a massscale may itself spell its doom, or at leastresult in significant dilution of intendedoutcomes. How does an aid agency guardagainst the perils of proliferation?

2. The review team found that the NGOshave in general been far more effective thangovernment agencies. The CBPPIs havebeen implemented largely through well-established NGOs. When an aid agencyselects NGOs, it must naturally choose thebest. The agency must demonstrate theefficacy of its policies, approaches, andprogramme designs quickly, and use itsresources efficiently. It therefore cannot runthe risk of experimenting with unreliableNGOs. And yet, if the partner is a well-established NGO operating in the fieldfor many years, enjoying a great deal ofcredibility, what assurance can the aidagency draw for sustainability or replicationof the programme? Can other implementingagencies, mostly government agencies, withmuch less commitment, credibility, andmanagerial inputs achieve the same results?Can they replicate ‘hot-house’ experimentson a large scale? If the implementation hasnot taken place under ordinary circumstances,how can there be a reasonable assuranceabout the multiplier effect? And yet, canaid agencies afford to work with poorlymanaged and inexperienced NGOs?

3. One lesson that came through repeatedly inthe review process was that a uni-dimen-tional approach to development might notbe effective. In a cluster of leather workers,which had profited from the UNDP-assisted leather programme, beneficiariespointed out that their incremental incomeswere being consumed by medical expenses.It was obvious to the team that elementaryeducation among the beneficiaries willalso enhance their capacity to earn, and

greater sensitivity towards gender in theprogramme will enable women to share thebenefits. There are many other problemsthe programme managers encounter inthe field, like lack of sanitation, absenceof community involvement, poor housing,absence of electrification, and scarcity ofwater. Attention to all of them willundoubtedly enhance the effectiveness of the leather development programme and many other such interventions. Thisreport itself argues that the UNDPshould adopt a holistic and integrated asagainst a compartmentalised approach todevelopment. There is, however, a potentialconflict between being focused and holisticat the same time. Multiple objectives can lead to dissipation of energies andresources and dilute the programmefocus. How should programme managersresolve such dichotomies?

4. A crucial question that remains unansweredrelates to where UNDP resources shouldbe invested – should they go to the statesand districts that show promise of rapid development or to areas that are the poorest and in desperate need ofassistance? The UNDP, like other aidagencies, is under obligation to showquick and visible results, and there willalways be efficiency considerations. Thesewould suggest resource allocation to areaswhere the climate for development isconducive and ‘returns’ in terms of outcomes can be quickly maximised. Onthe other hand, poverty alleviation is anoverarching goal of the UNDP.Reducing regional disparities andaddressing problems of the neglectedregions/communities are implicit in thisgoal. However, the problems of suchregions are often complex. Addressingthem may be time consuming and outcomes relatively uncertain. In a setting of such competing demands,where should resources, especially when they are scarce, be allocated?Which districts, states or regions have aprior claim? We conclude with the hope that these

questions will provoke some reflection and debateand in a small way contribute to UNDP’scontinuing endeavour to refine its strategiesand enhance its development effectiveness.


Attachments

ATTACHMENT I: COMPOSITION AND METHODOLOGY OF THE COUNTRY REVIEW TEAMThe Country Review (CR) team based its initial work on valuable deskresearch undertaken by the Evaluation Office. This research took note ofthe latest evaluative work done by other aid agencies, multilateral organisations,and academia both within and outside India. The Evaluation Office alsoprovided comprehensive documentation on ADR methodology. The CRteam discussed the initial country review draft with the Director,Evaluation Office, and greatly benefited from his incisive comments andsuggestions. During the final stages of report preparation, the EvaluationOffice provided full back-up support.

The Country Office provided a wide array of documentation on programmes, thematic topics, programme management aspects and development issues. These formed the backdrop for the review and provedto be of great value to the CR team.

A number of programme evaluations were commissioned by theCountry Office in preparation for the review. The reports proved to be ofgreat help in conducting the assessment. In addition, three thematic studies were commissioned in collaboration with the Evaluation Office.The Central Evaluation Database (CEDAB) provided documents on theevaluations carried out by the UNDP in the nineties, which proved to be auseful source of information.

The team viewed its task essentially as a participatory exercise with all thestakeholders, especially the Country Office, which was a key participant.Thus, apart from review of documentation, the exercise involved informationgathering through meetings, interviews, and occasional brainstorming andbriefing sessions. The team held extensive consultations with the resident


representative and the programme staff. Detaileddiscussions were held separately with key policy level officials from both central andstate governments, and the National ProjectDirectors (NPDs). The programme staff andNPDs provided detailed responses to thequestionnaires sent by the team. Senior officialsin the GOI’s DEA, line ministries, and at the state level provided useful information ongovernment policies, strategies and programmes.The CR team found its discussions with theAdditional Secretary and Joint Secretary, DEA,highly stimulating and though-provoking.In general, the quality of interaction was of a highorder and generated an informed discourse.

Discussions were also held with a varietyof civil society partners, NGOs, CommunityBased Organisations (CBOs), and some researchorganisations. The team also interacted withother multilateral and bilateral agenciesincluding UN system partners.

In its field visits, the team met officialsand stakeholders at the state (sub-national),district, and village level. During field visits itheld dialogues with a range of stakeholders

including women’s groups, marginal farmers,artisans, teachers, villagers, and children.On-site meetings with project managers andparaprofessionals also provided useful feedbackon many issues.

The Director of the Regional Bureau forAsia and the Pacific of UNDP and his seniorstaff provided valuable insights from a corporate perspective to the team.

A conceptual framework for inquiry,analysis, aggregation, and reporting wasestablished by the team at the outset followingthe essence of the Terms of Reference. Thereview process culminated in a stakeholderworkshop in the country. The Country Office was invited to comment on the text ofthe review report and the final version hastaken into account the observations of theCountry Office.

The Country Review team comprised thefollowing members:1. Mr. Rafeeuddin Ahmed2. Mr. Narendra Singh Sisodia3. Mr. M. Nurul Alam4. Mr. Giles McNair Whitcomb


AT TA C H M E N T I I : A C R O N Y M S 6 9

Asian Development Bank Assessment of Development ReportAcademy of Development SciencesAdministrative Training Institute

Basic Minimum Services

Community Based OrganisationsCommunity Based Pro-Poor InitiativesCane and Bamboo Technology CentreCommon Country AssessmentCountry Cooperation FrameworkCentral Evaluation DatabaseCommon Facility CentreConfederation of Indian IndustriesCountry ProgrammeCountry ReviewCivil Society Organisation

Department of Economic AffairsDepartment For International DevelopmentDepartment of Women and Child Development

Expenditure Finance Committee

Gross Domestic ProductGlobal Environment FacilityGovernment of IndiaGujarat State Disaster Management Agency

Human Development ReportHuman Development Resource Centre

Inter Agency Working GroupInformation and Communication Technology

International Labour OrganisationIntegrated Rural Development Programme

Lok Drushti

Ministry of Rural DevelopmentMontreal Protocol

National Commission for WomenNational ExecutionNon Government OrganisationNational Human Development ReportNational Programme DirectorNational Programme Manager

Orissa Renewable Energy Development Agency

ADBADRADSATI

BMS

CBOCBPPICBTCCCACCFCEDABCFCCIICPCRCSO

DEADFIDDWCD

EFC

GDPGEFGOIGSDMA

HDRHDRC

IAWGICT

ILOIRDP

LDK

MORDMP

NCWNEXNGONHDRNPDNPM

OREDA

ATTACHMENT II: ACRONYMS


Public Distribution SystemProgramme Management BoardProgramme Management UnitPanchayat Raj InstitutionsProgramme Standing CommitteeProgramme Support Document

Results Based ManagementResearch and DevelopmentRural Energy ProgrammeRural Electrification WorkshopsRural Industrial AreaResult Oriented Annual Reports

South Asian Association for Regional CooperationSouth Asian Poverty Alleviation ProgrammeScheduled CastesSchool Development and Management CommitteeStanding Finance CommitteeState Human Development ReportSociety for Promotion of Area Resource Centres-Swayam Shiksha PrayogSub Programme DocumentStrategic Result FrameworkSociety for Rural IndustrialisationSarva Shiksha AbhayanScheduled TribesSocial Work and Research Centre

Tarun Bhagat Sangh

Urban Local BodiesUnited Nations Conference for Trade And Development United Nations Development Assistance FrameworkUnited Nations Disaster Management TeamUnited Nations Development ProgrammeUnited Nations Educational, Scientific and Cultural OrganisationUnited Nations Population FundUnited Nations Children’s FundUnited States Agency for International Development

World BankWorld Food Programme

PDSPMBPMUPRIsPSCPSD

RBMR&DREPREWRIAROAR

SAARCSAPAPSCSDMCSFCSHDRSPARC-SSPSPDSRFSRISSASTSWRC

TBS

ULBUNCTADUNDAFUNDMTUNDPUNESCOUNFPAUNICEFUSAID

WBWFP

Annexes

ANNEX 1. TERMS OF REFERENCE

Purpose of the Country Review (TOR)1. Provide an independent in-depth assessment and validation of the

results achieved during the CCF-I period as articulated in theStrategic Results Framework (SRF) and the Results Oriented AnnualReports (ROARs).

2. Draw lessons for the future.3. Recommend a strategy for enhancing performance, repositioning and

aligning the ongoing programme and future interventions with emergingnational development priorities and UNDP corporate directions.

Objectives of the Country Review (TOR)1. Provide an in-depth assessment and validation of the results, particularly

the SRF and ROAR outcomes, achieved through UNDP support andin partnership with other key development actors during the CCF-I period.

2. Draw key lessons in order to make the necessary adjustments and corrections in the ongoing CCF, and align the next CCF-I with theemerging national development priorities, UNDP corporate directionsas outlined in the Administrator’s Business Plans 2000-2003 and theUNDAF-India.

3. Suggest a transition strategy consistent with the recommendationsemerging from the above analysis.

4. Recommend strategic areas of focus for the next CCF-I.


ANNEX 2. LIST OF PERSONS MET

A. Government of India

Planning Commission(UNDAF Focal Point and SHDRs)Mr. K.C. Pant, Deputy Chairman Ms. Rohini Nayyar, Adviser, State Human

Development Report ProjectProf. Chiranjib Sen, Professor of Economics

and Social Sciences

Department of Economic Affairs(Government Focal Point for UNDP)Dr. Adarsh Kishore, Additional SecretaryMr. S. Behura, Joint SecretaryMr. Dharmendra Sharma, Deputy Secretary

B. United Nations System

UNDP

Regional Bureau for Asia and PacificDr. Hafiz Pasha, UN Assistant Secretary

General and Director, Regional Bureau for Asia and Pacific,UNDP HQ, New York

Mr. Jean-Claude Rogivue, Chief,Asia-Pacific/South West Asia Division, UNDP HQ, New York

Evaluation OfficeMr. Khalid Malik, Director, Evaluation,

UNDP HQ, New YorkMr. M.Nurul Alam, Deputy Director,

Evaluation, UNDP, New York

Business Partnership DivisionMs. Sirkka Korpela, Director,

UNDP HQ, New York

India Country OfficeDr. Brenda Gael McSweeny,

Resident RepresentativeMs. Dorothy Gordon, Deputy Resident

Representative, ProgrammeMr. Dennis Lazarus, Deputy Resident

Representative, OperationsDr. Neera Burra, Assistant Resident

Representative, ProgrammeMs. Surekha Subarwal, Manager,

Programme, Communications and Advocacy and Inter-agency Coordination

Mr. Harsh Singh, Assistant ResidentRepresentative, Programme andResource Coordination

Dr. Pradeep Sharma, Head,Public Policy Division

Dr. Seeta Prabhu, Head, HumanDevelopment Resource Centre

Dr. Suraj Kumar, Programme Adviser Mr. Kumar M. Tiku, National

Information Officer

World Food Programme (WFP)Mr. Wolfgang Herbinger,

Deputy Country Director

United Nations Educational Scientific and Cultural Organisation (UNESCO)Mr. Prithiviraj Perera, Chief Administration

and Senior Programme Office for Culture

United Nations Conference for Trade and Development (UNCTAD) Dr. Veena Jha, Project Coordinator

UNICEFMr. Erma W. Manoncourt,

Deputy Director, Programmes

UNFPAMr. J. Diego Palacios, Deputy Representative

C. Other Government of IndiaMinistries/Departments

Department of Education( Janshala Programme)Mr. B.K. Chaturvedi, Secretary

Department of Industrial Policy and Promotion (Leather Program)Mr. M.S. Srinivasan, Joint Secretary Mr. A.K. Sinha, Director

Ministry of Rural Development(Panchayati Raj Program)Ms. Shantini Kapoor, Director

Ministry of Urban Development and Poverty Alleviation (Urban Local Bodies Project/Capacity Building Programme)Ms. S. Banerji, Joint SecretaryMr. S. K. Singh, Director


Ministry of Social Justice and Empowerment (Disabilities Project)Mr. Rakesh Arora, Director

Ministry of Environment and Forests(Environment and GEF Programmes)Mr. P.V. Jayakrishnan, SecretaryMr. S.K. Pande, Director General of Forests

and Special SecretaryMr. Y.S. Bhave, Joint Secretary and

Financial AdvisorMr. S.K. Joshi, Director Environment and

GEF Program

Ministry of Non-Conventional Energy Sources (Rural Energy and GEF Programmes)Mr. A. K. Mangotra, Joint Secretary

Ministry of SSI, Agro and Rural Industries(Small Industries Programme - KVIC)Mr. Shankar Aggarwal, Joint Secretary

Department of Science and Technology(Technology Management Programme)Mr. Aiyagari Rao, Joint Secretary

Ministry of Health(Health Support Programme)Mr. G.R. Patwardhan, Joint Secretary

Ministry of Rural Development(Community Based Pro-Poor Initiatives and Panchayati Raj Programme)Mr. Arun Bhatnagar, SecretaryMr. Wilfred Lakra, Joint Secretary

Ministry of Agriculture(Food Security Programme)Mr. S.K Biswas, Director Ms. Sneh Wadhwa, Joint DirectorDr. B.L. Saraswat, Technical Officer

D. State Governments

Madhya PradeshMr. Digvijay Singh, Chief Minister Ms. Aruna Sharma, Commissioner

(Family Welfare and Implementation of Population Policy, IT Convergence of services)

Mr. Ravi Limaye, Chief Project Coordinator,Trident Cellnet Technologies Pvt. Ltd.

Mr. Pritpal Khanuja, Consultant,Usha Martin Info Tech Ltd.

Karnataka( Janshala Programme)Mr. T.M. Vijay Bhaskar, Commissioner

Public InstructionMr. H. Raghurama Somayaji,

State Program DirectorMs. Sukanya, Program CoordinatorMs. Geetha S., Program CoordinatorMs. Geetha V.S., Program CoordinatorBlock Education Officer, Holenarisipura,

Hassan DistrictMr. Ashwath Narayana, Block Resource

CoordinatorMr. Partha, Block Resource PersonMr. Venkatesh, Block Resource PersonMs. Kalpana, Block Resource Person

The team also met representatives of theSchool Development Management Committee;teachers trained in Nalli Kali Methodology of teaching; teachers teaching non-Nalli Kali classes; and representatives of theNeighborhood Women Leaders.

Rajasthan( Janshala Programme, Udaipur)Mr. Vikram Singh, RAS Executive Director,

Rural Non-farm Development AgencyMr. Rajeev Mathur, DGM and National

Consultant, National LeatherDevelopment Programme, Rural NonFarm Development Agency (RUDA)

Dr. Kulwant Singh, National UN Volunteer(Water Specialist)

F. Multi-Bilaterals

Embassy of JapanMr. Kazuo Kodama, Minister,

Economic Affairs Mr. Hiroshi Yamane, Counselor Mr. Takashi Kanai, First Secretary

Norwegian EmbassyMs. Bente Bingen, Deputy Head of Mission,

Minister CounselorMs. Agnete Eriksen, Counselor DevelopmentMs. Jannicke Bain, First Secretary, Development

United States Agency for InternationalDevelopment (USAID)

Mr. Walter E. North, DirectorMr. Carla Barbiero, First Secretary/Director,

Office of Social Development

A N N E X 2 : L I S T O F P E R S O N S M E T 7 3

Ms. Madhumita Gupta, Senior Economistand Deputy Director, Office of ProgramDevelopment and Economic Growth

Department for International Development (DFID) Ms. Pauline Hayes, Senior Governance AdviserMr. Marshall Elliott, West Bengal

Program Manager

F. Non-Government Organisations/Civil Society OrganisationsMr. Deep Joshi, PRADANProf. George Mathew, Institute of

Social StudiesDr. Sudarshan, Karuna TrustMr. Raman, Bharat Gyan Vigyan SamitiMr. George Verghese, Development AlternativesMr. Prashanta Rakshit, Paschim Banga

Kheria Sabar SamitiMs. Sushma Iyengar, Kutch Mahila

Vikas SangathanMs. Prema Gopalan, Swayam Shikshan PrayogDr. Suman Berry, National Council for

Applied Economic ResearchMr. K Raju, Society for Elimination

of Rural PovertyMr. Dilip Surkar, Centre for

Environment EducationDr. Preeti Bhandari, Tata Energy

Research Institute Mr. C.S.Verma, Bharat Gyan Vigyan SamitiMr. Anil Bordia, Former Union Education

Secretary, now heads an NGOMr. M.L. Mehta, Former Chief Secretary,

Rajasthan, now heads an NGODr. S.S. Acharya, Director Institute of

Development Studies

Mr. Bunker Roy, Social Work and ResearchCentre, TILONIA, Rajasthan

Mr. Ajay Mehta, Former Chairman,Seva Mandir, Udaipur

G. Country Review Team/Consultants

Country Review TeamMr. Rafeeuddin Ahmed, Country Review

Team Leader and Associate,Administrator and Assistant SecretaryGeneral (Retd)

Mr. N.S. Sisodia, Member Country ReviewTeam and Additional Secretary, CabinetSecretariat, GOI

Mr. Nurul Alam, Member Country ReviewTeam and Deputy Director,Evaluation Office, RBAP, UNDP,New York

Mr. Giles McNair Whitcomb,International Consultant

ConsultantsMr. Sudhakar Rao, National Consultant –

Programme Approach and ManagementEffectiveness and Principal Secretaryand Resident Commissioner, Karnataka

Ms. Aditi Kapoor, National Consultant –Role of Communications and Advocacyin Development Programming andFreelance Journalist

Mr. Rajan Katoch, National Consultant –Programmes: Supporting EnablingEnvironment for Human Developmentand Joint Secretary, PlanningCommission, GOI

Ms. Kalyani Menon-Sen, National Consultant


ANNEX 3. DOCUMENTS CONSULTED

UNDP HeadquartersUNDP India Country Review, Terms of Reference, Evaluation Office, UNDP, New York (2001)Fourth Country Programme for India, Governing Council of the UNDP (1990)Midterm review of the fourth country programme for India, Governing Council of the UNDP (1994)Sustainable Human Development for Madras, Evaluation of the project, IND 95004, Evaluation

Office, UNDP, New York (1999)Human Resource Development/Management in Telecommunications, Evaluation of the project

IND 96002, Evaluation Office, UNDP, New York (2001)Public Sector Reform (3): Capacity Building for Civil Service, Administrative Reform and Training

in the Centre and the States, Evaluation of the project IND 95008, Evaluation Office, UNDP,New York (2001)

Development Effectiveness (Review of Evaluative Evidence), September 2000Result Based Management (RBM) in UNDP (May 1997)Handbook on Monitoring and Evaluating for Results, Companion Series#1Managing for Results: Monitoring and Evaluation in UNDP (9 November 2001)Result Oriented Annual Report (1999)Result Oriented Annual Report (1999) Executive Summary

Evaluations Framework and Methodology for Country Review Managed by the Evaluation OfficeUNDP Results Framework (Technical Note – Draft Revision 5, 1 December 2000)Monitoring and Evaluating for Results – Part 1Monitoring and Evaluating for Results – Part 2Monitoring and Evaluating for Results – Part 3

Office of the UN Resident Coordinator, IndiaDevelopment Assistance Framework for India, UN (2000)Common Country Assessment for India, UN (2000)India United Nations Development Assistance Framework (UNDAF)

UNDP India Country OfficeFirst Country Cooperation Framework (1997-2001), (1996)Strategic Result Framework for India (2000-2003)Result Oriented Annual Report, The Country of India (2000)Summary of programmes [www.undp.org.in/programme/prog.htm] (1997)Programme Support Document (PSD), Small Industry Development and Employment Programme

in Leather Sector (1998)Programme Support Document (PSD), Small Industry Development and Employment Programme

in Fibres and Handicrafts Sector (1998)Health Program, Project Document “Community Initiatives for Health” (1999)PSD, Community-Based Pro-poor Initiatives (1997)PSD, Education (1997)PSD, Environment (1997)PSD, Food Security (1998)PSD, Rural Energy (1998)PSD, Technology Management (1997)PSD, Capacity Building in Public Administration (1997)PSD, Economic Reforms (1997)Summary of the programme evaluations in four different areas: job and technology, environment

and GEF, CPBBI and public policy [www.undp.org.in/programme/er/index.htm] (2001)India’s Development Partners, Profiles of Cooperation, UNDP India [only electronic copy] (2000)Programme Planning: Country, Inter-country and Global Programmes, Fourth Country Programme

for IndiaSummary of National Programme FrameworkGujarat Transition Recovery Team (October 2000)

A N N E X 3 : D O C U M E N T S C O N S U LT E D 7 5

Evaluations Review of Sub-Programme on “Social Mobilisation and Community Empowerment for Poverty Alleviation”Reviving and Strengthening Traditional Knowledge Systems for Poverty Alleviation, Dr. Manjul AhalMidterm Review of “People’s Empowerment for Sustainable Development” under GIO-UNDP

Community-Based Pro-Poor InitiativesReviving and Strengthening Traditional Knowledge Systems for Poverty Alleviation, Summary

Review Report, Dr. Manjul AhalEvaluation of UNDP Intervention in GujaratSmall Industries Development and Employment Programme in Leather Sector (SIDE-NLDP),

GOI-UNDPJoint GOI-UN System Community Based Primary Education ProgrammeHuman Development Resource Centre (Summary of Review Report)Women’s Empowerment for Sustainable Natural Resource Management (Implemented by Tarun

Bharat Sangh Bhekampura, Alwar, Rajasthan)Review Report of Tarun Bharat Sangh Bhekampura, Alwar, RajasthanAn Evaluation of Lokadrushti, OrissaCapacity Building of Women for Effective Governance under the GOI-UNDP Community-

Based Pro-Poor Initiatives, SPARC-SSP, George Mathew

Reports of National Consultants The Role of Communications and Advocacy in Development Programming, Aditi KapoorReport on Programme Approach and Management Effectiveness, Sudhakar Rao

Documents from other United Nations Institutions

World Food Programme (WFP), India Country OfficeIndia’s country Programme (1997-2001) [only electronic copy]India’s country Programme Review [only electronic copy]

World Bank (WB), India Country OfficePolicies to Reduce Poverty and Accelerate Sustainable Development, Executive summary [copy of

the full report can be found in http://lnweb18.worldbank.org/sar/sa.nsf/a22044d0c4877a3e852567de0052e0fa/d0046a5e61043caf85256882007bc41d?OpenDocument] (2000)

Country Assistance Evaluation, Operations Evaluations Department, WB, Washington (2001)

Government of IndiaConvergence of Services, The Tool, Ms. Aruna Sharma, IAS, and Mr. Ravi Limaye, Trident

Planning CommissionThe Ninth Five Year Plan (1997-2001), Planning Commission, Government of India, New Delhi (1997)Midterm appraisal of the Ninth Five Year Plan, Highlights [the full document can be found in

http://planningcommission.nic.in/midf.htm] (2001a)Approach paper to the Tenth Five Year Plan (2002-2007), Planning Commission, Government of

India, New Delhi (2001b)

State Governments

Government of SikkimSikkim Human Development Report, Government of Sikkim (2001)

Government of KarnatkaEquity, Quality and Integrity in Health, Government of Karnatka (April 2001)


Government of RajasthanGandhi Gram Yojana : A Brief OutlineRajasthan Information Technology Policy 2000State Water PolicyWatershed Development in Rajasthan : Activities and Achievements

UN Joint Document with Government of India (GOI)National Strategy Meeting for the Formulation of the Sixth Country Programme Outline, 2003-

2007, UNFPA/GOIProgramme Summary, 2003-2007, UNICEF/GOI (30 October 2001)Statement by Ms. Maria Calivis, UNICEF Representative on the occasion of the Government of

India-UNICEF Strategy Meeting (30 October 2001)India Partnership Forum, UNDP/Confederation of Indian Industry (CII).UN Joint Document with Non-Government Organisations (NGO)Sustainable Recovery and Vulnerability Reduction (UN/Govt. of Gujarat/Sardar Patel Institute of

Public Administration, Ahmedabad, Gujarat)

Private SectorBridging the Digital Divide – The Emerging Reality, TARAhaat.com

Additional documents“Globalisation and its Social Discontents: The Case of India” in Taylor, L. (ed.) External

Liberalisation, Economic Performance and Social Policy, Oxford, UK: Oxford University Press.Dutt, A. and J. Rao (2000)

Fiscal policies to accelerate growth. Conference organised by the National Institute of PublicFinance and Policy, the Department of International Development (DFID-UK) and theWorld Bank. Preceding [copies of the papers and speeches can be found in www.fiscaconf.org].

Indian Development Report, 1999-2000, Oxford, UK: Oxford University Press [hard copy of theoverview]. Parikh, K. (1999) (ed.)

“Poverty and Human Development in India: getting the priorities right”, Occasional Paper 30.Kumar, A.

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