supporting transformational change - november 2011

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C A S E S T U D I E S O F S U S TA I N E D A N D S U C C E S S F U L D E V E L O P M E N T C O O P E R A T I O N

United Nations Development Programme

SUPPORTINGTRANSFORMATIONAL CHANGE

Empowered liResilient natio


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October 2011

Copyright 2011 United Nations Development Programme

All rights reserved.

This publication or parts of it may not be reproduced, stored by means

of any system or transmitted, in any form or by any medium, whether

electronic, mechanical, photocopied, recorded or of any other type,

without the prior permission of the United Nations Development

Programme. The views and recommendations expressed in this report

are those of the authors and do not necessarily represent those of

UNDP, the United Nations or its Member States. The boundaries and

names shown and the designations used on maps within this report do

not imply ocial endorsement or acceptance by the United Nations.

Design and production: Laurie Douglas Graphic Design


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C A S E S T U D I E S O F S U S T A I N E D A N D S U C C E S S F U L D E V E L O P M E N T C O O P E R A T I O N


SUPPORTINGTRANSFORMATIONAL CHANGE

Empowered liResilient natio


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2 Supporting Transformational Change

FOREWORD.................................................................................................................................................................. 4

ACKNOWLEDGEMENTS........................ ....................... ........................ ........................ ....................... ...................5

EXECUTIVE SUMMARY............................................................................................................................................ 6

BACKGROUND, PURPOSE AND PROCESS...................................................................................................... 8

TimeorReection............................................................................................................................................8

MethodologyandProcessAdopted...........................................................................................................8

DefningTransormationalChange..............................................................................................................9

SelectingtheCaseStudies........................................................................................................................... 10

IssuesoContribution,AttributionandCausality..................... ........................ ....................... ............ 12

REFLECTIONS ON THE DEVELOPMENT PROCESS.................................................................................... 13

Multi-DimensionalComplexity..................... ....................... ........................ ....................... ........................ 13

TheNatureoNationalCapacityDevelopment................................................................................... 14

TheImportanceoPoliticalContextandPoliticalEconomy............................................................ 15

AMarathon,NotaSprint.............................................................................................................................. 16

THE CASE STUDIES................................................................................................................................................ 17

MicrofnanceinMongolia............................................................................................................................. 17

RespondingtotheHIVEpidemicinEthiopia........................................................................................ 27

BeautiulBulgaria......................................................................................................................................... 35

ManagingtheBlackSeaandtheDanubeRiverBasin........................................................................ 43

Bangladesh:DisasterRiskReductionasDevelopment...................................................................... 53

ElSalvador:anEarlyExampleoPeacebuilding.................................................................................. 65

LocalGovernanceinCambodia................................................................................................................. 77

UNDP AND HUMAN DEVELOPMENT........................................................................................................... 87

TEN COMMON THEMES AND FINDINGS...................................................................................................... 89

ANNEX 1. ABBREVIATIONS.............................................................................................................................. 97

ANNEX 2. SELECTED BIBLIOGRAPHY...................................................................................................... 100

TABLE OF CONTENTS


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Supporting Transformational Change 3

TABLE OF CONTENTS

INFORMATION GRAPHICS

CompositionoXacBanksLoanPortolio,2006(Mongolia).................... ........................ ....................... . 21

MongoliasHumanDevelopmentIndex..................... ....................... ........................ ....................... .............. 23

XacBanksTotalAssets,20022010(Mongolia)..................... ....................... ........................ ....................... .. 23

MapoEthiopiaShowingAdultHIV,PrevalencebyRegion,2007........................ ....................... .......... 29

HIVTestingCentreExpansion(Ethiopia)...................... ....................... ........................ ....................... .............. 33

RiseinHIVTestingPopulation(Ethiopia)..................... ....................... ........................ ....................... .............. 33

DirectProjectResults(Bulgaria)...................... ........................ ....................... ........................ ....................... ...... 39

ConceptualFrameworkortheDanubeRiverBasin/BlackSeaProgrammes........................ ............. 47

VulnerabilitytoDierentNaturalHazards(Bangladesh)...................... ........................ ....................... ...... 55

TotalnumberoDeathsbyFloodandCyclone,1970to2010(Bangladesh)..................... ................. 62

ProjectsonPreventionandControloArmedViolenceinElSalvador....................... ........................ . 71

TimelineoInstitutionalizationProcess(Cambodia)...................... ........................ ........................ ............. 85


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UNDPisproudtohavesupportednationaldevelopmentpro-

cessesaroundtheworldormorethanftyyears.ThisworksupportstheprinciplesotheUnitedNationsCharterandthe

Peoplesotheindividualprogrammecountries.Itcatalysesreduction

opoverty,improvementolives,andexpansionochoices,inkeeping

withthehumandevelopmentparadigmandwithUNDPsoverall

missiontoempowerlivesandstrengthentheresilienceonations.

Guidingprinciplesoourworkhavebeennationalownershipo

thedevelopmentprocessandtheconvictionthatinternational

partnershipscanplayavaluablerole.Ourgoalistosupport

transormationalchangewhichbringsaboutrealimprovementsinpeopleslives.Thehuman

developmentperspective,thevaluesotheMillenniumDeclaration,andtheresultsorientationotheMillenniumDevelopmentGoals(MDGs)andotherinternationallyagreedgoalshelp

shapeourcontributiontodevelopment.

Developmentisneithersimplenorstraightorward.Itisacomplexandlong-termundertaking

whichembodiesarangeochallengesorallconcerned.Inthecourseoourwork,weand

ourpartnershaveexperiencedbothsuccessesanddisappointments.Alongthewaywehave

learnedmanylessons,andweendeavourtoincorporatethoseinourworkinordertobetter

serveournationalpartnersandgetresults.

Thepurposeothispublicationistoreecthonestlyonthisexperience.Itpresentssevencase

studieswheresustaineddevelopmentcooperationhasenabledprogrammecountriestomake

arealdierencetothelivesotheircitizens.Italsooerslessonslearnedtohelpimproveourday-to-daywork.

Ihopethatdevelopmentpractitionerswillfndthispublicationuseultotheirworkin

promotingsustainablehumandevelopmentandenablingtheachievementotheMDGs.

HelenClark

UNDPAdministrator

Our goal has always been to supporttransformational change which brings about

real improvements in peoples lives.

FOREWORD


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ThisreporthasbeencommissionedbytheBureauorDevelopmentPolicywiththe

supportomanypeopleandorganizationsaroundtheworld.Itisimpossibletorecognizeeveryonewhohascontributedtothedevelopmentothisresearchproject

byprovidingcomments,supportorencouragement.Wearegrateultoeveryonewhohas

contributedinonewayoranother.

ThecoreteamorthereportwasRobertEngland,NaziaMintz-HabibandJasonPronyk.

ThereportgreatlybeneftedromthebackgrounddocumentpreparedbySamBarnes,

FrancescaJessup,ScottLeiperandcolleaguesromtheRegionalBureauxandtheCountry

OcesoBangladesh,Botswana,Bulgaria,Cambodia,Ethiopia,India,Indonesia,Kosovo,

Mongolia,Mozambique,Philippines,Romania,SouthArica,Tajikistan,Timor-Leste,Ukraine

andUzbekistan.

Whilewearegrateultoeveryone,therearesomecolleagueswhohelpeduswithparticular

inormationandcommentsthatmadeahugedierence;theyincludeDouglasGardner,

AndrewRussell,NiloyBanerjee,DegolHailu,UyangaGankhuyag,AlexandraSolovieva,

NadiaRasheed,CoumbaMarenah,MesfnGetahun,FontaineChristopher,MarielzaOliveira,

JulietteHage,SunilSaigal,TimScott,AndrewHudson,ParvizFartash,JennierTopping,

AminulIslam,FinnRekenNilsonandEricLampertz.

BeyondUNDPweconsultedwithahostoinormantswhoalsodeservespecialrecognition.

Againweareindebtedtomanyindividuals,buttopickaew:ElizabethReid,LydiaMahoko

Ditsa,CelinaSouza,JosCarlosLibanio,BarbaraHanchard,CatalinaPredaandJohnBarnes.

TheviewsandanalysispresentedinthisstudyarethoseotheauthorsanddonotnecessarilyreectthoseoUNDP.

ACKNOWLEDGEMENTS


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EXECUTIVE SUMMARY

Thepurposeothisreportistoreect

onUNDPsexperienceodevelopmentcooperationoverthepast50years,andto

extractsomecommonthemesandgenerallessons

aboutdevelopmentcooperationortheuture.

Thereportmakesthecasethatdevelopmentisa

long-termpropositionandisseldomamenable

toshort-termsolutions.Certainly,trulytrans-

ormationalchangeatthenationalorsubnational

leveltakestimetoachieve.Iitistobesustainable

andsustained,itmustbenationallyownedand

achieved.Outsiderscannotdeliversuchtransor-mationalchange,buttheycansupportitina

varietyoways,especiallybyhelpingtodevelop

nationalcapacity.UNDPbelievesthatsuch

internationalpartnershipscanplayanimportant

roleinthisregard.

Aterprovidingadefnitionotransormational

changeanddiscussingsomeothebasicchar-

acteristics,complexitiesanduncertaintiesothe

developmentprocess,thereportdocumentsseven

caseswherethishasbeenachievedoveraperiodo

time.Taking1020yearsasitsrameoreerence,

thereportdemonstratesthatdevelopmentcanbe

successulonthisbasisevenstrikinglysuccessul

insomecases.

Thesevencasestudiesselectedaswellasbrieer

accompanyingcountryboxesspanthecontinents

andthediverserangeoprogrammecountries

withinwhichUNDPworks,includingseveralothe

mostchallengingcrisiscontexts.Theyalsocover

avarietyotheprogrammeareasinwhichUNDP

specializes:democraticgovernance;energyandenvironment;povertyreductionandHIV/AIDS;

disasterriskreduction;andpost-crisisrecovery;

aswellasthecross-cuttingissuesogender,

capacitydevelopmentandsouthsouth

cooperation.Takentogether,theydocument

successuldevelopmentprogrammesandthe

valueointernationalpartnerships.

However,thereportalsoacknowledgesthatthis

isnotalwaysthecase;thatoravarietyoreasons,

developmentprogrammesarenotalwayssuccess-ul;andthat,evenwhentheyaresuccessul,there

isalwaysunfnishedbusinessanduncertaintiesto

beaddressed.Developmentisaworkinprogress,in

everypartotheworld.Developmentmanagement

involvestakingrisk,seekingtoensuresuccessul

outcomes,butacknowledgingthattherewillbe

disappointmentsalso.

Finally,thereportseekstodrawsomeundamental

lessonsromthisanalysis,lessonswhichhopeully

willbeovaluetodevelopmentpractitioners

aroundtheworld,includingUNDPsownstaand

nationalpartners.Thetencommonthemesand

lessonsaregroupedintothreegeneralheadings:

1.Back to Basics: Theseareessentiallyrestate-

mentsothemostundamentalprinciplesthat

underpinsuccessuldevelopmentcooperation:

nationalownership,capacitydevelopment,lead-

ershipandpartnerships.

If transformationalchange is to be sustained it must benationally owned and achieved.


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EXECUTIVE SUMMARY

2.Principled Opportunism: Thesehighlight

aprevailingcharacteristicoUNDPswork,inwhichitseeksopportunitiestosupport

transormationalchangewithinavalue-driven

normativerameworkdefnedbytheUNs

memberstates.

3.The Larger Context:Thefnalthreethemes

reectontheactthat,tobesuccessuland

transormative,developmentcooperation

dependsinnosmallpartonthelargercontext.

Thisisespeciallytrueopost-conictsituations,

whereeven20yearsisashorttime.

Forthemostparttheselessonsarenotearth-

shatteringlyoriginal,butratherservetoreinorcewhatmostpractitionersalreadyknowbutoten

orgetintheirdrivetoachieveashort-termimpact

ortheeortsandresourcesexpended.

Developmentcooperationisamarathon,nota

sprint.Ithasitsrisks,andithasrewards.Welldone,

itcan,asthecasesheredemonstrate,catalyse

transormationalchange.

Transformational changeis the process whereby positive development

results are achieved and sustained

over time by institutionalizing policies,

programmes and projects within nationa

strategies. It should be noted that this

embodies the concept of institutionally

sustained results consistency of

achievement over time. This is in order to

exclude short-term, transitory impact


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A Time for Reection

UNDPhasbeenengagedindevelopment

cooperationormorethan50years,i.e.

sincethe1950s,whenitspredecessorpro-

grammestheExpandedProgrammeoTechnical

Assistance(UNEPTA)andtheUNSpecialFund1

wereounded.

Whilethemodalitiesoitsprojectsand

programmeshaveevolvedovertheyears,the

ultimatepurposeoitsworkhasremainedthe

same:toassistmemberstatestoimprovethelivingstandardsandlieopportunitiesotheircitizens

(empoweredlives)bysupportingthedevelopment

onationalcapacitysothatmemberstatescan

managetheirowndevelopmentprogrammes

(resilientnations).Tobesure,UNDPhasnotbeen

theonlydevelopmentagencywhichhasworked

towardsthisobjective,andindeedithasalways

workedasanintegralpartothewiderUNSystem

ineachcountry,aswellasalongsidemanyother

multilateral,bilateralandnon-governmental

practitioners.However,UNDPcansurelylayclaimto

beingoneothosewiththelongestengagement,

thebroadestmandate,themostpartnercountries

andthemostextensivecountryrepresentation.

Inthecourseothese50years,UNDPhasmadea

signifcantcontributiontodevelopmentinmany

countries,andhaslearnedmanylessonsabout

whatworksandwhatdoesnot.Thisisattestedto

incountlessdiscussionswithnationalocialsand

UNDPstamembersaroundtheworld.Anecdotes

aboundopastcontributions,buttheyrequently

recountadevelopmentprocesswhichhastaken

considerabletimetomatureratherlongerthan

thenormaldurationoanindividualprojectoroa

stamembersassignment.

Atatimewhenthevalueodevelopmentcoopera-

tionisunderrenewedchallengeandwhenUNDPisembarkingonaprocessoinstitutionalrenewal,the

organizationhas,thereore,undertakentoidentiy

anddocumentexamplesosuccessulandsustained

developmentcooperationwhichhavecontributed

totransormationalchangeatthecountryorsubre-

gionallevel.Intheprocessithassoughttoidentiy

genericlessonsorsuccessuldevelopmentcoop-

erationwhichcanbeappliedinutureprogramme

designandimplementation.

Methodology and Process Adopted

Thesearchorcasestudiesdidnotbeginwitha

systematicsurveyoallpossibilities.Theexercise

wasneverintendedtobeacompetitionor

thebest,sotherewasnonecessityorsuch

comprehensivecoverage.However,atriangulation

researchmethodologywasadoptedtoincreasethe

credibilityandvalidityotheresults.

Thestartingpointwas,thereore,anecdotal

reectionsocurrentandormerstamembers

whocouldspeakwithsomeauthorityo

developmentoveranextendedperiodotime.

Theresultinglonglistopossibilitieswas

subsequentlyreducedbyaprocessoprobingand

eliminatingthosecasestudieswhichcouldnotpass

thetest,ororwhichadequateinormationwasnot

available.Incarryingoutthiswinnowingprocess,

dueattentionwasplacedonthedesirabilityo

achievingabalanceintheresultingportolioo

casestudiesbetweenregionsandbetweenUNDPs

developmentpractices.

Finalizationotheshortlistanddocumentation

oeachothecasestudies,andothetrans-

ormationalchangeachievedandoUNDPs

contributionwasademandingprocess.It

BACKGROUND, PURPOSE AND PROCESS

1 UNDPwasoriginallycreatedin1966,whenthesetwopredecessorUNprogrammesweremergedintotheoneorganization.


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involvedanextensivereviewoexistingprimary

andsecondarydocumentation,bothinternalto

theUN,aswellasexternalreports.Thisincluded

reportsoUNDPsEvaluationOce(EO)aswellas

oexternalevaluations,wherethesewereavailable.

Italsorequiredagreatdealoconsultation,most

especiallywithUNandnationalactorsineachcase.

However,thefrststepintheentireexercisewasto

defnethemeaningotransormationalchange,a

termwidelyusedbutseldompinneddownorits

truemeaningandimplication.

Dening Transformational Change

Forthepurposeothisstudy,theollowing

defnitionotransormationalchangeinthe

developmentcontexthasbeenusedinpreparing

thispublication:

Transformational changeistheprocess

wherebypositivedevelopmentresults

areachievedandsustainedover timeby

institutionalizingpolicies,programmesand

projectswithinnationalstrategies.Itshould

benotedthatthisembodiestheconcepto

institutionallysustainedresultsconsistency

oachievementovertime.Thisisinorderto

excludeshort-term,transitoryimpact.

Positive development resultsaredefnedas

beingrealandsustainedimprovementsinthe

livesopeople,householdsandcommunities.

Suchimprovementsaremeasurednotmerely

indeed,notprincipallyintermsoper

capitaGrossDomesticProduct(GDP)butin

avarietyoindicators,suchasthoserelating

totheHumanDevelopmentIndex(HDI),

theMillenniumDevelopmentGoals(MDGs)

andtheirrelatedtargetsandindicators.They

includetheprocessreedomsandenabling

actors(e.g.humanrights,democratic

governance,participatoryandinclusive

processes)whicharecentraltotheMillennium

Declarationbutwhicharenotcapturedinthe

Goalsthemselves.

National actors are by far the most impor-

tant factors in eecting transformational

change. Indeed,suchtransormationalchange

canbydefnitiononlybeachievedbynational

actorssinceitwillmostlikelydependonthe

politicalwillogovernmentsnational,regional

andlocalwhichhavethepowertolegislate,

developpoliciesandprogrammes,andtoallo-

cateresourcesfnancialandhumantoimple-

mentthem.However,inordertobesuccessul

andsustainable,trulytransormationalchange

mustalsoembracecivilsocietystakeholders,

bothinthecommercialandthenon-proftsec-

tors,includingcommunity-basedorganizations.

Thisunderlinestheimportanceobroad-based

nationalownership.

International partners are far less

signicant, for the same reason. Theycan

onlyaspiretoinuenceandsupportnational

processes,ratherthanleadthem.Suchexternal

actorsmaincontributionmust,thereore,take

theormosupportingthedevelopmento

nationalcapacitywithinanoverallramework

UNDP has sought to identify and documentexamples ofsuccessful and sustaineddevelopment

cooperation which have contributed to transformationa

change at the country or subregional level


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onationalownershipothedevelopment

process.Wheresuchcapacityalreadyexists,

ontheotherhand,suchexternalsupport

cansimplytaketheormocapitaltransers.

However,thisisnottheroleoUNDP.

Selecting the Case Studies

Itwasalsoimportanttoestablishsomecriteriaor

selectingthecasestudiestobeincludedinthe

study.Thesecriteriaarebaseduponthedefnition

otransormationalchangeoutlinedintheprevious

section,androotedinUNDPsowndevelopment

cooperationprogrammes.Thesecriteriamaybe

summarizedasollows:

Transformational Impact:Toqualiy

astransormational,thedevelopment

cooperationmusthavecontributedtosignifcant,sustainableandsustainedchange

orthebetter,atthepolicy,programmeand/

orinstitutionallevel.Inprinciplesuchimpact

shouldbedemonstratedintheormo

measuredprogressromoriginalbaselinedata.

Continuationoapolicyand/orprogrammein

itselwouldnotbesucient;therewouldhave

tobemeasurableandsustainedchange

orthebetterinpeopleslivesasaresult,atthe

levelohouseholdand/orcommunity.

Human Development, the Millennium

Declaration and the MDGs: Clearly,the

transormationalchangedocumented

shouldcontributetohumandevelopment,as

analysedintheglobalreportsandnumerous

countryversions,andmeasuredbytheHDI.It

shouldalsocontributetowardsachievement

oelementsotheMillenniumDeclaration,

oroneormoreotheMDGs,includingthe

relatedtargetsandindicators.Theseare,

aterall,anexcellentsummaryotheUNs

globalnormativeagenda.Beingdrivenbythe

preceptsohumandevelopment,thereshould

bespecialemphasisplacedonthosewhoare

marginalized,excludedorvulnerable.

National or sub-national impact:

Developmentimpactwouldhavetobevisible

atleastataregionallevel,i.e.subnational,

inotatanationallevel.Regionallevelisa

possibilityinlargercountrieswhereregional

dierencescanbesignifcantorwherethere

isdistinctiveregionalgovernance.Most

importantly,thiscriterionwouldspecifcally

excludepilotprojectswhichhavenotyetbeen

takentoscale.Developmentexperienceis

litteredwithsuccessulpilotprojectswhich

haveremainedassuch.Itshouldalsobenoted

thatimpactcouldalsobeoundattheinter-

countrylevel,givenUNDPsnaturalanity

orinter-countrycooperation.Inadopting

thesecriteriatherewasanunderstandingthat

suchresultswouldalwaysbeachievedbya

multiplicityopartners,ledbynationalactors,

notbyUNDPalone.

National ownership and political will:Since

transormationalchangecanonlybeachieved

withahighlevelonationalengagement

andcommitment,i.e.politicalwill,selected

casestudieswouldneedtoprovideevidence

othis.Nationalownership,ocourse,isnot

necessarilysynonymouswithgovernment

To qualify as transformational, the developmentcooperation must have contributed to significant,sustainable and sustained change for the better.


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ownership,butmayincluderegionaland

localgovernment,civilsocietyandtheprivate

commercialsector.However,itwastobe

expectedthatevidenceonationalownership

wouldcomeinter aliaromthedemonstrated

actionsogovernmentatthepolicyand/

orprogrammelevel,including,orexample,

legislationand/orbudgetaryallocations.

Sustained and sustainable development

results:Thecasesshouldprovideevidenceo

signifcantdevelopmentresultswhichhave

beendemonstrablysustainedoveraperiodo

time,asopposedtoresultswhichunravelled

orcameundoneaterthedevelopmentcoop-

erationcametoanend.Thisisanimportant

measureorealtransormationalchange.It

shouldbeurthernotedthatthisembodiesthe

conceptoinstitutionally sustainable results,as

distinctromenvironmentalsustainability.

Time-frame of 1020 years:Giventhedef-

nitionalneedtoestablishdemonstrableand

consistentdevelopmentresultsoatransor-

mationalnature,itbecameclearthatitwould

needtobeaUNDP-supporteddevelopment

programmewhichhasbeeningestationoratleast10years.Inmostcases,UNDPssupport

wouldprobablyhavecontinuedthroughout

thisperiod,butnotnecessarily:acatalytic

contributionattheoutsetcouldhaveresulted

innationalachievementsovertime.Given

theneedorresultswhichareconvincing,it

wasconsideredlikelythatmanycasestudies

wouldhavebeenbornduringthe1990s.

Itwasurtherdecidednottopursuestories

whichgobackmuchurther,althoughanec-

dotalevidencesuggeststhatnumeroussuchexamplescouldhavebeenincluded.Itwasalso

understoodthatinthepost-conictcontext

even20yearsisashorttimeperiod.

External validation:Internalsel-satisaction

couldnotbeacceptedassucientinitsel,so

anyvalidationosuccessuloutcomesshould

bebuttressedbyanEO-sponsoredreporton

developmentresults,orotherindependent

evidenceanditshouldnotbechallengedby

signifcantexternalresearchorobservers.

Project, programme or cluster of

interventions:Itislikelythatacasestudywill

comprisemorethanoneproject,especially

overtheselectedtimeperiod.Inact,itmay

constituteaprogrammeoUNDP-supported

activitieswhichallpushinasimilardirection

overaprolongedperiodotime,butwhich

werenotalwaysieverwrittenupas

acoherentprogrammeex ante.Inthis

connection,therehassometimesbeena

theologicaldebateaboutprojectsversus

programmes;orthepurposeothisstudythe

termsareregardednotasdistinctivelydierent

butasinterchangeable.Theybothrepresent

asetointerrelatedactivitieswithshared

overallobjectivesandbothmustcomprisean

importantpartoalargerwhole,withhigher-

levelobjectives.

Replicable approaches:Itwasimportantthat

theselectedcasestudieslendthemselvesto

illuminatingcertaingeneralizedlessonsorapplicationelsewhere.Programmesuccess

alwayshascertainuniqueelementswhichare

dicultinotimpossibletorepeatelsewhere.

Asuccessstorywhichiswhollyuniquewould

belessthanuseulinthecontextothe

overallstudy.Toillustratethispointeachcase

studyisaccompaniedbyoneormoreboxes

whichsummarize,albeitinlessdetail,similar

programmessupportedbyUNDPelsewhere.

Theseservetobroadenthebaseoexperience

documentedandtounderlinecommonstrandsinUNDPswork.

Thesecriteriawereunderstoodbyallconcerned

tobechallenging,especiallytheneedtotrace

UNDPengagementinwhatwouldinprinciplebea

nationalundertaking.Furthermore,documenting

thedevelopmentcooperationoversuchalengthy


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periodwouldpushUNDPsinstitutionalmemoryto

thelimit.Inact,ithasindeedrequiredextensive

consultationwithormerstamembers,whowere

proessionallyengagedduringthe1990s.

Issues of Contribution,Attribution and Causality

Oneaspectotheexercisewasclearromthe

outsetandservedtocomplicatetheprocess:

transormationalchangecanonlybeachievedby

nationalplayers,notbyexternalpartners,however

wellintentioned.UNDP,thereore,expectedthat

attributionwouldallprincipallyonthesenational

actorswhohadbroughtaboutthechange.This

isasitshouldbe,andservestoreinorceUNDPs

undamentalbelieinandrespectornational

ownershipothedevelopmentprocess.

SuchnationalownershipotenmeantthatUNDPs

originalcontributionmayhavebeenlostrom

sight,oratleastbeendwaredbymainstreaming

innationalpoliciesandinstitutions.Evenatthe

peakoitsowndevelopmentcooperation,UNDPs

rolewasotenperormedaspartoaconsortium

ointernationaldevelopmentagencies.ForUNDP

thisbeginswiththeUNCountryTeam,withwhichitworksinclosecomplementarycollaboration,

butincludesothermultilateralandbilateral

donors.Indeed,asubstantialproportionoUNDPs

developmentcooperationisasaresultoproject-

specifccost-sharing.Insuchcircumstances,

narrowinstitutionalattributionisneitherpossible

norhelpul.

Inthecasestudiesselectedanddescribed

below,thishasindeedbeenatrickyissueto

address,butUNDPbelievesthatacommon

threadrunningthroughthestoriesisthevalue

ointernationalpartnershipswithUNDP,with

theUNmoregenerallyorwithotherinternational

playersandtheroletheycanplayinsupporting

nationalprocessesotransormationalchange.

Inthiscontext,distributingthecreditbetween

internationalagenciesisbesidethepoint.What

mattersisthattheinternationalpartnerships

reinorcenationalprocesses,ratherthansubverting

ordistortingthem.

Thusitremainstruethat,wheretransormational

changehasbeenaccomplished,itisinevitably

attributableprincipallytonationalactors.These

casestudiesare,thereore,atheartastoryo

successulnationallydrivenandownedeconomic,

socialandpoliticalchange.UNDPisproudiitscontributionhasservedtosupportsuchaprocess.


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Theollowingsectionattemptstodelineate

thecomplexityandmanyuncertaintiesthataectthedevelopmentprocess.Itspurpose

istoprovidearealisticbackgroundtothecase

studieswhichollow,andtothesuccessesand

disappointmentsthatcharacterizealloUNDPs

work.Thepresentationisnotintendedtobecom-

prehensiveorin-depth,butmerelytohighlight

whatmostpractitionersandobserversknow,ithey

stoptothinkaboutit,butwhichisotenignored

inthecontextoroutinedevelopmentprogramme

cyclemanagement.Norisitintendedtobedeen-

siveorapologeticorwhatisinacttheintrinsic

natureoUNDPswork;itissimplythewaythings

areintherealworldodevelopmentcooperation.

Whatollowsmayseemsomewhatsimplistic,

butitishopedthereaderwillnodinrecognition

oreality.

Multi-Dimensional Complexity

Developmentisacomplexprocesswithmany

acetsandinterdependencies.Itisneitherentirelypredictable,norisitstraightorward.

Whilethissoundslikeatruism,development

practitionerscustomarilydesignprojectsand

programmesontheassumptionthatthingsare

morestraightorwardthanrealworldexperience

suggests.Theytreatitratherasanengineermight

treatthedesignandconstructionoabridge:the

lawsophysicsareknown,asisthespanothe

rivertobecrossed;thephysicalstrengthothe

design,theweightoprojectedtracandtheresilienceotheselectedbuildingmaterialscanall

becalculated;andthephasedconstructioncanbe

plannedquiteprecisely.Ocourse,oneshouldnotunderestimatethecomplexityosuchcalculations;

however,theyarepredictableandessentially

mechanisticinnature.

Developmentisquitedierent.Beingacomplex

mixoeconomic,socialandpoliticalprocessesall

owhichhavehumanbehaviourattheircoreit

isarlesspredictable.Whenallotheseprocesses

arepushinginthesameprogressivedirection,

theycanbepowerullyreinorcing.However,they

canalsobequiteproblematic,unpredictableandevencounterproductiveintermsothecareully

laidplansodevelopmentpractitioners.Inreality,

developmentcan,thereore,bestbeunderstood

asanorganicprocess,ratherthanmechanistic

innature.Assuch,ithasadynamicthatnobody

entirelycontrolsorcanoresee,especiallyisomeo

thoseprocessesareregionalorglobalinnature.

Amoreappositemetaphorandcertainlymore

colourulmightbethatogardening:thesoil

canbeanalysed,andthegeneralclimateisknown,

albeitsubjecttoannualandseasonalvariations.

Thedistinctivecharacteristicsoeachplantmaybe

understood,butitsertilitymaybeaectedbyits

positioninthegarden,exposuretosunlightandits

relationshipwithneighbours.Sometimesthereisa

productivesymbiosis,sometimesthereverse.And

anunexpectedstormmayderailthebestoplans.

Asuccessulpractitionermayhaveagrandscheme

ortheoverallgardenbutwillnonethelessproceed

withsometrialanderror:experimenting,whilebeing

preparedtoertilize,replace,transplantorpruneasnecessary.Adaptiveexibilityisveryimportant.

Development has a dynamic thatnobody entirely controls or can foresee.

REFLECTIONS ON THE DEVELOPMENT PROCESS


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Developmentmanagementisrathersimilar

tothis,althoughmuchliteraturepreersto

emphasizemoredetailedplanningandrigorous

implementation.Thisisunderstandableatthe

pointoprojectdesignbuttendstodiscountthe

uncertaintiesandcomplexitiesinvolvedinthe

implementationprocessandtheneedorexible

adaptationinthecourseoprojectimplementation.

Thisisborneoutinmanyothecasestudies

describedinthisreport.

Itollowsromthisthatthereisnot,andnevercan

be,asilverbulletintermsoachievingsustained

developmentprogress.Thereisnosinglevector

solutiontothecomplexchallengeopromoting

humandevelopment,reducingpovertyand

increasingopportunitiesorpeopletobetter

themselves.Despitearegularowosuchelixirs

indevelopmentliteratureandundingdecisions

health,structuralreorm,democratization,etc.

therealityisthatsuccessdependsonprogressin

manyareas,whichtogethercreatesynergiesand

whicharemutuallyreinorcing:avirtuouscycle

oprogress.Successbreedssuccess.Theconverse

canalsobetrue:itisdicultoranindividual

programmetotranscendthecontextinwhichitisdesignedandimplemented.

The Nature of NationalCapacity Development

FromitsbirthUNDPhasalwaysbeeninthe

businessonationalcapacitydevelopment,both

attheindividualandtheinstitutionallevel.Bythis

itmeansstrengtheningtheabilityoindividuals,

organizationsandsocietiestomanagetheirown

developmentprocesseswithaviewtopromotingsustainablehumandevelopmentandachieving

theMDGs.

Theachievementotransormationalchange

changewhichissustainable,sustainedandmakes

alastingdierencetopeopleslivesorthebetter

isalwaysaccompaniedbyinstitutionalcapacity

development,anywhereintheworld.Indeed,

atitsheart,thedevelopmentprocessisprincipally

aboutinstitutionalcapacitydevelopmentoone

sortoranother.

Inthisrespect,UNDPoperateswithinabroad

understanding/otheseterms,whereby:

Institutions comprisepoliciesand

programmes,includinganylegislationthat

underpinsthem,andtheorganizationswhich

supportandimplementthem.Policiesand

programmesdependonorganizationsto

implementthem,whileorganizationsexistor

thispurpose,notintheirownright.

Informal institutionsarealsoogreatimportance.Thesereertotheindividual

behavioursandinormalrelationships

whichcharacterizesocietybeyondormal

organizations.Indeed,thesynergiesorthe

dysunctionsthatpertaininsuchinormal

institutionscanplayamajorpositiveor

negativeroleindevelopmentprocesses.

Capacity Development mayentailthe

creationobrandnewinstitutionslaws,

policies,programmesandorganizationsand/ortheadaptationoexistingones.Ineither

case,theprocessisoneochangeinpolicies,

processes,behavioursandexpectations.This

istheveryessenceodevelopment,andthe

businessodevelopmentcooperation.

Thisprocessonationalcapacitydevelopmentis

time-consumingandnotnormallyamenableto

shortcuts.Inmostsocieties,thestrongestandmost

resilientoinstitutionsmayhaveexistedorcen-

turies,withpolicies,programmes,behavioursandexpectationsthataredeeplyingrained.Newones

cannotbecreatedovernight,andmayindeedtake

manyyearstoreproduce.Andasorre-directingor

reormingexistingones,thisisachallengeanywhere.

UNDPdefnesthreeseparatebutcloselyinter-

relatedlevelsocapacity,eachowhichhastobe

addressed,isustainedcapacityistobedeveloped.


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Theyare:

1.External enabling environment:policies;legis-

lation;budgets;powerrelations;andsocialnorms.

2.Internal organisational issues:fnancial

andhumanresources;internalpolicies;

arrangements;procedures;andconsistency

oapplication.

3.Individual sta capabilities:leadership;

knowledgeandskills;experience;attitudes

andpractices.

UNDPsexperiencesuggeststhatnewinstitutions

takealongtimetobecomeullyestablished,with

testedandindependentlyevaluatedpolicies;

trainedandoperationallyexperiencedsta;a

systematicreservoiroknowledgeandexperience;

andtheresiliencetocopewiththeever-changingexternalenvironment.Theymay,ocourse,become

operationalmuchsoonerthanthis,butthisisnotthe

sameasbeingeective,robustandsel-sustaining.

Furthermore,apartromdependingonapolitically

andfnanciallyexternalenablingenvironment,this

timeperiodassumesareadysupplyoappropri-

atelyqualifedstaandastabilityinstang,i.e.one

whichavoidsrapidturnover.Thisisarromthecase

inmostoUNDPspartnercountries,wherethere

ischaracteristicallyashortageo,and,thereore,acompetitionor,qualifedsta.Thiscommonly

resultsinarapidturnoverokeysta,especiallyat

themoreseniorlevels.

Forthepurposesoidentiyingtransormational

change,itisalsoimportanttodistinguishbetween

institutionalcapacitydevelopmentontheonehand

andindividualcapacitydevelopmentontheother.

Whiledevelopmentcooperationengagesexten-

sivelyinthetraininganddevelopmentoindividual

stamembers,thismustbedemonstrablyembod-

iedininstitutionsisustainableimpactistobe

achievedatthesocietallevel.Thisiswhythissection

isdeliberatelytitlednationalcapacitydevelopment,

tomakethisimportantdistinctionclear.

Theabsenceoanyorallotheabovemilitates

againstanyshort-terminstitutionalcapacity-

building.

The Importance of Political Contextand Political Economy

Developmentandinstitution-buildingdonottake

placeinavacuum.Botharestronglyinuencedby

apoliticalprocesswhichaectspolicies,priorities

andresourceallocation,bothfnancialandhuman.Foritspart,politicalpowerissocloselyinuenced

byeconomicorcesthatmanywouldarguethat

neitherpoliticsnoreconomicsexistinisolationbut

onlywithinarameworkopoliticaleconomy.

Yetpoliticalorcesandinuenceswaxandwane

withinacyclethatotenbearslittleresemblance

to,andischaracteristicallyunrelatedto,the

usualprojectmanagementcycleothreeto

fveyearscustomarilyadoptedbydevelopment

practitioners.Indemocraciesthepulseandtiming

oelectionscanprovepivotaltotheotherwise

predictableprocessopolicy-makingand

implementation.Inmoreautocraticsettings,the

internalpolicydebatesandjoustingorpowerand

positionmaybelessvisiblethaninademocracy,

buttheyarenolessrealorunpredictablein

theirimpactonthedevelopmentopolicies

andprogrammes.

There is not, and never can be,a silver bullet in terms of achieving sustained

development progress.


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Developmentpractitionersotenviewthe

developmentprocessasbeingwin-winingame

theoryterms.Thisimpliesthatthereareonly

winnersandnolosersromageneralimprovement

inlivingstandards.However,historysuggeststhat

thisisnotthecaseandthatthepoliticaltrajectory

oacountryasitprogressescanbebouncyat

best,asthesocio-economictectonicplatesshit.

Ineverycountry,economicgrowthinitselhas

tendedtoredistributewealth,opportunityand

politicalpower,especiallyiaccompaniedby

assetredistributionsuchaslandreormornot,

isuchreormisabsent.Thespreadoeducation

andpopularparticipationindecision-makingalso

aectsthesedynamicsandcanbedestabilizingintheshorttomediumterm.Suchchange,however

benefcialoverall,haswinnersandlosers.Italso

promptscountervailingorceswhichrequently

disruptsmoothprogress.

Politicalprocessesarealwaysabalancebetween

powerandideas,withtheprincipalemphasis

onpower:itsdistribution,applicationandthe

perpetualcompetitionorit.Development

practitionerstendtoocusmoreonideas,values

andpossibilities.Theyneglecttheuncertainties

othepoliticalprocessatconsiderablerisk,since

thesecanhaveaprooundeectontheeasibility

oachievingtransormationalchange,atleastinthe

shortrunandperhapseveninthelongerterm.

A Marathon, Not a Sprint

Forallthesereasons,developmentisalong-term

processand,inaveryrealsense,aworkinprogress.

Itisadynamicwhichunoldsoverthelongterm,

withspurtsoprogress,accompaniedbyminororevenmajorsetbacks.Whileitbeneftsromsome

stabilityandconsistency,itsverysuccessmayinact

disruptthissmoothprogress.

Itisalsotruethat,whiletheoverallprocessislong-

term,theremaybeperiodsointenseandrapid

changeakintoasprintorexample,inthe1990s

aterthedissolutionotheSovietUnion,orollow-

ingamajorpoliticalupheaval.Yetitactuallytakesar

longerorrealchangetotakerootandbecomesus-

tainedtransormationandtodemonstratethatitis

notaashinthepan.Inthissensethemarathonalso

assumesthecharacteristicsoarelayrace,requiring

theconsistenteortoavarietyodierentactors

overaprolongedperiod.

ThiscouldinactbesaidoanyotheUNsmember

states,eachoneowhichhasstrengthsandsot

spotsinitsdevelopmentstatus.Ithisistrueothe

richercountries,itisnosurprisethatitisalsotrueo

thepoorerones.Itisnotpossibleordevelopment

cooperationtotranscendthisreality.Atbestitcan

acilitateandsupportprogressintherightdirection.

Thecasestudiesdescribedbelowdemonstratethat

thisisavaluableroletoplay,andonewhichcan

makearealdierencealwaysprovidedthatthere

arenationalactorstotaketheleadandpromotethe

changeinternally.ExternalpartnerssuchasUNDP

cannotpushthestringacrossthetable;theremust

besomeonetopullit.

AnobituaryoZhouEnlai,thelatePrimeMinister

oChina,observedthatZhouthoughtodevelop-

mentintermsocenturies,notlietimes.Supporters

anddesignersodevelopmentcooperationshould

bewaretheshort-termismandimpatiencethatso

otencharacterizedevelopmentmanagement.The

casestudieswhichollowdemonstratewhatcanbe

achievedbylong-terminternationalpartnerships

insupportonationaldevelopmentprogrammes.

Developmentcooperationcananddoesplayan

indispensableroleinurtheringhumandevelopmentandachievingtheMDGs.


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D. CASE STUDY 6: BANGLADESH

MICROFINANCE

IN MONGOLIA


THE CASE STUDIES


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THE CASE STUDIES

Synopsis

FollowingthedissolutionotheSovietUnion

in1991,Mongoliabegantochartitsown

coursetowardsdemocracyandsustainable

humandevelopment.Thisincludedamajor

transormationromacommandtoamarket

economy,withallitsinstitutionalrequirements.

In1997UNDPhelpedcreatethecountrysfrst

non-bankfnancialinstitution,whichbeganto

providemicrocredittopeoplewithlowincomes.

Sincethesefrststeps,microfnancehasspread

acrossthecountryanddrawninextensiveexternal

unding.Ithasbeenapioneerinstitutionthat

throughitsdemonstrationosoundbanking

practiceshashadapositiveimpactonreormo

thefnancialsector.Theinitialprojectpartnership

wentontocreateanationallyownedandsocially

orientedcommercialbank,XacBank,whichnow

hasbranchesinallprovinces.Itcontinuesto

extendmicrofnancetolow-incomepopulations

andiscurrentlyexperimentingwithinnovative

waysodeliveringsuchservices.

A nation in transition

Duringthe1990sMongoliaunderwentamajor

transormation,romacentrallyplannedeconomy

undertheaegisotheSovietUnion,toanopen,

market-driveneconomy.Thisprocessinvolved

extensiveinstitutionalchange,bothinthepolitical

arenaaswellasinthelegalandregulatoryenviron-

mentoreconomicactivity.Politicalchange,market

liberalization,currencyreormandrestructuringo

thefnancialsectoropenedupopportunitiesor

smallandmediumindustries.

Ledmainlybyinvestmentsinmining(especially

copper,goldandcoal),Mongoliaseconomic

growthrateacceleratedimpressively,totheextent

thatby2004theprivatesectorsshareoGDP

hadrisento75percent.Since2000thecountrys

averageannualGDPgrowthratehasbeenabove

5percent,but,whiletheshareoagriculture

hasdeclinedtoaround23percent,itnonetheless

stillaccountedor34percentotheworkorce

in2010.

Noteveryonebeneftedequallyromthisrobust

growthrate.Oneothechallengestopolicymakers

washowbesttospreadthebeneftsosuch

economicliberalizationbeyondtheurban-based

andwell-to-dominorityothepopulation.Poverty

wasandstillisamajorchallengetothecountry,

withmorethanathirdothepeoplelivingbelow

thepovertyline,andmanymoretraditionally

dependentuponagricultureandlivestockor

theirlivelihoods.Climatechangehasadverselyaectedsuchlivelihoods,especiallyanimal

husbandry,asdroughtanddzud(harshwinter)

becamemorecommon.

Inordertoaddressthislessadvantagedpopulation

groupduringthetimeonationaleconomic

transitioninthe1990s,thegovernmentdecided

toimplementanexperimentalpilotprogramme

B A Y A N -H O N G O R

Ulaanbaatar(Ulan Bator)

S O U T H

H A N G A Y

H V S G L

D Z A V H A NN O R T H

H A N G A Y

S E L E N G E

C E N T R A L

H E N T I YE A S T E R N

S H B A A T A RH O V D

U V S

B U L G A NA Y A N - L G I Y

G O V I A L T A Y M I D D L EG O V I

E A S T

G O V I

S O U T H G O V IC H I N A

C H I N A

R U S S I A N

F E D E R A T I O N A Z A K H S T A N

Mongolia

MICROFINANCE IN MONGOLIA


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MONGOLIA

inmicrofnancewiththesupportoUNDPandits

globalMicroStartprogramme.Itssuccessexceeded

allexpectations,asitrapidlydevelopedintoamajornationwideprogramme.

Empowerment through micronance

ThemicrofnanceinitiativepioneeredbyUNDP

addressedapartothisconundrumin1997.It

didsoinpartnershipnotonlywiththeMongolian

governmentbutseveralnon-governmentalorgani-

zations(NGOs)andatalentedMongolianmanage-

mentteam.ThecentralityoMongolianleadership

romthestartprovedtobeasourceostrengthand

resilience,asitprogressivelyevolvedintotheully

commercialXacBank.Thisdidnothappenover-

nightbutwasaprogressiveevolutionromsmall

beginnings.UNDPsinitialgrantwasUS$1million.

Althoughmicrofnancelendingwasinitiated

in1997,itwasin1999thatnon-bankfnancial

institutions(NBFIs)suchastheinstitutioncreated

throughMicroStartwereociallyregistered.In

thecourseothenextseveralyears,theregulatory

rameworkormicrocreditinMongoliarapidlytook

shape.MicroStartpavedthewayorthis,asanexampleowhatwaspossible.

Thenationalpolicyrameworkdevelopedapace:

in2002theMongolianParliamentpassedan

EmploymentPromotionLaw,placingahigher

priorityoninclusiveeconomicgrowth.Inthe

sameyearanewlawspelledouttherolesand

responsibilitiesoNBFIs,andanewCooperative

Lawlegalizedsavingsandloancooperativesto

complementtheemploymentlaw.

Theprocessoopeningupthesmall-scalefnancial

sectorwassupportedinitsearlyyearsbyUNDP.

Subsequently,theUnitedStatesAgencyor

InternationalDevelopment(USAID),MercyCorps

(aninternationalNGOveryactiveinMongolia

since1998)andothermultilateralandbilateral

donoragenciesbecameinvolvedastheyrecognized

thatmicrocreditwasanideawhosetimehadcome

inMongolia.

Poverty was and still is a major challengeto Mongolia, with more than a third of the people

living below the poverty line.

Mongolia is a country with a unique set of characteristics

and consequent development challenges.

It is situated in the heart of the Asian continent,

landlocked with only one rail line leading to Russia

and China. It has a population of 2.75 million people

(2010) and a land area of 1.5 million km2. It has the

lowest population density in the world (three times

the size of France but with a population 24 times

smaller). One third (37 percent) of its population

lives in rural areas and depends almost exclusively

on livestock.

It has an extraordinarily extreme climate, with a short

summer and long winter. The temperature varies from

-40C in winter to 40C in summer. It has a dry and harsh

climate, with precipitation ranging from 50 mm in the

south to 400 mm in the north. More than half

the territory is covered with permafrost.

Economic insecurity is a prevailing characteristic of most

rural Mongolians.

Mongolia


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THE CASE STUDIES

By2001thisbroadlysupportedNBFIconsortium

hadbecometheXacBank,anindependentcom-

mercialbank,operatingonamarketbasis.Asthebankingandfnancesectoropenedup,others

joinedthesector,sothatby2005therewere

17banks,126NBFIsand270cooperativesavings

andcreditassociations.Sorapidwasthegrowth

thataUNDPevaluationatthattimeopenlyretted

thatthemicrocreditmarketinMongoliawasin

dangerobecomingsaturated.

Ithasnotallbeenplainsailingortherapidly

expandedmicrofnancesector:ensuringadequate

regulationothemanyentrantsintothenew

sectorhasbeendicultorthegovernment.

Ithasalsobeenachallengetoensurearealistic

commercialrateointerest,soasbothtoreect

thehigherriskoloansandtoensurebroad

accesstothefnancialinstrumentsbeingoered.

Thesearecharacteristicbirthpangsomost

microfnanceprogrammes.

Expandingthisaccesstocreditservicesacross

Mongoliasruralareashasalsobeendicultin

termsotransactioncosts,adicultywhichis

currentlybeingaddressedthroughtheuseo

mobilebankingservices.Accessibilityhasbeen

andwillremainaparticularchallengeorMongolia,whichhasoneothemostdispersedrural

populationsintheworld,witharuralpopulation

densityojust2peopleperkm.

UNDPsownsupportsuccessullyconcludedin

2001.Thenationallydrivenmomentumhad

alreadytakenoverbythenandiscontinuing

tothisday.Signifcantfnancialresourcescome

onstream,includingromtheprivatesector,and

nationalinstitutionsdemonstratingtheirability

tocarrythesectororward,whileaddressingits

manychallenges.

OnceabenefciaryotheUNDPproject,XacBank

hasbecomeanimplementationpartneroUNDP

inMongolia.From2006to2008XacBankwasa

partnerfnancialinstitutionoUNDPtoprovide

low-interestloanstoUNDP-assistedsmalland

microentrepreneursundertheEnterprise

MongoliaProject.Currently,XacBankandUNDP

worktogethertointroduceenergy-ecient

housingtopoorhouseholdsthroughaXacBank

mortgageprogramme.

Making a dierence:the transformational impact

UNDPisproudtohavebeenthereatthestart,

supportingdynamicandar-sightedMongolian

managersandpolicymakerstocreateasustainable

microfnanceinstitutionandtransormational

policiesorthefnancialsectormoregenerally.

FromUNDPspioneeringinvestmentin

microfnancein1997Mongoliahascomealong

way.Althoughstillaworkinprogress,thereis

littledoubtthatithastransormedtheliveso

manytensothousandsoMongolians,both

bycreatingeconomicopportunitiesorthem,

aswellasbyhelpingtoinsulatethemromthe

manyuncertaintiesolieinacompetitivemarket

Micronance includes a wide range of nancial services credit, insurance, transfers targeted towards low-

income people. While it is not always used for produc-

tive investment, it nonetheless helps poor people cope

with the uncertainty of their income ow, in relation to

unexpected emergencies of various sorts. In doing so,

it provides an important means of human security andsocial protection, as well as economic opportunity

and an individuals sense of controlling ones destiny.

Microcredit is an important element of a poverty

reduction programme, but it is not a silver bullet.

Complementary programmes in social services and social

protection are equally important.

What is Microfnance?


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MONGOLIA

economy.Byprovidingaccesstofnancialresources

intheturbulenttimeotransitiontoamarket

economy,Mongolianswereabletounleashtheirentrepreneurialtalentstocreateabetterutureor

themselvesandtheiramilies.

XacBankhasmadestrikingprogressinbecoming

asel-sustainingandproftableenterpriseoverthe

pastewyears.BytheendoMay2010thebank

had93,930loansoutstanding,withadynamically

variedcustomerbase.Inrecentyearsthebank

hasdevelopedspecifcprogrammestotarget

youngwomen,inpartnershipwiththeWomens

WorldBank(WWB),whocompriseonehaloall

customers.Theyoungwomenandgirlsbankalso

targetsyoungpeople,with47.1percentoits

clientsbeingbetweentheageso18and35.

COMPOSITION OF XACBANKS LOAN PORTFOLIO, 2006

Source:Hishigsuren,2006

Services

Production

Consumption

Trade

Financial Leases

Mixed

Other

Crop

Livestock

7%

10%

21%

48%

13%

1%

0.4%

1% 0.8%

InSeptember2009XacBanklauncheditsEco

ProductsProgramme,oeringlow-interestloans

orenergy-relatedproductstopoorclientsinthecountry.TheintentionistoenableMongolian

householdstolowertheiruelcosts,breathe

cleanerairandstaywarminthelongwinter

months.ThishasenabledXacBanktoreceive

carboncreditsoritswork,apparentlythefrst

suchawardoitskind.Allthesenewprogrammes

illustratethedynamismothebankanditsability

andwillingnesstodevelopitsproductsinlinewith

theclientandnationalneeds.

Thecompositionothebanksloanportolioserves

tounderlinetheimportanceoconsumptionand

tradeloansoverall:


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THE CASE STUDIES

Microcredit programmes in Uzbekistan were pioneered by UNDP in 1998 through the

implementation of two pilot projects in Kashkadarya and Karakalpakstan. These projectssupported the establishment of two non-governmental MicroFinance Institutions (MFIs)

under the Business Womens Association. The main goals of the projects were to expandaccess to nancial resources for low-income groups and to assist them in trade, small-scale

production and micro-businesses based on family assets such as agricultural land.

In addition to piloting these programmes UNDP facilitated adoption of the national policy

on MFIs. National legislation was approved: On Measures for the Development ofMicronance in the Republic of Uzbekistan (Decree # 309 of August 2002). Adoption of the

laws On micronance and On microcredit organizations in 2006 and the State programme on

micronance development until 2010 (Resolution of Cabinet of Ministers #114 of June 2007)provided a legislative and regulatory framework to ensure the transparency, consistency andsustainability of the micronance sector. This, in turn, inspired an increase and expansion ofthe MFIs throughout the country: by the end of 2010 there were 116 credit unions and 35

microcredit organizations registered and operating in the country.

The UNDP project Support to the micronance sector development, launched in 2009,supported further growth and expansion of the MFIs, aiming to promote their social perfor-mance and increase of nancial inclusion. In order to increase access to nance for the low-

income population in remote and rural areas, widen employment and small entrepreneurshipopportunities and promote client protection principles, the project opened a dialogue on

new proposed amendments to the laws regulating micronance activities in the countryand facilitated adoption by the government of the State programme on micronance sector

development in 20112015.As shown in the recent Uzbekistan Micronance Analysis and Benchmarking Report prepared

in cooperation with MIX Market (a worldwide micronance information exchange platform),despite rapid growth and increased eciency of the sector, there is still signicant unfullled

demand for microcredits due to the shortage of external funding. To this end, UNDPs tech-nical assistance is focused on strengthening the capacity of the local MFIs to attract the funds

of socially responsible investors from around the world.

Microfnance in Uzbekistan

XacBankcontinuestoensurethatitsloansgotothe

ruralareas,wheremostothepeoplelive,which

posesaspecialchallengeinacountrywherethe

ruralpopulationdensityissolow.Ruralclients

currentlycompriseabout47percentoitstotal

number,whichcomparesveryavourablywith

9.7percentorthemainstreambankingsector.

Recentinitiativestointroducemobilebanking

shouldmakeaurtherimprovementtothese

relativelyimpressivefgures.

Microfnancegenerally,andXacBankinparticu-

lar,hasundoubtedlymadeasignifcantcontri-

butiontoMongoliasdevelopment,andtoits

povertyreductionprogrammes.Certainly

the152,972ruralcustomersoXacBankhave

themselvesbenefted,buttheystillrepresent

lessthan10.1percentotheruralpopulation.

Ithas,however,beenanindispensiblepartothe

largerpicture.


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MONGOLIA

Duringthepast15years,MongoliasHDIandits

MDGindicatorshavesteadilyimproved(seebox

above),intheruralaswellastheurbanareas.This

representsasteadytransormationalchangeinlie

possibilitiesorruralMongolians,inwhichmicro-

fnancehasplayedamodestbutindividuallyimpor-

tantrole.Themutuallyreinorcingcoincidence

betweenthesetwophenomenatheexpansion

oeectivemicrofnanceandtheimprovementin

humandevelopmentperhapsrearmsthedevel-

opmenttruismthatsuccessbreedssuccess:overallprogressinMongoliahasenabledthemicrofnance

programmestoprosper,andviceversa.

ThesteadyMDGandHDIprogresscannotbe

attributabletothegrowthomicrofnanceassuch;

however,ithasundoubtedlyplayeditsrolealong-

sidemanyothergovernmentanddonor-supported

policiesandprogrammes.Indeed,thelessontobe

gainedmaybethatinstitutionssuchasXacBank

canbemostsuccessulwhentheyoperateagainst

abackgroundomorewidespreadinstitutional

changeandgenerallyimprovinglivingconditions.

XacBanksgrowthcanbeobservedinseveralmajor

bankperormanceindicators(seebelow).Itstotal

assetsgrewby26timesrom2002to2010,totalloans

increasedby43times,andtotalsavingsby25times.

TheMicroStartprojectoundedbythegovernment

withUNDPsupportoUS$1millionin1998nowhas

Year HDI Value

1985 .515

1990 .520

1995 .502

2000 .539

2005 .588

2010 .622

MONGOLIAS HUMANDEVELOPMENT INDEX

XACBANKS TOTAL ASSETS, 20022010

Source:XacBankAnnualReport2010

2002

500

450

400

350

300

250

200

150100

50

02003 2004 2005 2006 2007 2008 2009 2010

Source:HDIdatabase2011


26/108


THE CASE STUDIES

As a post-Soviet and post-conict country, Tajikistan has faced an uphill battle since indepen-dence. The ve-year civil war immediately following independence further devastated the

fragile new state. Although the war ended in 1997, the economic and social eects of the con-ict still haunt the country today. Tajikistan suered billions of dollars in damage, lost more

than 60 percent of its GDP, and thousands of people were displaced.

To revitalize the local economy, the government and UNDP identied micronance as an

important mechanism for supporting local economic development and providing economicopportunity for poor and marginalized people, especially in rural areas.

Building on foundations laid by its well-established Reconstruction, Rehabilitation and

Development Programme since 1996, in 2004 UNDP supported a government-inspired com-munity-oriented programme to ensure sustainable development throughout the country.This represented a shift from a predominantly humanitarian and stabilization-focused

programme to one that emphasizes long-term change in economic and social conditions atthe community level.

Through the establishment of Jamoat (sub-district) Development Committees (JDCs), whichlater transformed into Jamoat Resource and Advocacy Centres (JRCs), UNDP supported

the establishment of Revolving Funds (RFs) throughout Tajikistan for provision of access tomicrocredit to rural poor people.

These RFs initiated micronance activities in more than 120Jamoats in the country, with theaim to cover more rural populations. In 2006, after the adoption of the Law on Micronance

Institution, around 120 RFs were combined into seven regional Micro Loan Foundations(MLFs). To date, all of them have built their capacity and more than doubled their portfolio, i.e.

from US$3 million in 2006/7 to about US$6.5 million in 2011, and coverage has reached about

120,000 households with more than half a million people. In 2011 all the MLFs in the countryreached over 30,500 active clients, of which 40 percent are female clients.

In all seven MLFs the payback rate is almost 99 percent, which is the highest among the MFIs,

not only within the country but also in the region. Families who beneted from the micro-nance fund have increased their income and created job opportunities in their communities.

The largest immediate impact of micro loans was better access to capital among female ben-eciaries, who otherwise would have none.

Microfnance in Tajikistan

atotalassetomorethanUS$450million.Thisisa

signifcantachievement.

Lessons learned

Anumberouseuldevelopmentlessonscan

bedrawnromtheexampleoMongolias

microfnance.Theycanbesummarizedasollows.

Mongolian leadership: Fromtheoutset,the

microfnanceinitiativewasagovernment

UNDPprogramme,includingsupportromtheCentralBankoMongolia.Throughoutthe

process,itscardinalcharacteristicwasstrong

andvisionaryMongolianleadership,which

UNDPwasproudtosupportwithstart-up

undingandoneinternationaladviser.


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MONGOLIA

Partnerships:Asitprogressed,this

MongolianUNDPinitiativedrewinarange

oothernationalandinternationalplayers,includingNGOs.Notonlydidtheprogramme

accessabroadbaseoknowledgeand

experience,butitensuredallieswhich

wouldcarrytheprocessorward,irrespective

oUNDPsownengagement.Suchbroad

partnershipsacilitatednationalaswellas

governmentownership.

Strategic analysis of opportunities:Thedeci-

siontoinitiateMicroStartwasacorrectassess-

mentoneedsandopportunitiesinMongolia

inthemid-tolate-1990sitservedtoaddress

theneedsothosepopulationgroupsless

immediatelybeneftingromthesurgingeco-

nomicgrowth,anditbecameespeciallycritical

whentheeconomicresurgenceexperienceda

setbackasaresultotheEastAsianCrisis.The

existenceoMicroStartasaUNDP-supported

globalprogrammegaveMongoliaaccessto

comparativeexperiencesinothercountries.

Timing is important:Theemergence

oMongoliaromitsearliereconomicstraightjacketintoamarketenvironment

createdopportunitiesandanational

opennesstothemwhichisdiculttorepeat

inmorestablesituations.Atatimeorapid

change,arelevantinitiativestoodagood

chanceobeingmainstreamed.

Success breeds success:Thedevelopment

omicrocreditbeneftedromprogressin

othersectorsoMongoliasruraleconomy,and

viceversa.

External force majeure:Thesignifcanceo

externalactorsshouldnotbeunderestimated.TheliberalizationotheMongolianeconomy

wasmadepossiblebythedissolutionothe

SovietUnionin1991,aneventthatunolded

arromUlanBatorbutwhichcreatedgreat

opportunities.TheEastAsianCrisiso1997

gaveimpetustothemicrofnanceprogramme

andthebeginningomicrocreditinthe

country.However,theglobalbankingand

economiccrisisin2007precipitatedaspikein

ruralpovertyinthecountryasunemployment

roseandhouseholdincomedeclinedsharply.

Although still a work in progress, there islittle doubt that microfinance has transformed thelives

ofmanytens of thousands of Mongolians

The Mongolian micronance programme grew out of

MicroStart, a UNDP global programme in the 1990s whichhas subsequently been absorbed into one of UNDPs com-ponent funds, the UN Capital Development Fund (UNCDF)

which operates a Special Unit for Micronance (SUM).

Since its inception in 1997 MicroStart has provided seedmoney for micronance programmes in 20 countries andsupported 68 micronance institutions (MFIs). It focuses

especially on what it terms breakthrough organizations,those that can become substantially self-sucient.

XacBank is a good example of this.

In addition to providing country-level support, MicroStartalso works to harmonize the UN Systems approach tomicronance.

While drawing on UNCDF and UNDP core programme

resources, MicroStart has been able to mobilize grantfunding from a variety of other sources.

UNDP and Microfnance Globally


28/108


THE CASE STUDIES


29/108


THE CASE STUDIES


RESPONDING TO THE HIV

EPIDEMIC IN ETHIOPIA


30/108


THE CASE STUDIES

Synopsis

Sinceitsfrstreportedinectionin1986,Ethiopia

hasbeenfghtingtheHIVpandemicvigorously.

By2010,newinectionshaddecreasedandlie

expectancyincreased,aspopulationawareness,

testingandantiretroviraltreatmentallgained

traction.EthiopiasprogressinaddressingtheHIV

challengebeneftedromitspartnershipwiththe

internationalcommunity,includingwiththeJoint

UNprogrammeonHIV/AIDS(UNAIDS),theGlobal

FundtoFightAIDS,TBandMalariaandtheUS

PresidentsEmergencyPlanorAIDSRelie(PEPFAR).

Asaco-sponsoroUNAIDS,UNDPsspecial

contributionwastopromotealeadership

developmentprogrammeaswellasacommunity-

basedmethodologyCommunityCapacity

Enhancement(CCE)orCommunityConversations

whichservedtoempowerindividualsand

communities,especiallywomenandothersilenced

people,acrossthecountry.Thismethodologyhas

beensuccessullymainstreamedintotheEthiopian

publichealthsystem.Itwastheproductoaglobal

programmedevelopedbyUNDPinthe1990sand

rolledoutinanumberocountriesinArica,the

ArabStatesandAsia.Ethiopiaisaparticularly

successulcasestudyoitskind.

A health crisis within a health crisis

Ethiopiaisalow-incomecountrywithapopulationo85millionpeople,85percentowhomarerural

anddependentuponagriculture.Evenin2008

thepopulationcontinuestogrowat2.6percent

perannum,and43percentothepopulationare

undertheageo15years.Apartromcausing

environmentaldegradation,thisrapidpopulation

growthhasputpressureonlandholdings,

communitiesandpublicservices.

Ethiopiasoverallhealthstatusreectsmultiple

problems.Accordingto2009nationalcensuswithalieexpectancyatbirthoonly54yearsandan

under-fvemortalityrateo104per1,000(2009).

Poornutrition,inectiousdiseasesandlowlevels

oaccesstoreproductivehealthandemergency

obstetricservicesallcontributetooneothe

highestmaternalmortalityratesintheworld.For

Ethiopiain2008,thisisestimatedtobe470per

100,000births.

Theseactorsallconspiredtomakethecountry

highlyvulnerabletotheHIVvirus.Thefrsttwo

caseswerereportedin1986,andthediseasespread

rapidlyacrossthecountry,especiallyinurban

centres.By1992theoverallreportedincidenceo

inectionreached0.6percentothepopulation,

andanalarming2.3percentinurbanareas.This

precipitatedaconcertedeorttoaddressthe

challenge,inpartnershipwiththeUNandother

Awasa

T I G R A Y

A M H A R A

A F A R

O R O M I A

B E N I S H A N G U L

GAMBELLA

S O U T H E R N

O R O M I A

Addis

Ababa

A D D I S

A B A B A

H A R A R I

S O M A L I

D I R E D A W A

S U D A N

E R I T R E AY E M E N

S O M A L I A

K E N Y A

D J I B O U T I

R E D

S E A

Ethiopia

RESPONDING TO THE HIV EPIDEMIC IN ETHIOPIA


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ETHIOPIA

donorsandNGOs.Ethiopiahasoneothelargest

populationsopeoplelivingwithHIV,estimated

at1.1millionwomenandmenin2009,andadultHIVprevalenceisestimatedtobebetween1.4and

2.8percent.Almost60percentopeoplelivingwith

HIVarewomen.

WithapercapitaannualincomeoonlyUS$334,

Ethiopiahadlimitedinstitutionalcapacityand

resourcestoaddressthischallengeonitsown.

Notwithstandingtheseconstraints,duringthelate

1990stheEthiopianauthoritieslaunchedamajor

nationalprogrammeonHIVandbegantocontain

andreducetheincidenceonewinections.This

wassosuccessulthatby2008overallprevalence

oHIVhadbeenreducedandwasstable,while

53percentopeopleinneedotreatmentwere

receivingantiretroviraltreatment.

Engaging with people andcommunities

WorkingwithintherameworkotheUNAIDS

partnership,UNDPworkswithcountriesto

understandandrespondtothedevelopmentand

socialdimensionsoHIVandhealth.Itarguesthatdevelopmentactionoutsidethehealth

sectorinsocialprotection,gender,human

rights,environmentandrelatedfeldscan

otencontributesignifcantlytobetterhealth

outcomes,especiallyorpoorpeople.Thisapproach

recognizesthatthediseaseisachallengeto

politicalleadership,culturalvaluesandcommunity

processes,asmuchasitisapublichealthissue.

Thisisbecausereducingnewinectionsand

ensuringeectivetreatmentrequiresalevelo

acknowledgementandopendiscussionodicult

issuesthatchallengesmostsocieties,eventhemost

economicallysuccessul.

Humanrightsviolationsandinequitablegenderrela-

tionsuelthespreadotheHIVepidemic.Menand

womenotenacesocialexclusionasaresultotheir

HIVstatus,hinderingeortstoopenlyandeectively

addresstheepidemic.Violationsorightshamper

accesstoprevention,treatmentandsupportservices

orpeoplelivingwithHIVandormarginalizedpopu-

lationsthatarevulnerabletoinection.

Humanrightsinringements,whetherinamilies,

communities,workplacesorhealthacilities,

discouragepeopleromspeakingopenlyabout

HIV,seekinginormationandaccessingsupport,

Ethiopia has one of the largestpopulations of people living with HIV, estimated

at 1.1 million women and men in 2009

Awasa

T I G R A Y

2.7%

A M H A R A

2.7%

A F A R

1.9%

O R O M I A

B E N I S H A N G U L

1.8%

G A M B E L L A

2.4%

S O U T H E R N

1.4%

O R O M I A

1.5%

A D D I S

A B A B A

7.5%

H A R A R I

3.2%

S O M A L I

0.8%

D I R E D A W A

4.2%

Map o Ethiopia showing Adult HIVprevalence by region, 2007

Source:Ethiopia,2008


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THE CASE STUDIES

treatmentandlegalservices.Reducingstigmaand

discriminationagainstpeopleaectedbyHIVand

promotinggenderequalityare,thereore,essentialtohaltingthespreadotheepidemic.

ForUNDP,thereore,asuccessulresponsetothe

HIVchallengerequiredaocusonsupportinglead-

ershipdevelopmentwithingovernmentandcivil

societytochallengethestigma,discriminationand

genderinequalityhamperingeectiveresponses

toHIV.Accordingly,duringthe1990sUNDPor-

mulatedLeadershipDevelopmentProgrammes

andCommunityConversationsmethodologiestoaddresstheseaspects,promotegovernmentand

civilsocietypartnerships,andencouragemulti-

stakeholderandstrategicmultisectoralengage-

menttorespondtoHIV.

Tothisenditbegantoimplementleadershipdevel-

opmentprogrammesandcommunityconversa-

tionsinanumberocountriesacrossregions,in

partnershipwithgovernmentandcivilsociety.

Theseprogrammeswereparticularlysuccessulin

Ethiopia,wheretheauthoritiesdecidedtomain-streamthemethodologyasanintrinsiccomponent

oitspublichealthprogrammeattheprimarycare

level.Itdidsopartlybecauseitwasaneective

instrumentoraddressingHIVbutalsobecauseits

promotionoleadershipatalllevelsosocietyand

especiallyitsempowermentocommunitiesnota-

blyowomenhadmanyotherbeneftsorhealth

servicedelivery,andpublichealthmoregenerally.

AddressingHIVandAIDS,thereore,becamea

proxyorhealthissuesmoregenerally.

UNDPbeganworkingwiththeEthiopianauthorities

onHIVandAIDSinthe1990s,workingwithinthe

UNAIDSrameworkwherebydierentUNagencies

playedtheirrespectiverolesintheHIVresponse.

ForUNDPthisincludesintegratingHIVpriorities

intonationalplanningprocesses;strengthening

governanceandcoordinationoHIVresponses;and

promotinghumanrightsandgenderequality.

InitiallyinEthiopiathistooktheormoadvocacy

whilereinorcingtheMinistryoPublicHealthinits

planningothenationwideresponse.Subsequently

UNDPbecamemoreoperationallyinvolved,

bysupportingtheintroductionocommunity

conversationsatthelocallevel.

TheCCEmethodologywasinitiallytestedonapilot

projectbasis,inourprovinces.Applyingexpertise

developedacrosstheAricancontinentaswellasin

The Leadership Development Programme and CommunityCapacity Enhancement (CCE) methodologies are bothintended to develop leadership at dierent levels of soci-

ety. They are mutually reinforcing.

The Leadership Development Programme brings togetherleaders from government, civil society and the private sec-tor to generate new partnerships and action to address

the challenge of HIV. The programme intends to empowerindividuals to develop a leadership and organizational

culture that can generate commitment, high performance

within organizations and transformational change.

CCE is a community-based programme which works inboth rural and urban settings. It was originally devel-

oped by both UNDP and the Salvation Army; the twoapproaches were subsequently merged into one.

It is a facilitated process for dialogue and decision-mak-ing enabling communities to delve into the deep and

sometimes uncomfortable causes of the HIV epidemic intheir lives and generate their own solutions to address

those causes. By facilitating rather than intervening andby empowering rather than prescribing, Community

Conversations stands in contrast to many otherapproaches seeking to bring about behaviour change.

Although particularly relevant to HIV, the combating ofwhich requires open discussion of behaviours and vul-

nerabilities, Community Conversations has many otherbenets for the communities concerned. These include thedevelopment of local leaders who may also be instrumen-

tal in addressing other development challenges.

Leadership Development Programme andCommunity Conversations


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ETHIOPIA

Asiaandelsewhere,UNDPtrainedlocalacilitators,

drawnromtheirowncommunities.Theyinitiated

communityconversationsacrosstheseprovinces,withstrikingresults.

Themostevidenteectwastoenablecommunities

toacknowledgetheHIVepidemicandtoexplore

harmulnormsorpracticeswhichuelleditsspread,

includingwidowinheritanceandemalegenital

mutilation.Thisacknowledgementandopen

discussionisrecognizedasthestartingpointor

anyeectiveeortstocombattheepidemic.

TheCCEprocesswasalsoempowering,mostespe-

ciallyorEthiopianwomen,whoweredispropor-tionatelythevictimsothediseaseandwhoseactive

engagementwasessentialiitweretobecontrolled.

Womenwereactiveparticipantsincommunitycon-

versations,andthroughthisprocesscommunities

wereabletoaddressissuessuchasgender-based

violenceandsexualandreproductivehealth.

In2004,twoyearsatertheCCEpilotprogramme

waslaunched,thegovernmentadopteditasaninte-

gralpartoitsnationalstrategy.Thedecisionwasto

mainstreamthemethodologythroughoutthecoun-tryandtouseitnotonlytostimulateopendiscus-

sionandbehaviouralchange,butalsotohelptarget

andprioritizewithinthenationalAIDSprogramme.

Thiswasdecidedwiththeullknowledgeandunder-

standingthatCCEwouldhaveabenefcialimpacton

healthservicedeliverymoregenerally.

CommunityConversationsacilitatedthe

engagementopeoplelivingwithHIV(PLHIV),

aswellasthoseatriskoHIVC,civilsociety,and

aith-basedgroupstoopenlyexchangedialogue.

ArecentreporttoUNAIDScommissionedbythe

HIVPreventionandControlOce(HAPCO)ound

thatdiscussionoHIVandrelatedhealthissuesat

thecommunitylevelhadasignifcantimpacton

addressingstigmaanddiscrimination.

FromEthiopias2010UNGASSreport,amulti-

sitestudyonknowledge,attitudeandbehaviour

conductedbytheaith-basednetworkEIFDDAin

33woredas(districts)amongthegeneral

populationoundthat30percentotherespondentshadacceptableattitudesregarding

PLHIVonallourindicators(willingnesstocareor

PLHIV;tobuyromPLHIV;toallowPLHIVtoteach

theirchildren;andtokeepamilymembersHIV

statussecret).Thismayhighlightanimprovement

comparedtothefguredocumentedinthe

DemographicandHealthSurvey2005,whichwas

It is widely accepted that the proportion of womenbecoming infected with HIV is greater than that of menin Ethiopia. HIV-positive women are often subjected to

higher levels of stigma and discrimination than men,which exacerbates the already vulnerable state of women

in the society.

CCE has been addressing this vulnerability of women in

Ethiopias male-dominated, patriarchal society since 2002.The process empowers women by giving them a voice

within their communities; involvement in decision-makingprocesses which aect their lives; and the condence

to assert their rights over their bodies. CCE creates anenvironment where there is dialogue between male andfemale, and between various social hierarchies.

Along with providing women with a voice, CCE has been

helping create female leaders and role models for otherCCE programmes in the area. This leadership role among

women has helped reduce female genital mutilationand gender-based violence. It has also increasedreproductive health education, as well as HIV prevention

and control.

Under the aegis of the government, there are various non-governmental, civil society and community organizationsthrough which various trainings and Community

Conversations on gender, women in leadership and therights-based approach are practised in rural parts of

the country. Some NGOs credit CCE with promoting andsupporting female candidates during the General

Election in 2005.

CCE and Women in Ethiopia


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THE CASE STUDIES

only10.7percentamongemalesand16percent

amongmalesinthegeneralpopulation.

During2009/10theGovernmentoEthiopia

reportedthat89.3percentokebeles(thebasic

administrativeunit)conductedcommunitycon-

versations,and24,723communityacilitatorswere

trained,representing97.1percentothetarget.An

equallyimpressiveperormance(90.6percento

target)wasreportedorschool-basedcommunity

conversations.Thisrepresentssubstantialprog-

ressinmainstreamingCCEacrossthecountryand

involvedatotalo5.6millionpeople.Thenumber

ocommunitiescontinuestoincreasesteadily.

Progress consolidated

ThereisnodoubtthatEthiopiasachievementsin

termsostemmingthespreadoHIVandreducing

itsimpacthavebeenimpressive.Thisisespecially

sowhensetagainstthewidespreadpovertyin

thecountryandthegeneralweaknessesothe

healthsector.Notonlyhastheoverallincidenceothediseasebeencontrolledandreversed,

butthecountrysabilitytotreatthosealready

inectedhasgrownimpressivelyinthelastew

years(seegraphsbelow).Thishassignifcantly

increasedthelieexpectancyothisgroupand

reducedtheeconomicconsequencesoearly

death,whichcanbesodevastatingtocommuni-

tiesandamilies.

Someothemajorachievementsinclude:

anincreasedleveloawarenessandpositivetrendsinbehaviouralchange;

anincreaseddemandorvoluntarycounselling

andtesting;

anincreasedtrendincondomdistributionand

utilization;

integrationandexpansionovoluntary

counsellingandtesting;

initiationopreventionomother-to-childtransmissionandantiretroviralservices;

positivetrendsinopennessandreductiono

stigmaanddiscrimination;and

encouragingtrendsininvolvementopeople

livingwithHIVandAIDStostrengthenlocal

engagement.

Theseareallwelcomeindicatorsoamore

opendiscussionoandlessstigmaattachedto

HIVandAIDS.Sotooarethegraphsbelow:

Foralltheprogressachievedsoar,somesignifcant

challengesremain.Ahighturnoverokeygovern-

mentstaandtensionsbetweentheroleolocal

andnationalinstitutionsperhapscausedby

moreassertivelocalcommunities,anachievement

otheCommunityConversationsprocessboth

The CCE methodology which was pioneered by UNDP isnow widely used by other agencies to raise awareness and

empowerment among people against HIV and AIDS.

In November 2010 the Nelson Mandela Foundation usedCCE in KwaMakhutha in KwaZulu-Natal, South Africa, to

highlight the strong relationship between wunga andHIV. Wunga is a lethal combination of antiretrovirals,marijuana, rat poison, clay and detergent that is a growing

problem in South Africa. Antiretrovirals are stolen andused in this recreational drug.

A CCE event or process created an environment in which

three young men admitted to being wunga addicts andrequested rehabilitation. The community responded posi-tively to the young men and oered support and full nan-

cial assistance to help with their treatment. This outcomein KwaMakhutha is an example of how the community con-

versations process, once started by UNDP, empowered com-munities to discuss and address their various problems.

CCE and South Arica

Source:NelsonMandelaoundationwebsite2010


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ETHIOPIA

complicatethesustainabilityoprogressmade.

Extendingthenationalprogrammetothemost

sparselypopulatedareasothecountrystretches

availableresourcestothelimit.Sustainableunding

willalwaysbeachallengeoralow-incomecountrysuchasEthiopia.

Lessons learned

Thereislittledoubtinthemindsopractitioners

andobserversinEthiopiathatUNDPsLeadership

DevelopmentandCommunityConversations

programmesmadeasignifcantcontributiontothe

successoEthiopiasHIVprogramme.Anumber

oactorsinuencedthisrelativesuccessstoryin

AricasabilitytocombatHIV:

Strategic positioning of HIV in the wider

public health and development arena:

HIVwasnotseenasanisolatedhealthsector

issuebutratherdroveaconcertedeortto

promotehealthandnon-healthsectoraction,

includingengaginglocalcommunitiesthrough

theCCEmethodology.UNDPssupporttoan

integratedapproachtosuchmatterspaid

dividendsinEthiopia,aselsewhere.

Government leadership:Fromtheoutset,theGovernmentoEthiopiarespondedtothe

challengeposedbyHIV.Itprogressivelyputin

placeanationalinstitutionalrameworkwhich

couldmanagethenationalprogramme.

FacedwiththeearlypilotsuccessoCCE,it

wasquicktofnanceitandmainstreamit

nationwide.Theroadtodevelopmentispaved

withsuccessulbutignoredpilotprojects;

Ethiopiadeservestobecongratulatedor

dynamicallytakingtheCCEmethodologyto

nationalscale.

Applying global programmes at a country

level:Atthetimetheywereintroducedin

Ethiopia,boththeLeadershipDevelopment

ProgrammeandCommunityConversations

wereglobalprogrammesoUNDPthatwere

HIV TESTING CENTRE EXPANSION RISE IN HIV TESTING POPULATION

Source:Ethiopia,2008

1200

1000

800

600

400

200

658

775

1005

02004/05

2,500,000

2,000,000

1,500,000

1,000,000

supporting transformational change - november 2011

Documents