Mid-Term External Evaluation on the Project “Mekong Club Associates

MID-TERM EXTERNAL EVALUATION ON THE PROJECT

“MEKONG CLUB ASSOCIATES FIGHTING LABOUR EXPLOITATION”

FINAL REPORT

December, 2015

1 TABLE OF CONTENTS

FOREWORD ...... 4 EXECUTIVE SUMMARY ...... 5 1. INTRODUCTION ...... 9 1.1 Structure of this report ...... 9 1.2 Description of evaluation activities ...... 9 1.3 Limitations and constraints ...... 10 2. APPROACH AND METHODOLOGY ...... 11 2.1 Objectives of the evaluation ...... 11 2.2 Evaluation design ...... 11 2.3 Tools used for information gathering ...... 12 3. INTERVENTION AND ITS CONTEXT ...... 14 3.1 Context and background of TMC ...... 14 3.2 Anesvad ...... 15 3.3 The intervention evaluated ...... 16 4. ASSESSMENT ON EVALUATION CRITERIA ...... 19 4.1 Design / consistency ...... 19 4.2 Relevance...... 26 4.3 Efficiency ...... 29 4.4 Effectiveness ...... 34 4.5 Impact ...... 39 4.6 Viability / sustainability ...... 43 5. CONCLUSIONS/LESSONS LEARNED ...... 49 5.1 Strengths ...... 49 5.2 Weaknesses ...... 50 5.3 Opportunities ...... 51 5.4 Threats ...... 52 6. RECOMMENDATIONS AND ACTION PLAN ...... 53 6.1 Strengthen a result-oriented approach...... 53 6.2 Focus TMC’s future strategy on concrete sectors/ industries ...... 54 6.3 Create concrete and tangible products for each sector ...... 55 6.4 Define a more proactive strategy for targeting companies ...... 56 6.5 Enhance the multistakeholder approach and strategy ...... 57 6.6 Strengthen organisational structure, revise tools and branding ...... 58 6.7 Develop a funding plan consistent with the objectives and resources ...... 60 ANNEXES ...... 61 ANNEX A: Alternative design proposed for the intervention...... 61 ANNEX B: List of stakeholders consulted ...... 62 ANNEX C: List of documents analyzed ...... 63 ANNEX D: Questionnaire for project managers ...... 65 ANNEX E: Online survey questionnaire for corporations ...... 67 ANNEX F: Evaluation Matrix ...... 69

2 LIST OF ACRONYMS

CBO: Community Based Organisation CEO: Chief Executive Officer CSO: Civil Society Organisation CSR: Corporate Social Responsibility DAC: Development Assistance Committee EU: European Union GRO: Grass Root Organisation HRBA: Human Rights Based Approach ILO: International Labour Organisation IO: International Organisations IOM: International Organisation for Migration IT: Information Technologies MoA: Memorandum of Agreement NGDO: Non Government Development Organisation NTD: Neglected Tropical Diseases NZAID: New Zealand Aid OECD: Organisation for Economic Cooperation and Development PHC: Public Health Care PMI: Philip Morris International SEA: South-East Asia TMC: The Mekong Club ToR: Terms of Reference ToT: Training of Trainers UN: United Nations UN-ACT: United Nations Action for Cooperation Against Trafficking UNODC: United Nations Office on Drugs and Crime

3 FOREWORD

This external evaluation has been commissioned by Anesvad Foundation (Anesvad). Anesvad started its intervention in South East Asia in 1995. Since that date, the organisation has supported 262 projects mainly focused on the fight against human trafficking and community health.

The current evaluation aims to analyse the results of the intervention to fight modern slavery in SEA region supported to The Mekong Club (TMC) from January 2014 to July 2015 in order to improve, if necessary, the project design.

The evaluation work has been carried out between September-December 2015 by Pedro Surja expert evaluator from Spanish consultancy firm ECODE (www.ecode.es).

The evaluator wants to thank Anesvad (Catalina Echevarri) and TMC (Matt Friedman and Robin Bishop) for all the technical, logistic and organizational support provided during the evaluation, particularly for arranging and facilitating the agenda of activities during the field visits. Special mention goes also to all the people who participated in the evaluation activities in Hong Kong and/or trough questionnaires, sharing their valuable impressions and suggestions on the intervention with the evaluator.

The views and opinions expressed in this document do not necessarily reflect the same from Anesvad and/or TMC, given the external and independent approach of the evaluation conducted.

All documentation and outputs related to this evaluation remains the sole and exclusive property of Anesvad, including photographs and graphic materials which have been granted by the evaluators and/or TMC1. Total or partial copy and/or reproduction of this document are allowed by any media, just acknowledging always the source.

For any communication regarding this document please contact:

Anesvad ECODE Ms. Catalina Echevarri Mr. Pedro Surja Project Manager Evaluator-consultant Email: [email protected] Email: [email protected]

1 Cover picture taken from TMC presentations

4 EXECUTIVE SUMMARY

1. Introduction

This external evaluation has been commissioned by the Spanish NGO Anesvad. It aims at revising an ongoing project “Mekong Club Associates fighting labour exploitation” in order to provide Anesvad and the local partner (The Mekong Club –TMC) with inputs and lessons learned for enhancing design, performance, outcomes and sustainability of future phases for the same intervention, which will be completed by March 2016. The evaluation work has been carried out between September-December 2015 by Pedro Surja, expert evaluator from Spanish consultancy firm ECODE (www.ecode.es)

There have not been invalidating obstacles during the evaluation. Some difficulties found have to do with the fact that the target companies showed some resistances to disclose eventual cases of labour exploitation found within their supply chains. Lack of a proper baseline and some weaknesses in the project indicators have also limited the evaluability of some aspects (i.e. effectiveness and impact).

2. Methodology

As per usual standards and categories, the evaluation conducted can be characterised as a: 1) project/program evaluation, comprising various components interlinked and considered as a single intervention; 2) a mid-term evaluation, considering an intervention still ongoing; 3) the emphasis has been put on extracting lessons learned from the evaluation to be used for enhancing the design of the same intervention; 4) a external evaluation but with a participative approach; 5) a comprehensive evaluation, including the formulation (coherence of the foreseen actions and design), the outcomes (results and effects) and the processes (implementation mechanisms and procedures, organisational charts). The methodology and criteria proposed for the evaluation have been the standard defined by the OECD-DAC: 1) Coherence/Design, 2) Relevance, 3) Cost-Effectiveness; 4) Effectiveness; 5) Impact; 6) Sustainability The evaluation has intended to be as systematic and objective as possible. During the desk phase, an evaluation matrix was designed, as the key tool for managing and guiding the evaluation. That matrix included all relevant questions, indicators and sources for the evaluation. A participatory feed-back session was hold in Hong Kong with TMC and also in Spain (with Anesvad) to present draft conclusions, before proceeding to produce the final version.

The evaluation has tried to combine quantitative sources with more qualitative perceptions. The following data collection tools have been used: 1) Records and documentary analysis; 2) Interviews; 3) Workshops, meetings and discussion groups; 4) Surveys/questionnaires; 5) Direct observation on TMC structures, teams, management procedures and awareness events conducted.

3. Intervention analysis

Over the past few years, it has become apparent that to fully address the overall human trafficking problem, the private sector must be brought into the equation. With 75 percent of human trafficking representing forced labour and 60 percent of this being associated with supply chains, corporations can offer a new front in the fight against this problem. With this in mind, the local partner, The Mekong Club was set up. The Mekong Club believes that a business-to-business approach offers a major untapped resource in the fight

5 against human slavery. The private sector understands bad business and is therefore in the best position to address it directly.

To help develop this proposed project, the Mekong Club has had extensive face-to-face discussion with over 40 corporations. To design the effort, the Mekong Club brought together 8 organizations for a half-day “brainstorming event” on June 24th, 2014. The participating organizations included: Li and Fung, Adidas, Intertek, Bureau Verites, Edelman, Winston and Strawn, VL Group, and Disney. The group recommended that the Mekong Club develop the Association model, with an advisory board that would meet quarterly to help outline the direction of the model.

The project evaluated has two main components/results: 1) Private sector knowledge and skills are strengthen in order to identify and address labor exploitation cases in the Mekong region; 2) A private-public referral system is established to assure trafficked cases health care attention

Anesvad is a Non-Governmental Development Organisation (NGDO) with over 40 years' experience in the field of International Development. It currently operates in 19 countries in Africa, Asia and Latin America. The organisation aims to contribute to the development and protection of health as a basic human right and has traditionally supported anti-trafficking projects in SEA region. The Mekong Club and ANESVAD have worked together on two projects, being the second the one evaluated now

4. Conclusions and lessons learned

STRENGHTS

No doubts on the pertinence of addressing modern slavery in Asia, being this issue fully in line with policies and priorities from most relevant agencies and donors in the region. The innovative business approach adopted by TMC together with excellent communication skills, enriched with a unique field-based expertise by its founder (Matt Friedman) are at the core of TMC’s rapid success.

A significant amount of awareness on modern slavery among business sector in HK has been raised, in a relatively short period of time and TMC has gained trust from business sector, breaking their traditional resistance to collaborate with NGOs. It has also generated a strong interest/coverage from mass media (TV, radio, press, Internet).

Focusing on Hong Kong-based large global corporations has been clever, considering their decision making role and multiplying potential, and so has been gathering them in an association to promote concrete and tangible actions by them

The intervention is being cost-effective, mostly due to important in-kind contributions from member companies, flexible structure of staff and contribution from volunteers. The process-based approach adopted is the most appropriate, allowing the necessary flexibility at the beginning to re-orient and adapt it to the demands from target groups

WEAKNESSES

TMC has not developed yet a clear proactive strategy, identification and focus, with too much emphasis just on outputs/activities, some of them not strictly focused on business sector, and without more tangible outcomes/impacts and realistic indicators to measure them.

6 Serious shortage of staff at TMC, with a strong dependence of the whole organisation from just 2 persons currently on board and no expert technical staff able to provide added value on supply chains in specific sectors

TMC branding is not fully reflecting the goal and values of the organisation and the organization’s multi-stakeholder approach is very poor so far, limited to companies (no networking with NGO, Government and CSO).

OPPORTUNITIES

The awareness and trust created in a group of big powerful corporations allows moving towards more concrete actions by involving them in practical initiatives, particularly after recent UK modern slavery act and similar initiatives ongoing at the EU create a great momentum for it.

The expertise achieved so far targeting mostly US-based corporations could be adapted to widen the scope and include also medium- sized ones and also some Chinese-based big corporations.

There are funds available from the business sector to support TMC in a flexible and stable way. Expert companies linked to TMC may be also willing to contribute in-kind with specific and relevant expertise

The experience gained so far, allow to focusing on few sectors/industries to achieve more specific outcomes at each. There is a gap of good practices and successful models evidence-based which could be addressed by TMC through research at field level, also for advocacy / visibility purposes

TMC may strengthen its role as facilitator, focusing on business sector as its core target but enhancing their ownership and linking them to other key stakeholders, in an efficient and sustainable way. Other social organisations / NGO are available at field level to partner with and address some components which could complement TMC’s mission focused on business sector

THREATS

Resistance from companies to disclose and share information about their supply chains may compromise the effectiveness and measurability of impacts. Particularly, focusing too much just on big corporations may be targeting those already sensitized, with capacities and resources installed and missing others more in risk and vulnerable

Potential conflicts with Human Rights values and ultimate protection of victims, risk of TMC becoming just a technical assessor of the companies. This might be less attractive for some donors, and other NGO may see TMC as the one “working for the enemy” and create negative visibility if some scandal happens with one of the members of the association.

Necessary flexibility and demand-driven approach working with corporations may slow the process and keep it at just intentions at a safe, comfortable space for them. Similarly, too many discussions with less concrete and practical services/products received by members of the association may result in their withdrawal

At organisational level, there might be a temptation of going too fast (expansion to EU and/or US; too many members in the association) before the model is consolidated and a proper structure and technical resources at TMC are secured

5. Recommendations

 Strengthen a result-oriented approach, moving the core strategy of TMC from just awareness to concrete actions always focused on corporations (for and by them)

 Focus TMC’s future strategy on concrete sectors/ industries to be able to provide real added value and effective outcomes on them

 Create concrete and tangible products for each sector and orient the intervention clearly towards them

 Define a more proactive strategy for targeting companies, with ad hoc initiatives for each case/sector

 Enhance the multistakeholder approach and strategy, seeking to intensify a HRBA and the facilitator role of TMC for companies

 Strengthen organisational structure, revise tools and branding accordingly and consistently with the strategic decisions adopted on previous aspects

 Develop a funding plan consistent with the objectives and resources

8 1. INTRODUCTION

1.1 Structure of this report

The present report is divided into four main sections. First section starts with an introduction which includes a brief background, objectives and scope, methodology and limitations of the evaluation. Second section includes an overview on the evaluation context, including the general scenario of modern slavery in SEA region and more specifically the main features of the intervention implemented by TMC and supported by Anesvad The main section assesses, in a more detailed and comprehensive way, all the evaluation criteria proposed in the ToR, by answering to each and all the evaluation questions jointly proposed by ECODE, Anesvad and TMC during the desk phase. Based on the above, in the last section conclusions and recommendations are proposed, particularly for enhancing the design, relevance and coherence of the intervention in the future Finally, the report is completed with several annexes, which complement the main sections and allow for a deeper understanding of some evaluation aspects and/or the methodology followed. 1.2 Description of evaluation activities

The evaluation has included the following phases, activities and deliverables (all dates refer to 2015):

PHASE DATES DELIVERABLES

Kick-off 15-30 -Administrative issues (ToR, signature of contracts, September budget available, etc.) -Discuss and agree with Anesvad on the approach, scope, methodology, objectives and agenda -Collect all available documents from Anesvad and TMC + other external documentation by the evaluators

Desk phase 1 October – Evaluation matrix + agenda + list of key informants + 20 November information gathering tools (questionnaires, scripts, etc.)

Field phase 23 October- Feedback report to TMC in Hong Kong 2 December

Draft report 3-16 First draft of final report December

Discussion and 17-28 -Feedback session with Anesvad in Spain review with December -Further drafts of final report Anesvad and TMC

Final report 28 December Final evaluation report

9 Work process followed during the evaluation:

Preparation, scope and Discussion Desk phsase Eval. methodology with matrix of the work Anesvad/TM C

is Field information Final Draft Information gathering report Discussion with feedback analysis Anesvad/TMC report

1.3 Limitations and constraints

No serious constraints/limitations were found during the evaluation. On the contrary, it must be emphasized the full availability, collaboration and transparency shown by Anesvad and TMC during all the evaluation process, by sharing all the available documentation and their open views about strengths and also weaknesses of the intervention.

The following table shows some limitations encountered during the evaluation and how they have affected.

LIMITATION HOW IT HAS AFFECTED RELEVANCE Resistance from target This question could not be openly addressed companies to disclose during the interviews. Almost no company information on cases of responded to this question in the anonymous MEDIUM modern slavery detected questionnaire conducted for the evaluation. within their supply chains Potential impact of the project on this might be bigger than reported by companies. Some informants were very It was not possible to meet some of the busy persons, not always informants initially contacted (2-3, out of more LOW available for interviews than 40). With some others the conversations went through telephone and skype. However this did not affect seriously to the representativeness of the groups involved in the evaluation TMC had no direct contact The views and opinions from some potentially with CSO representing relevant right holders could not be obtained migrant workers in Hong directly from them. Some indirect information was MEDIUM Kong and meetings with collected from other persons who had contacts them could not be arranged with those associations Lack of a proper baseline and The evaluability of the effectiveness was limited some weak outcome by those factors. Assumptions and/or proxy MEDIUM indicators in the original indicators had to be used for it. project design No clear distinction between Difficulties to delimitate exactly the net effects of the 2 concrete projects each project/phase. The evaluation has focused MEDIUM /phases of the same on the whole overall intervention, considering the intervention evaluated findings from both projects in a cumulative way

10 2. APPROACH AND METHODOLOGY

2.1 Objectives of the evaluation

The main objectives of the evaluation process, as defined in the ToR prepared by Anesvad, are:

- Verification of the quality of the intervention, focusing on criteria of consistency, relevance, effectiveness, efficiency, impact, viability.

- Draw up conclusions, lessons learnt and recommendations.

2.2 Evaluation design

According to usual standards and categories, the evaluation conducted can be classified as follows: a. Evaluation scope: a project/program evaluation is considered (focused in various components, interlinked and presented in a single logframe). b. In terms of time, it has been a mid-term evaluation, considering an intervention ongoing for the period January 2014-March 2016. c. In terms of objectives the evaluation has been designed as a learning process for the evaluated intervention itself; the lessons learned from the evaluation will be used for reconsidering (when necessary) the on-going activities, in order to incorporate eventual recommendations for their implementation by Anesvad and TMC. d. In terms of the evaluation agent it has been an external evaluation but with a strong participative approach. The evaluation criteria were designed by ECODE and then completed during the desk phase with the contributions from Anesvad and TMC. The methodological aspects and evaluation procedures have been the responsibility of the external expert from ECODE but Anesvad and TMC have participated during the whole process. The draft of the final report has been the responsibility of ECODE and it has been discussed and agreed with Anesvad and TMC, before becoming definitive. e. In terms of the subject of the evaluation, it includes the formulation (coherence of the foreseen actions and design), the outcomes (results and effects) and the processes (implementation mechanisms and procedures, organisational charts) have been considered. The evaluation has not been merely limited to strictly answer to the questions defined during the desk phase; additional efforts have been made to explaining the reasons of the deviations and the difficulties (if any) and/or synergies found.

As per the ToR, the methodology and criteria proposed for the evaluation have been the following, as defined by the OECD-DAC: - Coherence/Design - Relevance - Efficiency - Effectiveness

11 - Impact - Sustainability Some other cross-cutting issues have been also considered, particularly related to the HRBA that Anesvad promotes in all its interventions: - Supporting policies and legal frameworks - Duty bearers’ institutional capacity - Strengthening civil society, as right holders - Gender The evaluation report has followed the structure and format proposed by Anesvad in the ToR, which basically follows the guidelines recommended by the DAC. The evaluation has intended to be as systematic and objective as possible. Therefore, the different criteria have been assessed always based on the most reliable data. During the desk phase, an evaluation matrix was designed by ECODE and shared with Anesvad and TMC, as the key tool for managing and guiding the evaluation. That matrix included all relevant questions, indicators and sources for the evaluation (See evaluation matrix in Annexes).

Following DAC’s principles on reliability and usefulness of evaluations, specific mechanisms for sharing the conclusions and recommendations with Anesvad and TMC were put in place by ECODE. More specifically, a participatory feed-back session with TMC was held in Hong Kong and another one with Anesvad in Spain, before proceeding to produce the final version of the evaluation report. Comments/changes suggested by Anesvad and/or TMC have been strongly considered for the final version.

2.3 Tools used for information gathering

Different tools have been designed for information gathering during the evaluation. Whenever it was possible triangulation has been used for combining and contrasting data from different sources. The evaluation has tried to combine always the quantitative sources (surveys, questionnaires, reports, statistics and registration data) with qualitative perceptions during field visit.

The following data collection tools have been used:

1. Records and documentary analysis. Based on the existing documents all relevant information regarding the intervention has been collected and analyzed. A list of documents has been provided by Anesvad and TMC to be reviewed. Additionally ECODE obtained and assessed other information available on Internet on the context, public policies, other relevant projects by other NGO, best practices and lessons learned related to modern slavery interventions in SEA region. (See list of documents in Annexes)

2. Interviews. In-depth semi-structured interviews were carried out in order to gather information of the intervention from key informants. Up to 36 different persons were interviewed (See list of persons interviewed in Annexes): a. Semi –structured interviews with Anesvad project manager b. Semi–structured interviews with TMC team and volunteers c. Discussion group with TMC Board d. Semi-structured interviews with members of the association advisory board e. Semi-structured interviews with representatives from the target corporations f. Semi-structured interviews with other companies involved in special projects

12 g. Semi-structured interviews with diplomatic community and chambers of commerce h. Semi-structured interviews with consultants linked to TMC i. Semi-structured interviews with representatives from Hong Kong authorities j. Semi-structured interviews with other NGO, associations

3. Surveys/questionnaires. Anonymous questionnaire for project managers was prepared and send to Anesvad (1 person) and TMC (2 persons) (See questionnaire in Annexes). In addition to it a massive anonymous survey for target corporations was conducted using an online tool. A total of 64 persons were sent the survey and 32 responses (50%) were collected, analyzed and the findings incorporated in the report (See survey in Annexes).

4. Direct observation (non participatory) of the structures, teams, procedures and resources available at TMC and also of the presentations and awareness events conducted by TMC (2 events –one with a private company and a second one at the Rotary Club- were observed).

13 3. INTERVENTION AND ITS CONTEXT

3.1 Context and background of TMC2

Human trafficking – essentially the recruitment, transport, receipt and harboring of people for the purpose of exploiting their labour – affects almost all parts of the world and is widely believed to be increasing in both scale and gravity. In the Asia-Pacific Region, the International Labour Organization (ILO) estimated that 9.49 million people were in forced labour (2005), with a significant proportion thought to be in the Greater Mekong Sub-Region (referred to as the Mekong Region from this point on), which includes Cambodia, China, Lao PDR, Myanmar, Thailand and Vietnam. Although trafficking has existed for centuries, the uneven effects of globalization have, in recent times, contributed to an environment in which trafficking has been able to flourish into a highly profitable and generally low-risk criminal business.

The Mekong Region compared to many other parts of the world contains very diverse patterns of human trafficking, e.g. internal and cross-border; highly organized and also small- scale; sex and labour, through both formal and informal recruitment mechanisms; and involving the victimization of men, women, boys, girls, and families. Thus, within the Mekong Region, there is not so much a single pattern of trafficking in persons as a range of different patterns, with various victim and criminal profiles. Examples include:

 Trafficking of men, women, children, and families into Thailand from neighboring Lao PDR, Myanmar and Cambodia – against a background of widespread irregular migration – for forced labor into sweatshops or onto fishing boats, construction sites, plantations, or farms; and  Trafficking from rural China, Myanmar, or Vietnam into the interior of China for forced labor into sweat shops.

Extra-Mekong Region trafficking is not confined to women or to sex work – in fact, extreme exploitation and slavery of Cambodian, Myanmar, and Thai men in factories and on fishing boats from which they cannot escape extends into the South China Sea area as well as the Middle East.

Over the past few years, it has become apparent that to fully address the overall human trafficking problem, the private sector must be brought into the equation. With 75 percent of human trafficking representing forced labour and 60 percent of this being associated with supply chains, corporations can offer a new front in the fight against this problem. With this in mind, The Mekong Club was set up. The Mekong Club believes that a business-to-business approach offers a major untapped resource in the fight against human slavery. The private sector understands bad business and is therefore in the best position to address it directly.

The Mekong Club and ANESVAD have worked together on two projects. First, the Mekong Club has an agreement with ANESVAD to provide compliance trainings to 50 companies across Southeast Asia. This initiative is on-going (January 2014 to January 2015).

Second, the Mekong Club has provided pro bono technical support to ANESVAD to help their partners to become more sustainable (Cambodia and China projects). This proposal established a public/private partnership model.

These are the first truly private sector initiatives in the counter trafficking industry to provide direct support to corporations to help them to improve their supply chain

2 Extracted from TMC project proposal

14 accountability and business response to the human trafficking issue. With this in mind, there is no research available at this time.

3.2 Anesvad

Anesvad's Mission To contribute to the development and protection of health as a basic human right:

By defining health as a state of complete physical, mental and social well-being and not merely the absence of disease or illness. By intervening in political, social, economic and cultural aspects. By promoting partnership with actors from the geographical South as the protagonists of their own development.

Anesvad's Vision Promoting actions geared towards sustainable and endogenous development that facilitates access to health for vulnerable groups from the populations of the countries in which they operate. Performing social and health-related actions for vulnerable groups in their immediate surroundings. Promoting social changes that will facilitate transformation of the structural causes of poverty, inequality and social exclusion. Performing awareness-raising and education-for-development actions that promote a transformation in the structural causes of poverty, inequality and social exclusion. Promoting comprehensive actions through networking with other organisations.

Anesvad's work focuses on development and protection of the right to health. Its main areas of action are Neglected Tropical Diseases (NTDs); Primary Health Care (PHC) with projects focusing on Community Health and Maternal and Child Health and Sexual and Re-productive Health; and the fight against Human Trafficking. Its overall approach is oriented towards tackling the structural causes of poverty, inequality and social exclusion through social change.

To achieve this aim, it works closely with local institutions and NGOs in each country, encouraging sustainable development of communities and respecting their culture and needs, through active participation by the local population in all phases. In all cases, they try to prioritize and focus on work with the most vulnerable and marginalized individuals in society.

Anesvad is unreservedly committed to the Human-Rights Based Approach (HRBA). HRBA is one of the essential pillars of its actions, at all stages of its projects and in other related areas of intervention: communication and social action. HRBA is a conceptual framework in the development process. In regulatory terms, it is based on international human rights standards, and in operational terms, it is oriented towards developing and protecting these rights. HRBA does not, therefore, describe situations in terms of human

15 needs, but in terms of the obligation to respond to these rights: rather than viewing individuals as subjects with needs to be satisfied, Anesvad sees them as the holders of certain rights, with the legal and social power to demand that they be fulfilled.

3.3 The intervention evaluated3

As listed above, human trafficking/slavery is a deplorable business that is thriving throughout the world. It is estimated that there are over 21 million men, women and children languishing in modern day slavery today – more than at any other time in history. These victims can be found in factories, construction sites, within fisheries and sex venues, generating profits for their owners that exceed US$150 billion annually.

According to the International Labor Organization, three-quarters of human trafficking/slavery falls under the heading forced labor. Much of this forced labor has a direct link to manufacturing supply chains (e.g. harvesting of raw materials, basic product packaging, assembly/manufacturing and related services). In Asia alone, it is estimated that there are 11.7 million victims in forced labor situations. The potential role of the private sector in eliminating slave labor by making it unprofitable is being increasingly recognized and supply chain labor conditions have recently reemerged as an important issue facing global manufacturing and retail companies.

Over the past 14 months, the Mekong Club has met with nearly 50 international banks, accounting firms, manufacturers and retailers. Six of the organizations have indicated their interest in working with the Mekong Club to set up a business Association: Adidas, Li and Fung, Disney, VL Group, Intertek and Bureau Veritas. While all of these corporations are based in Hong Kong, they also have offices in other locations as well. As part of other program with ANESVAD, the Mekong Club continues to offer regular 101 and compliance training companies in Hong Kong and beyond.

Through face-to-face meetings with private sector partners, we have learned the following:

 Many of these organizations know very little about human trafficking/slavery  Few of them understand the vulnerabilities that exist within their own manufacturing and retail businesses  While most have heard about the current legislation, few have done much to address the spirit of this legislation or any other  Representatives of these businesses appear very concerned about the problem and want to do whatever is needed to help.

To address the human trafficking issue, many options exist; e.g. using the three Ps (prevention, prosecution and protection), using traditional NGO and UN Partners. However, the Mekong Club believes that a business-to-business approach offers a major untapped resource in the fight against human slavery. The private sector understands bad business and is therefore in the best position to address it directly. This will be done through general awareness, targeted trainings for business on how to ensure slave-free supply chains, the development of a business association and through the use of innovative technology to identify slavery and shut it down.

The justification for the results selection responds to some of the principal capacity gaps identified. Below is the direct link between them:

RESULT 1: Private sector knowledge and skills are strengthen in order to identify and address labor exploitation cases in the Mekong region

3 Extracted from TMC project proposal

Private sector: - A lack of understanding and acceptance of the issue that restricts action. With more awareness, this gap is becoming less relevant. - In the absence of targeted legislation, the private sector has not fully taken up the mandate to consider human trafficking a part of its regular efforts. Getting the private sector involved at this stage can help to influence the direction of the legislation in a collaborative manner. - Information has not been extensively disseminated to the private sector partners. Likewise, communication channels are presently lacking or completely absent.

Right holders: - Direct access to victims is essential to free them from their circumstances and get them back on their feet. - As the private sector puts emphasis on auditing their supply chains below the top tier, more victims of human trafficking/slavery will be identified. - Getting the private sector to play this role will increase victim identification within labour situations and allow for more victims to be given the support they need (including physical and emotional health services).

RESULT 2: A private-public referral system is established to assure trafficked cases health care attention

Government: - A major gap exists in the commitment of governments to proactively address the issue. For this to change, governments need to train their front line workers to understand the importance and relevance of this topic in addressing the needs of oppressed persons. - Governments traditionally have not been good at addressing labour trafficking situations. With access provided by private sector partnerships, more trafficked persons can be identified and helped. - Governments and NGO service providers can play an essential role in helping to provide physical and emotional services to help victims to move on with their lives.

Right holders: - Direct access to victims is essential to free them from their circumstances and get them back on their feet. - Victims of human trafficking often do not self-identify as “victims.” Appropriate counselling is required to help gain their trust and allow them to accept support. A public/private partnership that links those identifying the victims with services is an effective model.

Success in this area would look as follows:

 The short-term outcome of this effort will be that these major corporations will better understand the issue and use their own resources to do compliance checks to identify and address any slavery-like conditions found in their supply chains.

 As part of this project, a range of different organizations will come together to form an Association that will work collectively to fight the problem. The mid-term outcome will be that corporations, under the leadership and supervision of The Mekong Club, will seek help to proactively assess their supply chains down to the lowest levels and put in place other safeguards that will protect their businesses. We expect that this approach will result in exploitative sites being identified and fixed, thus freeing exploited migrants from these

17 conditions. A second mid-term outcome will be that relationships between the public/private sector (shelters, social organisations, etc.) and the corporations will be set up when trafficked persons are identified. This will ensure that the trafficked persons get the healthcare services they need.

 The long-term outcome will be: 1) that this overall process is completely integrated into corporate operational plans as a core value, including annual reporting on their efforts through their Sustainability and Corporate Social Responsibility departments; and 2) relationships with public service providers (both government and civil society) are in place to help trafficked persons that are identified through the private sector efforts.

The Mekong Club believes that by encouraging the private sector to understand and act upon this problem, thousands of people in slavery-like conditions can be assisted. We also believe that a strong Alliance between the NGO world and the private sector will help to address the needs of the rights holders.

The intervention evaluated will last from October 1st 2014 to March 31st 2016 (18 months).

The following table summarizes the budget and funding sources for the project:

Local TOTAL FUNDING SOURCES € currency (%)

ANESVAD € 150,000 US$202,800 44 % Applicant € 45,118 US$61,000 13 % Other contributions (please specify)

NZAID € 68,070 US$92,030 20 % Humanity United € 22,189 US$30,000 6 % Private Donors € 40,200 US$54,350 12% ANESVAD € 18,491 US$25,000 5%

TOTAL € 344,068 US$465,180 100%

4. ASSESSMENT ON EVALUATION CRITERIA

4.1 Design / consistency

Has the intervention been properly identified / designed before its formulation?

1. The idea of creating the Mekong Club (TMC) came up as an initiative from an expert (Matt Friedman) on Human Trafficking in South East Asia (SEA) together with some key influential business-related leaders in Hong Kong who believed that corporations could and should play a more active role to fight against it. Matt Friedman had a sound field-based expertise and direct exposure to the issue, including the causes and scope of the problem in the region, the legal frameworks on it and their gaps, so as the weaknesses from other key actors to address it. However, a more systematic, detailed and comprehensive identification exercise was not conducted at the beginning of TMC’s activities (i.e. problem identification, establishing the causes and interrelations among them –social, legal, judicial, economic, cultural, awareness, etc.- and clearly selecting those factors that were going to be specifically addressed / prioritized by the organisation).

2. The whole intervention is based on the concept of “Modern Slavery” which puts the emphasis on the vulnerability of persons whose freedom and/or human rights are seriously affected, regardless whether they have been trafficked or not. Therefore, it does not limit itself to cases of Human Trafficking or Sexual Exploitation. It neither requires a formal working engagement between the victims and employers. This flexible, holistic and comprehensive approach adopted by TMC is overall relevant and highly appropriate in order to avoid protection gaps faced by other stakeholders working with the same issue (i.e. some International Organisations, traditionally bound by the need to justify that the victims have been trafficked from one country to another). However, a clearer and more systematic conceptual approach to modern slavery and how it affects to the design and prioritization of actions to be implemented by TMC has not been developed yet by the organisation. In some cases (i.e. in the project proposals submitted to Anesvad and also in some sections of TMC’s website) the term “modern slavery” is interchanged with Human Trafficking, Sexual and Labour exploitation, in a less clear way.

3. TMC has not adopted so far a clear sectoral and/or geographical focus, probably due to the fact that the initial goal was basically to raise overall awareness on modern exploitation, therefore trying to present a summary of all possible types of this problem prevailing in most countries in the region. For didactic purposes, some specific features of modern slavery related to forced prostitution, child exploitation, supply chains, fishing and banking sectors are usually presented by TMC. However, there are not clear strategies and/or priorities at TMC for those sectors yet, as there are not for the SEA countries, aside from Hong Kong, in which the organisation would like to focus its activity in the future.

Fig. 1: Prevalence of modern slavery in SEA region (Source: Global Slavery Index, 2014)

4. TMC decided to target the business sector with a proactive and collaborative approach, different than the traditional “naming and shaming” strategy adopted by most of the NGO dealing with similar issues (lobbying the companies and confronting them with their clients in order to promote changes in the way they do business). This innovative approach by TMC has proven to be highly appropriate in order to gain trust from the business sector and promote their active involvement. Within the business sector, TMC has focused on large corporations, most of them with a US background and based in Hong Kong, basically due to their strong multiplying potential (decision-makers with capacity to influence on several other companies, either in Hong Kong and/or in other countries in the SEA region).

Big (>250 staff and/or > €250 6% Footwear & million apparel China turnover) Vietnam IT & 21% 22% electronic 28% 19% Medium (50.250 37% Cambodia staff and/or Financial 8% Lao €50-250 million 75% 15% turnover) 22% 15% Thailand 13% Legal 6% Myanmar Small (<50 staff 2% 11% and/or < €50 Others Global million turnover)

Fig. 2: Size, sector and market of the companies targeted by TMC (Source: Evaluation questionnaire)

5. However, there has not been a clear and proactive strategy so far by TMC for targeting other type of companies, apparently more vulnerable, less sensitized and/or with less capacities and resources to address the issue of modern slavery (i.e. EU companies, Chinese companies, mid-sized companies). Working only with large US-based corporations, has the risk of limiting TMC’s scope to those companies already sensitized, availing enough resources and capacities to fight against modern slavery (most, if not all the companies interviewed during the evaluation declared to have already ongoing procedures and mechanisms for it, even before they started to collaborate with TMC). Aside from that, if the intervention intends to focus on supply chain assessments, as proposed, it must be fully secured that most of the companies targeted do subcontract their manufacturing in Asia, which is not so clear according to the results of the evaluation (just 23% of the companies affirmed it).

23% Subcontract manufacturing in Asia Do not subcontract manufacturing in Asia 77%

Fig. 3: Target companies subcontracting manufacturing in Asia (Source: Evaluation questionnaire)

6. The intervention has not adopted a multi-stakeholder approach on purpose. TMC considered that, in order to gain trust among the business sector as its main target group, it was important not to mix it up with other groups (i.e. NGO, CSO, authorities) which could refrain the corporations from talking openly, sharing and/or disclosing their weaknesses and concerns regarding modern slavery (i.e. cases they may have found in their supply chains). This was probably a realistic and appropriate strategy for initial stages, even if it does not reflect the traditional multi-stakeholder approach followed by other NGOs and IOs. In any cases, TMC did hold some few contacts with other relevant NGO (Liberty Asia, Walk Free)

21 and also with some government bodies (Department of Justice) mostly for awareness purposes. On the contrary, almost no contacts have been maintained with CSO potentially relevant to the intervention (i.e. migrant workers’ associations existing in Hong Kong). In any case, TMC has not conducted so far a clear and in-depth stakeholder assessment/mapping, including roles, interests and added value from each, in order to consider potential further strategic engagements with them in future stages, once the collaboration with the corporations has been consolidated.

Has the formulation of the project been coherent and consistent with the identification?4

7. TMC’s mission and interventions carried out so far cannot be easily framed into or channeled through traditional short-term and rigid projects usually supported by many NGOs and donor agencies. On the contrary the actions implemented so far by TMC require a more flexible approach, which allows them to being adapted to the needs and pace marked by the corporations, if a real ownership and leadership by them is to be achieved. The urgency of packaging project proposals by TMC to fit into the donors’ strict requirements and preferences, in order to get funding from them, might lead to setting “artificial” logframes and/or less realistic indicators. On the contrary, other relevant and key achievements not easily quantifiable and/or measurable, might not be clearly visualized/emphasized in those project logframes (i.e. trust gained among the corporate sector by TMC). That is exactly what has happened in the “project” evaluated now and the following findings need to be interpreted under that consideration.

8. The specific objective of the project, as it was defined in the proposal submitted to and approved by Anesvad, refers to “Reducing the number of labour exploitation cases in the Mekong Region”. Considering the approach and focus of the action (and TMC’s mission) on strengthening the corporate sector to fight against modern slavery, the objective proposed is less relevant and realistic (it goes further beyond the scope and possibilities of the action, particularly since no specific sector and/or geographical areas have been prioritized). Furthermore, it does not capture the essence of the theory of change proposed by TMC, which is: by intensifying awareness and technical support efforts towards corporations, in a collaborative way, they will become active players in the fight against modern slavery by adopting more responsible and ethic business practices aiming at minimizing its existence within their supply chains.

9. The indicators proposed for the Specific Objective (“100 corporations assess and correct their supply chains” and “3.000 victims of modern slavery are rescued and the sites fixed”) are clearly less realistic, considering the enormous difficulties to change business practices with just a single project and also taking into account the scope / complexity of the problem addressed. There is a clear consensus among all the parties interviewed during the evaluation when it comes to the impossibility of assuring that modern slavery will be eradicated by just promoting supply chain assessments among the corporate sector, as it is implicitly proposed by the project evaluated. Of course supply chain assessments are an important tool for it, but they need to be complemented with others (i.e. preventive risk assessments, empowerment of workers, strengthening of social aspects within the assessment, change of business paradigms, etc.) in order to cover their gaps.

10. The Result 1 proposed (“Private sector knowledge and skills are strengthened in order to identify and address labor exploitation cases in the Mekong region”) is closer to the real focus of the action, reason why it should probably be better upgraded as its true Specific Objective. However, as it is described now, it remains too vague and less specific (concrete outcomes or

4 See in Annexes an alternative tentative logframe for the intervention proposed by the evaluator

22 changes to be promoted within the target companies, focus on specific industries and geographical areas). Furthermore, the importance and role of the new association of businesses proposed as the key strategy for achieving the goal is not emphasized in this result and appears somehow mixed up with other preliminary aspects (i.e. overall awareness of companies on modern slavery).

11. The indicators proposed for Result 1 are less realistic. Considering the starting point of TMC and its limited resources it is not credible (and even not feasible and manageable by TMC) that 100 corporations may become members of the new association, as it is neither that all of them assess their supply chains and/or they close down or fix 30 exploitative sites. Furthermore, the indicators proposed for this Result 1 refer to different levels of achievements, some of them more typical of the Specific Objective (output: membership to the association  outcome: supply chain assessments and identification of exploitative sites  impact: sites closed down and/or fixed). Last, but not least, the relevance and coherence of promoting closing down the exploitative sites detected as the ultimate goal is doubtful, considering the complexity of the problem (what will happen with workers from those sites?).

12. The Result 2 proposed (“A private-public referral system is established to assure trafficked cases health care attention”) is just indirectly linked to the ultimate goal of the action and its theory of change (empowering business sector to address modern slavery and maximize its role for eradicating it). Furthermore, considering TMC’s core strategy of creating a safe space for companies to speak out freely among themselves on how to improve their capacities to address modern slavery and taking into account also the lack of strategic clarity yet on the role to be played by other stakeholders, it seems too soon to address links with social organisations and direct assistance to victims in the very same initial intervention.

13. The indicators proposed for Result 2 combine relevant ones related to establishment of links between the business sector and other social organisations (30 organisations vetted and linked to the association) with others more focused on direct support to victims (physical and emotional health support) which are not so consistent with the activities effectively deployed by the action (never targeting the victims directly as to assure that any outcome/impact on them is a direct consequence of it). Furthermore, once again the proposed target of 3.000 victims to be assisted by 30 public organisations overlaps with the same proposed for the Specific Objective and, in any case, seems clearly excessive and less realistic, considering the focus of the action on direct work with the corporations, not with social entities and/or victims.

14. The sources of verification proposed in the project are overall appropriate. However it must be noted here an important limitation when it comes to accessing information on the potential outcomes / impacts of the action: the resistance from target companies to disclose information on eventual cases of exploitation discovered within their supply chains as a consequence of the intervention. For obvious reasons this is highly sensitive information which might affect to the image and visibility of the companies and, thus, they do not want to share it with third parties, be it TMC and/or any external evaluator. Considering that one of the main outcomes/impacts of the intervention is the number of exploitative sites discovered by the target companies, and the main source of verification proposed for it in the logframe are direct testimonies from those companies, TMC faces a very important limitation here to properly measure and assess the achievements of the action.

15. Although the proposal mentioned some relevant context information regarding the current context of modern slavery in the Mekong region and the potential role the companies could play for it, there is not a really proper baseline assessment, strictly speaking (i.e. measurement of concrete project indicators before the intervention starts, in order to be able to compare with the ones at the end of it and conclude about net achievements / impacts). This is particularly important for the indicators related to supply chain assessments by the target companies, since most of them (all interviewed by the evaluator) were already

23 conducting this type of assessments even before the intervention started and, therefore, it cannot be said that those reported by the project at its completion are a direct and exclusive achievement of it.

16. The project proposal has identified some external factors / hypotheses potentially affecting to the achievement of objectives and results. However, considering the innovative business approach adopted by TMC and also the high sensitivity of the issue addressed, a more comprehensive and in-depth risk assessment should have been conducted to increase the feasibility of the intervention. It should also include a set of contingency / mitigation measures in case those risks appear, in order to minimize their negative impact in the project. For further details and some tips on the main risks identified during the evaluation, please consult the section on Conclusions/Threats.

17. The activities proposed for the Result 1 are overall consistent with it, but they include two different and less homogeneous components, which probably deserve to be framed into different results, without clearly describing the scope, limits and synergies between them: a) first, those activities directly aimed at creating, consolidating and operating the new association proposed, including specific technical and support services to be provided only for the members, with the ultimate goal of developing concrete and practical projects / actions against modern slavery; b) second, those overall awareness and information campaigns, targeting a broader number of companies even if they are not members of the association, aiming at raising awareness on the causes, scope and consequences of modern slavery, probably with the ultimate goal of attracting them to become members of the association.

18. The activities proposed for Result 2 (virtually restricted to just one overall activity) are much less developed and remain too vague, without clear strategies, channels, mechanisms, tools and outputs. Indeed, there is not a clear geographical focus (i.e. promoting links with shelters in Hong Kong or all along the Mekong region, which is not very realistic?). No selection criteria are proposed for identifying and selecting the organisations/shelters for referral of victims. No concrete mechanisms are proposed for referring victims (is it TMC, governments, or companies directly in charge of doing it?) and counter-referral systems (follow-up of cases after some time) are not contemplated. No protection policies and/or referral to legal services for victims are foreseen. There is no clarity on the type of services to be provided for victims (just medical/psychological, or also rehabilitation including livelihood opportunities?). As a consequence of all the above mentioned, the consistency and coherence of this component in Result 2 with the rest of the activities in the project are less clear.

Is the intervention aligned with TMC and Anesvad’s priorities and their comparative advantages have been maximized in the design of the action?

19. The intervention evaluated is fully framed into TMC’s mission and vision. In fact, it cannot be considered as an individual project aside from other components of the organisation. On the contrary it fully represents its core and comprises all the activities currently implemented by TMC. In brief, the project and TMC are exactly the same. However, TMC has not defined yet an internal strategic plan, particularly reflecting its values, objectives, priorities, approach, strategies, key stakeholders, more precise targets, strategic partnerships, phases, budgets, etc. Such plan is currently ongoing (a draft has been prepared already by TMC management) to be discussed within the Board and eventually approved by it during the first quarter of 2016). Until this happens there will always be some risk of losing the focus of TMC and/or even of its “utilisation / manipulation” by third stakeholders trying to implement their own agendas / priorities when proposing collaborations with the organisation.

24 20. Anesvad has been traditionally supporting initiatives to fight against human trafficking (with a particular emphasis on sexual exploitation) in SEA region. Furthermore, the organisation prioritizes innovative approaches involving non-traditional stakeholders in development issues (as the business sector, in this case). In this sense, the current project is fully coherent with those past strategies/programs. More doubts appear when future priorities in Anesvad are to be considered. Apparently the organisation is willing to gradually focus its activities on Neglected Tropical Diseases and basic health in sub-Saharan Africa in the next years, which will lessen the strategic priority given to other interventions, as the one evaluated.

21. TMC had clear comparative advantages for the intervention: basically they consist on the first-hand experience about modern slavery by its promoter (Matt Friedman) together with some previous links and involvement from the business sector in Hong Kong. Furthermore, TMC has gained in a relatively short time an enormous legitimacy and trust among the big corporations in Hong Kong (a clear comparative advantage most NGO do not have, more oriented to “naming and shaming” strategies towards the business sector). This allows TMC to adopting a facilitator role with business sector and linking this with other key stakeholders, as the organisation is already trying to maximize. Other potential roles / comparative advantages from TMC, as for advocacy purposes with decision-makers, have not been explored so far by the organisation, even if some target corporations consider that it could be a clear option to be prioritized in the future.

22. Anesvad has also comparative advantages for the intervention evaluated, mostly related to its regional comparative experience on human trafficking, links with other key stakeholders in the region (i.e. other NGO, social organisations providing support for victims) and strong expertise on project management (formulation and monitoring). Other eventual aspects in which Anesvad could have played a more active role (i.e. linking TMC with Spanish corporations operating in SEA region, or contributing to raise awareness among Spanish citizens/consumers and authorities on the importance of promoting slavery-free supply chains, have not been apparently maximized.

23. As it has already been mentioned above, TMC has adopted a very flexible and demand- driven approach when designing and implementing its activities. This has allowed to adapting them to the lessons learned, with a strong “learning by doing” approach, even if this might be sometimes contrary to the strict and closed design required by traditional projects, as the ones submitted and approved by Anesvad. In any case, the intervention builds clearly into results and lessons learned from previous project supported by Anesvad (“Helping corporations to identify and address Human Trafficking / Slavery in their supply chains”). More specifically, the idea of creating an association to gather most active corporations previously sensitized and involve them in concrete actions shows a clear evolution from that first project and maximizes the results already obtained by it.

24. Anesvad promotes a strong Human Rights Based Approach (HRBA) in all the interventions supported. In practical terms, this implies working jointly with duty bearers (authorities, international organisations, service providers, private sector) for them to assume their responsibilities, and also with right holders (victims, CSO) to strengthen their capacities and link with the first. In the case of the intervention evaluated, this HRBA has been just partially promoted so far. As it has already been explained, TMC has consciously refused to adopt a multi-stakeholder approach at its first stages, fearing that too much involvement from CSO and/or local authorities might refrain corporations from getting deeply involved and sharing their weaknesses with them. While this is a reasonable decision by TMC in the short term, probably Anesvad’s efforts for promoting a more strategic multi-stakeholder and HRBA approach by TMC could have led to some inconsistencies in the design of the intervention finally approved (i.e. incorporation of Result 2 of the project, aiming at involving the CSO and public sector in the action, but with the weaknesses already assessed in previous sections of this report).

25. Something similar happens with the “right to health” component also promoted by Anesvad. Originally the intervention proposed by TMC had not any specific and direct focus on health. However, the priority given to that component by Anesvad might have influenced TMC to “make up” the proposal, rewording some objectives / results and including some additional indicators related to health. However, it seems rather clear that the intervention has neither a specific focus on health, nor concrete actions on it, as to be able to affirm that concrete outputs, outcomes and/or impacts related to health will be achieved.

26. Anesvad’s funding instruments are mostly channeled through “traditional” projects (1-2 year duration, logframe with strict objectives / results and quantifiable indicators). As it has already been mentioned, this funding scheme is not optimal for interventions as the one evaluated now, which require a more process-based approach, which involves more time, more flexibility to get it adapted to the needs and demands from target groups and more qualitative indicators to capture the achievements. This limitation has influenced the whole cycle of the action evaluated, from its identification, formulation and monitoring/evaluation.

4.2 Relevance

Does the intervention correspond to priorities of right holders and those priorities have not changed during the intervention?

27. As it has been mentioned above, TMC has not directly involved right holders (victims of modern slavery, other related CSO) during the identification and/or implementation of the intervention. Therefore, direct channels to assess their priorities and needs have not been established, not being possible to assess how much the action evaluated (approach, components, strategies, objectives, results) is relevant and pertinent to them. Aside from TMC’s conscious decision to work exclusively with the business sector for the first stages of the project, it is also claimed by the organisation that victims’ associations do not exist as so in Hong Kong. While this is probably true, there are some other CSO in Hong Kong directly or indirectly related to the issue of modern slavery (i.e. migrant workers’ associations) which could have been consulted by TMC during the identification of the intervention, in order to enrich its design with the direct perspective from potential victims of modern slavery.

28. TMC is aware of the specific needs, contexts and challenges faced by different type of victims of modern slavery, which do not constitute a homogeneous group, emphasizing those cases in more vulnerable situations for awareness components (i.e. women trafficked and sexually exploited; children working in candy factories). However, TMC has not developed yet a more concrete, comprehensive, detailed and operative strategy to ensure that the needs of most vulnerable groups among victims of modern slavery (i.e. women, children, ethnic minorities, persons with disabilities) are systematically prioritized and incorporated as cross- cutting issues for all the actions/components of the intervention.

Is the intervention aligned with priorities and policies of local authorities (duty bearers) regarding modern slavery?

29. Aside from some mentions to human trafficking introduced in 2013 within the criminal code (a paragraph allowing for more flexibility when applying the rules, for more effective prosecution of human trafficking cases) Hong Kong authorities have not approved a specific legislation on modern slavery and do not consider this issue as a priority. On the contrary, they usually declare that Hong Kong is slavery-free. This view is confronted by some other NGO and CSO who claim that slavery is a real issue in Hong Kong, either affecting directly its

26 territory (i.e. forced prostitution, exploited maids, bonded labour in construction sector) or indirectly, since most large corporations operating in other SEA countries where slavery takes place have their headquarters in Hong Kong. In any case, the current level of awareness and priority about modern slavery in Hong Kong is far from the same in other SEA countries, or even in other Chinese regions (i.e. Macau counts with a well developed anti-human trafficking policy and even several institutions and social programs to assist the victims).

30. TMC has held some contacts with Hong Kong local authorities (i.e. Department of Justice) mostly for awareness components. However, a more comprehensive and systematic involvement from all relevant authorities (Labour, Immigration, Police, Market regulators, etc.) as duty bearers, during the identification and design of the intervention by TMC, cannot be affirmed. This is partly due to the above mentioned official position from Hong Kong authorities, who considering that modern slavery is not an issue. It is also due to TMC’s strategy of focusing just on the business sector, avoiding confrontation with other stakeholders, as authorities. However, many companies interviewed during the evaluation considered that TMC should play a more active role on advocacy and, therefore, links with and involvement from authorities / decision-makers during identification and implementation of the intervention could be significantly enhanced.

Is the intervention aligned with priorities, strategies and programs from other key duty bearers (IO, NGO, business sector) on modern slavery?

31. The intervention is fully aligned with most recent international initiatives aiming at promoting a more transparent and effective role from private business sector to fight modern slavery. Particularly, California transparency in supply-chains act, adopted in 2010 and amended in 20125 has been expressly considered by TMC when designing the intervention. More recent UK anti-slavery act6 approved in 2015 takes the provisions of the California Act even further, being the project fully consistent and synergic with it. At EU level, TMC’s initiative can be clearly framed into the European Convention of Human Rights (art. 4) and more specifically into its Trafficking Directive (2011/36) and 2013 paper for addressing contemporary forms of slavery in EU external policy. A new piece of legislation on Modern Slavery is currently being discussed at the EU and is likely to be adopted within the following months. All the above mentioned not only makes TMC and its intervention fully relevant and aligned with international frameworks, but also creates a sound momentum for the project to maximize its contribution to eradicate modern slavery in SEA region.

32. The intervention falls clearly within most relevant UN Conventions and International Organisations’ priorities and strategies to fight Human Trafficking and Labour Exploitation (IOM7, ILO8, UN-ACT9 and UNODC10, among others). Building into those conventions, treaties and programs, TMC intends to adopt a flexible approach, victim-oriented, where the emphasis is not set on the movement of persons from one place to another and/or the means used by perpetrators, but more on the vulnerability and deprivation of basic rights of victims, regardless their origin, nationality, background, means and/or formal relation with traffickers/employers.

5 http://www.state.gov/documents/organization/164934.pdf 6 http://www.legislation.gov.uk/ukpga/2015/30/contents/enacted 7 https://www.iom.int/counter-trafficking 8 http://www.ilo.org/global/about-the-ilo/newsroom/features/WCMS_106207/lang--en/index.htm 9 http://un-act.org/ 10 https://www.unodc.org/unodc/en/human-trafficking/index.html?ref=menuside

Figure 4: TMC’s conceptual approach to slavery (Source: TMC)

33. There are other NGO/coalitions addressing modern slavery issues in Asia (Liberty Asia11, Walk Free12, Anti Slavery13, Free the Slaves14 or Issara15 can be cited, among others). Most of them have adopted a “naming and shaming” approach, by denouncing corporations directly or indirectly involved in slavery practices within their supply chains and encouraging their potential clients to boycott them as a pressure to adopt more responsible practices. On the contrary, TMC has opted for a business-friendly and collaborative approach, trying to convince the corporate sector that slavery is “bad business” but promoting always their ownership and leadership for any initiative to be adopted. Another key difference between TMC and most of the above mentioned NGOs is that these usually show a more concrete focus of activity (concrete target groups, sectors, countries), while TMC has not established yet specific priorities, adopting a much broader (and, therefore, also more superficial) scope. Partly because of those different approaches, TMC has not developed yet strong links and/or strategic partnerships with any of those other NGO, except for some contacts and ad hoc collaborations with them, mostly for awareness purposes. There is currently no formal platform / network of NGO/CSO working specifically with slavery issues in Hong Kong.

34. There are also some other initiatives more specifically from/for the business sector, aiming at fighting modern slavery and human trafficking from the inside of private corporate sector. Best known ones are BSR16, Stronger Together17, Community Business18, CSR Asia19, GBCAT20 or even the Global Reporting Initiative21 (which includes some mentions to human trafficking and labour exploitation among its standards). Most of them are related to Corporate Social Responsibility practices, promotion of “slavery-free” labels and/or adoption of self-regulatory codes/standards by the companies. However, few of them are specifically focused on modern slavery in SEA region, as TMC is. In fact, almost no one of the corporations in Hong Kong interviewed during the evaluation seemed to be aware of any of those other initiatives, aside from TMC.

11 http://libertyasia.org/ 12 http://www.walkfree.org/ 13 http://www.antislavery.org/ 14 http://www.freetheslaves.net/ 15 http://www.projectissara.org/ 16 http://www.bsr.org/ 17 http://stronger2gether.org/business-partners/ 18 http://www.communitybusiness.org/ 19 http://www.csr-asia.com/ 20 http://www.gbcat.org/ 21 www.globalreporting.org

28 35. Specific mention has to be made for the work of Verité 22 , a US-based organisation promoted by the private business sector, aiming to use the leverage of international business to improve the income, security, and freedom of workers worldwide. Verité promotes compliance and good practices in supply chain assessments, as a key strategy to empower large corporations to fight modern slavery, similarly to TMC. In fact, due to the lack of enough technical expertise on supply chains by TMC, this has established a strategic partnership with Verité for in-depth compliance trainings for some of TMC’s target companies and also for conducting supply chain assessments for those companies willing to go for it. Both services are provided by Verité against a fee to be paid by TMC (for the trainings) or the companies themselves (for the supply chain assessments).

36. A significant part (26%) of target corporations consulted during the evaluation considered that the main focus/priority for TMC should be research and advocacy, a role that has not been emphasized so far by the organisation. General awareness, technical assistance and networking among corporations were closely following, all of them already addressed by TMC. Referral of cases to social organisations does not seem to be a strong priority for the corporations, in spite of its incorporation as one of the 2 main components in the project evaluated and, therefore, this component should be reconsidered.

General awareness 8% 22% 26% Technical assisstance

Networking among 22% corporations

22% Research & advocacy

Referral cases to social organisations

Fig. 5: Priority focus of TMC according to the target corporations (Source: Evaluation questionnaire)

4.3 Efficiency

Do the partners have clear organisational charts, procedures, protocols and systems in place?

37. There are written agreements signed between Anesvad and TMC for the implementation of the project (though the signature of those agreements by TMC has suffered some important delays, due to some internal administrative reasons) in which main roles and responsibilities, tasks and deadlines are clearly defined, particularly regarding administrative, visibility and financial aspects. In brief, TMC adopts the role of direct implementer and also project manager while Anesvad becomes the financer and also provides some technical assistance regarding the design of the intervention (basically revising the logframe and indicators) and also its monitoring and evaluation (i.e. this evaluation was conducted as per Anesvad’s initiative and it was funded by this organisation).

22 http://www.verite.org/

29 38. Communication channels and procedures between Anesvad and TMC have been established, basically through regular (every six months) written reports. As it has already been mentioned, the traditional logframe approach and the reporting formats based on it (which are the ones basically used by Anesvad) are not fully appropriate to capture the essence and achievements of a process-based intervention as the one conducted by TMC. There is a feeling by TMC that some relevant information, probably not as tangible and quantifiable as the one required in the reports to be sent to Anesvad, might be missing from them. However, the obligation to report to Anesvad through comprehensive, detailed and strict formats was perceived by TMC as a positive thing, since it compels the organisation to be transparent, accountable and think in terms of concrete results and strategic goals.

39. Aside from formal reports, there has also been a more informal and regular exchange of ideas between Anesvad and TMC by email or skype. In general terms the communication and working relationship between the two organisations is considered by both as very positive, collaborative and smooth. On TMC’s side it is outlined that Anesvad has always been flexible and open to new ideas, while respecting the views and approaches of TMC. However the personal contacts between the teams from both organisations and/or the institutional visits between them have been very limited (Anesvad project manager has traveled in various occasions to Thailand during the whole intervention and it was not possible to have a meeting with TMC project manager, since he was not available; TMC director has traveled to the EU a couple of times, but no time was found to arrange a visit to Anesvad). Obviously, this is an important limitation if Anesvad wished to establish a more stable and strategic partnership with TMC. Increasing personal visits/contacts between both organisations would be very useful particularly to discuss about more strategic issues and strengthening mutual understating of the working approaches, procedures and formats and/or institutional mission, vision and values from both organisations (i.e. the HRBA promoted by Anesvad, as it has been mentioned above; or the reporting formats, their limitations from the field perspective and how to overcome them).

40. Until very recently (just till May 2015, when the project was already ongoing for almost 1.5 years) there was only one person (Matt Friedman) dealing with all tasks in TMC (direction, awareness campaigns, project management and reporting, institutional representation of the organisation, liaising with the Board, fund-raising). Even if some legal and administrative support (legal contracts, audit, accounting) was provided pro-bono by some of the companies represented in the Board, it seems rather obvious that the structure was insufficient and not consistent with the scope of the mission and the challenges faced by TMC. With the incorporation of a second person in May 2015, basically for dealing with the organisational aspects of the new business association promoted by TMC (having that person -Robin Bishop- a sound background and experience for it) this weakness has been partially improved. However, the team is still minimal and an eventual abandonment from any of the two persons currently on board would create a serious risk for the sustainability of the whole organisation.

41. TMC manager has traditionally focused his efforts/time on awareness initiatives (presentations, trainings, conferences, events). This was very necessary at the beginning, when the main goal was to build up the reputation, visibility and links of TMC with corporations. However, as the organisation is growing up, there is an increasing need of strengthening strategic direction, internal management and institutional relations of TMC (not only with corporations, but also with local authorities, consulates, chambers of commerce, CSO/NGO). So far there is not much clarity about who in the current team will adopt those roles and how this will affect to the intensity/scope of the traditional awareness activities carried out by TMC. The possibility of delegating those awareness activities to other persons out of the core team (i.e. to qualified volunteers) has not been seriously explored yet.

30 42. There is an urgent need for an additional technical staff in TMC, basically an expert in supply chains in charge of developing concrete outputs/products for the members of the new association recently created. That role is currently being played externally and partially, by Verité (as it has already been mentioned) which is not the most efficient way (Verité’s services are costly) and does not allow to maximizing the added value of the services directly provided by TMC. The current lack of staff in TMC with a Chinese background (including the ability to speak Chinese) is also a gap, particularly with a view to a future potential expansion of the target group in order to include Chinese corporations, as it has already been mentioned. To address this needs TMC faces obvious budgetary limitations, particularly considering that the expert position required calls for a senior professional with a significant expertise in supply chains in SEA region, and these profiles are not so easy to be found in Hong Kong at a reasonable cost (at least the cost that TMC could afford without affecting to the current salary structure/standards within the organisation).

43. TMC has involved volunteers and currently there is a pool of some 5-6 non-paid persons who collaborate with the organisation for some concrete tasks (mostly related to contacts with companies, logistics and administrative purposes). The volunteers interviewed during the evaluation were satisfied with their role and with the working environment in TMC. However, the involvement of volunteers is more ad hoc, without a clear volunteering strategy/policy developed yet at TMC. In any case, it is less feasible to cover some of the key expert positions required by TMC (as the one described in the previous paragraph) just with volunteers.

44. The Board of TMC is currently made up of representatives from the business sector (basically those who founded the organisation together with Matt Friedman). In general terms the Board is rather stable (low turnover ratio), enough in number (10 members), committed and active (some of the members provide pro-bono services to TMC, as already mentioned). Therefore, the role and functioning of TMC’s Board is overall healthy, even more than the usual standards for this kind of bodies, with a special mention to its Chairman who is really involved in the daily management and steering of the organisation. However, a more multi-stakeholder composition of the Board (i.e. involving other NGO, CSO, local authorities, members of Chambers of Commerce and/or consulates) has not been explored yet.

45. The protocols, procedures and systems in place at TMC are not too complex and/or developed, which is quite understandable considering the teething stage of the organisation and also the fact that till very recently its staff comprised just one person. Obviously, if TMC increases its structure in the future, both in terms of staff and/or resources, it will be necessary to develop and strengthen the existing procedures, protocols, etc. In any case, there seem to be no major issues regarding this aspect, and the organisation keeps reasonable standards of transparency and accountability, including yearly accounting of its financial statements by an external auditor. For most donors of TMC this external audit is enough to justify financially the amounts granted to the organisation. It is not the case of Anesvad, who requires a specific financial report with strict and complex requirements, which demand a significant amount of time and resources from TMC staff in order to fully comply with them (particularly considering that there is not a full-time administrative staff for it within the organisation).

Have the resources of the intervention been efficiently turned into results?

46. Budgeting formats and financial reports by TMC show some weaknesses: a) there are some arithmetical calculation mistakes in the original budgets submitted and approved by Anesvad (i.e. total personnel costs do not equal to the addition of personnel costs by activities); b) there is not a homogeneous budget presentation approach (i.e. mixing up costs per activities and type of items in the same format); c) some costs are not consistent with

31 the budgetlines they are framed into (i.e. travel, per diems and administrative/operating costs are incorrectly included as “Equipment, material and supplies”); d) there is not clarity on which costs refer to cash payments and which ones to in-kind contributions (i.e. apparently office renting costs and legal consultancy are in-kind); e) some important costs have not been apparently expressly budgeted (i.e. external consultancy costs for compliance trainings by Verité); f) financial reports from TMC to Anesvad reflect in detail the level of budgetary execution by budgetlines/items only for Anesvad grant, not for the whole project budget. All these limitations affect to an in-depth and strict assessment on the efficiency of the action.

47. The latest data on budgetary execution reported by TMC (narrative report as of July 2015 and financial report as of October 2015) show a significantly lower level of expenditure than it would correspond to the period of time already spent. While the project had consumed by July 10 months out of the 16 initially foreseen (or 62% of the project timeframe) the accumulated expenditure was only USD 109.000 out of USD 465.180 initial budget (or 24%). By the end of October (75% of project duration) only 49,89% of Anesvad grant had been spent. This gap could be partially explained by the demand-driven approach initially adopted by TMC, trying to let the corporations follow their own pace and propose by themselves next initiatives and steps related to the association, with a less proactive role from the organisation. The lack of a clear initial strategy for the association (scope, role, organisation, products, etc.) and the difficulties by TMC to recruit the right person to manage it are also factors that might have affected. In any case, it seems a fact that the whole intervention is progressing at a much slower pace than it was originally foreseen, which may result in the necessity to request for an extension to Anesvad once the initial duration is completed in order to achieve the results proposed.

48. More specifically, Anesvad grant allocated for activities A.4 “Data collection and gathering” and A.6 “Building partnerships” are just at a 30% and 14% (respectively) level of execution as of October 2015, with just 4 months left for the completion of the project. The explanation for activity A.4 is to be found on the slow pace and lack of clarity yet for defining the concrete products and services to be provided by the association to its members. The reasons for A.6 are more serious, and refer to the doubts on the real coherence and relevance of this component within the whole action.

250.000

200.000

150.000

100.000

50.000 Anesvad grant 0 Spent

Fig. 6: Anesvad approved grant vs. current expenditures. All amounts in USD (Source: TMC reports)

32 Is the intervention’s overall implementation efficient?

49. The distribution of costs initially budgeted and approved by Anesvad seems to be coherent, consistent with the relevance of each component and efficient. If the main budgetlines are to be assessed, the biggest share goes for CEO personnel costs (40%) which is consistent with his key leading role (and almost exclusive, since very recently) in TMC. Also consistent and very necessary is the cost of a support staff for running the new association (19%) which could be even increased in the future, considering the key importance of this component. More doubts are on the 25% allocated for “legal consultancy” (theoretically aimed at providing support for target corporations). The rest of the costs, including administrative costs at a very reasonable 9%, are consistent and efficient.

6% 8% 4% Travel & per diems 25% Materials for training 38% CEO personnel costs Association support staff 19% Legal consultancy Administrative costs

Fig. 7: Distribution of costs per budgetlines (Source: TMC reports)

50. If the assessment focuses on the distribution of costs per activities, the biggest part of the budget (52% in total) goes to A.1 “Planning of the association” and A.4 “Data management” for it (newsletter, case studies, toolkits and resource materials for members), which is fully consistent with the key importance of the association for the future strategy of TMC. On the contrary, the 16% budget assigned for A.3 “Crisis management” (confidential technical assistance for companies facing a “naming and shaming” situation) does not seem to correspond with the real weight of this component into the action and its relevance for the companies. Budget allocated for R2. “Building partnerships with social organisations” (for referral of cases detected by corporations) is restricted to 14%, which reveals the limited importance, relevance and effective development of this component in the whole design of the action.

14% 26% A1. Association planning 10% A2. Training 8% A.3 Crisis management 26% A.4 Data management 16% A.5 Awareness campaigns A.6 Building partnerships

Fig. 8: Distribution of costs per activity (Source: TMC reports)

33 51. If we consider the scope of entities (93) and persons (8.045) targeted for intensive and personalized awareness campaigns against the resources invested for it (USD 471.560) the intervention is being overall cost-effective (58 USD/each person targeted). Regardless the numbers and figures, the fact that TMC has become a leading organisation on modern slavery among the corporate sector, in 1.5 year, with virtually just one staff (Matt Friedman) in charge of conducting all the campaigns, managing the organisation and doing the fundraising, is a rare example of efficiency comparing with other organisations with much more staff needed for the same. The overall efficiency of the intervention is increased by the fact that some of the corporations involved in TMC are providing it with important in-kind contributions (office rent, pro-bono legal and accounting services) which significantly decrease the amount of external funds required for running the organisation. Finally, the availability of expert volunteers willing to collaborate with TMC is an additional factor of efficiency.

4.4 Effectiveness

Are the private sector knowledge and skills being strengthened to identify and address labour exploitation cases in the Mekong Region?

52. The intervention is being extremely active on overall awareness raising and training on modern slavery, having conducted up to 93 events for 8.045 persons until July 2015. A more in-depth assessment reveals that this component has mostly remained at a basic and overall awareness level (92% of the target audience has attended basic presentation, while only 8% has received a more detailed and specific compliance training). This strategy by TMC was probably appropriate at the start, due to the low level of previous knowledge and awareness on the issue by the target groups, which required a first exposure to it before going further for more detailed trainings. However, this also could affect to the effectiveness of the intervention, since just awareness might not be enough for the companies to start implementing concrete actions on it. That is exactly why the idea of the association came in.

Basic presentation

Compliance training 92%

Fig. 9: Type of activities conducted by TMC (Source: TMC reports)

53. If the target audience is to be assessed, we found that companies do not represent the main group (even if presentations for companies and multistakeholder groups –this last with a strong representation from business sector- are gathered, they represent together just 24% of the total audience, sensibly below the same for schools/universities (42%) and churches (34%). This is not totally consistent with the core mission and approach from TMC, which is focusing on corporate sector to strengthen their role to fight against modern slavery. Regarding geographical coverage of the awareness component, majority of activities (93% of the audience) take place in Hong Kong, which is fully consistent with the strategy and comparative advantages from TMC.

Multi-stakeholder events 7% 8% Companies 34% 16% Hong Kong 93% SEA and EU 42% Schools, universities

Churches

Fig. 10: Type of audience and location of TMC’s events (Source: TMC reports)

54. However, the number of events conducted and/or persons targeted is not, per se, an indicator of effectiveness. The evaluation has, therefore, inquired23 also on how much the level of awareness/knowledge on modern slavery had been effectively increased among the participants in the presentations/event. The results show clearly that the presentations, contents, methodologies and skills from facilitators are being very effective (65% of the respondents considered that the evens conducted by TMC had absolutely contributed to increase their awareness/knowledge on modern slavery; 32% affirmed that the contribution had been partial; just 3% declared that it had been insufficient).

32% Absolutely 65% Partially Insufficiently

Fig. 11: Increase of awareness/knowledge perceived by target companies (Source: Evaluation questionnaire)

55. Other outcomes going beyond awareness (i.e. more proactive and practical actions/policies implemented by corporations in order to fight against modern slavery within their supply chains) are also being achieved, though at a more discrete level. According to the questionnaire conducted during the evaluation, 5 companies declared to have an anti- trafficking/slavery policy in place. 3 companies affirmed to have started conducting internal supply chain assessments and 4 are doing it externally. As a consequence of it, 2 companies acknowledge having detected cases of forced labour in their supply chains and 1 of them affirms that it has closed down and/or fixed an exploitative site. No company declares having increased internal budgets for anti-slavery measures and/or having implemented other type of measures. Other effects mentioned by the companies refer again to overall awareness, but without having crossed yet the border between awareness and action.

23 Through the massive online anonymous survey already described in the methodology section

35 Others

The company has established links with support organisations and referred some victims to them

The company has closed down and/or fixed some exploitative sites

The company has effectively detected some cases of forced labor

The company has started conducting external supply chain assessments

The company has started conducting internal supply chain assessments

The company has now an anti-trafficking/forced labor policy in place

0 2 4 6 8 10 12

Fig. 12: Main outcomes of the intervention perceived by the target companies (Source: Evaluation questionnaire)

56. In any case, there are some important remarks to be made on the above mentioned results: a) first of all, they are far from the indicators originally set by TMC in the project proposal (100 companies conduct supply chain assessments; 30 of the identify exploitative sites) revealing a less realistic formulation and showing clearly that the project will not achieve those targets within its timeframe (just 3 months left for it); b) some results could be biased by the resistance from the companies to disclose the cases of slavery detected, which means that the number of cases of labour exploitation really discovered might be higher than the single case declared; c) on the contrary, the lack of a proper baseline (as it has been already mentioned in previous sections) does not allow to fully concluding that the outcomes reported are directly and exclusively consequence of the project, and were not taking place already before it (indeed, all the large corporations interviewed during the evaluation affirmed that they were already conducting regular supply chain assessments as part of their ongoing policies, even before they were involved in the project).

100 100

60 Expected Achieved 40 30 20 4 1

0 Supply chain assessments Exploitative sites identifed

Fig. 13: Expected indicators vs. achievements so far (Source: Evaluation questionnaire)

36 Is the new association of private corporations to fight against modern slavery being overall effective?

57. The new association proposed is now fully established from a formal perspective, being registered and with a legal status independent from TMC (though still within it as an umbrella organisation). A strategic plan for the association was prepared by Robin Bishop in January 2015 (as an external consultant, before joining TMC as a full-time staff in May 2015) and revised by TMC Board. The document is rather comprehensive and focused, including a context assessment, stakeholders mapping, mission, vision and approach, operational measures and a budget projection. The association is managed by TMC (Robin Bishop) and an advisory board has been set up composed of 6 relevant expert persons24, mostly related to supply chain sector, who meet regularly in order to decide on the strategic and operational actions from the association. So far 5 advisory board meetings have taken place. A briefing document for the internal functioning of the advisory group has been prepared and shared with the members.

58. So far 10 companies are formally members to the association25, with additional 15-20 in the pipeline. Out of those 10, 7 are paying the fees, 1 has not paid yet and 2 are providing in-kind contribution for TMC. All the members have signed a MoA in which the benefits, fees and responsibilities are described. The association has organized 4 working group meetings with the members 26 and 2 major trainings for members and non-members 27 have been facilitated by Verité. Although these indicators show a remarkable step ahead, it cannot be affirmed that the association is fully consolidated yet. Particularly the concrete products, outcomes or services to be provided to the members are still being defined and so are the industry-based working groups in which the association should necessarily be divided in order to become really effective. On a more practical side, a balanced number of members per each one of the industry/sectors is not yet achieved (most of them belong to manufacturing sector) and the fees to be paid by each category of members are still under revision (currently a flat fee is applied, but it seems more reasonable to establish differences based on each member’s annual turnover and/or level of implication in the association).

59. In any case, the number of companies member to the association (10 currently and 15- 20 estimated after completion of the project) are far from the initial expectations (100 members). Once again this reveals a less realistic goal defined when preparing the project proposal to Anesvad. Indeed, a target of 100 members just immediately after the association is created, is not only less achievable, but less feasible as well (such a scope could not be effectively managed by TMC, considering the current resources and staff available for it).

60. Probably due to that teething stage of the association and lack of development yet on the concrete practical products to be delivered to its members, the level of involvement in it perceived by those members is just average. More than half of them (54%) declare to be “partially committed” and almost one third (29%) think that they are just occasionally committed. Only 17% acknowledge being “deeply and regularly committed”. On a more qualitative level, the companies interviewed during the evaluation seem to be rather enthusiastic about the association and really committed with a true result-oriented mentality, not just for visibility purposes (as it usually happens with this kind of initiatives). The

24 Hilda Gunn Vestad (Lidl), Jim Leung (Disney), Colin Brown (VF), Helen Ford (Adidas), Jacqui Dicson (Pacific Andes) and Laura-Beth Barnes (Bureau Veritas) - though this last is not very actively attending the board meetings 25 Adidas, VF Group, Disney, Lidl, MGM Macau, SCB, Pacific Andes, Baker & McKenzie, Philip Morris, Winston & Strawn 26 Practitioner focused, sector wide meeting addressing risk; Practitioner focused, sector wide meeting addressing legislation; Industry working group-Apparel & Footwear. Asia: Country Views; Industry working group - Seafood. Buyers & Suppliers 27 1. Half day workshop on forced labour 101, practitioner-focused (free for members, fee paying for non members); 2. Full day workshop addressing working with recruitment brokers (free for members, fee paying for non members)

37 association has become, therefore, an excellent starting platform to achieve real outcomes on modern slavery among the corporate sector. However, this will probably require more time than the current project timeframe (just 3 months left) to fully deploy its potentialities.

29% 17% Deeply and regulalry committed Partially committed

54% Just ocassionally committed

Fig. 14: Level of commitment with TMC perceived by target companies (Source: Evaluation questionnaire)

Is a private-public referral system being established to assure that trafficked cases receive health care support?

61. TMC has identified 58 shelters/NGO providing assistance to victims of modern slavery in 9 SEA countries, establishing a first preliminary contact with them. However a more in-depth assessment on each one and their potential role in the project has not been conducted yet. There are no signs of any MoA and/or other operative links established between any of those organisations and TMC association, either as a collective body or with its individual members.

Indonesia Singapore China Thailand Myanmar Malaysia Lao Vietnam Cambodia

0 2 4 6 8 10 12 14 16 18

Fig. 15: Geographical distribution of shelters/social organisations identified by TMC (Source: TMC reports)

62. In fact, the potential role, responsibilities and comparative advantages of the corporations involved in the association, regarding referral of victims found in their supply chains to shelters, are not clearly assessed. Those companies interviewed during the evaluation neither considered this as part of their responsibilities, nor thought this should be a priority for TMC association. Furthermore, they tended to affirm that the feasibility of such component would be rather limited. Indeed, most corporations do not have a direct, strong

38 and regular presence in the SEA countries where the cases take place and, therefore, find it difficult to lead any referral of victims to shelters and follow-up of cases, particularly considering the social, cultural, economic and even legal complexity of it, which demands a much more strategic, comprehensive and in-depth approach to become really effective for the victims.

63. As a consequence of all the above mentioned, there is no evidence of any victim referred so far by the corporations and/or the association to the shelters previously identified by TMC. Considering that the initial target was 3.000 victims referred, we must conclude that the indicator was very unrealistic and will not be achieved, at all, by the end of the project. Furthermore, it also reveals that the whole Result 2 was not properly designed by TMC and Anesvad and will probably have to be reconsidered (if not directly suppressed) for future phases of the intervention.

Are other additional results being achieved?

64. Aside from the eventual outcomes on supply chain assessments by the target corporations, 4 private companies have implemented concrete actions/projects on modern slavery, directly or indirectly related to the project: a) British Telecom organized an internal contest among its employees to offer IT solutions to trafficking/slavery, resulting in a “cloud” technology for anti-trafficking NGO networking; b) Lexis Nexis conducted a thorough assessment on the California Act and also developed a website with basic information on human trafficking legal frameworks; c) Christian Action, Deckhert law firm and The Mekong Club will review 7,500 labor case files to determine the extent of trafficking within the Christian Action labor support efforts; d) MGM-Macau set up a tripartite committee, involving local authorities, NGO and private sector, to address human trafficking and modern slavery issues.

65. Other companies interviewed during the evaluation affirmed that they had started conducting internal fundraising campaigns among their employees for TMC. However, it is not possible to assess the exact scope of this additional result.

66. The intervention has proactively created a strong interest and achieved a significant coverage from media sector on modern slavery, thus contributing to raising awareness and influencing a massive target audience (corporations and general pubic) on the topic of human trafficking, not only in Hong Kong but worldwide. Since the beginning of the intervention, it has either been quoted or featured in 31 media articles/stories (radio, TV, press and Internet) including some of the most relevant ones (i.e. Bloomberg, Guardian, Forbes, South China Morning Post, The Telegraph, etc.). This is indeed a remarkable output not easily achievable by traditional NGOs, which usually have a very limited coverage at this level.

4.5 Impact

Is the intervention contributing to eliminate modern slavery and its consequences in the Mekong Region?

67. Any measurement of the potential impact of the intervention faces important limitations at this point. Firstly, the project duration has not been completed and, therefore, any eventual impact would not probably be visible yet. Furthermore, there is not a clear and precise baseline, in order to assure which net effects are attributable to the project and the

39 indicators proposed by TMC for it are not fully SMART28, as it has already been mentioned when assessing the design/coherency and effectiveness of the action. Finally, the resistance from target companies to disclose the cases of modern slavery eventually detected in their supply chains is also an important limitation for assessing the real scope of the impact of the project.

68. In any case, the indicators proposed by TMC to measure the ultimate impact of the intervention (3.000 victims of modern slavery are rescued from exploitative sites and offered medical and psychological care) are far from being achievable even by the end of the project, particularly considering that there are only 3 months left for it and so far no single case of a person rescued and rehabilitated has been clearly detected/reported. This has to do not that much with a poor performance from TMC, but more with a less realistic design and definition of project impact indicators by this organisation and Anesvad, when preparing and discussing the project proposal.

69. Another way of measuring the potential impact of the intervention (probably more relevant for a true HRBA but not so appropriate for the “no naming and shaming” approach adopted by TMC) could have been in terms of number of cases of modern slavery prosecuted and convicted. There are no clear and specific figures on this for Hong Kong and/or SEA region, where the project is geographically focused. If we look at more global trends, it seems to be clear that the number of cases prosecuted shows an increasing trend since 2011, reaching to its historical maximum level in 2014. However the proportion of cases convicted is not growing accordingly, being approximately at a deceiving 50% in 2014.

Fig. 16: Trends in modern slavery case prosecutions/convictions (Source: TMC)

Is the intervention contributing to strengthening the role and capacities of TMC and Anesvad on modern slavery in SEA?

70. TMC has clearly built a considerable reputation, trust and legitimacy among the corporate sector in Hong Kong, as the “go to” organisation for issues related to modern slavery. This has been strongly affirmed by almost all the companies interviewed during the evaluation, and this is probably the most important qualitative and difficult-to-measure, but realistic impact that the intervention has achieved so far, aside from those narrowly defined for the logframe of the project.

28 Specific, Measurable, Achievable, Relevant, Time-bound

71. In spite of the above mentioned, the role and visibility of TMC among the CSO/NGP sector is not yet so intense. Furthermore, its name and branding creates a bit of confusion even for some of the corporations consulted (i.e. no references to modern slavery in the name; defining itself as a “club” reminds to debate, leisure and recreational activities…but not that much to concrete compromises and actions).

72. Anesvad has also benefited from the experience gained in the project in order to get a more comprehensive and wider perspective on the issue of human trafficking in SEA, particularly incorporating the supply chains as a highly vulnerable context for it. More specifically, TMC has supported Anesvad (pro-bono) to assessing some of their other local partners in SEA dealing with human trafficking and sexual exploitation in order to build their capacities and alignment with international standards. Other potential synergies (i.e. experience and background shared with TMC as an input for Anesvad to design its recent awareness campaign in Spain (“Zero tolerance with Human Trafficking”29) have not been apparently maximized.

Is the intervention having a multiplying effect?

73. There is no evidence of new legal instruments, protocols and/or codes of conduct adopted so far, in Hong Kong and/or any other SEA country, directly or indirectly as a consequence of the project, which is understandable since advocacy and lobby were not the main focus of the intervention.

74. There are no signs yet of any replication and /or scale up of the intervention or some of its components by other corporations, governments, IO and/or other NGO/CSO. Again this was not to be expected at this time, since the whole model by TMC is yet at a teething stage, not fully consolidated, and therefore not enough time has passed to obtain evidence, lessons learnt and/or good practices from it (aside from some of the conclusions and recommendations from this evaluation).

Is the intervention contributing to strengthening the role and capacities of civil society to fight against modern slavery?

75. As it has already been mentioned, TMC has deliberately opted for not involving the CSO sector, at least at the first stages of the intervention, focusing its efforts exclusively on the corporate sector. The pertinence and justification for it has already been explained in previous sections of this evaluation. Consistently with this approach, the project has not had so far a strong contribution to strengthening the role and capacities of CBO/CSO (i.e. migrant workers’ associations; service providers for victims of human trafficking) to fight against modern slavery and/or to link them with decision-makers for it.

76. However, some of the awareness campaigns conducted by TMC with CSO in Hong Kong (i.e. churches, students and business associations, civic associations) and also preliminary contacts with social organisations addressing the needs of the victims of human trafficking in other SEA countries, might be contributing to streamlining the issue of modern slavery into their agendas/priorities and strengthening their capacities and skills to advocate with their members and also with authorities for more effective policies on modern slavery prevention and protection. However the quality and extent of this impact cannot be measured more precisely at this stage.

29 https://www.toleranciaceroconlatrata.org/default

Is the intervention having additional impacts on the corporations targeted?

77. TMC might be partially contributing to a change of mentality among the business sector regarding public disclosure of cases of modern slavery detected in their supply chains. From traditional strong opposition to do so, fearing a negative impact on their consumers, some companies (still isolated cases)30 have recently started pioneering a more transparent and responsible approach to it. This might have a strong multiplying potential among other companies facing similar cases. However, it is not possible to strictly assess, at this point, the scope of this potential impact and/or its direct links with the concrete activities implemented by TMC.

78. Some companies interviewed during the evaluation affirmed that their involvement with TMC had brought more cohesion and sense of belonging among their employees, around common and positively perceived values within the company. As already mentioned, some even declared to have raised funds among their employees to support TMC and/or similar initiatives. On the external side, even if it was clearly not the main motivation of the companies to join TMC, most of them declared that their adhesion to TMC principles and values may be positive for their visibility, CSR and/or public image. In any case, no major conflicts (internally and/or externally) have been identified by the companies interviewed, directly or indirectly as a consequence of their engagement with TMC.

Is the intervention having a gender impact?

79. Although the awareness campaigns conducted by TMC include some mentions to gender issues (i.e. sexual exploitation) the organisation has not any specific approach/strategy for it. Indeed TMC has traditionally opted for a neutral position on it, claiming that both men and women are equally affected by modern slavery. Some statistics from ILO are usually presented by TMC to justify that forced labour cases in supply chains (in which men and women are involved) represent 76% of total modern slavery, while forced prostitution (traditionally affecting women) stands ”only” for 24%. However, it is a fact that women and girls are statistically in a more vulnerable situation to become victims of modern slavery than men and boys. Furthermore, if most serious cases of modern slavery –those linked with human trafficking- are to be considered, women and girls are definitively at the core of the problem (79% of victims of human trafficking). In any case, TMC has not conducted so far any specific research on gender and modern slavery in supply chains; it has neither incorporated any specific measure or strategy directly addressing the needs and challenges faced by women in supply chains. Therefore, it cannot be concluded that the intervention is having or will have any significant impact on gender issues. No company interviewed during the evaluation (most of them managed by men, by the way) mentioned this as an issue and/or showed a specific interest/motivation on it.

30 http://www.huffingtonpost.com/entry/nestle-admits-to-using-slave-labor-groups-hope-other-companies-will- come-forward_5655cec6e4b08e945fea9729

Fig. 17: Distribution of slavery cases (left) and human trafficking (right) cases by gender (Source: Walkfree, 2014 and IOM, 2010)

4.6 Viability / sustainability

Is the intervention likely to be sustainable from a financial perspective?

80. The membership fees secured so far by TMC from the 10 current members of the association amount 33.000 USD/year, representing around 10% of the annual expenses needed by TMC with its current structure (330.000 USD/year)31. However, if the association progresses as expected, providing practical and effective services to the members (as already assessed in previous sections), it could realistically double its members within 2016 (up to 20 members) which means that this source could provide around 70.000-80.000 USD/year to TMC, or 20-25% of its total annual budget. Although this share does not reach to the target of 30-50% originally estimated by TMC in the proposal submitted to Anesvad, it still provides a significant and stable amount of non-restricted funds for TMC.

5.000 3.000 Adidas 5.000 5.000 VF Group Lidl 5.000 Disney 5.000 MGM Macau 5.000 SCB Winston Strawn

Fig. 18: Fees paid so far by the association member companies. All amounts in USD (Source: TMC)

31 250.000 USD for salaries + 30.000 USD for technical services + 20.000 USD for admin. Costs + 20.000 USD for other miscellaneous costs

81. A more strategic and long-term projection, based on the incorporation of a third staff in TMC to provide technical inputs on supply chains to the members of the association and also some additional technical consultants required for similar purposes, would increase the annual core budget required by TMC to some 430.000-450.000 USD32. It means that, keeping the same membership fees of the association around 5.000-6.000 USD/year as an average (which is a reasonable amount) it should have at least 40-50 members to generate 50% of the incomes needed by TMC to run its core actions, which is probably the maximum number of members the association could handle with effectively, at least in the mid-term. In brief, TMC will always require from other external sources (around 250.000 USD), aside from the association membership fees, to secure its financial sustainability.

450.000 400.000 350.000 300.000 Annual Expenses 250.000 200.000 150.000 Fees from 100.000 membership/year 50.000 0 Current Projected 2016 Projected 2017

Fig. 19: TMC expenses vs. membership fees projection. All amounts in USD (Source: TMC and evaluator’s estimations)

82. However that financial gap between projected expenses and own membership sources could be realistically covered by TMC with grants from external donors, particularly those related to the business sector for which TMC shows clear comparative advantages. More precisely, Philip Morris International (PMI) has recently granted 200.000 USD to TMC for the next 2 years and there are good perspectives for consolidating this support for the future, with a strategic and stable approach. Furthermore, the funding scheme provided by PMI is rather flexible, collaborative, unrestricted and process-based (not just for concrete projects, with tight indicators, but more for funding the core activities of TMC) which is exactly the type of support the organisation needs at this point.

83. Other external donors, aside from Anesvad and PMI, are also supporting TMC for the next year 201633, which assure the financial sustainability of the organisation in the short- term, without an excessive dependence from just one donor. However, an eventual withdrawal of Anesvad after 2016-2017 (due to its new strategic priorities, which do not include human trafficking in Asia) together with the need to increase the core staffing structure of TMC in the short-term, as already mentioned, might require an additional fundraising effort from the organisation.

32 For this estimation a gross annual salary of 100.000 USD for an expert on supply chains + 20.000 USD/year for additional external services have been added to the current annual core costs of TMC 33 New Zealand Aid, individual donations

44 33.000

100.000 200.000 Anesvad New Zealand Aid

200.000 Philip Morris 100.000 Individual donations Membership fees

Fig. 20: External grants approved to TMC for the period October 2014-October 2016. All amounts in USD (Source: TMC)

84. Applying for public grants (EU, USAid, AUSaid and others) does not seem to be such a high priority for TMC at this point. Firstly, due to the significant amount of efforts required to prepare a quality proposal, vis-à-vis the strong concurrence and, therefore, small chances to be awarded; secondly, due to the strict and narrow funding schemes traditionally used for those public donors (usually based on the logframe) and also the important administrative burden they require for follow up and justification of any grant awarded, which would almost require from an additional staff in TMC exclusively dedicated to that task.

85. A last potential source of incomes for TMC might come from selling additional services (training, consultancy, research) to third parties. This possibility could be feasible for some of the target companies, or even IO/NGO, who might want to receive more specific and tailored technical services on modern slavery, supply chain assessments, assistance for special CSR projects, etc. out of the frame of the association. However, this will necessarily require a strong technical expertise (on supply chains, research, etc.), additional resources and dedication from TMC staff, which is currently limited considering the big challenges they have already for consolidating the association and making it really meaningful and useful for its members.

Have long-term sustainability strategies been built in the design of the intervention?

86. Anesvad has been supporting TMC on a regular and stable basis since 2013. However, the collaboration has been always channeled through short-term projects (1-2 years) and a more strategic and long-term collaboration agreement between both organisations has not been produced so far. TMC, on its side, has not elaborated yet an internal strategy plan for the next 3-5 years (currently under preparation), which could have been discussed with Anesvad (or other donors) for framing any eventual collaboration into it. As a consequence of it, there is not yet a clear phase-out strategy from any of both sides (Anesvad and/or TMC) in which more specific actions, deadlines, resources, etc. for it are defined in order to minimize the negative impacts of an eventual withdrawal of Anesvad’s financial support.

87. Although it has not been expressly defined in a written document yet, TMC has rather clear that the organisation should gradually adopt a more facilitating role for the business sector (promoting, pushing & coordinating the corporations’ own response to modern slavery and linking them with other key stakeholders for it) instead of directly implementing all the

45 actions by itself. This approach is highly sustainable, since it will allow TMC to keeping its core structure at a basic level, without over dimensioning it (as other similar organisations have made in the past, which has created serious sustainability issues lately). However this facilitating role by TMC is not consolidated yet and will probably require a more intense effort during the next 1-2 years.

88. TMC has gained enough reputation, prestige and legitimacy among the corporate sector as to secure its institutional sustainability in the mid-term. However, the organisation has not fully consolidated yet the structure, staff and resources needed to guarantee the technical capacities required to provide concrete tangible and useful products for the target corporations. Furthermore, finding the right person in Hong Kong for it (a supply chain expert, ideally with a strong knowledge of the SEA market) to join TMC, at a cost that the organisation could afford, is not an easy task and might jeopardize the technical sustainability. In addition to it, the optimal and feasible size for the new association must be very carefully assessed in order to make sure that it will be manageable and technically sustainable. It seems preferable to start with 15-25 members, in a pilot approach and scale it up gradually, rather than accepting more members from the very beginning and face the risk of frustration or lack of motivation from the members due to less clear benefits and, ultimately, their massive withdrawal after 1 year. 89. TMC has started considering the possibility of expanding their operations out of Hong Kong (i.e. opening offices in USA and UK). Although this could strategically facilitate access to key corporations and stakeholders in those countries in the mid-term, channeling also additional funds for the organisation, it seems too early still to think about it. Considering the need to consolidate TMC’s strategy and model first (including concrete products to be provided for the target companies) and also taking into account the current limitations of the organization’s structure, dispersing efforts out of Hong Kong, at least in the next 1-2 years, might jeopardize the institutional sustainability of the whole intervention.

Are the target corporations capable and ready to sustain the achievements of the intervention in the long-term by themselves alone?

90. The new association is an excellent strategy to empower the corporations and increase their ownership in order to allow them taking the lead for further initiatives to fight against modern slavery. However, considering the teething stage of this platform, it cannot be assured that the target companies involved are yet ready to go ahead with concrete initiatives by themselves alone, without a strong follow-up, facilitation and coordination role by TMC. It will be necessary, at least, 1-2 years till the association is capable to run its own initiatives autonomously, and in any case, a support / coordination role from TMC will always be needed (i.e. running the secretariat for the association).

91. Almost all the large corporations interviewed during the evaluation had their own anti- trafficking / slavery protocols, policies and codes of conduct in place. Most of them had also dedicated resources, staff and departments for it. In this sense, the initiatives promoted by TMC are not a one-off but are clearly framed into the companies’ regular policies. However, the real challenge in order to achieve a real sustainability is how to make those anti-slavery procedures and protocols really effective, with a true bottom-up and social approach, strengthening the workers’ role at them, and avoiding just too formal top-down exercises. Here is, precisely, where TMC could add value and become really meaningful. Another relevant point here, already mentioned, is that TMC has focused its target on large western corporations which mostly do have those policies, procedures and resources to fight modern slavery in place, partly because they are highly vulnerable to any potential scandal on it. A very different scenario is likely to be found if medium-sized and/or Chinese companies were to be considered, probably lacking all those internal policies, due to cultural reasons, lack of resources and/or capacities installed to address modern slavery issues.

92. Majority of the corporations targeted by TMC (71%) have their decision-making instances regarding supply chains and anti-slavery policies in Hong Kong, which assures that any measure / initiative promoted among them might be directly implemented without the need to be discussed / approved in other external for a, where the influence of TMC might me faded.

29% Decision-making instances in Hong Kong

Decision-making instances 71% out of Hong Kong

Fig. 21: Decision-making instances of target companies (Source: Evaluation questionnaire)

93. There are consultancies in Hong Kong with the technical expertise on supply chain assessments to meet an eventual increasing demand of their services by the target corporations. TMC has traditionally worked only with Verité34, but BSR35 and IMPACTT36 are also available for this kind of services. Most of them do not provide pro-bono services. On the contrary, they are usually quite expensive but this does not seem to be a serious obstacle for large corporations with big budgets, who really want to go for it. However, these expert organisations usually adopt a too formal approach to supply chain assessment, without a strong field experience/perspective. This is exactly the added value and comparative advantage the TMC could play in order to avoid overlapping with them and complement their efforts.

Are other duty bearers and right holders capable and committed enough to contribute to the sustainability of the intervention?

94. Hong Kong authorities have not adopted yet any legal framework on modern slavery and/or anti-trafficking which could increase the policy sustainability of the intervention evaluated. On the contrary, there is not much receptiveness from the government to accept that such a problem exists and some legal residence and/or working requirements currently in force in Hong Kong could even exacerbate the problem37. Obviously, since the issue is not acknowledged, there are not social programs (shelters, rehabilitation and legal assistance) to support eventual victims (as they exist in other places, as Macau).

34 http://www.verite.org/ 35 http://www.bsr.org/ 36 http://www.impacttlimited.com/ 37Some examples detected by Amnesty International: a) Migrant domestic workers are required, by law, to live with their employers as a condition for a work permit, preventing workers from moving out of their employer’s house even when they are being exploited or are in danger of abuse; b) Hong Kong’s Two-Week Rule stipulates that migrant domestic workers must find new employment and get an approved work visa within two weeks of their contract ending or being terminated, or they have to leave Hong Kong. This pressures workers to stay in an abusive situation because they know that if they leave their job, they are likely to have to leave the country, which for many would make it impossible to repay the recruitment fees or support their families.

95. However, the fight against modern slavery is becoming the new priority issue in many international agendas. The already mentioned California Transparency Act, recent UK anti- slavery Act and/or EU anti-slavery regulation currently under discussion provide a solid legal framework to sustain and consolidate the goals of the project. Furthermore, they create an excellent momentum for TMC to continue with its initiatives, since many companies will be demanding more technical and field-based support to be able to implement those regulations properly. All this makes the policy sustainability of TMC very likely in the following years.

96. The social sustainability of the intervention by TMC is still weak, due to the lack of a strong involvement from CSO/GBO of right holders (migrant workers’ associations, women’s associations, vulnerable groups’ associations, social organisations providing support and community services in SEA countries where slavery takes place, etc.). It was not possible to meet any of those CSO during the evaluation, but according to indirect testimonies they are rather weak, without enough capacities, skills and resources as to become active players in the fight against modern slavery, either in Hong Kong or at their origin countries. Potential collaborations between the corporations targeted by TMC so far and those CSO/CBOs are still a clear opportunity (but also a challenge) to be explored in the future in order to enhance the social sustainability of the intervention.

97. There are several other IO/NGOs fighting against modern slavery in SEA38 from different perspectives/approaches (advocacy, research, direct services to victims, CSO strengthening, promotion of labels, standards and codes of conduct). All of them are highly complementary to the “business approach” promoted by TMC, addressing other needs not directly covered by the intervention evaluated and, therefore, contributing to its overall sustainability. However, the challenge for TMC is to strengthen the links between the corporations targeted by the project and all those other organisations, which so far has not been sufficiently developed.

38 See sections 31-33 and 60-62 of this report for further details on each organisation and their initiatives

48 5. CONCLUSIONS/LESSONS LEARNED

5.1 Strengths

 No doubts on the pertinence of addressing modern slavery in Asia, being this issue fully in line with policies and priorities from most relevant agencies and donors in the region.

 Excellent communication skills, enriched with a unique field-based expertise, and strong public relations/fundraising capacities by Matt Friedman, at the core of TMC’s rapid success

 Innovative and appropriate collaborative business approach by TMC, with a business- friendly perspective and avoiding the traditional “naming and shaming” by NGO sector

 Flexible, holistic and very practical approach to the issue of modern slavery, avoiding artificial debates and legal/conceptual limitations faced when defining human trafficking

 A significant amount of awareness on modern slavery among business sector in HK has been raised, in a relatively short period of time

 TMC has gained trust from business sector, breaking their traditional resistance to collaborate with NGOs and positioning TMC as the “go to” organisation for companies

 Focusing on HK-based large global corporations has been clever, considering their decision making role and multiplying potential, both in HK and the SEA region

 So far the intervention has been highly cost-effective, mostly due to important in-kind contributions from TMC Board member companies (office, technical services), flexible structure of staff and contribution from volunteers

 The new association created is an excellent platform for companies to feel safe to talk, develop concrete and practical initiatives and raise regular membership fees for TMC

 Recent incorporation of Robin Bishop has been a key and timely asset for setting up the association but also for strengthening the strategic, organisational and technical aspects in TMC

 The intervention is designed with a process-based approach, allowing the necessary flexibility at the beginning to re-orient and adapt it to the demands from target groups

 The intervention has generated a strong interest/coverage from mass media (several mentions on TV, radio, press, Internet) which has allowed TMC to spreading key messages on modern slavery among massive target audiences (corporations and general public) worldwide

5.2 Weaknesses

 Aside from the proper business approach already mentioned, TMC has not developed yet a clear proactive strategy, identification and focus, mostly learning by doing

 Emphasis set so far just on outputs/activities, without tangible outcomes/impacts

 Core strategy has been so far too limited to just conferencing/presenting for awareness, which is not fully consistent with the ultimate goal of TMC (facilitate business action)

 Concrete outcome/impact indicators proposed in the project approved by Anesvad are far from being realistic and, therefore, less likely to be achieved even after its completion in March 2016

 Some activities conducted by TMC are just indirectly related to its main business focus/approach (schools, churches, apps) which lessens their coherence and added value

 Serious shortage of staff at TMC, with only 1 person (Matt Friedman) till just very recently, and now just 2, not consistent with the scope of TMC’s intended mission and real possibilities

 Strong dependence of the whole organisation from just 2 persons currently on board (Matt Friedman’s leading role and Robin Bishop’s organisational skills) without a clear delegation of roles and more organic structure deployed yet

 No expert technical staff in TMC able to provide added value on supply chains in specific sectors (particularly in China) strongly depending from external and costly consultants for it

 TMC branding not fully reflecting the goal and values of the organisation and website design not well adapted for future key challenges (i.e. use as intranet for members)

 Poor multi-stakeholder approach, limited to companies (no networking with NGO, Government)

 Too much focus exclusively on promoting supply chain assessments within the target companies, as the main outcome from TMC’s initiative, while most informants agree that just with it slavery will not be stopped

5.3 Opportunities

 Awareness and trust created in a group of big powerful corporations allows to move towards more concrete actions by involving them in practical initiatives

 Recent UK modern slavery act and similar initiatives ongoing at the EU create a great momentum for TMC’s goal (make it effective) and motivate companies to join.

 Large companies already involved could increase their ownership and act as role models for medium sized ones, using peer-to-peer strategies

 The expertise achieved so far targeting mostly US-based corporations could be adapted to widen the scope and include also more EU and some Chinese-based big companies

 Availability of funds from the business sector to support TMC in a flexible and stable way, not depending on too strict, project-based and less flexible public grants

 The experience gained and some common features from the corporations targeted so far, allow to focusing on few sectors/industries to achieve more specific outcomes at each

 There is a gap of good practices and successful models evidence-based which could be addressed by TMC through research at field level, also for advocacy / visibility purposes

 Other social organisations / NGO are available at field level to partner with and address some components which could complement TMC’s mission focused on business sector

 Expert companies linked to TMC may be willing to contribute not just with funds but also with specific and relevant expertise (IT, strategy, communication, supply chain)

 There is a real possibility to strengthen the technical role of TMC in order to provide more effective services to its members and undertake some roles currently externalized

 TMC may strengthen its role as facilitator, focusing on business sector as its core target but enhancing their ownership and linking them to other key stakeholders, in an efficient and sustainable way

5.4 Threats

 Resistance from companies to disclose and share information about their supply chains may compromise the effectiveness and measurability of impacts

 TMC’s approach less attractive for some donors, difficulties to measure and affirm net impacts in terms of slavery reduction just from the intervention

 Matt Friedman’s activist background and passion for awareness raising, with less involvement in other key areas, as organizational management, strategic leadership and/or lobbying

 Difficulties to find a supply chain expert in Hong Kong to reinforce TMC team, willing to work full-time at an affordable cost for the organization’s standards

 Temptation of going too fast (expansion to EU and/or US) in order to maximize the momentum, but before consolidating the model in HK

 Other organisations doing things with business sector, particularly with supply chains (and recently with banking also) with more developed structures and clear strategies

 Potential conflicts with Human Rights values and ultimate protection of victims, risk of TMC becoming just a technical assessor of the companies

 Necessary flexibility and demand-driven approach working with corporations may slow the process and keep it at just intentions at a safe, comfortable space for them

 Too many discussions with less concrete and practical services/products received by members of the association may result in their withdrawal

 Real risk of an excessive number of companies willing to become members to the new association, with TMC not able to handle them in an effective way

 Other NGO may see TMC as the one “working for the enemy” and create negative visibility if some scandal happens with one of the members of the association

 Focusing too much just on big corporations may be targeting those already sensitized, with capacities and resources installed and missing others more in risk and vulnerable

52 6. RECOMMENDATIONS AND ACTION PLAN

6.1 Strengthen a result-oriented approach, moving the core strategy of TMC from just awareness to concrete actions always focused on corporations (for and by them)

CONCRETE ACTION PRIORITY 6.1.1 Make sure that the strategic focus of TMC and, consistently, allocation of resources for it in the next years are set on the association. Future staff of TMC should be oriented to it. Matt’s time and dedication for HIGH strategy planning, monitoring and lobby with decision-makers at highest level (corporations, governments, IOs) needs to be strengthened

6.1.2 When designing the core strategic objectives and indicators to measure the success of TMC, do not focus on awareness (and even less on just numbers of conferences, participants, etc.) but more on HIGH concrete actions, outcomes and new initiatives effectively adopted by companies. On the other hand, do not go for unrealistic indicators referred to decrease in the number of victims of modern slavery, since that falls beyond the scope and possibilities of TMC

6.1.3 Adapt overall presentations and messages from conferences to specific sectors and emphasize messages about what can be done at business HIGH level. Increase links between conferences and the ultimate goal of recruiting members for the association.

6.1.4 Focus the awareness campaigns on companies, do not go directly for schools, NGOs, churches. Explore the possibility of delegating that role HIGH (overall social awareness on modern slavery) to 859 Freedom Campaign and/or other NGO. Consider creating a social network of volunteers, activists, etc. for it, intensifying ToT strategies.

6.1.5 Emphasize and clarify the importance of actions and active involvement in the association, not just overall awareness. Consider signing a MoA with each member, in which concrete commitments are HIGH reflected. Avoid manipulation of the association by companies, for just CSR purposes, remaining in a “comfort zone”; make sure the members of the association advisory board are senior, expert and deeply committed members, with an action-oriented mentality

53 6.2 Focus TMC’s future strategy on concrete sectors/ industries to be able to provide real added value and effective outcomes on them

CONCRETE ACTION PRIORITY 6.2.1 Try not to get dispersed in too many sectors. Open an strategic multi- stakeholder debate and choose 3-4 sectors maximum (some voices claim that even 1-2 would be a more effective choice) based on HIGH criteria as: vulnerability (scope of modern slavery cases directly to be found at each), multiplying potential, added value of TMC, companies already involved and gaps not covered by others. Following is a very preliminary and tentative assessment of each:

6.2.2 Footwear and apparel: high vulnerability, medium multiplying HIGH potential, some previous expertise and companies involved, many other organisations already working on it

6.2.3 Fishing, seafood: high vulnerability, low multiplying potential, limited MEDIUM expertise and companies involved, some other organisations focused on it (i.e. Issara).

6.2.4 Banking, financial: low vulnerability, very high multiplying potential, not much expertise, but some banks and financial institutions already MEDIUM involved, few organisations working on it (though some as Liberty Asia have started doing things here).

6.2.5 Hospitality sector: high vulnerability (mostly related to prostitution), medium multiplying potential (particularly in Macau), expertise on MEDIUM human trafficking and sexual exploitation by Matt, big leading company (MGM) already onboard ad willing to be more active.

6.2.6 IT, legal and communication sectors should be better considered as a cross-cutting group, in order to provide solutions and services to the MEDIUM others, rather than a direct target (although some IT corporations manufacturing devices are also largely affected by supply chain issues).

6.2.7 Consider gradually emphasizing child, ethnic and gender issues MEDIUM (double vulnerability of those groups) in the sectors identified above, not just considering victims and their needs in a too unrealistic homogeneous and standardized approach.

54 6.3 Create concrete and tangible products for each sector and orient the intervention clearly towards them

CONCRETE ACTION PRIORITY 6.3.1 Be more proactive for setting the agenda, priorities and strategic actions of the new association, propose pro-active initiatives to be approved by companies, specific to each sector, not just waiting for them (the member companies) to HIGH propose something and/or going around just discussions without clear outcomes. Agendas for the meetings need to be scheduled and defined in advance, including expected products.

6.3.2 Use the above mentioned products once developed for a two-fold purpose: 1) to measure outcomes internally (how many companies are adopting and/or MEDIUM adhering to those products), 2) to market the association externally (“sell” the concrete products as a clear tangible service received by members, which justifies the fees their paying). Some of the potential products to be explored (and adapted to the different needs in each sector) are:

6.3.3 Research, evidence-generation and concrete case studies at field level for those sectors less known so far (fishing, banking). Avoid a too theoretical and overall MEDIUM approach to it, already covered by ILO, IOM, UNICEF and other generalist NGOs. Researches must always aim at building concrete actions out of them

6.3.4 Technical and industry-based practical trainings and workshops for each sector, HIGH with the focus set on how to implement (and eventually improve) US, UK and (future) EU laws on modern slavery in practice by the companies.

6.3.5 Practical tools, models and procedures to deploy and implement proper risk HIGH assessments by corporations, with prevention/mitigation measures, prior to supply chain assessments (prevent better to cure).

6.3.6 Developing and sharing procurement models, standards and protocols to be HIGH applied by companies when outsourcing services, in order to encourage the

subcontractors to pay attention to anti-slavery measures and select those more

transparent and suitable on it.

6.3.7 Good practices, practical tips and further protocols in supply chains assessments, aiming at bridging existing gaps (too formal, top-down exercises) and promoting HIGH an innovative bottom-up social perspective, where workers are strongly involved and take the leadership for the revision process.

6.3.8 Develop and propose codes of conduct, protocols, criteria and standards for banks and financial institutions specifically to avoid money laundering from MEDIUM modern slavery and human trafficking (similar to existing ones for drugs)

6.3.9 Develop and test mobile apps, online platforms and other innovative tools but specifically for companies (and/or auditors) to channel complains and case MEDIUM reports directly from workers/victims at any level of the supply chain, with the ultimate goal of warning for and/or complementing the regular supply chain assessments already ongoing

6.3.10 Provide safe technical solutions/platforms to communicate, share information and/or exchange ideas on the internet from companies with other key MEDIUM stakeholders, considering the high sensibility of the information dealt with (CISCO is a global leader on this and may be willing to collaborate)

55 6.4 Define a more proactive strategy for targeting companies, with ad hoc initiatives for each case/sector

CONCRETE ACTION PRIORITY 6.4.1 Increase the focus on companies from industries/sectors not yet sufficiently represented in the association (consistently with the strategic decisions adopted HIGH following recommendation 2), aiming at consolidating working groups for each sector of at least 3-5 companies, in order to make discussions fruitful and outputs feasible (right now there is no representation from banking sector, seafood and only 1 from hospitality sector)

6.4.2 Minimize the risk of an oversized and not manageable association by accepting more members than TMC can handle, particularly from those sectors already HIGH sufficiently represented (supply chain, manufacturing). Until internal dynamics, procedures and products are not consolidated, a maximum threshold of 20-25 members seems reasonable (trying to keep a balance among working groups).

6.4.3 After having succeeded involving some large corporations, consider targeting mid-sized companies, maximizing the role of large ones already in as models to be followed by the others. Ideally keep a balance of large and medium-sized MEDIUM companies within each target group

6.4.4 Reconsider the current policy of a flat fee for all members of the association, proposing different membership fees for different sizes of companies instead. HIGH Different fees for different level of involvement / products to be received could also be explored (i.e. two types of members: purely funding ones vs. those contributing with a more active role and/or in-kind contribution)

6.4.5 Explore further involvement from large Chinese corporations listed, at least for MEDIUM preliminary awareness stages. Presence of Chinese corporations within the association will be a key if ever it decides to play an advocacy role with HK/Chinese government

6.4.6 Increase presence and involvement from UK and EU-based companies (aside MEDIUM from US-based ones mostly targeted so far) maximizing the momentum created

with the recent UK act and next EU one to be approved

6.4.7 Consider innovative strategies for engaging companies previously defined as a target, with a more case to case / individual approach. Conferences and presentations need to be adapted to each sector in order to “suggest” more HIGH tangible ideas of how going into action. Develop specific strategies for targeting directly CEOs and decision makers within the companies and make sure that they are always linked to the concrete persons directly involved in the association. Take always into account that the higher the position targeted is, the less is his/her availability to participate actively and regularly.

6.4.8 Maximize the role of second level business platforms (i.e. Chambers of Commerce, Banking associations) when targeting companies, not just for logistic HIGH purposes but also to strengthen their role as multipliers and strategic partners to help TMC disseminating its message and mainstreaming the issue of modern slavery into their regular activities

6.4.9 Intensify the role of the companies already in the association as peer advocates HIGH and active players to bring more members in. Intensify also peer to peer strategies for awareness raising by giving the opportunity to the companies themselves to present their experiences with their peers

56 6.5 Enhance the multistakeholder approach and strategy, seeking to intensify a HRBA and the facilitator role of TMC for companies

CONCRETE ACTION PRIORITY 6.5.1 Increase the visibility and institutional weight of the association to become a reliable and relevant body (as a collective body beyond its HIGH individual members) to link with other stakeholders groups

6.5.2 Explore further involvement of TMC in NGO networks (not really many existing) and/or partnerships with other NGO in the region (Liberty Asia, Walk free, Community business) for experience sharing and for lobbying MEDIUM and advocacy initiatives (always preserving the focus of TMC on business sector)

6.5.3 Identify and explore collaboration with local NGO/CSO in each one of the potential target countries in SEA, promoting direct contacts between MEDIUM business sector and them for covering the gaps of TMC (i.e. direct assistance to victims)

6.5.4 Strengthen links and strategic partnerships with US, EU and SEA consulates in HK, facilitating direct contacts of companies with them to MEDIUM advocate for enhancing legal frameworks, developing concrete programs, policies, etc. with Hong Kong government

6.5.5 Explore partnerships with universities and other academic institutions for conducting research on the scope, causes and consequences of modern HIGH slavery in very specific sectors. Avoid too academic and overall studies, having always in mind the practical use of the research for decision making by companies and also for advocacy purposes

6.5.6 Widen partnerships with other social audit and supply chain assessing companies (BSR, IMPACTT, large auditing firms) avoiding excessive HIGH dependence from just one (i.e. Verité). Consider them not just as service providers but also as key targets for enhancing their capacities, tools and knowledge on the real needs and problems at field level

6.5.7 Explore potential role of migrant workers associations as a key CSO for enriching the social approach of the actions and make sure the perspective of the victims is incorporated (right holders) when MEDIUM addressing the issues of modern slavery. Explore and facilitate direct links between these CSO and the companies already targeted by TMC (joint projects, etc.). Consider that first-hand slavery experiences and testimonies are the most effective ones.

57 6.6 Strengthen organisational structure, revise tools and branding accordingly and consistently with the strategic decisions adopted on previous aspects

CONCRETE ACTION PRIORITY 6.6.1 Develop and get formally approved by TMC Board a strategy plan for the next 3-5 years, based on Robin’s timely draft and the inputs from this HIGH evaluation. Open up consultation with key stakeholders (not just internally at TMC) for it. Develop a user-friendly version of the strategy plan (probably with external support from some consultancy/communication firm already involved -as Fleishman- and use it for branding and visibility purposes not only inside TMC but also with other external stakeholders (target companies, authorities, other NGO, CSO)

6.6.2 Adapt the composition of the Board to make it consistent to the new sector focus and multistakeholder approach (consider incorporating MEDIUM technical profiles from each sector, representatives from the social sector and authorities)

6.6.3 Engage one more technical expert as TMC staff in the short term, to develop concrete products / outcomes to be delivered to the members HIGH of the association. Ideally he/she should be an expert in the supply chain field and contribute with a Chinese background (including language skills)

6.6.4 Matt to focus more on institutional relations at higher level (with corporations, government, IO’s, Chambers of Commerce, Consulates) and strategic management / direction of TMC. Consider gradually HIGH lessening his dedication to direct presentations and, instead, crate a network of replicators (active volunteers, corporations themselves) who could do it

6.6.5 Continue engaging volunteers (not only with individuals, but also with specialized companies)and try to focus their role on: 1) those with field MEDIUM experience for conferences, presentations; 2) those with a specific technical background on concrete sectors, for products /outcomes development; avoid just engaging volunteers without clear added value, since they also consume time and resources from the core team

6.6.6 Maintain the same working space / office leased by W&S, since it contributes very strongly to the efficiency of the organisation. There is HIGH not a clear need to move to a rented space, at least in the mid-term. A modern tele-working model from home by TMC staff, maximizing the new ICTs, is not necessarily a weakness but an opportunity. Try not to oversize core costs, by keeping a low profile of assets and staff

6.6.7 Reconsider the branding of TMC. Majority of informants consulted think MEDIUM that it does not reflect the mission of the organisation (no mentions to slavery, looks more like a private and restricted club than a NGO/association)

6.6.8 Closely linked to the previous point, but even more important, consider revising the mission, vision and, particularly, adding a set of clear values HIGH for TMC. Those values should try to balance the business and no naming and shaming approach, with a stronger commitment with Human Rights

58 and social aspects. Make sure all key stakeholders (particularly the new members of the association) clearly understand and share those values. A very flexible and overall commitment with and acceptance of those very basic values could be proposed to all and each companies involved in TMC (be them financers, as PMI, or members of the association).

6.6.9 Emphasize and develop more conceptually in-depth the idea / issue of modern slavery, as the unique and flexible approach by TMC, avoiding HIGH indistinct use of Human Trafficking, Labour Exploitation in project documents, website, etc.

6.6.10 Revise TMC’s website: apparently not so attractive for most of the stakeholders consulted, probably not revealing some key aspects of TMC and, most importantly, less practical (consider incorporating an Intranet MEDIUM space for safely sharing information, research and communications among members of the association (some of the IT companies linked to TMC are willing to offer pro-bono services for it, particularly regarding safe communications)

6.6.11 Make sure that the model in HK is consolidated (clear strategy, products developed, association fully functional) before considering expansion to MEDIUM the EU/US. Furthermore, think carefully about the objectives, synergies and feasibility of such expansion, with an emphasis on sustainability issues, before going for it.

59 6.7 Develop a funding plan consistent with the objectives and resources

CONCRETE ACTION PRIORITY 6.7.1 Emphasize future funding efforts on financial support from companies, be it through their membership fees and/or grants (as the one approved HIGH by PMI). This should be the priority for the future, since it gives access to unrestricted funds, to be utilized in a flexible and process-based way. The goal of 40-50% of resources needed generated from this source is a realistic one within the next 1-2 years.

6.7.2 Consider creating a funding protocol with a minimum and flexible list of ethic principles and commitments from potential donors (could be also a MEDIUM section of the document mentioned in 6.8 above)

6.7.3 Consider applying public grants and/or Foundations’ calls for projects just for one-off actions (specific IT tools, campaigns, research) but not for funding TMC core activities, considering the important risks and MEDIUM limitations from that funding source (too strict protocols, rigid and short- term project based, compromising sustainability if a sudden large amount of money comes into TMC, excessive administrative and justification task burden).

6.7.4 Anesvad does not seem to be a natural strategic funding partner of TMC for the long-term. However it should consider some additional support to HIGH phase out and help consolidating the achievements so far with its previous grants.

6.7.5 Consider channeling additional incomes from selling TMC tailored services (consultancy, research, strategic partnerships) to third parties, be them target companies or IO/NGO. However, take always into MEDIUM account the limitations for this sources: a) some services might be provided pro-bono withi9n the association, as part of the membership benefits); b) consultancy and technical assistance need time and resources, which right now are limited at TMC

6.7.6 Incorporate a tentative funding plan in the strategy plan to be approved by TMC, showing at least the overall budget foreseen for next years, trends, basic distribution of expenses and potential sources of income, HIGH all with a double purpose: to be used as an internal management tool and to increase the transparency of TMC with its stakeholders (donors, board, members).

60 ANNEXES

ANNEX A: Alternative design proposed for the intervention

GENERAL OBJECTIVE: INDICATORS: -Overall decreasing trends/estimation of modern slavery cases Modern slavery and in SEA region vulnerability of victims in -Overall increasing trend of modern slavery cases the Mekong region is prosecuted/convicted in SEA region reduced -New legal frameworks on modern slavery and business role for it adopted by Hong Kong authorities SPECIFIC OBJECTIVE: INDICATORS: -Number of internal policies, protocols and procedures adopted The role and capacities of by the target corporations as a direct consequence of the the corporate sector in project Hong Kong to fight against -Increase in budgets and resources to fight against modern modern slavery in SEA slavery by the target corporations as a direct consequence of region is strengthened the project -Number and type of concrete initiatives/projects against modern slavery implemented by the target corporations (individually and /or as an association) as a direct consequence of the project -Number of modern slavery cases detected and publicly declared to be corrected by target corporations RESULT 1: INDICATORS: -Number of events conducted by type (introductory, advanced Awareness and information training) on modern slavery and role -Number of corporations targeted by type of business to fight against -Number of persons from those corporations involved it is increased among key -Proportion of target persons declaring that their corporations in Hong Kong awareness/knowledge has increased as a consequence of the events RESULT 2: INDICATORS: -Association fully registered, with key strategic plans, An association of organisational structures and enough resources in place corporations based in Hong -Number of members regularly paying fees and attending Kong to implement meetings concrete actions against -Number of working groups internally created, sectors covered modern slavery is by each and members from each group consolidated and fully -Number of meetings from each working group held operational -Number and type of concrete products / services developed for the members of each working group RESULT 3: INDICATORS: -Number of informal contacts between the corporations Strategic links and targeted (individually and/or as an association) and local partnerships of business authorities, NGO, chambers of commerce, diplomatic bodies sector in Hong Kong with and/or CSO (i.e. migrant workers associations in Hong Kong) other key right holders and -Number of formal collaboration agreements signed between duty bearers are the corporations targeted (individually and/or as an established association) and local authorities, NGO, chambers of commerce, diplomatic bodies and/or CSO (i.e. migrant workers associations in Hong Kong) -Number of other key stakeholders from outside the corporate sector represented in TMC Board and/or the association Advisory Board

61 ANNEX B: List of stakeholders consulted

The Mekong Club  Matt Friedman – The Mekong Club  Robin Bishop – The Mekong Club  Silvia Mera -Volunteer

The Mekong Club Board  David Hall-Jones – The Mekong Club Chairman  Chris, Doug, Elaine, Louisa  Phil Marshal – Mekong Club Board member  Andrew Kirk and Stephanie Chan – PR provider

Verite/Other – Technical training and support  Michael Vaudreuil – Verite Trainer  Aykut Kazanci – Consultant  Steven Frost – CSR Asia founder

Technical Advisory Board Member  Hilda Gunn Vestad – Lidl Supermarket  Jim Leung – Disney  Colin Brown – VF Group  Helen Ford – AFBCF  Laura-Beth Barnes -- Bureau Veritas

101 Training Presentation

Donors  Jennifer Goodale – PMI

Technical Assistant/Special Projects  Peggy Wong – Lexis Nexis  Matthew Eastwood – British Telecom  Grant Bowie/Sarah/Helene – MGM  Elizabeth Fung – Fleishman

Presentation Feedback  Pat Woo - KPMG  Damien Ryan - Ryan Communications  Salima Debouba – Li and Fung

Diplomatic Community  Justin King (US Consulate)

NGO Organizations  Sylvia Yu - 852 Freedom campaign  Good Sheppard - Sister Juliana  Fiona David – Walkfree

Associations  Richard Weldon -- CSR Asia  Richard Vuylsteke -- American Chamber of Commerce

Government of Hong Kong  Catherine Ko -- Dept of Justice

62 ANNEX C: List of documents analyzed

A) PROVIDED BY ANESVAD/TMC

 Project proposals (both for the project evaluated and previous one supported by Anesvad)  Progress reports (narrative and financial)  Sources of verification  TMC Business coalition report  TMC draft strategy plan  Media summaries  TMC presentations

B) SEARCHED BY EVALUATORS39

 Abusive Labour Migration Policies-AI  Best practices California Act-Verité  Bond labour and micro finances-ILO  Bonded labour Projects: A guide for Evaluation and Impact Assessment  California Act 2010  China NPA  Decent Work Case studies-ILO  Domestic workers-AI  EU policy slavery  Evaluation STC Guinea  Evaluation HT NCJRS  Evaluation ILO Pakistan  Evaluation IOM-CT  From Every Angle - Using the law to combat human trafficking  Global Report on TIP  Global Slavery Index 2014  GRIG4-Part: Reporting Principles and Standard Disclosures  GRIG4-Part2: Implementation Manual  Guiding Principles Business HR  IFC-HIRAM  ILO evaluation labour exploitation  Legal Overview HK: Gap Analysis  Measuring slavery: Press release  Modern Slavery Evaluation for publication  Palermo Protocol  Project Issara end of pilot review  Slavery and child labour evaluation  Slavery Fact Sheet  Summary Pakistan GHR Programme Evaluation-Trocaire  Tips on Supply Chain Assessment -Anti Slavery  UN trafficking principles and guidelines  UN trafficking Protocol

39 All the documents listed can be accessed on this link: https://www.dropbox.com/sh/8puq8taz4be3qlo/AAArur75GHWC97E1jOnKYBmla?dl=0

C) WEBSITES OF INTEREST

 http://www.antislavery.org/english/  http://blog.arachnys.com/2015-07-13-liberty-asia-conference  http://www.bsr.org/  http://business-humanrights.org/en/issues/labour/forced-labour-modern-slavery  http://www.communitybusiness.org/  http://corporate-responsibility.org/  http://www.csr-asia.com/  http://www.corporatejustice.org/?lang=en  http://endhtnow.com/  http://www.ethicaltrade.org/resources  http://www.freetheslaves.net/  http://freedomfund.org/  http://www.gbcat.org/  http://en.hkctu.org.hk/  http://www.ftu.org.hk/en/  http://www.immd.gov.hk/eng/  http://www.labour.gov.hk/eng/news/content.htm  http://www.scmp.com/comment/insight-opinion/article/1445245/hong-kong-needs- dedicated-anti-trafficking-law  http://www.humantrafficking.org/countries/hong_kong_sar  http://icar.ngo/  http://www.ifc.org/wps/wcm/connect/topics_ext_content/ifc_external_corporate_site/gui de+to+human+rights+impact+assessment+and+management  http://www.ihrb.org/  http://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE :C029  http://www.impacttlimited.com/  http://www.projectissara.org/  http://libertyasia.org/  http://themekongclub.org/organizer/matt-friedman/  http://pvhcsr.com/sourcemake/Article/source-make-collaborative-initiative-spotlight  http://slavefreeseas.org/  http://knowledge.insead.edu/ethics/modern-day-slavery-motivating-business-to-act- 3368#ZBcdehzW6tWhk3Pe.99  http://knowledge.insead.edu/ethics/creating-a-socially-responsible-supply-chain-3179  http://stronger2gether.org/  http://www.supply-link.org/  http://un-act.org/  http://www.state.gov/j/tip/rls/tiprpt/countries/2014/226737.htm  http://www.verite.org/  http://www.walkfree.org/

64 ANNEX D: Questionnaire for project managers

PRELIMINARY QUESTIONNAIRE FOR PROJECT MANAGERS/STAFF

DIRECTIONS: The current questionnaire is to be INDIVIDUALLY filled by all Project managers/staff (from Anesvad and Mekong Club) directly involved in the project “Mekong Club Associates fighting labour exploitation” currently being implemented in Hong Kong (and the region). The more people answer this questionnaire, the better.

The aim is to get a preliminary idea of the overall strengths and weaknesses of the intervention (which will be necessarily completed with personal interviews, workshops, etc.). It will also be used to focus the evaluation on those aspects considered more relevant by the managers/teams directly involved in the implementation and monitoring.

Once answered, the questionnaire has to be sent back individually by each respondent to the external evaluator ([email protected]) by email before next September 18th. All the emails shall be treated confidentially.

We just request for brief and concise “bullet-ideas” here. 20-30 minutes should be enough to complete the questionnaire.

Your opinion will be highly valuable for this evaluation. Thanks a lot for your cooperation ¡

DESCRIBE THE MAIN STRENGTHS AND WEAKNESSES OF THE INTERVENTION ACCORDING TO YOUR PERSONAL OPINION, REGARDING THE FOLLOWING ASPECTS: a. Regarding the identification and overall design of the intervention/project:

- Strengths - - - Weaknesses - - b. Regarding the comparative advantages and added value from Anesvad and Mekong Club:

- Strengths - - - Weaknesses - - c. Regarding the communication and collaboration between Anesvad and Mekong Club:

- Strengths - - - Weaknesses - -

d. Regarding management mechanisms, procedures and human resources available (in Spain, Hong Kong and the region):

- Strengths - - - Weaknesses - - e. Regarding the role, participation and involvement from other relevant stakeholders (including public and private ones as corporations, governments, CSO/CBO, other NGOs, donors, IO, UN, etc.):

- Strengths - - - Weaknesses - - f. Regarding the achievement of the results/objectives foreseen, at this stage of the project:

- Strengths - - - Weaknesses - -

g. Regarding the future perspectives of the intervention (expectations, sustainability, scale- up...):

- Strengths - - - Weaknesses - -

WHICH SPECIFIC QUESTIONS/DOUBTS WOULD YOU LIKE THIS EVALUATION TO ANSWER TO/CLARIFY?

1. ….

2. ….

3. ….

4. ….

66 ANNEX E: Online survey questionnaire for corporations

1. Which is the size of your company?  Big (> 250 staff and/or > € 250 million turnover)  Medium (50-250 staff and/or € 50-250 million turnover)  Small (<50 staff and/or < € 50 million turnover)

2. What type of sector does your company belong to?  Footwear  Apparel  Electronic  Food  Others (specify)

3. Which is the geographical coverage area (clients & suppliers) of your company (tick as many as relevant)?  China  Vietnam  Cambodia  Lao  Thailand  Myanmar  Others (specify)

4. Does your company subcontract your manufacturing to factories in Asia?  No  Yes (please specify in which country)

5. Your company’s decision-making instances for subcontracting manufacturing are based in:  Hong-Kong  Out of Hong-Kong (please specify where)

6. How much your knowledge / awareness on human trafficking & forced labor has been increased as a direct consequence of the trainings provided by The Mekong Club?  Absolutely  Partially  Insufficiently

7. Please indicate which impacts have taken place in your company as a direct or indirect consequence of the collaboration with The Mekong Club (you can tick more than one answer):  Our company has now an anti-trafficking/forced labor policy in place  Our company has started conducting internal supply chain assessments  Our company has started conducting external supply chain assessments  Our company has effectively detected some cases of forced labor (please, specify how many cases)  Our company has closed down and/or fixed some exploitative sites (please, specify how many sites)

67  Our company has established links with organisations providing support to victims and referred some victims to them (please, specify how many victims)  Others (please, specify)

8. In your personal opinion, which should be The Mekong Club’s main focus /added value in the future (please tick only one answer)?  General awareness / training on forced labor for companies  Technical assistance for companies to prevent, detect and deal with cases of forced labor  Facilitate networking among companies to share experiences, tools, knowledge on forced labour  Research & advocacy with public decision-makers to change policies, laws in order to prevent/protect victims  Facilitate links with between companies and social service organisations to refer victims found by the first  Others (please, specify)

9. How would you rate the level of involvement from your company with The Mekong Club activities?  Deeply and regularly committed  Partially  Just very occasionally

68 ANNEX F: Evaluation Matrix

CRITERIA / INDICATOR / SOURCE / Nº EVALUATION Nº OPERATIVE QUESTION TOOL TO COLLECT INFO QUESTION

1 DESIGN / CONSISTENCY

Interview with Anesvad A detailed and comprehensive problem identification has been conducted, showing clear evidence and interrelations among Interview with TMC (staff and Board) different factors or causes related to human 1.1.1 trafficking/labour exploitation (HT/LE) and Interview with other NGO, IO and networks clearly focusing the intervention on a concrete and specific thematic issue, with a Analysis of documents (project identification strong justification provided for it and formulation; lessons learned and good practices available on Internet) Interview with Anesvad The large geographical (all Mekong region) and sectoral (no specific industry-based) Interview with TMC (staff and Board) scope proposed for the intervention has 1.1.2 been properly selected, based on relevant Interview with other NGO, IO and networks previous assessments and with a strong justification provided for it Analysis of documents (project identification Has the and formulation; lessons learned and good intervention been practices available on Internet) properly 1.1 identified/designed Main direct target group of the intervention Interview with Anesvad before its (large corporations with presence in Hong formulation? Kong) has been precisely identified, Interview with TMC (staff and Board) delimited, characterized and quantified, 1.1.3 with a strong justification for its selection Interview with other NGO, IO and networks (specific vulnerability, relevance, multiplying potential, accessibility, etc.) and potential Analysis of documents (project identification bias have been properly identified and formulation; lessons learned and good practices available on Internet)

A detailed and comprehensive multi- Interview with Anesvad stakeholder assessment was conducted, identifying the roles, needs, potentialities, etc. from other groups directly and/or Interview with TMC (staff and Board) indirectly involved (migration/labour 1.1.4 authorities, SME and their associations, victims, workers' unions, other NGO, IO Interview with other NGO, IO and networks and donors, etc.), selecting the most relevant/appropriate and proposing specific Analysis of documents (project identification actions for each one of them and formulation; lessons learned and good practices available on Internet)

The specific objective proposed is Interview with Anesvad consistent with the main focus of the 1.2.1 intervention, selected after the Interview with TMC (staff) Has the formulation identification, in a realistic, relevant and of the project been 1.2 specific way Analysis of documents (project identification coherent and and formulation; reports) consistent? The results/outputs proposed are Interview with Anesvad addressing all the causes/components of 1.2.2 the problem previously identified/selected, Interview with TMC (staff) being comprehensive enough to secure

69 that the SO will be fully achieved Interview with organisations involved in supply (particularly: Are regular supply chain chain assessments assessments enough to avoid/prevent HT/LE cases?) Analysis of documents (project identification and formulation; reports)

Interview with Anesvad

The indicators proposed for the OO, SO 1.2.3 Interview with TMC (staff) and results/outputs are SMART Analysis of documents (project identification and formulation; reports)

Interview with Anesvad The sources of verification proposed for the 1.2.4 indicators are relevant, accessible and Interview with TMC (staff) credible Analysis of documents (project identification and formulation; reports)

There is a detailed and accurate baseline Interview with Anesvad assessment, measuring the status of the indicators proposed before the intervention 1.2.5 Interview with TMC (staff) takes place, in order to be able to compare and evaluate net outcomes/impacts after its Analysis of documents (project identification completion and formulation; reports)

A comprehensive risk assessment (internal Interview with Anesvad and external factors potentially affecting the achievement of SO and RES) has been Interview with TMC (staff) 1.2.6 conducted, with revision mechanisms and/or contingency measures propose to avoid/minimize them if they finally happen Analysis of documents (project identification during the implementation? and formulation; reports)

Interview with Anesvad The activities proposed are consistent with each result/output, are well described 1.2.7 Interview with TMC (staff) (including enough implementation details) and feasible within the timeframe proposed Analysis of documents (project identification and formulation; reports)

Interview with Anesvad The intervention is well framed into long term strategy plans from both TMC and 1.3.1 Anesvad, including mission, vision, values, Interview with TMC (staff and Board) strategic objectives, priorities, partnerships, phases, etc. Analysis of documents (strategy plans) Is the intervention alligned with TMC and Anesvad Interview with Anesvad TMC has enough institutional capacity, priorities, and their knowledge of the sector (HT/LE and also Interview with TMC (staff and Board) 1.3 comparative business sector in the region) legitimacy advantages have been maximized in and links with key stakeholders, as to Interview with local authorities 1.3.2 successfully address the issues identified the design and and deal with the components proposed formulation? Interview with other NGO, IO and networks (i.e. direct technical support to corporations by TMC vs. referral to other expert Questionnaire to target corporations organisations) Analysis of documents (media releases) Lessons learned from previous 1.3.3 Interview with Anesvad interventions by TMC and/or Anesvad (i.e.

70 "Helping corporations…") have been Interview with TMC (staff and Board) incorporated in the current project and this is building into previously achieved results Analysis of documents (previous projects reports and evaluations)

Interview with Anesvad The HRBA promoted by Anesvad is fully shared by TMC and has been genuinely Interview with TMC (staff and Board) 1.3.4 and effectively incorporated in the design and formulation of the intervention Analysis of documents (project identification, formulation and reports)

"Right to health" sectoral priority from Interview with Anesvad Anesvad is fully shared by TMC, it was properly identified as a priority during the 1.3.5 design phase and has been smoothly, Interview with TMC (staff and Board) effectively and coherently incorporated in Analysis of documents (project identification, the project design formulation and reports)

Interview with Anesvad The tool of "traditional" projects used by Anesvad (1-2 years, based on LFA) is the 1.3.6 most suitable for supporting a complex and Interview with TMC (staff and Board) process-based intervention like the one evaluated Analysis of documents (project identification, formulation and reports)

2 RELEVANCE

Specific measures / channels have been Interview with TMC (staff and Board) secured during identification, M&E phases of the intervention, in order to assess Interview with victims, vulnerable workers and 2.1.1 priorities directly from victims of HT/LE, their CSO vulnerable migrant/workers and their Analysis of documents (project identification, Does the associations, unions, CBO/CSO, etc. formulation and reports) intervention correspond to Interview with TMC (staff) priorities of right Specific needs of most vulnerable right holders (victims of holders (i.e. children and women victims of Interview with victims, vulnerable workers and 2.1 2.1.2 HT/LE) and those HT/LE) have been properly identified and their CSO priorities have not addressed by the intervention Analysis of documents (project identification, changed formulation; action plans and strategies from substantially during CSO) the intervention? Victims of HT/LE, vulnerable Interview with victims, vulnerable workers and workers/migrants and their unions, their CSO associations, CSO/CBO, etc. agree on the 2.1.3 importance of directly targeting and focusing on business sector as a priority for Analysis of documents (action plans and fighting against HT/LE. strategies from CSO) Hong Kong Labour and Immigration Interview with TMC (staff and Board) Departments, Police, Market regulators and other local relevant authorities have been Interview with local authorities 2.2.1 consulted during the identification, M&E phases of the intervention, in order to Analysis of documents (project identification, Is the intervention assess their priorities and strategies to fight formulation and reports; policies, plans and alligned with the against HT/LE directly from them priorities from local authorities) priorities and Hong Kong has ratified most relevant anti- Interview with TMC (staff) 2.2 strategies of local HT/LE treaties and conventions, adopting authorities (as main specific domestic laws, plans, policies Interview with local authorities duty bearers) 2.2.2 and/or strategies to fight against it, being regarding HT/LE? the role of business sector for it Analysis of documents (legal instruments, acknowledged. policies, plans and priorities endorsed/adopted by local authorities) Potential gaps, complementarities and/or Interview with TMC (staff and Board) 2.2.3 synergies with other government programs/initiatives to fight against HT/LE Interview with local authorities

71 have been properly identified and taken into Analysis of documents (project identification account for the design of the intervention and formulation; legal instruments, policies, plans and priorities endorsed/adopted by local authorities) The intervention goes in line with most relevant international Interview with TMC (staff) declarations/conventions related to HT/LE 2.3.1 and has effectively incorporated their Analysis of documents (project principles, approaches and identification/formulation; international recommendations in its design declaration, conventions)

The intervention has assessed and taken Interview with TMC (staff) into account other relevant models and interventions on HT/LE by IO (IOM, ILO, 2.3.2 UN-ACT) in order to properly link with them, Interview with other NGO, IO and networks incorporate their lessons learnt, maximize Analysis of documents (project synergies with them and/or avoid identification/formulation; other models and duplication of efforts lessons learned available on Internet) Is the intervention Interview with TMC (staff and Board) alligned with the The intervention has assessed and taken priorities, strategies into account other relevant models and interventions on HT/LE by NGO in order to Interview with other NGO, IO and networks and initiatives from 2.3.3 properly link with them, incorporate their 2.3 other relevant duty Analysis of documents (project bearers (IO, NGO, lessons learnt, maximize synergies with them and/or avoid duplication of efforts identification/formulation; other models and CSO, business lessons learned available on Internet) sector) regarding HT/LE? The intervention has assessed and taken Interview with TMC (staff and Board) into account other relevant models and interventions on HT/LE by the private Interview with other CSR platforms / initiatives corporate sector (including CSR initiatives, 2.3.4 self-regulatory standards/codes, etc.) in Questionnaire to target corporations order to properly link with them, incorporate their lessons learnt, maximize synergies Analysis of documents (project with them and/or avoid duplication of efforts identification/formulation; other CSR initiatives available on Internet) Interview with TMC (staff and Board) TMC is an active member of most relevant Interview with other NGO, IO and networks 2.3.5 national, regional and/or global platforms, coalitions and/or networks related to HT/LE Analysis of documents (network /platforms' member lists available on Internet)

3 EFFICIENCY

There are clear internal agreements Interview with Anesvad between Anesvad and TMC describing and 3.1.1 distributing each one's roles, functions, Interview with TMC (staff) responsibilities and outputs for the intervention and they have been respected Analysis of documents (MoA, collaboration agreements) There are regular communication channels Interview with Anesvad and protocols between Anesvad and TMC 3.1.2 and communication has flowed smoothly, Interview with TMC (staff) Do the partners without relevant gaps during the have clear Analysis of documents (existing protocols, intervention 3.1 procedures, procedures, formats) protocols and systems in place? Job profiles, organisational charts and Interview with TMC (staff) staffing protocols have been properly defined at TMC and they are coherent, with 3.1.3 a good balance between internal staff and external consultants and no serious Analysis of documents (organisational chart, turnover among project staff/managers job profiles, working protocols)

There are clear financial protocols and Interview with Anesvad 3.1.4 control systems in TMC to manage the funds of the intervention in a transparent Interview with TMC (staff)

72 and efficient way according to standards Analysis of documents (financial protocols, justification documents, audits)

There are not relevant variations between Interview with Anesvad the expenses of the intervention (per each 3.2.1 budget line, per component/activity) and the Interview with TMC (staff) budget initially foreseen. Otherwise, Have the resources variations have been duly justified Analysis of documents (project formulation of the intervention 3.2 and reports) been efficiently turned into results? There are not relevant variations between Interview with Anesvad the type and duration of the different 3.2.2 activities proposed and the initial schedule. Interview with TMC (staff) Otherwise, variations have been duly Analysis of documents (project formulation justified and reports)

The resources (staff, budget, time) Interview with Anesvad assigned to each one of the intervention 3.3.1 components/activities are coherent and Interview with TMC (staff) Is the intervention's balanced considering each one's scope, overall 3.3 weight and strategic importance Analysis of documents (project formulation implementation and reports) efficient? Main efficiency ratios appear reasonable (cost/beneficiaries, cost/outcomes, admin Analysis of documents (project formulation 3.3.2 and running costs, etc.) comparing with and reports) standards? 4 EFFECTIVENESS

There is a significant number of Interview with TMC (staff) corporations that have received trainings, information and/or technical assistance 4.1.1 Questionnaire to target corporations services related to HT/LE by TMC and majority of them consider them "satisfactory Analysis of documents (project reports and and effective" SoV available)

Interview with TMC (staff) 100 corporations are regularly assessing 4.1.2 their supply chains as a direct consequence Questionnaire to target corporations of the project (they were not doing it before) Analysis of documents (project reports and SoV available) Interview with TMC (staff) Are the private 30 corporations have identified exploitative 4.1.3 sites as a direct consequence of the supply Questionnaire to target corporations sector knowledge chain assessments carried out and skills being Analysis of documents (project reports and strengthened to SoV available) 4.1 identify and There is a significant increase in the Interview with TMC (staff) address labor number of target corporations that have exploitation cases 4.1.4 adopted anti-trafficking / slavery corporate Questionnaire to target corporations in the Mekong policies, as a direct consequence of the region? Analysis of documents (project reports and project SoV available) Interview with TMC (staff) There is a significant increase in the average budget allocated to fight against 4.1.5 Questionnaire to target corporations HT/LE by the target corporations, as a direct consequence of the project Analysis of documents (project reports and SoV available) There is a significant increase in the number of target corporations that have Interview with TMC (staff) implemented other concrete anti-trafficking 4.1.6 / slavery initiatives and/or campaigns (aside Questionnaire to target corporations from supply chain assessments and adoption of policies) as a direct Analysis of documents (project reports and consequence of the project SoV available)

73 A new association of private corporations is Interview with TMC (staff) created, with clear mission, vision, strategic 4.2.1 objectives, membership Interview with member corporations requirements/services, operational plans and a steering/secretariat structure Analysis of documents (project reports and SoV available) Interview with TMC (staff) 100 corporations have become members of the new association created and participate 4.2.2 Interview with member corporations actively and regularly in its meetings and initiatives Analysis of documents (project reports and SoV available)

Is the new Interview with TMC (staff) association of The new association is well known and private overall appreciated among key relevant Questionnaire to target corporations 4.2 corporations to 4.2.3 stakeholders (corporate sector, public fight against HT/LE authorities, workers' unions, other NGO, Interview with local authorities being overall IO...) in the region effective? Interview with other NGO, IO and networks

The new association has started concrete Interview with TMC (staff) and practical initiatives/projects, together as 4.2.4 a consortium, to increase awareness on Interview with member corporations labor exploitation and contribute to eliminate it Analysis of documents (project reports and SoV available) Interview with TMC (staff) Majority of members of the new association declare to be satisfied with the different 4.2.5 Interview with member corporations services received, overall functioning and concrete results achieved so far by it Analysis of documents (project reports and SoV available) 30 public organisations are vetted and Interview with TMC (staff) linked to the association to ensure that 4.3.1 trafficked persons identified receive health Interview with service providers care services (and/or other services) Analysis of documents (project reports and needed SoV available) Interview with TMC (staff) There are formal MoU, MoA and/or collaboration agreements signed between 4.3.2 Interview with service providers the association and most (if not all) service providers identified for referral of cases Analysis of documents (project reports and SoV available) There are clear protocols at TMC for the Interview with TMC (staff) Is a private-public referral of victims of HT/LE, well known by referral system 4.3.3 all the members and including legal Interview with service providers being established 4.3 support, confidentiality and other relevant to assure trafficked HR/ethical aspects Analysis of documents (project reports and cases health care SoV available) attention? Interview with TMC (staff) 3,000 victims of HT/LE are referred by TMC 4.3.4 to service providers to receive physical and Interview with service providers emotional support Analysis of documents (project reports and SoV available) Interview with TMC (staff) The time elapsed between a victim is Interview with service providers identified by TMC and he/she is referred to 4.3.5 a service provider is reasonably short Interview with victims, vulnerable workers and considering the urgency of the case their CSO Analysis of documents (project reports and SoV available)

74 There is a follow-up mechanism and/or Interview with TMC (staff) counter referral system set up by TMC to evaluate the quality of services received by 4.3.6 Interview with service providers the victims referred to service providers and/or to provide further reintegration Analysis of documents (project reports and support SoV available) Majority of victims of HT/LE referred by TMC to service providers consider that the Interview with victims, vulnerable workers and 4.3.7 referral system set in place is effective and their CSO smooth The project has produced new databases, Interview with TMC (staff) publications, pieces of research, best Are other additional 4.4.1 results being practices, etc. on HT/LE and disseminated Analysis of documents (project reports and 4.4 achieved and/or them SoV available) components being The project has generated other additional Interview with TMC (staff) implemented? 4.4.2 results…..(to be explored during the Analysis of documents (project reports and evaluation) SoV available) 5 IMPACT

10 exploitative sites have been closed Interview with TMC (staff) down directly or indirectly as a consequence of the intervention (among 5.1.1 Questionnaire to target corporations those identified after supply chain assessments and/or through other Analysis of documents (project reports and initiatives) SoV available) Interview with TMC (staff) Some exploitative sites have been fixed 5.1.2 with technical support either from TMC Questionnaire to target corporations and/or the corporations they supply to Analysis of documents (project reports and SoV available) Interview with TMC (staff) Is the intervention contributing to Majority (if not all) of 3,000 victims of HT/LE Interview with service providers identified and referred to service providers eliminate HT/LE 5.1.3 5.1 and its by the project receive effective physical and Interview with victims, vulnerable workers and consequences in emotional support their CSO the Mekong Analysis of documents (project reports and region? SoV available) Interview with TMC (staff)

A good number of those victims of HT/LE Interview with service providers are socially and economically rehabilitated 5.1.4 to reduce their vulnerability and avoid being Interview with victims, vulnerable workers and trapped into similar situations again their CSO Analysis of documents (project reports and SoV available) Official figures show and increasing trend in Interview with TMC (staff) the number of HT/LE cases effectively 5.1.5 Interview with local authorities sentenced and condemned by courts in Hong Kong Analysis of documents (statistics and estimations available on Internet) Interview with TMC (staff and Board)

Is the intervention Questionnaire to target corporations contributing to TMC has increased its legitimacy and links Interview with local authorities strengthening the with key stakeholders, becoming the "go to" 5.2 5.2.1 role and capacities organisation in Hong Kong and the region, Interview with other NGO, IO and networks of the implementing regarding HT/LE organisations? Interview with other CSR platforms / initiatives

Interview with service providers

75 Analysis of documents (project reports and SoV available) The intervention has allowed Anesvad to Interview with TMC (staff) gaining experience in HT/LE in the Mekong region, effectively incorporating some 5.2.2 lessons learnt into other similar Interview with Anesvad interventions and/or DEAR campaigns in Analysis of documents (other projects funded the EU by Anesvad)

New conventions, laws, protocols, treaties Interview with TMC (staff and Board) and/or compromises regarding HT/LE have 5.3.1 been adopted by the Hong Kong AR and/or Interview with local authorities other Mekong public authorities, as a direct or indirect consequence of the intervention Analysis of documents (new instruments adopted)

Is the intervention Interview with TMC (staff and Board) 5.3 having a Interview with local authorities multiplying effect? Some of the models, lessons learned, good practices and/or evidence generated by the Interview with other NGO, IO and networks intervention have been replicated, 5.3.2 disseminated and/or scaled-up by other Interview with other CSR platforms / initiatives relevant stakeholders (public authorities, IO, other NGO) Interview with other CSR platforms / initiatives Analysis of documents (new instruments adopted) Interview with TMC (staff) The intervention has, directly or indirectly, Interview with victims, vulnerable workers and contributed to creation/strengthening of their CSO CSO/CBO of victims of HT/LE, workers' 5.4.1 unions, etc. and their links with public Questionnaire to target corporations Is the intervention authorities for advocacy, decision-making contributing to and monitoring of public policies against Interview with local authorities 5.4 strengthening the HT/LE in the target areas Analysis of documents (project reports and role and capacities SoV available) of civil society? Interview with TMC (staff) The intervention has, directly or indirectly, contributed to strengthening of service 5.4.2 Interview with service providers providers for victims of HT/LE , enhancing the quality and scope of their services Analysis of documents (project reports and SoV available) The intervention has, directly or indirectly, contributed to enhance the Interview with TMC (staff) public/commercial image of the corporations targeted (presenting them as 5.5.1 more responsible and involved in HR Questionnaire to target corporations protection) and/or even to increase their Is the intervention income statements and efficiency ratios, as having additional a consequence of the supply chain Analysis of documents (project reports and 5.5 impacts on the assessments conducted SoV available) corporations The intervention has not generated, directly targeted? Interview with TMC (staff) or indirectly, any conflict within the target corporations (institutional conflicts to Questionnaire to target corporations 5.5.2 disclose information on HT/LE, losses or damage to their public image, etc.) and/or conflicts with other public/private Analysis of documents (project reports and stakeholders SoV available) The intervention has contributed to a significant impact on gender (specific Interview with TMC (staff) Is the intervention research on it, activities targeting women, 5.6 having a gender 5.6.1 scope/ratio of women rescued and referred, Questionnaire to target corporations impact? awareness on gender issues, empowerment of women's associations, Interview with victims, vulnerable workers and support to women leaderships, etc.) their CSO

76 Analysis of documents (project reports and SoV available) 6 VIABILITY / SUSTAINABILITY Fees from members of TMC association Interview with TMC (staff) represent a significant source of income for 6.1.1 affording the core expenditures of TMC Analysis of documents (financial statements (around 30-50%) of TMC) There is additional financial contribution (in- Interview with TMC (staff) cash or in-kind grants, donations, etc.) for 6.1.2 TMC activities/programs from other private corporations, aside from the membership Analysis of documents (financial statements fees of TMC) Interview with TMC (staff) TMC is able to generate its own non- restricted funds by selling highly specialized Is the intervention 6.1.3 Questionnaire to target corporations likely to be services (consultancy, technical support, 6.1 sustainable from a access to databases, etc.) to third parties Analysis of documents (financial statements financial of TMC) perspective? TMC has prepared a proper donor Interview with Anesvad mapping, with access to a variety of IO/NGO/funding agencies, without an Interview with TMC (staff) 6.1.4 excessive financial dependence from just a few (i.e. Anesvad) and with perspectives of Analysis of documents (donor mapping; a long-term financial support from them financial statements of TMC)

Interview with TMC (staff) There are clear chances of getting financial support from the local government/public 6.1.5 Interview with local authorities authorities for TMC programs in the short term Analysis of documents (donor mapping; financial statements of TMC) The intervention is framed into a long-term Interview with Anesvad collaboration agreement between Anesvad and TMC, including a proactive phase-out Interview with TMC (staff) 6.2.1 strategy at the end (not just stop funding) with clear (but flexible) actions, terms, Analysis of documents (framework deadlines and budget commitments for it agreements; phase-out strategy) TMC has a well defined strategy built-in the Interview with TMC (staff) Have long-term intervention to gradually hand it over (or Questionnaire to target corporations sustainability 6.2.2 some of its key components) to the 6.2 strategies been corporations targeted themselves and/or to Analysis of documents (strategy plan; hand- built in the design government authorities over strategy) of the intervention? TMC has enough legitimacy, capacity, Interview with TMC (staff) resources and structure to sustain, and even scale-up, the achievements of the Interview with member corporations 6.2.3 intervention with the scope proposed (particularly to effectively deal with the number of corporations initially foreseen as Analysis of documents (acts, minutes and members of the new association) feasibility studies for the association)

The corporations targeted have gained enough technical capacities, resources, Interview with TMC (staff) Are the target structure and links with other key stakeholders, to deploy an effective anti- corporations 6.3.1 Interview with member corporations capable and ready HT/LE strategy by themselves, without to sustain the further support from TMC (including self- 6.3 achievements of management of the new association by Analysis of documents (reports and SOV the intervention in themselves) available) the long-term, by The corporations targeted are incorporating Interview with TMC (staff) themselves alone? anti HT/LE practices (i.e. supply chain 6.3.2 assessments) as part of their regular Questionnaire to target corporations policies, protocols and procedures, not just

77 as a one-off initiative to comply with the project requirements Analysis of documents (internal policies from adopted by corporations)

The corporations targeted (mostly in Hong Kong) have decision-making competences Interview with TMC (staff) to adopt initiatives, policies, procedures, 6.3.3 etc. regarding anti HT/LE initiatives and report about them autonomously, not being those decisions to be adopted by their HQ Questionnaire to target corporations established out of the project target area

There are enough consultancies/organisations in Hong Kong Interview with TMC (staff) with technical expertise in supply chain assessment (with a HRBA) and 6.3.4 Interview with organisations involved in supply capacities/resources to conduct them, as to chain assessments meet the scenario of a potential dramatically increase in the number of corporations demanding it Questionnaire to target corporations

There is a supporting legal /policy Interview with TMC (staff) framework in force in Hong Kong (and eventually in the Mekong region) to prevent Interview with local authorities and fight against HT/LE (i.e. similar 6.4.1 initiatives as the California Act, migrant- Interview with other NGO, IO and networks friendly laws, etc.) in which the intervention can properly built and/or rely to sustain its Analysis of documents (policies, plans, laws achievements related to HT/LE) Are other duty Interview with TMC (staff) bearers and right CSO/CBO related to HT/LE (associations of holders capable victims, workers' unions, etc.) are strong Interview with victims, vulnerable workers and and committed 6.4 and capable enough to promote / defend their CSO enough to 6.4.2 their rights, with channels to access and Interview with other NGO, IO and networks contribute to the link with corporations, authorities and other sustainability of the decision-makers for it project ? Analysis of documents (CSO strategy plans available) There are enough programs/initiatives run Interview with TMC (staff) by NGO and other stakeholders (government, IO, CSO, etc.) offering Interview with local authorities 6.4.3 rehabilitation and reintegration/livelihood support to victims of HT/LE as to minimize Interview with other NGO, IO and networks the risks of them falling again into the same problem Analysis of documents (other projects/programs currently ongoing)