ASSESSMENTOF DEVELOPMENT RESULTS
Assessment of development results Evaluati on of undp CONTRIBUtion MONGOLIA
mongolia HUMAN DEVELOPMENT effectiveness COORDINATI efficiency COORDINATION AND PARTNERSHIP sust NATIONAL OWNERSHIP relevance MANAGING FOR sustainability MANAGING FOR RESULTS responsivene AN DEVELOPMENT responsiveness NATIONAL OWN
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Evaluation Office, March 2011 United Nations Development Programme REPORTS PUBLISHED UNDER THE ADR SERIES
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ASSESSMENT OF DEVELOPMENT RESULTS: EValuation of UNDP contribution – mongolia
Copyright © UNDP 2011, all rights reserved. Manufactured in the United States of America. Printed on recycled paper.
The analysis and recommendations of this report do not necessarily reflect the views of the United Nations Development Programme, its Executive Board or the United Nations Member States. This is an independent publication by the UNDP Evaluation Office.
Editing: Catharine Way Graphic design: Suazion, Inc. (NY, suazion.com) Cover photos provided by UNDP Mongolia and N. Bat-Erdene, P. Jargalsaikhan and Eskinder Debebe. ANOWLEDCK GEMENTS
This evaluation report could not have been Nations. Our special thanks go to the National completed without contributions from many Development and Innovation Committee of people. First and foremost, it resulted from the the Government of Mongolia, particularly its efforts of the evaluation team: Alan Thery, Deputy Chair, Mr. L. Zorig, and the head of the Munkhjarghal Birvaa, Enkhzaya Chuluunba- information, research, monitoring and evaluation atar, Ozren Runic and Hulan Lhagvasuren, and division, Mr. Enkhtaivan, and his staff. The earnest the task manager, Masahiro Igarashi. We would and valuable support of colleagues in the country also like to thank all the stakeholders who took office in Mongolia contributed significantly to time to respond to requests from the team, the report. It greatly benefited from inputs and including government officials and parliamen- tary representatives, local representatives and reviews from S.V. Divvaakar, Michael Reynolds administrators, project directors and coordina- and Azusa Kubota, as well as support from Evelyn tors, civil society representatives and benefici- Wong, Cecilia Corpus and Christopher Nunez. aries and their families, who warmly welcomed Anish Pradhan and Marina Blinova assisted in evaluators to their homes. We also thank develop- the editing and publication process with the help ment partners and sister agencies of the United of an external editor, Catherine Way.
ACKNOWLEDGEMENTS i FOREWORD
This report presents an independent country- its programmatic activities, in areas such as access level evaluation conducted by the UNDP Evalu- to justice, awareness of domestic violence and ation Office in 2010. The evaluation examines enterprise development. the strategic relevance and positioning of UNDP support and contributions to the development of However, the evaluation concludes that UNDP Mongolia from 2002 to early 2010. The report has largely remained an implementer of devel- assesses UNDP interventions under various opment projects that often were not followed thematic areas of the country programme, with up, scaled up or replicated by national partners. a view to providing forward-looking recommen- Several of our projects demonstrated innovative dations for the next country programme, for the approaches and led to some tangible results on period 2012-2017. the ground. But many of these projects were not designed as an integral part of a national effort Since 1990, when Mongolia embarked on a transi- by the Government or other partners, and hence tion to a democratic polity and a market economy, their impact was limited and their sustainability UNDP has provided support in a wide range of questionable. The report recommends that for areas. These have included development of demo- UNDP to remain relevant the partnership with cratic mechanisms and electoral reforms, and government and people should be strength- capacity development and modernization of public institutions. Persistent poverty, recurrent winter ened. UNDP should provide strategic support to disasters and environmental degradation emerged national efforts and refrain from running parallel as critical challenges to the country during this programmes and projects. period. UNDP provided support to the Govern- A critical challenge for Mongolia is to reap the ment of Mongolia to analyse poverty, develop benefits from the profits of extractive mining, an institutional response to natural disasters and initiate innovative conservation projects. which are the main economic engine of the country, for human development in the face of The evaluation finds that the UNDP programme persistent poverty and environmental fragility. was well aligned to national strategies and UNDP clearly has a role to play in assisting addressed critical development challenges faced the Government and the country to tackle this by the country due to the strength of our partner- challenge. This evaluation identifies the strengths ship with the Government. UNDP’s contribu- of our work in Mongolia and the potential to tions were most notable in policy support, which increase our contribution in the future. I hope that has led to the incorporation of a human develop- the report will be useful in building an even more ment perspective into the country’s broad policy effective partnership in the years to come, leading framework. Analysis from a human development to demonstrable results for the Mongolian people. perspective has been catalysed through a series of National Human Development Reports. The Government articulated a National Development Strategy in 2008 that emphasizes attainment of the Millennium Development Goals. UNDP Saraswathi Menon also contributed to human development through Director, Evaluation Office
i i FOREWORD Contents
Acronyms and Abbreviations v
Executive Summary vii
Chapter 1. Introduction 1 1.1 Objective and Scope 1 1.2. Methodology 2 1.3. Evaluability Issues 3 1.4 Process 3
Chapter 2. Development Challenges and National Strategies 5 2.1 Demography and Geography 5 2.2 Mongolia in Transition 5 2.3 National Development Strategies 14 2.4 Development Cooperation, Civil Society and the Private Sector 21
Chapter 3. UNDP’s Response and Strategies 25 3.1 Strategies of United Nations Agencies, 2001 and 2006 25 3.2 Strategies of UNDP Programmes, 2001-2010 27
Chapter 4. Contribution to Development Results 33 4.1 Strengthening Democracy, Accountability and Transparency 33 4.2 Achieving the MDGs and Reducing Human Poverty 43 4.3 Improving Energy and Environmental Sustainability 52 4.4 Crisis Prevention and Recovery 60
Chapter 5. UNDP’s Strategic Position 63 5.1 Relevance 63 5.2 Promotion of United Nations Values from a Human Development Perspective 64 5.3 Responsiveness 65 5.4 Implementation Issues 65
Chapter 6. Conclusions and Recommendations 69 6.1 Conclusions 69 6.2 Recommendations 71
Annexes 73 Annex 1. Terms of Reference 73 Annex 2. People Consulted 81 Annex 3. Documents Consulted 84
CONTENTS i i i Figure Figure 1. GNI per capita and GDP growth rate 8 Figure 2. Expected funding under CCF II and CPD-CPAP 31
Tables Table 1. Gender-related Development Index (GDI) 12 Table 2. Gender Empowerment Measure (GEM) 13 Table 3. National development strategies 15 Table 4. Analysis of the MDG-based Comprehensive National Development Strategy 2008-2021 of Mongolia 19 Table 5. Paris Declaration Indicators 20 Table 6. UNDP Mongolia: Portfolio by practice area for CCFII and the CPD-CPAP 30 Table 7. Changes between CPD and CPAP 31 Table 8. UNDP support to MDG-oriented policy-making and monitoring 42 Table 9. Preliminary BEEP figures on financing for insulated housing 59
i v CONTENTS Acons r ym and Abbreviations
ADR Assessment of Development Results BEEP Building Energy Efficiency project CCA Common Country Assessment CCF Country Cooperation Framework CG Consultative Group CPAP Country Programme Action Plan CPD Country Programme Document CSO Civil Society Organization DEX Direct Execution DPCLA Department of Policy Coordination of Loans and Aid (Ministry of Finance) EEH Energy Efficient Housing Project EGSPRS Economic Growth Support and Poverty Reduction Strategy EMP Enterprise Mongolia Project GDI Gender-related Development Index GEF Global Environment Facility GGHS Good Governance for Human Security programme GTZ German Technical Assistance Agency HDI Human Development Index HDIA Human Development Impact Assessment IAAC Independent Authority Against Corruption LAC Legal aid centres MDG Millennium Development Goal MNT Mongolian Tugriks (Mongolian currency unit; in 2010, MNT1,000 fluctuated from $0.68 to $0.78) MoFE Ministry of Finance and Economy MPRP Mongolian People’s Revolutionary Party NDIC National Development and Innovation Committee NEMA National Emergency Management Agency NEX National execution modality NGO Non-governmental organization ODA Official Development Assistance
A c ron y m s a nd ABBREVIATIONS v OECD/DAC Organisation for Economic Co-operation and Development/Development Assistance Committee PMMS Pilot Project to Support the National Poverty and MDG Monitoring and Assessment System PMU/PIU Project management unit/project implementation unit PPP Purchasing power parity PREF Poverty Research and Employment Facilitation project PRG Poverty Research Group SEG Strengthening Environmental Governance project SGK State Great Khural (Parliament) TPHD Trade Policy and Human Development in Mongolia project UNCTAD United Nations Conference on Trade and Development UNDAF United Nations Development Assistance Framework UNICEF United Nations Children’s Fund WHO World Health Organization WTO World Trade Organization
Amtratd inis ive units Number
Aimag Province 21 Soum Provincial district/county 329 Bag Provincial sub-district 1544 Duureg District (in Ulaan Baatar) 9 Khoroo Sub-district (in Ulaan Baatar) 121
v i A c ron y m s a nd ABBREVIATIONS ET XECU IVE SUMMARY
ITRODUN CTION diminished livelihoods and lack of services. This is gradually shifting poverty to urban centres while This Assessment of Development Results (ADR) weakening further the potential for economic is a review of the contribution of the United sustainability in rural areas. Nations Development Programme (UNDP) to development results in Mongolia from 2001 The Mongolian Government has clearly diagnosed to the present. It examines UNDP interven- the status of democratic governance, issues tions from a strategic perspective, assessing how affecting prospects for inclusive economic growth the organization designed its programme to and the fragility of the natural environment, address key development issues, how relevant which is increasingly under threat from economic its programme was to the challenges Mongolia faced and what role UNDP played in the constel- activities. Necessary measures have been identi- lation of development assistance to the country. fied in an MDG-based Comprehensive National The report also assesses the impact of the inter- Development Strategy 2008-2021. With this ventions under UNDP’s thematic areas. Based strategy, the Government aims to achieve the on this analysis, the report lays out findings and Millennium Development Goals (MDGs) by makes recommendations for future programmes. 2015 and to become a middle-income country by 2021. The challenge for the next decade will be successful implementation of this strategy. Dvelopmente Context While implementation of the Strategy anticipates The transition of Mongolia from a Soviet-style sustained flows of official development assistance socialist system to a democratic system with a (ODA), there is potential for large revenues from market-oriented economy was a relatively peaceful vastly expanded mining operations, currently in process. But at the same time it was momentous for development or being planned. Thus the role of the country, resulting in an upheaval of structures ODA may shift. that had been in place for 70 years. Over the last two decades, generally sound legal and institutional frameworks have been put in place for democratic Fid n ings: UNDP’s Programme governance and development of market activity. Relevance and Positioning However, challenges remain in implementing these legal frameworks, in institutional capacity There are strong indications of close collabo- and in developing functioning political, social and ration between the Government of Mongolia economic systems that put into full effect the prin- and UNDP at the policy level. One good ciples embodied in these frameworks. example is the decision to use the MDGs as an overarching framework of policy and Over the last decade, one issue has been particu- strategy. Consequently, there has been a larly vexing for the Government and its develop- strong concordance between the govern- ment partners: the apparent persistence of a high ment’s strategies and UNDP programmes. level of poverty, estimated at around 35 percent, despite periods of rapid economic growth. Partic- UNDP supported the development of the ularly in rural areas, poverty affects the traditional institutional capacities and instruments needed core of Mongolian society, the herders, who for the Government to implement its strate- find themselves increasingly marginalized and gies and programmes. Over two programme vulnerable to the vagaries of market forces and cycles, UNDP has consistently supported the of human-induced environmental changes. In development of capacities, notably with regard response they are migrating to the cities, partic- to poverty reduction policies and sustainable ularly to the capital, Ulaan Baatar, to escape resource management.
EXECUTIVE SUMMAR Y v i i After modest results were achieved from access to data. In addition, poverty and MDG support to central governance institutions, data have been disaggregated to the local level, including the State Great Khural (SGK, or and a method to map the distribution of poor Parliament), UNDP shifted its support to households to the smallest administrative and local governance and the judicial branch, territorial units has been developed. focusing on access to justice, transpar- ency and integrity. While this adjustment The capacity to analyse policies based on is understandable based on the difficulties their impact on equity and poverty has been encountered in providing effective support to developed, as has the ability to formulate central institutions, especially in the legisla- sound poverty-reducing policy. However, tive branch, the implications of unresolved results are not yet evident in policy formula- governance issues at the central level remain. tion or budget allocations. Despite claims of greater citizen participa- Through a number of UNDP interven- tion in policy documents and the inclusion of tions, wide awareness of the MDGs and participation as an intermediate objective in the principles of human development has a number of project documents, this crucial been achieved among government officials, element of democratic governance does not members of the SGK and civil society. This seem to have received the necessary attention in awareness has been institutionalized through the programmes. UNDP’s attention may have the SGK’s adoption of the MDGs, including been overly directed to public sector officials. a ninth goal on democratic governance, as a framework for national policy, as well as Assistance for development of a national inclusion of a course on human development aid coordination system has yielded disap- in the curriculum of the National University. pointing results, as insufficient ‘ownership’ of the issue at that time resulted in limited UNDP has contributed to strengthening achievements. The UNDP Resident Repre- protection of human rights through support sentative promoted regular consultations to the establishment and capacity building between key development partners, but these of the National Human Rights Commis- sessions were more exchanges of information sion at the central level and establishment than actual attempts at coordinating assist- of legal aid centres in aimags (provinces), ance and projects. While a number of inter- which provide legal assistance to indigent national stakeholders have expressed their criminal defendants. desire for UNDP to take a more proactive role in aid coordination, it has to be recog- UNDP’s programme of small grants to nized that the Government must play a lead- communities has helped advance the discus- ership role; UNDP could only support the sion around redistribution of revenues between Government’s efforts to this end. central and local government and stimulated a debate regarding decentralization.
Fid n ings: UNDP’s Contribution UNDP has contributed to developing and to Development Results strengthening the professional and insti- tutional capacities of the anti-corruption The programme addressed a number of needs agency. However, the impact is still limited that are important to sustain the country’s transi- because the judicial system, which should tion to democracy and a well-functioning market follow up on cases submitted by the agency, is economy. The following constitute strong aspects not yet very effective. of the programme: The transformation of the military-based In its effort to support evidence-based policy disaster response agency into the modern, formulation, UNDP contributed to an civilian-run National Emergency Manage- improvement in data collection from statis- ment Agency (NEMA) is the result of steady tical and administrative sources and ready support by UNDP over the past decade.
v i i i EXECUTIVE SUMMAR Y NEMA has a modern, proactive mandate and government officials and the introduction of disaster preparation, mitigation and of new instruments, with little participation by effective response. increasingly active environmental civil society groups. The real issue in environmental govern- Although gender issues did not get suffi- ance may be lack of implementation of existing cient visibility, the joint programme on legislation and regulations. Hence UNDP’s gender-based violence had a significant support does not seem to have addressed the impact in raising awareness on the issue and core issues underlying the problems. its correlate, domestic violence. This led to greater attention from relevant authorities. Monain C clusions Other interventions had either more localized impact or an impact that is likely to develop C onclusion 1: The strength of UNDP’s relation- over time: ship with the Government of Mongolia has had notable results, leading to incorporation UNDP’s support to community-based land of core UNDP concerns and values into the management and biodiversity conservation country’s broad policy framework. UNDP also has had significant impacts in areas under successfully promoted human development the projects’ jurisdiction, but evidence of through its programme activities. an autonomous replication of the approach beyond them was lacking. It is notable that policy discussions and documents regularly refer to the concept of human develop- Weaker aspects of the programme include: ment and that a Human Development Fund was created to manage the resources expected from Support to establishment of a system for greatly expanded mining operations. The MDGs national aid coordination has had a modest are intended to constitute the framework for impact; it appears that officials were less the National Development Strategy 2008-2021. concerned about coordinating technical With support from UNDP, the Government has assistance and policies than in promoting been working to extend MDG monitoring to the investment projects. most decentralized administrative units. The State Great Khural has adopted the MDGs as the law Support to economic development, especially of the land, including a ninth goal on democratic in provinces, faced the same structural and governance. The creation of the National Devel- financial constraints that other, larger donor- opment and Innovation Committee (NDIC) (in funded projects faced, resulting in little progress. 2009) was the logical conclusion of a long process Support to electoral reforms was a commend- of developing an institution with responsibility able initiative, but it failed to meet its objec- for coordinating, supervising and monitoring tives, given that, just a few years later, a new implementation of the strategy to achieve these discussion on reforming the electoral system goals and achieve middle-income status within has been initiated. the next decade. Energy conservation is an important issue UNDP also promoted human development with in Mongolia as it can significantly affect air its programme activities. It contributed to, for pollution and the disposable income of the example: improved access to justice by supporting poor. However, UNDP support to such initia- the establishment of Legal Aid Centres and tives seemed overly biased towards technical awareness-raising on domestic violence; improved solutions without sound analysis of economic livelihood opportunities for the poor through and financial feasibility. There was hence little its enterprise development programme; and chance of replicating these technical solutions. improved management of disasters by supporting Support to environmental governance largely the modernization and capacity development of consisted of a review of legislation by experts the disaster management agency.
EXECUTIVE SUMMAR Y i x Conclusion 2: The strong partnership with framework and lack of enforcement. It would the Government at the strategic level has not seem natural, therefore, that the strategy to address always been translated into concordance of such an issue would require multidimensional priorities between UNDP and the Government interventions involving all cluster teams of at the level of individual initiatives. Mismatches the country office. Instead, under the standard were observed between the intent of UNDP’s project-based approach, the cluster teams are initiatives and government follow-up actions. not prone to joining together to address a This has limited the effectiveness of many common objective. UNDP projects. With many UNDP projects, the activities and Similarly, the lack of collaboration (beyond results were not followed up or taken over by exchange of information) with other develop- the Government in a way to ensure effective- ment partners undertaking related projects is ness of the initiatives and sustainability of the seriously limiting project results. The knowledge results achieved. For example, UNDP has steadily of other development partners’ activities, such as supported development of government capacities in grassland management or enterprise devel- to collect and produce data to analyse poverty opment, has not been translated into collabo- with a view to assisting development of poverty- ration that could have leveraged the results of focused policies. However, policymakers have interventions. Likewise, if another development yet to make regular, effective use of this capacity partner had supported judicial reform, it could in formulating policies or drafting annual have enhanced the results of UNDP’s assistance budgets. Similarly, there have been long delays to the anti-corruption authority. These missed in considering and passing laws related to opportunities are symptoms of the failure to put grassland management, which were drafted national effort at the centre of development, with with contributions from the field experience UNDP and other partners playing coordinated of UNDP and other development partners. supporting roles. A notable exception is the initiative to provide legal assistance to criminal defendants. After Conclusion 4: Too few examples were found UNDP contributed to setting up the system, the of public involvement in policy formulation Government assumed full responsibility and now and programme implementation through bears the core costs of operations. civil society groups in UNDP’s programme activities, despite its intention to do so. Conclusion 3: UNDP’s approach to develop- In Mongolia, voluntarily created civil society ment challenges in Mongolia over the last groups are a relatively recent phenomenon. While two cycles often appears less strategic many of the more established groups focus on than tactical. Each project or activity seems human rights issues, a growing number address focused on achieving its narrow objective, environmental and social issues. Many are still and efforts are not coordinated to address weak and seeking their voice, which limits their common national development objectives effective contribution to policy discussions and among UNDP’s cluster teams or among programme implementation. development partners. Lack of concerted effort among UNDP clusters In its documents UNDP often refers to the need and among development partners to achieve for greater public involvement in general and commonly agreed national development results engagement with civil society groups in partic- in a most effective manner has led to the lack of ular. However, representatives of a number of sustainable national impact. civil society organizations expressed the view that UNDP had until recently interacted mostly One example concerns poverty and growing with representatives of public institutions, having vulnerability in rural areas, which is seen partly as initiated few meaningful interactions with civil resulting from environmental degradation related society. As UNDP engages with the Government to poor grazing practices. The problem seemed to on diverse policy issues, including civil society in be exacerbated by weakness of the regulatory its activities would help strengthen the capacities
x EXECUTIVE SUMMAR Y of non-governmental actors and the country’s the PIU/PMU calls into question whether the democratic system. projects were really addressing the priority needs of the Government and the country, or were Conclusion 5: UNDP’s past support has not undertaking activities that the implementing led to effective and transparent aid coor- partner would not embark on without PIU/PMU. dination at policy and programme levels. Recent progress made by the Government in this regard presents a renewed opportunity. Rmmendateco ions The Government of Mongolia has pushed Recommendation 1: UNDP should continue forward donor coordination mainly in dealing and enhance the support extended over the with development aid and investment projects. past decade to develop capacities to define However, progress has been slow in estab- and implement evidence-based policies lishing an effective and transparent coordina- focused on human development. tion mechanism that aligns and integrates policy and programme support with national efforts. By following up on the MDG-based Comprehen- This has resulted in incoherent policy support or sive National Development Strategy, identifying uncoordinated parallel programmes by different indicators and intended results, the Government development partners. is now moving from a broad declaration of inten- tions to a more operational perspective. UNDP With the establishment of the NDIC, the Govern- could further support capacity development of ment has made strides towards establishing such NDIC, inter alia, through assistance in refining a mechanism centred on the Comprehensive the indicators and designing clearly targeted National Development Strategy. Given UNDP’s programmes and then in devising the ways to experience in this area, it could play a useful implement the strategy. supportive role in this effort. Recommendation 2: UNDP should better link Conclusion 6: UNDP has been implementing its assistance to the government’s priority projects mostly under a national execution actions and be more selective to this modality (NEX). This involves a project end. UNDP should keep in mind that the management unit/project implementation development of capacities should not be unit (PMU/PIU), often staffed by outside an end in itself; it should be a means to realize experts and working in parallel to the an expected outcome. national implementing partner. This practice tends to weaken national ownership of the UNDP should continue to make strategic inter- results, limits the projects’ contribution to ventions where they have been making a real the capacity development of partner insti- difference, such as in capacity development tutions, and calls into question whether the support for disaster management. At the same projects really address the priority needs of time, UNDP should be more selective in initi- the national partner. ating support and avoiding activities with little Under the current method of implementing chance of follow-up actions by the Government nationally executed projects, a national project to replicate or scale up initiatives. UNDP should director (often a government official) controls the try to refrain from continuing activities if there is resources, while responsibility for implementa- no evidence or likelihood that the capacity and tion rests with the PMU/PIU, often staffed by tools developed will actually be used. For example, hired outside experts and working in parallel to activities supporting further refinement of local (and not in direct support of ) the national imple- poverty and MDG mapping could become menting partner. This practice dilutes the respon- superfluous if policies and programmes would sibility and accountability of the project director not make use of the data, tools and capacities that for achieving results effectively and efficiently, have already been developed. The development of while reducing the potential for capacity devel- capacities should not be an end in itself; it should opment of the institution. Moreover, the use of be a means to realize an expected outcome.
EXECUTIVE SUMMAR Y x i Recommendation 3: UNDP should make a government efforts to improve participation of serious effort to introduce a more strategic civil society in governance. and programmatic approach to its activities, focusing on development objectives and Recommendation 5: UNDP Mongolia should achievement of results. To this end, it should strategically position itself as the facilitator (i) foster more collaboration among its cluster of national efforts and government teams and design their activities towards programmes, rather than being a project well-defined common objectives; and (ii) implementer. In doing so, it should utilize promote much closer collaboration, if not its comparative strength, such as its integration of parallel activities, with other convening power, global network and development partners where appropriate. value-based approach. This approach may pose a managerial challenge UNDP seemed to have been running projects that, in view of UNDP’s operational approach, based while broadly consistent with government policy, on clearly assigned responsibilities and account- were mostly additional to and run in parallel to abilities structured according to projects and the government’s own work. Hence, their impact practice areas. Closer collaboration or integra- has been limited by UNDP’s fund mobilization tion of activities with other partners would also capacity, and their results have lacked national be challenging given the diverse practices, proce- impact. Instead, UNDP should strive to focus on dures and policy objectives among partners. leveraging national efforts and the government’s Nevertheless, such a strategic approach centred own programmes. on development objectives and achievement of results is probably the only way for UNDP to For example, when UNDP implements a project make a substantial impact in Mongolia. as a pilot case of an approach designed to address a particular development challenge, it should Recommendation 4: UNDP should take a be designed from the outset within the context more inclusive approach to supporting of a national programme so that the approach democratic governance by involving civil and results can be replicated and extended by society more directly and substantively the Government either directly or through its aid into its activities. UNDP could also support coordination mechanism. government efforts to improve participation of civil society in governance. Recommendation 6: UNDP should review UNDP could strengthen public involvement its approach to the use of the NEX modality and thereby democratic governance by involving and initiate a strategy for transition to a civil society more directly and substantively in full NEX modality by the end of the forth- preparing and implementing its projects and coming programme. other activities. This should not be the sole Under a true NEX modality, ownership of projects responsibility of the democratic governance would lie with the national implementing partner, cluster team. It should be achieved through who should be fully responsible for implemen- mobilizing existing and developing civil initia- tation of activities and results achieved. This tives in a variety of areas, from associations for approach leads to capacity development of the environmental protection, to NGOs providing partner. UNDP should confine itself to playing social services, to advocacy groups engaged in a supporting role, providing specific technical activities relevant to UNDP’s programme. This assistance and financial support for implemen- would allow UNDP to contribute to giving voice tation. It should not effectively take over imple- to a broad range of citizen concerns and strength- mentation responsibility by establishing PIUs/ ening the democratic process. At the same time PMUs. Their frequent use also calls into question it would help in building the capacities of civil whether UNDP was addressing the true priori- society organizations. UNDP could also support ties of the national partners.
x i i EXECUTIVE SUMMAR Y Chapter 1 ITRODUN CTION
1.1 Objective and Scope development efforts. Strategic positioning was assessed according to the following criteria: The Assessment of Development Results in Mongolia is an independent country-level evalu- Relevance, assessed according to: ation conducted by the UNDP Evaluation Office (EO) in 2010. It assessed UNDP’s perform- yy How the programme has addressed ance and contribution to development results the country’s development challenges; in Mongolia during the past two programming yy Whether the programme supported cycles, covering the period from 2001 to the first national development strategies half of 2010. It also drew lessons for future strate- and policies; gies, particularly for the next programming cycle, 2012-2016. Responsiveness, assessed according to:
This ADR reviewed the ongoing UNDP- yy Whether the programme adapted Mongolia Country Programme 2007-2011 and to changes in national development Country Programme Action Plan (CPAP) 2007- challenges and priorities; 2011, as well as the second Country Cooperation yy Whether the country office acted Framework (CCF II) 2002-2006. It took a closer in a timely fashion during crises look at the more recent programme because of and emergencies; the evaluability issues. It also looked at UNDP projects and activities as a part of the broader yy Whether responsiveness was United Nations Development Assistance Frame- balanced with a more long-term works (UNDAFs) for 2002-2006 and 2007-2011 development perspective; and their contributions to progress towards Contribution to United Nations values, or intended outcomes. The ADR is not an exhaus- more specifically the goals embodied in the tive evaluation of the whole UNDP portfolio Millennium Declaration for sustainable over the study period and does not review every development: equality, solidarity, freedom, single project in that portfolio. While attempting shared responsibility, tolerance and respect to be as complete as possible, the ADR focuses for nature; on projects selected for their distribution across the various practice areas, representativeness of Strategic partnerships, in terms of how the type of activities UNDP has engaged in and UNDP has used its partnerships to scale up relative financial size. the scope and impact of its work in all areas;
The ADR evaluated UNDP’s strategy and Contribution to United Nations coordination, performance from two perspectives. First, it in terms of whether UNDP has supported the assessed UNDP’s strategic positioning; that is, development of a more coherent and efficient how the organization was positioned within United Nations system in Mongolia and has the development and policy environment in worked with other United Nations partners, the country, how UNDP positioned itself and notably in mobilizing expert resources within what strategies it used to assist the country’s the system.
CHAPTER 1. INTRODUCTION 1 Second, the ADR assessed UNDP’s performance Observation of project results and group in achieving intended programme outcomes and discussions with beneficiaries at project sites, contributing to development results, using the selected according to their representativeness following criteria: (in terms of whether the projects reflected UNDP’s core practice areas), geographic Effectiveness, or the extent to which the intended results of UNDP interventions have distribution within the country and the feasi- been attained, and whether unintended results bility of reaching them within a reasonable (positive or negative) have also been generated; time frame.
Efficiency, or the extent to which UNDP The selection of stakeholders to be interviewed succeeded in making the best possible use of relied on stakeholder mapping, which identi- its resources—both financial and human—in fied both UNDP partners and stakeholders who, the pursuit of its objectives; while not working directly with UNDP, were Sustainability, or the likelihood that the active in the respective sectors. These stake- results and benefits generated through inter- holders included government officials in minis- ventions (projects, programmes and non- tries and agencies, representatives of civil society project activities) will continue after closure organizations (CSOs), the private sector, United of the interventions; Nations agencies, multilateral organizations, Partnerships for results, or whether and to bilateral donors and beneficiaries. Great care was what extent UNDP tried and succeeded in taken during the stakeholder interviews to ensure establishing cooperative working arrangements that interviewees felt comfortable expressing with other organizations that increased the assessments and opinions. prospects for achieving the expected outcomes. The evaluation team regularly tested the validity and reliability of the information and data 1.2.thodolo Me gy collected by critically reviewing their consistency The methodology was based on the terms of across different sources and by triangulation, reference (see Annex 1), draft ADR Manual which sought to identify knowledgeable sources (March 2010 version) and broader UNDP evalu- who could corroborate the information. ation policy. Examining the achievements of the two UNDP The evaluation applied a multiple-method programmes towards development results approach to data collection that included: (Chapter 4) involved analysing the activities of Desk reviews of documentation produced and results achieved by representative projects by UNDP and the Government as well as in each thematic area, as well as their possible relevant information published by a broad consequences. This is not an evaluation or review range of stakeholders; of individual projects, however. References were Group and individual interviews at UNDP made to projects that provided the most concrete headquarters and the Mongolia country evidence of accomplishments and the circum- office and with national stakeholders and stances that may have affected project implemen- beneficiaries;1 tation and outcomes.
1 The persons met during interviews and field visits are identified in Annex 2, and the main reference documents are shown in Annex 3.
2 CHAPTER 1. INTRODUCTION 1.3.alua Ev bility Issues 1.4o Pr cess An ADR dealing with complex programmes The ADR in Mongolia was conducted by an inde- implemented over almost a decade encounters a pendent evaluation team, composed of four external number of problems: evaluators, the Evaluation Office task manager, a national coordinator and a research assistant. Although basic documents on projects and programmes remain, many of the staff and After the preliminary desk research, the team managers involved in implementing older leader, assisted by the national coordinator and initiatives and the intended beneficiaries had national team specialists, undertook a scoping dispersed, thus depriving the evaluation of a mission in Ulaan Baatar from 1-6 March 2010. Its valuable source of complementary informa- purpose was to refine the scope of the evaluation, discuss the structure and rationale of the country tion and corroboration. programme, and reach a preliminary assessment of For many of the projects and programmes, how the programme fits within the broad strate- particularly those concerning governance gies of the Government of Mongolia. The mission and capacity development, it was difficult was also used to select projects and activities to be to define clear indicators that would present reviewed in depth and to map UNDP partners both a baseline and the possibility of objective for more detailed interviews. The scoping mission measurement of impact. resulted in an inception report outlining the issues and questions to be investigated, drafted by the In most cases, the lack of an appropriate team leader and shared with the Mongolia country control group made it difficult to differentiate office. Based on the report, all team members between the impact from a specific project undertook a second review of the documentation. and the changes resulting from evolution of the environment in which the activities were Further evidence was collected and the initial implemented. findings were validated during the main evalua- tion mission, 12 April to 8 May 2010. In addition The magnitude and sustainability of the to interviews and site visits in Ulaan Baatar, outcomes of a technical assistance interven- members of the ADR team travelled to sites in tion may not be revealed for quite some time the regions of Darkhan, Sukhbaatar and Uvur- after the activities have concluded, and even khangai to observe project activities and collect after the ADR has been prepared. the views of a broader set of stakeholders. The selection of sites was based on the travel time These issues, recognized from the beginning, do required, number of project sites that could be not imply that a credible assessment of programme visited and the need to expose team members to results cannot be achieved. Rather, they point out all the thematic areas. At the end of the mission, that an ADR cannot rely too heavily on quan- preliminary findings were presented and discussed titative data on predefined indicators; it needs at a working seminar involving the team and a to adopt an approach used in anthropological group of stakeholders, including representatives studies involving careful identification of corrob- from the Government and civil society as well as orating observations. staff of UNDP Mongolia.
CHAPTER 1. INTRODUCTION 3
Chapter 2 DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES
2.1mo De graphy and Geography The land ranges from desert to semi-desert to grassy steppe, with mountains in the west and Mongolia is a landlocked nation in northern south-west. Arable land is estimated to constitute Asia, bordered by the Russian Federation to the only 0.8 percent of this vast country.5 Throughout north and the People’s Republic of China to the history livestock raising by nomadic Mongol east, south and west. It is a country of extremes. herders has been a major economic activity. In the While it has the 19th largest territory in the early 20th century industrialization began, spurred world (1,564,100 square kilometers),2 in popu- by the Soviet Union and largely based on wool lation it ranks 139th (with 2,758,000 people).3 processing and extraction of minerals, mainly Consequently, Mongolia has the lowest popu- coal, copper and fluorspar.6 lation density in the world, at 1.7 persons per The country’s geographic isolation is intensi- square kilometre (4.4. persons per square mile). fied by a severe dearth of transport infrastruc- Its climate is desert in the south central part ture. Mongolia has a single rail line, connecting and continental in the remainder, and both areas Beijing to Moscow, and the road network remains experience large daily and seasonal temperature deficient. These geographical realities constrain 4 fluctuations. Its capital, Ulaan Baatar, is reputed development prospects. The country also suffers to be the coldest capital in the world. from the recurring dzud,7 a climatic phenomenon that causes animal starvation, severely diminishing According to the 2000 census, the country is herders’ assets and threatening their well-being. ethnically homogenous, with Mongols repre- senting 94 percent of the population, Turkic groups (mostly ethnic Kazakhs) representing 2.2n Mo golia in Transition 5 percent and others (mostly ethnic Russians and Chinese) 1 percent. However, the category 2.2.1 gOVERNANce ‘Mongols’ covers a number of groups, including After the collapse of the Soviet Union in the Halhs and Buryads, that have maintained 1990s, Mongolia started democratic reforms, and somewhat distinct customs and dialects. today it is commonly ranked as a relatively stable
2 Using ISO Standard 3166-1. 3 UN Department of Economic and Social Affairs, estimate of 28 May 2010. 4 This report uses the Mongolian transcription for spelling of place names and names of Mongolian historical figures rather than the more familiarly known transcription from Persian or other sources. 5 Source:
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 5 parliamentary democracy.8 The country’s Consti- situation significantly improved in 2009, with a tution states as a supreme objective the building peaceful presidential election. Power was handed of a “humane, civil and democratic society” and over from the MPRP-backed incumbent to the guarantees basic civil rights, including freedom candidate supported by the Democratic Party. of expression, assembly and association as well as the right to private property. In 2005, the country Today, despite having achieved political stability showed its strong commitment to the democratic and earning much praise for its commitment to process through endorsement of a ninth MDG, democratic principles, Mongolia has yet to secure ‘Strengthen human rights and foster democratic sustained progress towards these principles or to governance’, by the State Great Khural (SGK), complete its transition to a democratic society: the parliament. This level of success does not necessarily imply a smooth and easy transition Although Mongolia is a party to 40 human from the socialist system, and political life in rights treaties of the United Nations and its Mongolia has been somewhat turbulent over the specialized agencies, there have been delays in past two decades. aligning the Constitution and the laws with these treaties. Citizen awareness of the rights The peaceful democratic revolution in 1990 encompassed by these treaties is limited, 9 introduced a multiparty system and limited and fulfilment of these rights is inadequate. th presidential power. The Mongolian People’s Mongolia was ranked 54 in democracy and Revolutionary Party (MPRP), previously backed human rights in 2005, largely because of by the Soviet Union, was returned to power that the high grade it received on the freedom of th year in the country’s first multiparty elections. the press indicator, but in 2006 it fell to 77 In the second election, in 1996, the opposition position, putting it in the category of ‘partly 10 Democratic Coalition came to power. After a free’ countries. turbulent period, with an unstable economy and A number of sources11 indicate that corrup- frequent changes in government, the MPRP tion is increasing, presenting serious risks to won a resounding victory in 2000. The next four democratic governance and healthy demo- years brought a relatively stable government but cratic competition. also growing dissatisfaction by citizens and the opposition due to one-party domination of the The slow progress in enforcement of demo- government. After the 2004 elections resulted in cratic principles and human rights has led one a hung parliament, the first grand coalition was observer to write: “The Mongolian experience formed. However, political turbulence resumed, over the past 15–20 years suggests that electoral with frequent changes in coalition member- democracy on its own — even if it has become for ships. The elections of 2008 proved to be a major a time ‘the only game in town’ — may be insuf- challenge for country’s democratic institutions, ficient to generate a momentum of progressive after the opposition rejected the election results democratic improvements, as it remains prone and brief incidents of civil unrest occurred. The to ‘hollowing out’ or possibly even reversal.”12
8 Freedom House ranking 2009. 9 In particular, the 2006 report ‘Human Rights and Freedoms in Mongolia’ by the National Human Rights Commission states that seven indicators give evidence that these provisions are not being enforced because provisions of international treaties prohibiting torture in criminal investigation and provisions of the Convention against Torture have not yet been fully incorporated into laws and legislation. 10 UNDP Mongolia website, Millennium Development Goals, Mongolia specific MDG-9, ‘Strengthen Human Rights and Foster Democratic Governance’,
6 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES Another issue is the failure to satisfy the expec- to citizen exercise of their right to elect and tations raised during the transition to the new be elected; political system, which feeds dissatisfaction with A slow process of formation of an independent the status of the country’s democracy. In a 2005 World Bank survey13 of popular perceptions of and effective judicial power that would gain the political situation, 7 percent of respondents trust among the population and contribute to found it ‘very bad’, 42 percent found it ‘bad’ and the credibility of state institutions; 39 percent ‘mixed’. Only 8.2 percent of respond- Wide discrepancy between the principles of ents found the political situation ‘good’ or ‘very self-government included in the Constitu- good’. Shortly after, the Economist Intelligence tion and the dependence of local administra- 14 Unit described the political scene as ‘volatile’. tion on the central government; The Government is well aware of the need A civil society that has yet to develop suffi- to strengthen democratic governance and ciently as an effective watchdog on the activi- has attempted to address the discontent. The ties of government; country’s additional MDG has three specific targets: (a) fully respect and uphold the Universal Worsening corruption, which constitutes an 16 Declaration of Human Rights, ensure freedom of obstacle to growth. media and provide the public with free access to information; (b) mainstream democratic princi- 2.2.2man Hu Development ples and practices into life; and (c) develop a zero- and Poverty tolerance environment to corruption in all spheres of society. Over the last 15 years the SGK has also From an economic standpoint, the transition enacted a number of electoral reforms. However, from a centralized system to a market economy, these have apparently proved inadequate, as the while supported by a vast majority of the popu- SGK was once more discussing changes in the lation, had a brutal impact. During the 70 years electoral system in 2010. under the socialist system, the country became increasingly dependent on transfers17 from and Despite these actions, all evidence indicates trade with the Soviet Union. Between 1990 that the shortfalls of the Mongolian democratic and 1993 total output fell by 20 percent, while system remain today much as they were found in inflation shot up to 300 percent in 1992. Though a 2006 UNDP study:15 the adjustment was sharp, it was also relatively short in duration compared to other transition Inadequate policies and regulations to enforce economies. The process of liberalization and the Constitutional provision placing state privatization and the establishment of market power in the hands of the people, which is institutions were not interrupted by social or worsened by a lack of transparency and insuffi- political unrest. As a result, the country regained cient professional capacity in state institutions; normalcy rather rapidly, although reforms are still Inadequate public participation in the policy needed to ensure sustained development through debate exacerbated by practical obstacles a more balanced and diversified economy.
13 Beck, Linda et al., ‘The Enabling Environment for Social Accountability in Mongolia’, Report #32585-MN, Social Development Department/Sustainable Development Network, World Bank, 2007. 14 Economist Intelligence Unit, Country Report Mongolia, March 2006. 15 UNDP, ‘Democratic Governance Indicators: Assessing the State of Governance in Mongolia’, p. 69. 16 World Bank, ‘Mongolia: Source of Growth’, Country Economic Memorandum, Poverty Reduction and Economic Management, East Asia and Pacific Region, July 2007. 17 Transfers were estimated at up to 30 percent of GDP. Source: Marshall, Richard et al., February 2008, p. 4.
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 7 Figure 1. GNI per capita (PPP basis) and GDP Growth rate (%)
$4,000 15%
$3,500 10% G
$3,000 growth DP 5% $2,500 0% $2,000
/Per capita (PPP basis) -5% I $1,500 N G $1,000 -10% 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009
Source: IMF and the World Bank
The Human Development Index (HDI) reflects more than a decade have been captured primarily the ups and down of the country’s economic by a select group and that little ‘trickled down’ to conditions. The Mongolian HDI decreased from the bottom third of the population.18 0.652 to 0.635 in the first half of the 1990s. Starting in the mid-1990s, that downward trend In fact, increases in the national Gini coefficient, was reversed, reaching 0.718 by 2006. As a from 0.350 in 1998 to 0.380 in 2006, indicate result the Mongolia HDI ranking was 114 out growing inequity in the distribution of national of 177 countries. Other indicators that make up income. (It had fallen to 0.329 in 2002-2003.) HDI have followed a similar pattern. Mongolia This situation is in part the consequence of: compares favourably with many countries on a The geographical pattern of growth of number of indicators that make up HDI, such as private sector activities given the country’s life expectancy and education levels, and its rela- constraints of poor infrastructure, vast tively low HDI ranking is primarily due to its low distance, low population density and popula- per capita gross domestic product (GDP). tion concentration in a few urban centres; Despite the resumption of GDP growth in 1993, The lack of employment opportunities and low per capita GDP based on purchasing power wages associated with newly created enterprises. parity did not exceed the 1990 level until 1999 (Figure 1). However, by 2006 per capita GDP Studies have shown a direct correlation in the was 60 percent higher than in 1995. Despite this distance from Ulaan Baatar and the poverty rate19 performance, official household surveys between as well as in access to social services. As rural 1995 and 2008 indicated persistent poverty, in migrants move to the city, particularly Ulaan the range of 35 to 36.5 percent. Such persistence Baatar, to try to escape poverty and access services, of poverty suggests that the fruits of growth over they contribute to perpetuating the pattern of
18 There is a methodological debate about the accuracy of this poverty data; the World Bank estimates that poverty has actually declined. The Government of Mongolia will conduct a census in 2010 and a Household Socio-Economic Survey in 2011, which should shed light on this issue. 19 Mongolia National Human Development Report 2007.
8 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES scarce market opportunities in the regions and The financial system: After experiencing poverty in the cities. a rocky period a few years ago, the banking system has reached a certain level of stability. Already an important producer of some minerals, The country has 19 commercial banks,22 a Mongolia is on the verge of experiencing a signif- number that seems high given the low popu- icant boom in mining activities, and thus signifi- lation, particularly the population in cities, cant mining-derived revenues. Past international where banks tend to concentrate. Yet the experience has shown that mining activities level of financial intermediation is low and do not generate many employment opportuni- commercial lending limited, as banks perceive ties and that extractive industry wealth carries it as risky. In addition, the intense competition a number of risks. These include excessive and between banks to attract deposits through poorly allocated government spending, stagnation high deposit rates has led to high interest of the manufacturing sector, economic imbalance rates on loans, adding another constraint to and inflation. In short, extractive industry wealth the development of commercial lending. can seriously constrain the prospects for sustained The cost of doing business: In 2010 growth and prosperity.20 Mongolia was ranked23 No. 60 in terms of the ease of doing business, putting it in These risks were noted in 2008 by the Interna- the bottom of the top third of countries. tional Monetary Fund.21 While praising overall Although on first look this seems satisfactory, macroeconomic performance, it pointed out that in fact this ranking reflects slippage from revenue from the mineral sector rose from an No. 56 in 2009, indicating that other countries average of 2.5 percent of GDP over 2001-2005 were improving the environment for business to 14.7 percent of GDP in 2007. This reflected much faster and gaining a competitive edge. the rise in copper and gold prices and the impact Legal and institutional framework for of the windfall profit tax (introduced in 2006) mining: Although the 1997 Minerals Law on these products. However, this increase in provided a strong framework and was consid- revenues led to an even faster increase in public ered representative of international best expenditures, mostly through transfer payments practice, many regulations clarifying environ- and increases in public wages, thus accelerating mental and social responsibilities of licensees inflationary pressures. As it is, Mongolia was were never drafted or published. Amend- hit sharply by the fall in mineral prices in the ments in the form of a new Minerals Law autumn of 2008. The country’s key challenge in in 2006 introduced the possibility of govern- the coming decade will be to invest its mining ment equity, thus opening up the possibility earnings in ways that will create more balance in of conflicting roles between the regulator the economy, providing employment opportuni- and the operator of the sector and increasing ties and adequate earnings for its population, and uncertainty for investors.24 The sector has in improving the quality of social services. been seen as plagued by abuses, triggering growing discontent in the population. In Other challenges to the country’s sustained economic late April 2010, President Elbegdorj, as growth and human development include: Head of the National Security Council, took
20 In an industrialized economy, the syndrome is referred to as the ‘Dutch Disease’. 21 International Monetary Fund, July 2008. 22 According to the Mongolia Bankers Association,
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 9 the initiative to suspend or revoke new and environment. The country’s recent nomadic past existing licenses in exploration and mining25 and the resurgence of Buddhist philosophy have until passage of a new law on mineral licenses. kept alive this culture. However, after several decades under a system that discounted envi- Human resources and the needs of the ronmental considerations in favour of produc- market: An estimated 20 percent or more tion, environmental consciousness has eroded. of the population aged 24 to 29 is out of In addition, the opportunities introduced by the work, as the skills they previously acquired market system have created incentives for overex- do not match the demands of the changing ploitation of natural resources. job market. It increasingly requires such skills as foreign languages, information technology Following the dismantling of cooperatives in and business management. 1991 and privatization of livestock herds, a significant number of families have resorted to 2.2.3 Environment herding who lack direct experience and have little inclination to follow cooperative forms of pasture The land in Mongolia is relatively unproduc- management. This has weakened sustainable tive and ecologically quite fragile. The topsoil is grazing patterns. Rather than moving their herds thin, with an average depth of 20 cm, rendering over a large territory, many herders have moved it vulnerable to wind and water erosion. The their operations close to rural aimag centres so climate is dry and harsh, and the growing season is they can access education and health services short. Precipitation amounts are low and uneven, and be close to markets. The poor maintenance ranging from 50 mm to 400 mm, and the evapo- of wells following the collapse of the coopera- ration rate is high — up to 90 percent of precipi- tives has reduced the number of water points and 26 tation is estimated to be lost. As a result, close increased the concentration of people around to 90 percent of the territory is considered prone those remaining. The increase in the number to desertification.27 In addition, according to 60 of goats kept by individual herders following years of meteorological records, the mean annual the success of cashmere production has further temperature has risen by 2.14 degrees Celsius contributed to land degradation, as goats’ grazing because of global warming,28 and precipitation habits are more destructive than those of other has fallen by 7 percent, accelerating the decline forms of livestock, such as sheep. of water resources.29 The frequency of natural disasters such as the dzud has also been increasing,30 An increase in the number of herders and the making livelihoods even more vulnerable. size and concentration of their herds31 along with shifts in herd composition have resulted in It is generally recognized that nomadic people, overgrazing on an estimated 75 percent of total with livelihoods dependent on what nature pasture lands.32 Some are so severely overgrazed provides, tend to be more respectful of the as to be at risk of desertification. Many analysts
25 As reported in
1 0 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES have estimated the number of livestock that may is yet known about the ecological relationship be environmentally supportable. But few of these between species and vegetation, it is reasonable estimates have been rigorously researched, as the to expect that the intensive harvesting of target concept of environmental carrying capacity is very species will have unintended large-scale effects complex. Some areas are clearly reaching limits, on non-target species and the environment itself. though much of the problem might be more connected with how land has been managed and Urban centres are growing due to accelerating used rather than with its overall carrying capacity. rural-urban migration. Their dependence on coal This intensified land degradation increases for heating, whether from a central power plant or vulnerability to natural disasters such as the dzud. from individual stoves in ger38 districts, is causing The severe dzud of the 2009-2010 winter, when increases in particle pollution and generation of 8 million head of cattle may have been lost, may greenhouse gases. Electricity generation is largely have driven the point home. dependent on coal-burning power plants, further adding to the pollution. Added to these endogenous threats is an exogenous threat, in the form of mining and industrial oper- ations, both formal and informal. As mentioned 2.2.4 Gender Issues previously, even formal operations get approved The Gender-related Development Index (GDI) at the central level without consultation or regard for Mongolia for 2007 is calculated at 0.727, and for local land use plans, rights of local herders Mongolia is ranked 92nd out of 150 countries39 or the investments they may have made. This is reporting relevant data (see Table 1). GDI aggravated by mining by an estimated 100,000 measures achievement similarly to HDI, but also artisanal miners,33 or ‘ninjas’, operating wildcat takes note of inequality in achievement between mines without regulation or control,34 resulting women and men: GDI falls when the achieve- in damage to the landscape and water sources. In ment levels of both women and men in a country the past few years these threats have led to the go down or when the disparity between their emergence of many local environmental organi- achievements increases. zations that focus on mining-related pollution. Comparing Mongolia with countries having The loss of biodiversity is also increasing.35 The similar GDI ranking reveals that: number of wild animals has declined severely due to hunting, notably to feed the international fur Women in Mongolia have a much higher life trade and the Chinese medicinal trade. Forested expectancy than men, although average life areas are estimated to have declined from 12 expectancy for the population as a whole is percent of the territory before 1990 to barely 8 lower than that of comparison countries; percent in 2008.36 Many species of flora and fauna face a serious reduction of habitat and possible Relative to men, women are significantly depletion37 or extinction. Although not enough better off than in comparison countries.
33 Canada Foundation, 2005. 34 The parliament passed a law in July 2010 legalizing artisanal mining in Mongolia. It is hoped this will deter illegal use of chemicals and uncontrolled land mining. 35 World Bank, July 2006. 36 Report on the coverage of forested areas in Mongolia, presented by the Institute of Geo-Ecology of Mongolia at the International Regional Workshop for Experience Sharing in Combating Desertification, Ulaan Baatar, May 2008. 37 According to ‘Wildlife in Mongolia 2009’, 29 percent of rare animals and 21 percent of rare plants are in danger of extinction. 38 A ger is a round felt tent traditionally used by nomadic people. As formerly nomadic people migrate to urban areas, they are forming ger districts. 39 UNDP, ‘Human Development Report 2009’.
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 1 1 Table 1. Gender-related Development Index (GDI)
Country GDI HDI GDI GDI/ Life expectancy Adult literacy Gross enrolment Estimated earned rank rank value HDI at birth in education income (PPP) value ratio Female F/M Female F/M Female F/M Female F/M Male ratio Male ratio Male ratio Male ratio
El Salvador 89 106 0.740 0.990 75.9 1.143 79.7% 0.939 72.8% 1.020 $3,675 0.458 66.4 84.9% 73.3% $8,016
Fiji 90 108 0.732 0.732 71.0 1.068 73.2% 1.046 $2,349 0.379 66.5 70.0% $6,200
Bolivia 91 113 0.728 0.998 67.5 1.066 86.0% 0.896 83.6% 0.932 $3,198 0.612 63.3 96.0% 89.7% $5,227
Mongolia 92 115 0.727 1.000 69.6 1.105 97.7% 1.009 84.9% 1.152 $3,019 0.874 63.0 96.8% 73.7% $3,454
Indonesia 93 111 0.726 0.990 72.5 1.058 88.8% 0.933 66.8% 0.961 $2,263 0.438 68.5 95.2% 69.5% $5,163
Viet Nam 94 116 0.727 0.997 76.1 1.053 86.9% 0.925 60.7% 0.950 $2,131 0.694 72.3 93.9% 63.9% $3,069
Honduras 95 112 0.721 0.984 74.4 1.069 83.5% 0.998 78.3% 1.098 $1,951 0.344 69.6 83.7% 71.3% $5,668
Source: Human Development Report 2009
This comparison suggests that the country’s low members.40 Similar relations existed in the upper GDI ranking is not due so much to male-female ranks of Mongol society: historic documents41 disparities as to a number of conditions that provide numerous examples of significant roles contribute to overall low life expectancy. played by Mongol Khatans (queens)42 in state affairs until the 17th century.43 This quasi-parity between men and women as indicated by the ratio of GDI/HDI is the result In the 17th century, the Manchurian dynasty of relations rooted in a nomadic lifestyle that introduced administrative boundaries through evolved over centuries. Family survival in the which nomads could roam, thus altering the harsh climate and the isolation in the steppes and conditions of nomadic life while also importing deserts required each member of the household their own cultural views on gender relations.44 not only to contribute actively but also to be Under the socialist regime instituted in 1921, capable of acting autonomously in case of the while nomadic livestock husbandry remained absence of other family members. This led to a the main economic activity, new regulations level of balance and equality among household further limited roaming to smaller administrative
40 Although there already existed formal laws, introduced by Chinggis Khaan, relations between men and women were not regulated by formal laws. 41 See, for example, Onon 1990. 42 To name a few: Sorkhogtun Bekhi Khatan, wife of Chinggis Khaan’s youngest son Tolui, who conducted state affairs for years, from after her husband’s death until the next Khaan was endorsed by the Ikh Khuraldai (Great Assembly); Naimaljin Khatan, wife of Uguudei Khaan; and Khukhchin Khatan, wife of Khubilai Khaan. 43 Including Mongol queens, such as Mankhukhai Tsetsen Khatan or Anu Khatan, who led troops into battle. See Onon, 1990. 44 Sayings such as ‘Female hairs are long, but minds – short’ apparently date from that time.
1 2 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES territorial units, aimags. Expansion of industrial positions (Table 2). Many formal structures had cities such as Ulaan Baatar, Erdenet and Darkhan little decision-making power and served a more was accompanied by the creation of formal insti- symbolic function. An example is the biannual tutions that aimed at regulating socio-economic Ardyn Ikh Khural (People’s Assembly), which relations, including between men and women: had 200 representatives, of which 24.9 percent the Mongolian People’s Republic incorporated were women.46 The effective decision-making the equal rights of men and women into its first structure, the Politburo, remained overwhelm- Constitution (1924) and introduced voting rights ingly male dominated.47 for women. It institutionalized women’s affairs by setting up the Division for Women in 1924, the The legacy of this pattern of exclusion of women journal Women’s Inspiration in 192545 and social from decision-making positions in the socialist security structures such as state-funded child system perpetuated itself under the new political care, maternity leave and equal remuneration for system: only 2.1 percent of the 430 elected men and women. members of the 1990 Constitutional Assembly were women. The situation has hardly improved Despite legislative and institutional reforms since then in the SGK and other representative leading towards greater gender equality and bodies. As data show, despite their educational strong progress in educational achievements, achievements, Mongolian women have yet to few women reached significant decision-making access the top levels of public administration and
Table 2. Gender Empowerment Measure (GEM)
Country GEM HDI GEM Ratio of female in Ratio of Year women received rank rank value estimated income: Right to vote Right to stand female to for elections seats male official position position position and senior Ministerial Legislative & technical & technical Professional Professional Parliamentary
Cambodia 91 137 0.427 16% 14% 41% 7% 68% 1955 1955
Zambia 92 164 0.426 15% 19% 31% 13% 56% 1962 1962
Armenia 93 84 0.412 8% 24% 65% 6% 57% 1918 1918
Mongolia 94 115 0.410 4% 48% 54% 20% 87% 1924 1924
Georgia 95 89 0.408 6% 34% 62% 18% 38% 1918, 1921 1918, 1922
Indonesia 96 111 0.408 12% 14% 48% 11% 44% 1945, 2003 1945
Madagascar 97 145 0.398 9% 22% 43% 13% 71% 1959 1959
Source: Human Development Report 2009
45 Munkhuu, presentation at the learning event ‘Women initiating new values and approaches in politics’, jointly organized by the United Nations and the NGO Female Leadership, 2010. 46 Figure from the late 1980s from ‘Statistical Yearbook’, National Statistical Office, Ministry of Education, Science and Culture, 2009. 47 The sole female member of the Politburo throughout its history was Yanjmaa, spouse of Sukhbaatar, leader of the People’s Revolution in 1921.
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 1 3 business management. To put this low level of these systems are poorly adapted to serve the needs representation in perspective, it is worth noting of trade realigned through market forces. that recent social studies suggest that 30 percent representation of women is the threshold for inte- The geographical isolation of the country has gration of women’s points of view.48 This pattern been recognized as a key issue for its long-term of exclusion of women from power is reflected development prospects in United Nations assess- in a Gender Empowerment Measure of 0.410, ments and other documents. ranking Mongolia 94th of 109 countries. 2.3t Na ional Development 2.2.5 Transport Strategies At the regional level, the country’s landlocked Between 1996 and 2008, the successive govern- status is a key issue. To export its goods, the ments of Mongolia drafted and published six country is completely dependent on just two much national development programmes or strategies larger neighbouring economies. The only Chinese (table 3). During the same period, 304 policy seaport currently available for Mongolian transit documents were drafted and issued.50 This report traffic is Tianjin, a well-equipped and well-run focuses on the documents relevant to the period port located over 1,100 kilometres from Ulaan 2001 to 2010. Baatar. On the Russian Federation side, six ports are accessible; the closest is Vladivostok, almost 1,800 kilometres away. Russian transit also allows 2.3.1 Good Governance for Human Security the use of St. Petersburg (on the Baltic Sea) and Novorossisk (on the Black Sea), at the cost of The 2001 Good Governance for Human Security much longer shipping distances. Consequently, (GGHS) programme posited that the economic, Mongolian exporters have to choose between a social, ecological, political and cultural challenges single port not that close to the capital and several facing the nation could only be solved through other ports much farther away. societal ownership of policies conducive to extensive collaboration between the Government, the private This isolation is compounded by other factors, sector and civil society. Such societal ownership including the poor quality of the country’s would promote greater effectiveness and conti- transport infrastructure. Mongolia has barely 1.2 nuity of policy and sustainability by “creat[ing] a rail-kilometres for every 1,000 square kilometres, good governance enabling environment for human a ratio barely one-twelfth of the level of low- to security.”51 Accordingly, central and local public middle-income countries.49 For 2002, a similar administration authorities as well as other govern- calculation indicated barely 2.2 road-kilometres ment organizations, NGOs, mass media and for every 1,000 square kilometres; the density of academic institutions were described52 as having paved roads is barely 1 per 1,000 square kilometres. participated in formulation of the policy document. A number of former Soviet countries have much denser transportation networks, but having been The policy was articulated around 11 priorities/ designed to serve the needs of the Soviet Union, objectives:
48 Mentioned in Closing the Leadership Gap: Why Women Can and Must Help Run the World, Mary C. Wilson, Director of the White House Project on Women, Penguin Publishing, 2004. 49 From data in Grigoriou 2007. 50 These figures are included in the introduction of a working draft of the MDG-based Comprehensive National Develop- ment Strategy from 2007. 51 Introduction to ‘Good Governance for Human Security: Policy Document’, Government of Mongolia, January 2001. 52 Preface to ‘Good Governance for Human Security: Policy Document’, 2001, by Prime Minister Enkhbayar.
1 4 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES Table 3. National development strategies
Year Elections National development strategy UN system UNDP programme
1996 Development Concept for Mongolia
1997 CCF I 1997-2001
1998 Programme for Sustainable Development of Mongolia for the 21st Century
1999
2000 Parliament
2001 President Good Governance for Human Security CCA 2001
2002 UNDAF 2002-2006 CCF II 2002-2006
2003 Economic Growth Support and Poverty Reduction Strategy
2004 Parliament
2005
2005 President National Development Programme of Mongolia CCA 2005 and MDG 9 approval
2006 CPD
2007 UNDAF 2007-2011 CPAP 2007-2011
2008 Parliament MDG-based Comprehensive National Development Strategy 2008-2021 and Action Plan 2008-2021
2009 President
1. To facilitate stabilization of the macro-economy, 6. To reduce poverty and unemployment, and to deepen the reform and intensify restructuring; improve the livelihood of the people; 2. To rehabilitate the banking and financial system; 7. To implement environmental policy aimed 3. To facilitate economic growth by reha- at providing sustainable development and bilitating national industry and supporting ecological balance by harmonizing protection export-oriented industry; of biodiversity with regional socio-economic development; 4. To support regional and rural development and promote infrastructure development; 8. To intensify land reform; 5. To create an equitable social environment for 9. To improve the living environment of the human development, to improve the quality citizenry by reducing air, water and soil of education, health assistance and access to pollution in urban areas, and by recycling services at all levels; garbage and waste;
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 1 5 10. To remove the governance crisis and create Several aspects deserve to be noted: good governance for human security; The United Nations system was given a key 11. To develop a democratic civil society with role in management of the programme, as well strong ethics that secures citizens’ basic rights as the clear leadership of the Donor Coor- and fundamental democratic principles by dination Committee. This indicated strong facilitating the independence of the judiciary agreement on the way forward and close and a free mass media. collaboration between the United Nations system and the Government of Mongolia in The document describes the management structure, trying to integrate national and international which comprises four working groups, each of which resources for common objectives; is responsible for one programme component: UNDP and the Swedish International 1. Economic transition; Development Cooperation Agency (through 2. Equity and social policy; the Poverty Reduction and Employment Facilitation project) directly supported two 3. Environment and sustainable development; of the stated functions of the programme: 4. Sound governance. (a) “to commission informational, analyt- ical, research, seminars, and other think While the composition of each working group is tank activities to provide international and clear on representation from different ministries internal background on national and opera- and government agencies, non-governmental tional priorities and strategic and operational representation was only described as “relevant objectives, as well as on options and recom- actors and stakeholders”. This non-specific mendations for their achievement” and (b) description contrasts with the detailed govern- “to formulate policy proposals and action mental representation, putting in question the plans for their approval, operationalization, extent of actual non-governmental participation. dissemination and implementation.” Nor does the description of programme manage- ment specify how “to create real channels for The Programme Advisory Committee’s role, “to citizen voice and participation at the local, inter- assist the Prime Minister in the policy planning mediate, and national levels in order to increase and evaluation processes of the programme, to responsiveness to citizen demands and expecta- ensure the application of a consultative, partici- tions, as well as incorporate citizen’s assessments patory approach, and to resolve inter-component and recommendations.”53 issues that do not require Prime Ministerial attention”, seems to have been transferred in 2009 The programme was to be chaired by the Prime to the newly created National Development and Minister assisted by a Programme Advisory Innovation Committee. Committee chaired by the Minister of Foreign Affairs. The Programme Management Unit The GGHS should be seen less as a programme (PMU) was composed of a prime minister’s per se and more as the broad framework for a advisor, a director of the Cabinet Secretariat, a programme that had yet to be fully designed. United Nations national advisor and a United The Economic Growth Support and Poverty Nations system international advisor. In addition Reduction Strategy (EGSPRS) had identical to supporting the prime minister and the objectives (plus an additional objective regarding Programme Advisory Committee, the PMU was the mainstreaming of gender in poverty interven- to support the Donor Coordination Committee. tions) but a much narrower focus. It presented
53 Function 6 of the programme.
1 6 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES itself more as a medium-term action plan. But investment, regional and rural development, the GGHS carried seeds of institutional reforms and ensuring a sustainable environment; that were implemented long after the EGSPRS Creation of conditions for sustainable human had ended. development through improvements in education and health services, employment 2.3.2 Economic Growth Support and creation, social welfare and gender equality. Poverty Reduction Strategy The EGSPRS did not place itself above existing The EGSPRS was a more elaborate document than the GGHS and was organized around a more policy documents and action plans but rather economic and financial approach. It provided a aligned itself to them, including international clear analysis of the changes that had occurred agreements. Maybe because it presents itself less in the previous years and of the situation at the as a policy document and more as an action plan time. The EGSPRS focused strictly on the roles regarding allocation of resources, responsibility and duties of the Government and the public for coordination of the EGSPRS was assigned to administration in implementing the strategy. It the Ministry of Finance and Economy (MoFE)54 did so by underscoring that growth was to be led rather than to the Prime Minister’s Office as by the private sector and economic restructuring in the GGHS programme. Nevertheless the was to be oriented around privatization. It made EGSPRS had been drafted and adopted by the clear that a fundamental condition for success of previous government (in power until 2004) and the strategy rested on achieving and maintaining constituted only a medium-term strategy that set a sound macro-economic framework through out government policies until 2006. specific reforms. While the GGHS programme referred to the need to maintain macroeconomic stability, it was far from specific as to how to 2.3.3 MDG-based Comprehensive ensure that goal. It was ambiguous about how National Development Strategy 2008-2021 growth and economic restructuring were to occur. In 2005, a World Bank report55 made a critical Rather than the four components of the previous assessment of the country’s development strategies. programme, the EGPRS was articulated around This was based on the lack of an agreed long-term three axes sharing a number of principles, such vision with a relevant medium-term strategy to as a pro-poor focus, sustainability and increased citizen participation: support progress towards the vision and country- specific development targets “with holistic, Promotion of economic and financial balanced and well-sequenced strategy [as well as] sustainability, including specific actions to the capacity and resources for implementation”.56 be initiated regarding budget and finances; treasury management; balance of payments; The Government initiated a process to remedy monetary policy; economic re-structuring; the lack of such a long-term strategy. With the accounting, auditing and inspection; and civil assistance of UNDP, which had a policy develop- service reforms; ment support project implemented by MoFE, the Improvement of access to markets by Government drafted the Comprehensive National creating a favourable operating environment Development Strategy 2008-2021 (NDS), which for business, legal reforms, development of was based on the MDGs and adopted by the SGK infrastructure, promotion of foreign direct in 2008.
54 Ministry of Finance and Economy from 2001 to 2006; Ministry of Finance prior to 2001 and after 2006. 55 World Bank, ‘Comprehensive Development Framework Progress Report’, 2005. 56 OECD, Survey on Monitoring the Paris Declaration 2006, 2007.
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 1 7 The NDS addresses the following areas: as a goal, the document is not clear about the relationship between the mentioned objectives Human and social development, with sections and the MDGs themselves (Table 4).57 While on unemployment and poverty reduction; this can be expected in a broad document of gender equality; family development and this kind, more specificity could be expected demography; education; health care; culture from an accompanying action plan. However, and art; science and technology; and social the Action Plan 2008-2012, despite referring welfare and labour; specifically to the NDS, does not link clearly Economic growth and development, planned activities to the strategic objectives of including macro-economic policy (budget the NDS. As a result, the guidelines for planning management, taxation, monetary policy, and implementation in the Action Plan remain debt, competitiveness, foreign trade), real ill-defined and ambiguous. economic development (industrial policy, processing industry, small and medium-size As to the institution responsible for the NDS, enterprises, agriculture and food, tourism) the document only states that such an “institu- infrastructure (road and transport, energy, tion will be established within the Government fuel sector, information and communication structure…in addition to elaborating long-term technologies, urban planning), and regional national and regional development plans, devel- and rural development; oping wide-scale programmes and ensuring Environmental policy; inter-sector coordination, this institution will Development of legislative and state struc- be responsible for monitoring, analysing and tures, including legal reform, public adminis- evaluating the implementation of policies, plans tration, civil service, national security, foreign and programmes…[and for] monitoring and policy and defence policy. improving the current policy document, devel- oping a long-term vision for the future and The NDS is articulated around two successive submitting them to the Government for approval phases, the first ending in 2015, with the objective as may be necessary.”58 This institution, referred of achieving the MDGs and an HDI of 0.83; and to also in the GGHS programme, was formally the second ending in 2021, with the objective of opened on 18 February 2009 as the NDIC. achieving the status of a middle-income country.
The NDS is broad, including all sectors under 2.3.4 Challenges in Developing government responsibility, whether or not they and Implementing a Vision have any direct relation to achieving the MDGs. From a development perspective, ownership has That breadth is commendable, as it tries to been defined as a country’s ability to exercise include all aspects of governing and all issues to effective leadership over its development policies be addressed, setting objectives for them. Such a broad strategy, however, carries a downside risk of and strategies. This is a challenging task for many a loss of specificity as to the measures that need countries, especially those that rely heavily on to be implemented and the steps to be taken, as external aid to finance their development efforts. well as unclear priority among all these objectives. In the case of Mongolia, the challenge is exempli- fied by the fact that three distinct development Also, although the name of the policy document strategy documents have been drafted in a span clearly puts forward attainment of the MDGs of just seven years.59 In addition, similar strategies
57 MDGs are mentioned either in a self-referential manner (i.e., in reference to the document itself) or in a very generic manner. 58 Government of Mongolia, 2008a, section 8.2.1. 59 From the Governance for Human Security Programme in 2001 to the MDG-based Comprehensive National Develop- ment Strategy in 2008.
1 8 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES Table 4. Analysis of the MDG-based Comprehensive National Development Strategy 2008-2021 of Mongolia
Section of the Strategy Number of direct references to MDG(s) MDG-based Comprehensive National Development Strategy
Introduction 2 3 1. General Background 2. Current Situation of Mongolia’s Development and its Assessment 1 3. Principles, Vision and Priorities 1 3.1. Principles of Mongolia’s Development 1 3.2. Values of Mongolians 3.3. Vision for Mongolia’s National Development 3.4. Stakeholders, their Duties and Participation 1 1 3.5. Priorities of the MDG-based CNDS 1 1 Subtotal 2 4 4. Human and Social Development 1 4.1. Unemployment and Poverty Reduction 1 1 4.2. Gender Equality 4.3. Family Development and Demography 4.4. Education Development 4.5. Health Care Development 4.6. Culture and Art Development 4.7. Science and Technology Development 4.8. Social Welfare and Labour Subtotal 2 1 5. Economic Growth and Development 1 5.1. Macro-economic Policy 1 5 5.2. Real Economic Sector Development 1 5.3. Infrastructure Development 5.4. Regional and Rural Development 1 Subtotal 4 5 6. Environmental Policy 0 0 7. Legislative and State Structure Development 1 7.1. Legal Reform 7.2. Development of State Structure and Public Administration 1 7.3. Public Administration and Civil Service Reform 7.4. National Security Policy 3 7.5. Foreign Policy 2 7.6. Defence Policy Subtotal 0 7 TOTAL 11 20 Source: Mongolia Comprehensive MDG-based National Development Strategy 2008-2021
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 1 9 Ownership, however, goes beyond defining a Table 5. Paris Declaration Indicators vision for development; it extends to manage- Indicator 2005 2007 ment of resources for the strategy’s implementa- tion. In that regard, as of 2008, Mongolia faced Ownership (operational DC significant challenges due to the following weak- national strategy)a nesses, according to a review:60 Aid reported on budget 2% 37% A lack of fiscal discipline, leading to a Coordinated technical assistance 18% 66% with country programmes tendency towards boom-and-bust cycles, reinforced by an imbalance in legislative and Aid use of public financial manage- 49% 17% 61 ment systems executive responsibilities for fiscal matters;
Aid use of country 26% 29% Generally poor strategic planning, with most procurement systems planning documents having weak links to the Parallel programme implementa- 80 53 capital budget, exacerbated by poor coordina- tion units (PIUs)b tion among ministries; In-year recording of aid 47% 34% No institutionalized process of project disbursements appraisal and inadequate capacity for Aid link to programme-based 29% 6% economic appraisal within ministries; approaches Procurement problems that can lead to Coordinated aid mission 20% 14% with country selection of poorly qualified contractors and excessive delays in starting work, despite a Coordinated country analysis work 35% 32% very short construction season. a. The ownership was rated on a five-point scale with A (highest) to E (lowest) based on the three criteria: existence Mongolia also faced – and in some ways continues of a country-wide development policy; a realistic development policy with clearly identified priorities; and well-costed policies to face – problems in dealing effectively with that can be funded. At the time of these surveys, Mongolia did international assistance (Table 5). The absence not have a monitor-able results-based strategy. b. The figure depends on the number of active projects in the country. of a clear long-term development strategy Source: OECD, Survey of Monitoring the Paris Declaration 2008 before 2008 made it difficult for international partners to allocate their assistance and align it in a way to meet the identified and agreed were drafted in the 1990s as well as a number of national needs. Worsening the problem was the sector plans and strategies. country’s incomplete grasp of the information on the resources made available through this This sequence of strategies, despite their many channel. Although Mongolia has made some common elements, could only have created uncer- progress in this regard, according to the latest tainty among stakeholders about the long-term data available,62 it has been uneven. policy direction. The shift of responsibility for coordinating implementation of the current While the government budgeting system has strategy, from the Prime Minister’s Office to the improved its ability to include aid resources, and Ministry of Finance, added to the uncertainty. technical assistance seems better coordinated
60 ‘Mongolia: Improving Public Investment Planning and Budgeting’, Hasnain, Z, PowerPoint presentation, World Bank, 2010. 61 Parliament can use its discretion in budgeting to insert new projects whether or not they meet national priorities, have or have not been subjected to feasibility studies, or have had their cost estimates professionally checked. As an example, in 2008 Parliament increased the capital budget by 29.1 percent to MNT 571 billion through addition and replacement of projects in the portfolio. 62 OECD 2007 and 2008.
2 0 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES with government programmes, as of 2007 many in a manner comparable to those from other indicators suggested that international assistance countries, the precise figures were not available remained a separate process running parallel to and would not be directly comparable to other the country’s internal systems. published data.
Starting in 2008, prospects for improving this From countries and international organizations situation were raised when the NDIC was given that report to OECD/DAC67 on their assist- responsibility for implementation and monitoring ance, Mongolia received an average of about of the NDS. The NDIC could do much towards $230 million per year in ODA between 2001 and improving coordination among those providing 2008. Commitments averaged $240 million per international assistance, especially if the NDIC year, except in 2008 when the total shot up to can access current, accurate information about $819 million largely due to the compact for $285 ODA flows, which is under the responsibility of million over five years with the US Millennium the Ministry of Finance.63 Challenge Corporation.
Between 2003 and 2008, ODA disbursements 2.4velopment De Cooperation, from five development partners accounted for Civil Society and the nearly 70 percent of the $235 million in average Private Sector annual disbursements from these countries and organizations. Japan led with 25.3 percent, 2.4.1 DeVELOPMENT Cooperation followed by Germany and the Asian Develop- ment Bank at about half that level, followed by Among the countries providing development the World Bank/International Development assistance to Mongolia, in recent years China Association and the United States. is believed to have been providing arguably the most sizable and expanding assistance in various According to the OECD/DAC database for forms (grants, loans, and assistance for specific these years, UNDP contributed just 0.8 percent purposes).64 For example, in 2003 China offered or about $1.4 million per year of its own funds $300 million for infrastructure funding, and in on average. However, UNDP utilized contribu- 2008 it was reported that revisions to the loan tions from other development partners such as terms were agreed and specific projects for its use Japan, the Netherlands, Sweden and the Global were identified. These included railway moderni- Environment Facility (GEF), and its programme zation, road construction, housing and informa- expenditure reached about $4 million per year. tion technology.65 In 2009, it was also reported that Mongolia had asked China for a $3 billion The level of ODA disbursements in Mongolia crisis loan to help shore up troubled banks and from OECD sources alone averages more than develop trade to counter the harmful impact of $80 per person over the period. To put this in global economic turmoil, especially on its mineral perspective, the level of ODA per capita for exports.66 Since development assistance from Mongolia, with an HDI ranking of 115, has China is not officially published or reported been compared to that of 29 countries with an
63 It was explained to the ADR team that if the NDIC needs information regarding ODA flows, a formal letter has to be sent from the Head of the NDIC to the Ministry of Finance. 64 See for example a presentation on Mongolia-China trade and economic cooperation made by J. Shishmishig, Ministry of Foreign Affairs and Trade of Mongolia, at a workshop organized by ADB
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 2 1 HDI ranking between 100 and 130. While its The legal provisions covering non-profit organi- HDI ranking puts Mongolia right in the middle zations are not implemented consistently. The of the sample, the country nevertheless received Constitution guarantees the “right to seek and the fifth highest level of ODA per capita in 2008. receive information from public bodies,” and Although ODA per capita has never been meant article 18 of the Law on Non-profit Organiza- to link directly to HDI level or HDI ranking, tions states: “Information other than about the Mongolia’s high level of ODA per capita relative activity of government relating to state or organi- to its HDI ranking suggests the international zational secret shall be available to a non-profit community’s great interest in the country’s legal entity.”71 But in practice that right is limited specific circumstances over the past decade. by the State Secrecy Law and the absence of a law guaranteeing access to information, which allows state institutions to decide arbitrarily what 2.4.2 Civil Society information can be shared. According to some 72 The Law on Non-profit Organizations, which reports, the Ministry of Finance considers all guarantees the right to association, is considered budget information to be classified. Access to conducive to civic engagement and social account- parliamentary deliberations is also limited, and ability. By 2007, no fewer than 5,300 organiza- citizens are permitted to observe sessions of the tions had been registered. However, while this SGK for no more than 15 minutes. Likewise, the minutes of these sessions are not easily acces- number is impressive for a country with a small sible to the public.73 As a result, Mongolian civil population, it may not reflect the true picture of society groups have limited channels to obtain civil society in Mongolia. Observers report that government information and hence to participate the number of active NGOs at the time was much effectively in policy debates. Only recently has smaller, between 50 and several hundred.68 The the President’s Office introduced certain forms remainder were either ‘paper institutions’ trying of public meetings designed to open debates on to access funding from international agencies or draft budgets. fronts for profit-oriented businesses. Although Mongolia has legalized freedom of The development of civil society in Mongolia has expression, including through the 1998 Law on 69 suffered from the legacy of the socialist system. Freedom of Media, some laws deter publication of Voluntary citizen association was restricted, and possibly sensitive material and lead to self-censor- state-controlled mass organizations — trade ship. Such deterrents include the Criminal Defa- unions and organizations representing youth, mation Law and the media registration system. women and senior citizens — dominated access to state resources. These organizations continue Despite these conditions, a number of organiza- to exist and have maintained their access to state tions have been quite active, notably on human resources.70 Consequently, despite the quantity or rights issues. In addition, local associations quality of services these mass organizations may have been created over the last few years, often provide to their members, their focus is likely in reaction to what Mongolians see as abuse by to be on social service provision rather than on mining companies and worries about their impact presenting independent policy viewpoints. on their land. Many of these groups are linked
68 Beck et al. 2007. 69 Ibid. 70 Ibid. 71 Asia-Pacific Centre for Civil Society Law, available from
2 2 CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES under umbrella associations, giving a strong voice economic growth has been the result of private to environmental issues and a new impetus to economic initiatives. social accountability. A number of issues remain, however, that tend to As for religious institutions, it is said that in the constrain development of private economic activ- early part of the 20th century, the Buddhist estab- ities, and Mongolia could do more to improve the lishment in Mongolia has exerted power and enabling environment for private sector develop- influence comparable to that of the State.74 Seeing ment. One issue is that the laws of Mongolia it as an obstacle to modernization, the socialist provide a basic structure but lack definitions and government that came to power in 1924 severely regulations for consistent application. This allows suppressed Buddhism and its institutions, and excessive discretion in implementation. For the their public role has diminished largely to cultural private sector, it creates conditions that can lead preservation. Very diverse assessments were made to corruption as a means to get things done.76 by Mongolians on the role of traditional Buddhist In addition, the judiciary is generally considered establishment in society. Nevertheless, some not very reliable, and many businesses turn to expressed the view that, despite its traditionalist informal ways to resolve disputes. tendency, the renewed Buddhism of today could play a useful social activist role in areas such as This legal and regulatory environment affects promotion of sustainable development practices, particularly the development of small and given its resurging influence, particularly among medium-size enterprises, which do not have people leading traditional lifestyles. ready access to officials. The large size of the informal sector indicates that many entrepre- neurs remain reluctant to formalize their activi- 2.4.3 Private Sector ties, due to onerous requirements or concerns By 2004, through privatization, the Govern- about attracting undue attention. In addition, ment of Mongolia had largely ended its infrastructure problems in the regions tend to productive activities.75 It had endeavoured encourage concentration of entrepreneurial activ- to transform its ministries from production- ities around Ulaan Baatar. Even there, despite oriented organizations into policymaking and a high concentration of banks, access to capital regulatory bodies. Most basic laws and institu- for small and medium-size enterprises remains tions needed for the market economy to function limited, as most lending tends to be short term had been put in place. Following these reforms, and based on assets.
74 Estimates vary but it is said that from about 20 percent to nearly half of the adult male population were monks, and the income of the Buddhist establishment was similar to that of the State at that time. See for example,
CHAPTER 2. DEVELOPMENT CHALLENGES AND NATIONAL STRATEGIES 2 3
Chapter 3 UNDP’S RESPONSE AND STRATEGIES
3.1 rate St gies of United Nations 3.1.2 cOMMON Country Assessment Agencies, 2001 and 2006 2005: A New Cross-sectoral Approach 3.1.1 cOMMON Country Assessment The context of the 2005 CCA included a number 2001: Human Rights and of development strategy documents drafted Human Development and approved by the Government of Mongolia The global Human Development Report 2000 over the years, including the 1996 Development brought to attention the close connection between Concept Paper, draft Policy Recommendations human rights and human development. At the Document (National Development Strategy for time the United Nations agencies were preparing 2020), EGSPRPS and Medium Term Action the Common Country Assessment (CCA), the Plan 2004-2008, as well as sector development Government of Mongolia was discussing and strategies and master plans. Guiding the prepa- preparing its GGHS programme. The CCA 2001 ration of the 2005 CCA was the parliamentary was thus fully consistent with both international resolution of April 2005, which endorsed the and national approaches in putting human rights country-specific MDG targets for 2015, including and human development as its overarching theme. the goal (MDG 9) formulated by Mongolia on human rights and democratic governance. The document opens with a chapter providing a detailed analysis of achievements on governance The 2005 CCA recognized six features of human and remaining challenges regarding human rights, development in Mongolia over the past few years: the judicial system, transparency, accountability, (i) significant demographic shifts among the population; (ii) consolidation of the economy; participation and responsiveness, ending with (iii) continued efforts to strengthen the insti- decentralization and local governance. This is tutions of democratic governance; (iv) marked followed by chapters analysing economic growth reductions in child and maternal mortalities; (v) with equity; social policy; and environment and increasing attention to human rights; and (vi) sustainable development. In addition, the CCA transformation of traditional practices, ideas and provides an assessment of the low energy effi- the Mongolian way of life. ciency of buildings and power production as well as the weak capacity for natural disaster manage- Against this background, the 2005 CCA identi- ment, which had been made evident by the dzud fied four core development challenges needing of 1999 to 2001. particular attention. The CCA is notable for breaking with the standard approach of aligning While good governance, and specifically human all challenges to be addressed along United rights and human development, was to be the Nations business lines. Instead, it attempted to theme of the CCA, that theme was not carried focus on core development challenges holistically throughout the document. In fact, the chapters through a cross-sectoral approach. Thus, the first on economic growth, social policy and envi- two challenges identified were: ronment are dealt with in a traditional sector- oriented manner without cross-reference to the Reduction of vulnerabilities: Despite econo- overarching theme. mic growth, around 36 percent of the population
CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES 2 5 was living in poverty. Problems unknown This would take place through greater partici- prior to the transition were emerging, such pation of people and CSOs in political as child labour, children living on the street, processes; more empowerment of communi- alcoholism, domestic violence, sexually trans- ties and local government through devolution mitted infections, homelessness, trafficking of authority, funds and personnel; and through of women and children, and an alarming revamping the civil service to promote more increase in suicide. transparency and accountability.
Reduction of disparities: The transi- This again took the traditional sectoral approach. tion appeared to have increased disparities Democratic governance could have been consid- between sectors of Mongolian society as ered a fundamental cross-cutting issue: the defi- well as disparities in income and access to ciencies in participatory governance, rule of law, social services, infrastructure and informa- access to justice and efficient civil service all tion, which were worsened by the weak local affect the economic, social and environmental governance capacity. well-being of citizens, especially at local levels. This in turn affects disparities, vulnerabilities However, this cross-sectoral identification of and sustainability, as demonstrated in the three core challenges was not consistently followed preceding core challenges. through. Another core challenge could have been identified as ‘securing sustainability’, addressing The strategic areas of cooperation between not only standard environment and sustainable United Nations agencies and the Government of livelihood issues, but also how to reconcile the Mongolia were identified as: traditional livelihood with economic moderniza- tion, how democratic governance could support Addressing issues arising from the country’s sustainability and so on. The CCA, however, landlocked status, in particular those related reverted to a more traditional approach along to transportation; standard business lines by identifying the third challenge as: Adopting a rights-based approach to development; Natural resources and environmental Promoting opportunities for public management: Although Mongolians have participation; traditionally showed a deep reverence for nature, over the years neglect of both rural Promoting capacity development in govern- and urban environments has led to serious ment, the private corporate sector and among problems of land and pasture degradation, non-governmental organizations; desertification, deforestation, biodiversity loss, degradation of water quality and air Speeding up the process of decentralization pollution — issues that affect the quality of and regionalized development reforms; life and, in many cases, livelihoods. Setting up a nodal policy and planning agency to better steer, coordinate and monitor The fourth challenge was then identified as: national development; Consolidation of progress in democratic Ensuring better aid coordination and more governance: Despite significant progress effective aid alignment to attain the country- in transitioning to democracy, the country’s specific MDGs. democratic governance needed to be reinforced through strengthening the rule of law. This While the identified challenges and the proposed was needed to instil more confidence in the areas of cooperation stand well on their own, citizenry and the private sector, encouraging the linkages between them are not very clear them to invest in the country’s development. except on democratic governance. It would be
2 6 CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES difficult, except in a generic way, to assess how Outcome 3: A holistic approach to environ- these strategic areas of cooperation would address mentally sustainable development promoted vulnerabilities, disparities and sustainability and practised to improve the well-being of within the framework of a five-year programme. the rural and urban poor.
The attempt by the 2005 CCA to take a holistic Outcome 4: Global, regional and South- approach focusing on core challenges is laudable South cooperation strengthened to address even if it did not fully succeed. If this approach cross-border social, economic and environ- were followed in programming, the efforts of the mental concerns. United Nations system would have addressed key development challenges through an appropriate The UNDAF thus realigned the development set of actions, regardless of agency or business line. challenges identified in the CCA into outcomes To date, the United Nations system and UNDP according to the standard business lines, thus still appear to operate in a sectoral way, in which limiting a possible integration of activities across the logic of ‘supply side’ outweighs the desire to business lines to better address the challenges. As combine forces to address common challenges. an example, reducing vulnerability in Mongolia goes beyond addressing the needs of the generally accepted vulnerable groups, consisting of the 3.1.3 United Nations Development Assistance Framework 2007-2011 poor, those in remote rural and poor suburban communities, minorities, women, youth, unregis- The UNDAF 2007-2011 identified four tered migrants, the disabled and the aged. Those aspects of the development process requiring groups may be particularly vulnerable, but in immediate action: Mongolia vulnerability extends much further. Reducing vulnerabilities and disparities; The geophysical conditions in the country and the harshness of the climate mean that even Improving responsible and democratic well-off families can fall into the ranks of the governance; destitute, and the vagaries of the developing Improving natural resource and environment market economy in a landlocked nation coupled management; with environmental degradation can increase the Addressing the issue of being land- vulnerability of all. Perhaps more than anywhere locked and global, regional and South- else, addressing any challenge in Mongolia may South cooperation. require combining cross-sectoral approaches.
In doing so, the UNDAF reflected all the challenges identified as priorities in the CCA, including the 3.2.rate St gies of UNDP inter-sectoral ones, and it added a fifth one related Programmes, 2001-2010 to the country’s geophysical situation. 3.2.1 cOUNTRy Cooperation The UNDAF defined four outcome areas that Framework, 2002-2006 followed the standard business lines in a perfect alignment with the above four objectives: The commonality of themes between the 2001 CCA and the GGHS programme being imple- Outcome 1: Pro-poor, good quality socio- mented by the Government suggests strong economic services available to vulnerable cooperation, at least at the level of programme population in disadvantaged regions and areas. design, between United Nations agencies and Outcome 2: Democratic processes strength- the Mongolian authorities. The Second Country ened through institution building, civil society Cooperation Framework (CCF II) reflects this empowerment and enhanced accountability level of cooperation as it aligns closely in support and transparency. of the government programme.
CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES 2 7 Regarding democratic governance, CCF II areas, and in rural areas through testing and repli- proposed to: cating innovative approaches for microfinance and for developing and/or transferring skills Promote broad participation in policy dialogue within the private sector to generate employ- to reach a consensus on policy priorities within ment. To stimulate job creation, assistance to the the framework of the GGHS programme, private sector was to include initiatives encour- with increased people’s empowerment; aging economic revitalization in rural areas. This Assist in increasing accountability, trans- was to take place through development of models parency and responsiveness on the part of focusing on livestock as the basis of the rural governing institutions; economy and assistance in improving business management, corporate governance, foreign Mainstream the concepts of human security investment, technology transfer and marketing and development into the national develop- know-how. Other areas were support to ICT ment dialogue, notably through production policy formulation, development of public and of high-quality national human development private partnerships, and implementation of pilot reports based on national debate. projects in cross-border electronic services. CCF II also planned to support legal reform and Regarding sustainable natural resource manage- institutional development toward the: ment, the main objectives were to build national Effective implementation of national policies and local capacities to attain a balance between that promote human rights, transparency and environmental protection and development and accountability as necessary prerequisites to to reduce vulnerability to natural disasters. The equitable development; programme included three components:
Fight against corruption; Strengthening sustainable resource manage- Strengthening of the capacities of key ment, with the goal of ensuring integration of democratic institutions (SGK, local khurals, environmental considerations into planning judiciary, etc.) to improve the effectiveness and development processes at national, of their legislative, oversight and representa- regional and local levels through multi- tional functions. sectoral approaches. The expected results were to be (a) improved management of the Finally, CCF II also planned to assist in devel- Mongolian ecosystem through implementa- oping the government’s capacities to manage tion of a model of sustainable management external assistance through joint UNDP- involving cooperation between local and Government programmes and actions focused on central governments, the private sector and aid coordination. local communities, and (b) increased funding for environmental conservation activities Regarding economic transition and poverty through expansion of the Mongolian Envi- reduction, the main objective was to improve ronmental Trust Fund; the prospects for poverty reduction and equitable Improving pollution control and energy effi- development by strengthening government ciency through support to initiatives such capacities to analyse the root causes of poverty; as introduction of appropriate technology set economic, fiscal, social and gender policies; and commercialization of renewable energy and implement effective policies based on consul- systems that use energy resources more effi- tations under the GGHS programme. ciently and reduce pollution; Activities more directly targeting the poor Strengthening the disaster management included elaboration of national policies and system for managing large-scale natural strategies on microfinance. This was based on the disasters such as dzuds, decreasing their threat success of the MicroStart programme in urban and allowing for faster recovery.
2 8 CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES Cross-cutting interventions included: yy Capacity of government and disad- vantaged groups enhanced to mitigate Advocacy activities to improve understanding economic and social vulnerabilities; of and support for UNDP activities among y the general public, stakeholders, national and y Availability and utilization of statistical international partners and bilateral donors; data for planning and decision-making to improve pro-poor policies, programmes Strengthening of partnerships between and strategies. the Government of Mongolia and United Nations agencies and other development Regarding ‘UNDAF Outcome 2: Democratic partners to ensure that programmes and processes strengthened through institution projects are in line with government priori- building, civil society empowerment and ties as spelled out in the GGHS programme; enhanced accountability and transparency’, one programme component, ‘Strengthening Assistance to help Mongolia integrate into democracy, accountability and transparency’, regional and global economies, strengthen had the following two outcomes: its negotiating power and access knowledge networks in order to develop effective polices yy Capacity for democratic and participa- and institutions. tory governance enhanced for national and local governing institutions;
3.2.2 Country Programme Document yy Capacity enhanced for the protection of and Country Programme Action human rights and access to justice. Plan, 2007-2011 Regarding ‘UNDAF Outcome 3: A holistic UNDP’s Country Programme Document (CPD) approach to environmentally sustainable and Country Programme Action Plan (CPAP) development promoted and practised for were organized to reflect the first three UNDAF improving the well-being of rural and urban outcomes. The activities related to the fourth poor’, there were two distinct programmes outcome, ‘Global, regional and South-South components: cooperation strengthened’, are integrated into activities related to the other outcomes. While a yy Energy and environmental sustainability, departure from UNDAF, this presentation makes with the expected programme outcome: sense as global South-South cooperation should ‘Environmental governance improved not be an outcome in itself but an approach for effective management of natural conducive to reaching broader outcomes. It is to resources and better access to priority be noted, though, that this South-South aspect is environmental services’; only made explicit in relation to development of yy Crisis prevention and recovery, with pro-poor polices, and that the regional dimension the expected outcome: ‘Risk and conse- is only mentioned with regard to trans-boundary quences of natural resources minimized’. issues addressing protection of biodiversity. Table 6 presents an overall view of the portfolio The expected programme outcomes included: of projects supported by UNDP and imple- mented under CCF II and CPD-CPAP. Between Regarding ‘UNDAF Outcome 1: Pro-poor, the two programming cycles, the expected funds good-quality socio-economic services available to the country office decreased by 14.1 available to vulnerable population in disad- percent overall (Figure 2). Each practice area was vantaged regions and areas’, one programme affected differently by the changes in funding, component was set up as ‘Achieving the so the composition of the portfolio has shifted MDGs and reducing poverty’, with the somewhat. As will be seen later, some shift in following programme outcomes: focus also occurred in some practice areas.
CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES 2 9 Table 6. UNDP Mongolia: Portfolio by practice area for CCFII and the CPD-CPAP
Area Cycle Project Name From To Resources Capacity Development for the National Human Rights Commission of Mongolia 2001 2006 $987,125 Support to the Good Governance for Human Security Programme 2001 2004 $500,000 Parliament Strengthening for Democratic Governance 2002 2006 $750,000 Human Rights Strengthening in Mongolia – Phase II 2003 2006 $380,000 Anti-Corruption (National Integrity System Enhancement) in Mongolia 2004 2008 $290,684
II Facilitating CEDAW Implementation for Women’s Human Rights in Mongolia 2004 2007 $180,000 F
CC Follow-up to the Fifth International Conference of New and Restored Democracies 2004 2006 $630,000 Electoral Reforms for Mongolia 2004 2006 $180,000 Institutional Capacity Development for the Office of the President of Mongolia 2005 2007 $380,000 Policy Support to Participatory Approaches for Assessment and Monitoring 2005 2006 $125,000 Ethics and Integrity for Good Governance in Health Sector 2006 2007 $290,000
overnance & Human Rights Subtotal $4,692,809 G Support in Achieving MDGs on Human Rights and Democratic Governance – Phase II 2007 2011 $300,000 Local Governance Support Programme 2007 2010 $1,250,000 Access to Justice and Human Rights 2007 2011 $500,000 Democratic
PAP Support to Electoral Process 2007 2009 $200,000 C Capacity for Gender Mainstreaming-UNDP Mongolia 2007 2009 $42,500 PD- C Support to Integrity and Transparency Efforts in Mongolia 2008 2011 $750,000 National Integrated Database for Civil Registration 2009 2010 $100,000 Subtotal $3,142,500 Poverty Research and Employment Facilitation (PREF I) 2001 2008 $2,269,461 Urban Poverty Pilot Project 2003 2007 $317,799 Pilot Project to Support the Poverty and MDG Monitoring and Assessment System (PMMS) 2005 2010 $1,975,300 II F UN Joint Programme on Development Cooperation Effectiveness 2005 2010 $362,418 CC Enterprise Mongolia: SME Support Programme 2005 2010 $1,118,734 Trade and Human Development 2006 2010 $555,117 Subtotal $6,598,829 Poverty Research and Employment Facilitation (PREF II) 2008 2011 $3,168,360 Poverty Reduction Human Development & PAP Enterprise Mongolia II 2008 2012 $1,207,775 C Capacity Development for the Micro-insurance Market 2009 2012 $1,552,468 PD- C Subtotal $5,928,603 Energy Efficient Housing 2002 2007 $1,464,936 Sustainable Management of Mongolian Grasslands 2002 2007 $3,031,762 Strengthening the Disaster Mitigation and Management System in Mongolia – Phase II 2002 2007 $900,000 II F Conservation of the Great Gobi Ecosystem and its Endangered Species 2003 2007 $1,000,000 CC Community-based Conservation of Biological Diversity in the Mountains of 2004 2011 $4,834,460 Altai-Sayan Eco-region Subtotal $11,231,158 Sustainable Land Management for Combating Desertification in Mongolia 2008 2012 $4,150,000 Management Strengthening the Disaster Mitigation and Management System in Mongolia – Phase III 2008 2011 $1,300,050 PAP
C Building Energy Efficiency 2009 2012 $3,815,000 Sustainable Natural Resources PD- Strengthening Environmental Governance in Mongolia 2007 2011 $1,012,290 C Subtotal $10,277,340 TOTAL CCFII 2002 2006 $22,522,796 CPD-CPAP 2007 2011 $19,348,443 Source: UNDP Mongolia website
3 0 CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES Figure 2. Expected funding under CCFII and partly due to expectations of decreasing resources. CPD-CPAP (US$ million) The CPD continued support for some of the priorities not resolved by CCF II, suggesting 25 a desire to build on the progress achieved and deepen the reforms and capacity development, 20 4.7 albeit with adjustments to respond to recommen- 3.1 dations from programme reviews, such as the one 15 6.6 on democratic governance. 5.9
US$ million 10 In the process of converting the CPD into its CPAP, the expected outputs were adjusted 11.2 5 10.3 (Table 7). A review of the changes suggests that the new programme was not as settled as it may 0 have appeared at first. The activities to be imple- CCF II CPD-CPAP mented may have been the subject of discus- n Sustainable Natural Resources Management sions within the country office. The elimination n Human Development and Poverty Reduction of some activities from the CPAP is regrettable, n Democratic Governance and Human Rights as in the case of the planned support to women’s representation in the SGK or the mainstreaming Source: UNDP Mongolia of human rights education. This trimming of the planned portfolio may have resulted from the need to tighten the focus of activities or the likely In their broad lines, both CCF II and CPD-CPAP availability of resources to support these activities. appear as a continuum. The fact that the CPD proposed to engage in fewer areas implies the The differences in views within the country office desire for a more focused programme, perhaps may have been particularly acute regarding an
Table 7. Changes between CPD and CPAP
Programme outcome Dropped from the CPD Added by the CPAP
3. Capacity for democratic 3.4 Mainstreaming of performance assessment of 3.2. Representative and participatory governance public agencies and oversight role enhanced for national and local of the Parliament governing institutions 3.6 Women’s representation in Parliament and local and local khurals khurals increased enhanced
4. Capacity enhanced for the 4.4. Human rights education mainstreamed protection and promotion of human rights and access to justice
5. Environmental governance 5.3. Improved water quality monitoring, water treatment improved for effective manage- and adequate sanitation services promoted through policy ment of natural resources and better access to priority environ- 5.4. Effective reforestation attained through improved mental services methods and management
5.7. National capacity for interventions towards clean development mechanisms and for access financing through Kyoto protocol strengthened
Source: UNDP Mongolia, CPD and CPAP
CHAPTER 3. UNDP’S RESPONSE AND STRATEGIES 3 1 activity that had been a part of CCF II and had In contrast, the portfolios in human development been critically reviewed: support to enhancing and poverty reduction and in sustainable natural the representative and oversight role of the resources management continued to address SGK. Excluded from the CPD, this activity long-term issues on which UNDP had already was included in the CPAP and, as it turns out, provided support under CCF II. was never implemented. The contrasting views The programme was to be nationally executed under over this activity probably reflected the tension the coordination of the Ministry of Foreign Affairs. between the need to enhance the capacities of a According to the UNDAF, a steering committee key institution for democratic governance and the was to be in charge of monitoring progress towards less-than-ideal conditions for progress that had outcomes, but neither the CPAP nor the CPD been identified during the review.77 makes any reference to that mechanism.
77 For elaboration on this issue, see Section 4.1.1.
3 2 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS Chapter 4 CNTRBO I UTION TO DEVELOPMENT RESULTS
This chapter discusses UNDP’s contributions to and processes, such as electoral reforms and development results. It is organized by the core compliance with international conventions. objective of each practice area and, under each From roughly 2006 to 2008, UNDP’s focus practice area, by thematic areas identified by the shifted notably towards local governance and ADR team members during their review. the judicial branch (access to justice, transpar- ency and integrity). Simultaneously, funding 4.1ren St gthening Democracy, for the democratic governance portfolio Accountability and decreased from $3.9 million to $3.1 million. Transparency Apart from the standard evaluation criteria of UNDP’s continuous support to democratic relevance, effectiveness, efficiency and sustaina- governance in Mongolia is important for further bility, UNDP’s governance portfolio was assessed reforms of the country’s political system and according to whether it contributed to estab- strengthening of its democracy. UNDAF (2007- lishing the basis for sound democratic govern- 2011) outcome 2, ‘Democratic processes are ance. The basic dimensions of participatory strengthened through institution building, civil democracy used in this context were: society empowerment and enhanced account- ability and transparency to reduce disparities Promoting and respecting the rule of law, and human poverty’, targeted relevant issues for public participation and democratic competi- the country. So did CPD (2007-2011) outcome tion, which represent the procedural dimen- 3, ‘Capacity for democratic and participatory sions of a democratic system and which governance enhanced for national and local should be ensured with steadfast legislation, governing institutions’. properly implemented; Freedom and equality, representing more Two distinct trends can be identified concerning substantive dimensions of democracy that the nature of UNDP’s involvement in democratic should result from the proper design, observ- governance: ance and enforcement of procedural elements. For example, the relative success of a project From roughly 2002 to 2006, UNDP’s to promote human rights is related to the support was oriented towards democratic level of adherence to the rule of law and institutions at the centre of the Mongolian public participation principles, from support political system, such as the SGK, Presi- to democratic institutions in the legislative dent’s Office, Human Rights Commission and judicial branches; and Anti-Corruption Agency.78 The large UNDP governance portfolio also addressed Ensuring vertical and horizontal accountability the corresponding democratic mechanisms within the government structure itself, which
78 ‘Mongolia: Internal Review of the Democratic Governance Portfolio’, 2005, UNDP Regional Centre, Bangkok.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 3 3 emerges from successful implementation of system in place were unlikely to actively support procedural and substantive elements. Verti- reforms. Some suggested that the difficulties cally the government provides the top-down encountered in implementing such an ambitious enforcement of the democratic principles portfolio were not so much linked to the nature and ensures its responsiveness to civil society of the targeted institutions as to the timing. They demands. Horizontally the government suggested that the project might have had more secures the system of checks and balances and success in a more reform-oriented constella- promotes cooperation rather than competition tion of political forces. While probably true, this among governmental structures. leaves open the question about UNDP’s margin for manoeuvre to initiate actions to address 4.1.1 Strengthening Democratic important issues in the absence of a supportive Institutions at the Central political climate. Level, 2002-2008 In 2005, the UNDP Regional Centre’s ‘Internal UNDP’s interventions at the central level ranged Review of the Democratic Governance Portfolio’ from support to the cabinet (2001-2004)79 and questioned whether the narrow focus on strength- the SGK (2002-2006)80 to institutional develop- ening a few central institutions really addressed ment of the President’s Office (2005-2007).81 In the core issue affecting the democratic process: terms of democratic processes, the most signifi- “There is concern among citizens that a ‘grand cant support was provided in conducting elections and electoral reform. coalition’ government, without a strong opposi- tion, could lead to collusion among the major These interventions were highly relevant, as parties for policies that enable them to share the Mongolia needed to improve its most important spoils of office to the detriment of those who representative institutions during the period of elected them to represent their interests.”83 developing its democracy. While the relevance of UNDP-supported projects cannot be disputed, The internal review raised particular concern the nature and timing of their implementa- that the capacity development activities of many tion affected their effectiveness. The turbulent of these projects consisted largely of short-term 1990s was followed by a relatively stable period outputs such as study tours, conferences and in the first part of the 2000s. But the price was seminars,84 which resulted in modest achieve- an unchallenged majority and almost complete ments. Evaluations of individual projects by and disappearance of an opposition capable of large confirm these findings. For example, the political competition. The result was degrada- evaluation of the Parliamentary Strengthening tion of some basic democratic principles, such for Good Governance project states that the as separation of powers.82 The effectiveness and government partners, especially the members of efficiency of projects inevitably suffered in such a the SGK, provided little support for concrete political environment, as members of a party that moves towards strengthening the performance had gained such a dominant position under the of its oversight and legislative functions.85 This
79 Support to the Good Governance for Human Security programme. 80 Parliamentary Strengthening for Democratic Governance project. 81 Institutional Capacity Development of the Office of the President of Mongolia project. 82 President Natsagiin Bagabandi signed the constitutional amendments allowing parliamentary representatives to serve in the government at the same time. 83 UNDP Regional Center Bangkok, 2005. 84 Ibid., page 13. 85 ‘Project Evaluation: Parliament Strengthening for Democratic Governance’, P. Rawkins and N. Danzan, UNDP, Ulaan Baatar, June 2006.
3 4 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS led the authors to conclude that, “Overall, it A similar outcome was observed in respect to cannot be claimed that there has been signifi- support for the Office of the President. The func- cant progress towards achievement of the project tioning of the Office did not improve signifi- outcome.”86 Therefore, the activities developed cantly during the life of the project, but rather, under the first cluster of projects that were mainly only after the election of the opposition candidate focused on ‘old style’87 capacity building may have in 2008. The new president started to exercise raised awareness in the short term, but they were his constitutional veto rights and initiated the not likely to bring about effective institutional process of opening the Government to the public changes in the long term. through establishment of the Citizen’s Hall in his office. These progressive changes can hardly be From discussions with stakeholders, the ADR attributed to the outcomes of the UNDP project, team concurs with the findings cited in the review. which was completed almost two years before. Even if these UNDP initiatives could have been The emergence of political contention at top effective at one time, that progress has evidently levels of the political system brought about initia- not been sustained. The country’s largest demo- tion of reforms, and the right time to support the cratic institution, the SGK, remains largely closed President’s Office is probably now. to scrutiny by CSOs and to wider public partici- pation. In fact, the SGK held the first and so far On promoting free and fair democratic compe- the only open hearing in 2009 after months of tition, UNDP supported efforts to change the deliberations about its content and format. electoral system in 200588 and participated in preparations for the 2008 elections.89 The One of the most important outputs of UNDP’s conduct of elections is a sensitive and politi- parliamentary strengthening project was the cized issue in Mongolia. Since the democratic network of parliamentary advocacy centres. These reform of the early 1990s, Mongolia has radically were designed to improve the public’s access to changed its electoral system on at least three information on the SGK and its work. Considering occasions: 1992, 1996 and 2000. It has also made the size of the country and the degree to which the numerous other changes, including re-districting population is scattered outside Ulaan Baatar, the and changing the number of members of Parlia- establishment of such centres at least in the aimag ment per district. UNDP’s attempt in 2005 to centres could be an important step towards public support electoral reform has not yielded any participation. Unfortunately, the ADR team was significant results; the Government has not taken unable to confirm whether these centres still exist up the options suggested by the project. The three years after project completion. 2007–2009 electoral assistance project focused on the electoral commission faced great challenges As a consequence, public participation in the due to the chaos of the 2008 elections.90 work of the SGK remains marginal, and CSOs have few mechanisms to contribute meaningfully A needs assessment commissioned by UNDP to official legislative processes. The SGK is also in 2008 noticed severe shortfalls in the electoral widely considered weak in terms of its govern- process: “The General Election Commission is, ment oversight functions, despite growing public in effect, a partisan Commission, where the SGK concerns about possible abuse of the nation’s rich appoints the majority of members, and some mineral resources. members have been politicians prior to being on
86 Ibid., page 11. 87 For instance, see ‘Capacity Development: A UNDP Primer’ 2009. 88 Electoral Reforms for Mongolia project. 89 Support to Electoral Process project. 90 ‘Electoral Capacity Building Needs Assessment’, UNDP Mongolia, 2008.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 3 5 the Commission.”91 The report criticized the lack In summary, UNDP interventions were highly of a civil society role in the election monitoring relevant due to the growing democracy’s need to process and the poor organization of the election improve the functioning of its most important in rural areas. The peaceful conduct of the 2009 representative institutions. However, the timing presidential election, although less challenging of the interventions was not ideal, coming at a in terms of organization and conduct, may be time when the political scene was overwhelmingly taken as an indication that UNDP’s efforts had dominated by the party in power, and the achiev- a positive impact. However, the issue of electoral ability of the outcome should have been ques- reforms is still alive, and discussions on the topic tioned. Effectiveness was low: not only was there were ongoing in political circles at the time of little support for reform in these institutions at the ADR mission. While UNDP should strive to that time, but the approach was too conventional, assist in building a system that ensures free and consisting of providing equipment and sponsoring fair elections in Mongolia, it should be careful participation in seminars and study tours. to ensure that its support leads to substantive reforms, not superficial changes. 4.1.2 Support to Local Governance
The most successful outcomes of the 2002-2007 As pointed out above, roughly in 2007-2008 democratic governance programme came from UNDP began to gradually shift its emphasis to the initiatives and actions that were carried over the local level of government. into the next planning period. These are related Decentralization has been implemented slowly to development of tools for monitoring MDG-9 since the 1990s and has faced numerous obstacles (human rights, democracy and corruption), and setbacks. Administratively, Mongolia is human rights and integrity and transparency. The divided into 21 aimags (provinces), 329 soums significance of this fact is reflected in the discon- (provincial districts/counties) and 1,544 bags tinuation of most projects at the central govern- (provincial sub-districts). Ulaan Baatar is ment level in 2007-2008; only projects with the comprised of 9 duuregs (districts) with 121 prospect of efficient continuation and sustain- khoroos (sub-districts). Though each level of local ability were maintained, and focus was shifted to government has some form of citizen assembly or other levels. khural, elected at regular intervals, the low level of authority granted to these representative institu- UNDP has to be credited for this change, which tions puts in question the real democratic value of reflected the reality and involved reducing the local elections. The khurals usually meet only three scope of this portfolio. However, in doing so, or four times a year to counsel the local governor, UNDP gave short shrift to the recommendations who is himself appointed by the central govern- from the 2005 internal review, which pointed out ment. The local governor has little autonomy; the weaknesses of the projects at that time. It his or her responsibilities are largely limited to also suggested directions for their improvement, implementing the budget allocated by the central indentifying possible entry points in democratic government for pre-determined expenditures for institutions92 such as CSOs and the Constitu- public services. As a UNDP project document tional Court. Given its resource constraints and noted, “The Public Sector Management and based on its diagnosis of development needs Finance Law, which came into effect in 2003, and the uncertain political direction at the time, has recentralized all expenditure responsibilities UNDP shifted its focus towards local governance. for social service delivery, including education
91 Ibid., p. 17. 92 UNDP Regional Centre in Bangkok, ‘Mongolia: Internal review of UNDP Democratic Governance Portfolio’, mission report by Stephen Browne, Patrick Keuleers, R. Sudarshan, Elizabeth McCall and Juan Gomez, Ulaan Baatar, June 2005.
3 6 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS and health, from local administrations to the line initiative may be establishing a precedent and ministries’ portfolio.”93 Therefore, local govern- triggering a new dynamic for greater public ments have limited autonomy to plan, initiate or participation by citizens and CSOs. fund any local development projects that are not backed or approved by the central government. Local authorities report that UNDP’s support This lack of autonomy is considered a major is important in raising capacities. However, constraint to regional development in Mongolia. questions can be raised about whether their appreciation of the project is due more to the Focusing on enhancement of democratic govern- claimed increase in local government capacity ance practices at local levels was opportune for or to the actual availability of extra-budgetary UNDP, and its support was relevant, espe- funds for local projects.95 Beyond implementa- cially since few foreign development partners or tion of budget allocations, the functional compe- government agencies were actively working on tencies of local government structures remain so decentralization prior to 2008. unclear that their existence can be questioned. For example, one aimag official indicated that, in Through its support to local governance, UNDP the case of a leaky roof at the elementary school, has been aiming to introduce, through a demon- months could pass before clearance of the request stration effect, an alternative to the current for emergency repairs by the line ministry at the public sector management and financial system. central level. UNDP’s local governance initiative combines a pilot block-grant scheme94 with efforts to explore The relationship and responsibilities of local decentralization options and stimulate a policy government units beyond the standard ministry– discussion on how to increase fiscal decentraliza- aimag–soum structure are also found to be unclear tion. The local governance project also supports a and have yet to be clarified by the project. During review of the sectoral functions of aimags, soums an ADR field visit, for example, a member of a and municipal governments and the roles and soum khural claimed certain governance powers at powers of elected khurals. The sectoral function the soum level, while the chairman of the aimag review should form a basis for the initiative to khural stated that council bodies have little deci- increase the inclusiveness and accountability of sion-making authority beyond writing to the the elected councils. central ministries.96 These discrepancies in under- standing of the relative powers and responsibili- The local governance initiative is a well-designed ties at different levels of local government clearly programme oriented to expanding participa- show the challenge ahead for the local governance tion opportunities and enhancing the decision- initiative to address the functional responsibilities making capacity of local governments, particu- and inclusiveness of local elected councils. larly in allocating resources and conducting local development initiatives. Communities found the It is too early to tell if the local governance block grants scheme beneficial since it addresses programme has achieved the intended outcomes, some immediate local needs and also serves as a since the programme is ongoing and the current model of public participation in decision-making results only partially relate to the intended through consultations and debates. As one of outcomes stated in the project document. The the first efforts to establish an effective public ADR team considers the local governance project participation mechanism at local levels, UNDP’s an important UNDP initiative that should be
93 ‘Local Governance Support Programme: Project Document’, UNDP Mongolia, 2007. 94 Scheme similar to that enacted by the United Nations Capital Development Fund in other countries with a similar objective. 95 ‘Mid Term Evaluation of the Local Governance Support Programme’, F.H. Laersen, UNDP, Ulaan Baatar, 2009. 96 ADR field visit to Darkhan and Selenge aimags.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 3 7 carefully monitored to ensure congruence of UNDP has initiated projects to strengthen intended outcomes by all stakeholders. To achieve human rights protection,97 helped establish sustainability, UNDP should ensure that govern- the National Human Rights Commission of ment ownership continues the good practice of Mongolia, provided support to national integrity local participation through block grants and fully and corruption-fighting authorities98 and helped implements the second part of the project, which establish the Access to Justice programme, which focuses on functional responsibilities. sets up legal aid centres (LACs) to serve the most vulnerable communities.99 These initiatives are In summary, the intervention to enhance demo- highly relevant to UNDP’s role and mandate and cratic governance at the level of local government to the needs of the country, especially in terms of is extremely relevant to the needs of Mongolia, the close relationship between the rule of law and not only to extend the practice of democratic the poverty reduction objective and MDG moni- governance but also to enhance the potential for toring programmes. regional development. In many ways, the inter- vention is quite limited in scope, focusing largely In the first programme cycle (2002-2006), UNDP on redistribution of revenues from the centre helped establish the relevant government institu- without really addressing the need for the corre- tions and mechanisms for monitoring the state sponding transfer of power. But this intervention of human rights and reporting to the appropriate may provide the opportunity for a continued and international institutions in terms of obligations deepened extension of local governance powers. under international conventions.100 Today, UNDP Given that activities are ongoing, it is too early to is proud of the fact that Mongolia has a “National assess their effectiveness, except in terms of the Human Rights Commission that does not shy clear impact on discussions of decentralization away from the central human rights issues in with relatively small resources, or whether their Mongolia, such as the state of detention centres and impact will be sustained, as its demonstration the expensive and cumbersome civil registration effect has yet to be incorporated into accepted requirements that impede access of rural migrants policies and practices. to urban centres to essential social services.”101
However, during its field research, the ADR team 4.1.3 Human Rights and Access was warned that a number of human rights issues to Justice remain outside the regulatory and protective A functioning system that supports the rule of reach of government institutions. The team was law is one of the most important preconditions informed of criminal suspects spending prolonged for other difficult political and economic reforms periods of time in detention waiting for trial or in in transition societies. UNDP has approached some cases not even being formally charged. The the rule-of-law aspect of democratic govern- ADR team was also presented with evidence of a ance through projects to enhance the government rise in domestic violence, especially in poor areas, capacity to protect human rights and establish with victims finding limited legal protections and relevant monitoring and enforcement institutions. few if any ‘safe houses’ outside the capital.
97 Human Rights Strengthening in Mongolia projects I and II. 98 Support to Integrity and Transparency Efforts in Mongolia project. 99 ‘Access to Justice and Human Rights’, project document, UNDP Mongolia, 2007. 100 Mongolia ratified the International Convention on the Elimination of All Forms of Racial Discrimination in 1969; International Covenant on Civil and Political Rights in 1974; International Covenant on Economic, Social and Cultural Rights in 1974; Convention on the Elimination of All Forms of Discrimination against Women in 1981; and Conven- tion on the Rights of the Child in 1990. It acceded to the Convention Against Torture and Other Cruel Inhuman or Degrading Treatment of Punishment in 2000. 101 UNDP Mongolia, Support to National Human Rights Commission of Mongolia Fact Sheet.
3 8 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS A source of concern is the sustainability of the established credible ownership over LACs and a capacity of these institutions to address ongoing functioning environment. LACs have had notable and emerging human rights issues. The National results and served significant numbers of cases since Human Rights Commission should be an 2008. Visits to various LACs led to several obser- important addition to the government capacity to vations important for both the effectiveness of the safeguard human rights. However, it seems to be Access to Justice programme and its sustainability: engaged primarily in arguments with the Parlia- mentary Committee for Human Rights and the The functional role of LACs seems to depend Ministry of Justice on its roles and responsibilities. on the individual coordinator’s managerial The three bodies seem to be acting independently; discretion. Some LACs function exclusively they do not share information or act in a coor- as providers of legal assistance, while others dinated manner, which weakens the horizontal seem to be more focused on social coun- accountability among these key institutions. selling, including for victims of domestic violence.102 While a vulnerable population An important factor in this situation may be the has a dire need for social counselling services, lack of opportunities for civil society to establish this role is outside the basic mandate of meaningful policy dialogue with institutions LACs and risks diluting their effectiveness. regarding human rights protection. Civil society In addition, the disparity of LAC functions organizations are sometimes consulted by govern- in neighbouring aimags could raise the issue ment institutions individually, but their opinions of equality of services to defendants. are said to be often disregarded, and civil society The double role of LAC lawyers and coor- members are frequently omitted from formal dinators (most of whom work for the LAC meetings, even where UNDP is regularly present. and the local government at the same time) The ADR team could not find examples of coop- is necessary given current resources. However eration between government institutions and the LACs should evolve into more inde- CSOs (as opposed to individual consultants) on pendent centres with full-time staff to ensure UNDP project implementation, despite the large their impartiality and sustainability. number and size of human rights projects imple- mented in Mongolia. This raises questions about The Ministry of Justice started paying the community ownership of development results salaries of LAC staff within one year after and sustainability of project impact. funding by the Open Society Institute, so sustainability of services beyond the project The most important achievement in improving seems ensured. However, based on inter- access to justice is UNDP’s initiative to establish views with a small sample of LAC lawyers, the LACs. They are designed to provide legal there is a risk that the gap between the LAC representation in criminal cases for defendants salary and the income of a private lawyer not assigned legal counsel by the State and unable could eventually make it impossible for many to afford legal representation. Many LACs also LACs to staff their legal positions. provide legal advice to citizens in non-criminal civil matters when beneficiaries are unable to resolve Until now, LACs have been established in their problems through formal mechanisms. aimag centres, a satisfactory approach for the first phase. However, given the geographical This initiative can be assessed as highly useful reality of Mongolia, this makes legal assist- and relevant to establishment of good practices ance unavailable or at least expensive for in providing legal protection for the most vulner- residents of distant soums, given the high cost able members of society. The Government has of travel. The fair provision of legal assistance
102 Field visit to the Darkhan, Selenge and Uvurkhangai aimags.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 3 9 to all will require expansion of LACs, which support finalization of the policy, legal and regu- are already overburdened, or the design of latory framework for combating corruption; and alternative means to provide legal aid to all (4) support management of the coordination and targeted groups. monitoring of NPCC implementation.104
In summary, UNDP’s interventions in this area The latest Integrity and Transparency Project, are fully relevant to the need of ensuring respect started in 2007, adopted a more ambitious for basic human rights in democratic Mongolia. approach in supporting the Government’s anti- UNDP successfully assisted the establishment corruption agency, the Independent Authority of government institutions and mechanisms Against Corruption (IAAC), and its dialogue for monitoring human rights and of centres for with other social stakeholders. The project aimed providing legal aid to vulnerable people. These to develop IAAC capacity to monitor imple- achievements were accomplished at relatively mentation of the United Nations Convention low cost, especially the LACs. The fact that the against Corruption and MDG 9 reporting on Government has assumed the costs of operating anti-corruption and to conduct investigations these centres is a positive step for their sustaina- regarding human rights norms and principles bility. However, success cannot be measured only of due process. It also expected that local stake- in financial terms. The ADR team raises the issue holders (government authorities, judicial authori- of sustained functionality and effectiveness, first, ties, civil society) would initiate and monitor of human rights institutions at the central level, local accountability and transparency initiatives due to apparent problems in horizontal account- in pilot aimags and soums. ability; and second, of LACs, as the growing demand for their services is straining their already In summary, the ADR team finds the anti- limited resources. corruption efforts of UNDP relevant to the overall efforts in terms of UNDAF outcome 2 and CPD 4.1.4 Integrity and Transparency outcome 3. IAAC is a relatively new government agency that still requires assistance. Interactions UNDP has been involved in the anti-corruption with IAAC officials provided an impression of a and government integrity efforts over the two well-organized unit eager to perform its job. At programme cycles. Initial support was provided the same time, the IAAC team had concerns about under UNDP’s former global Programme on its effectiveness and efficiency if its efforts do not Accountability and Transparency, targeting the receive follow-through from the other branches parliamentary anti-corruption working group of the system in charge of fighting corruption — established by the SGK in 2000. The working notably the prosecutor’s office and the courts. The group was responsible for drafting a new anti- corruption law and for preparing the National ADR team agrees on this important point, not Programme for Combating Corruption (NPCC). only in respect of UNDP’s anti-corruption efforts The National Action Plan to implement the but also in its interventions in access to justice NPCC was finalized and approved in 2002.103 and human rights in general. Capacity building of government agencies in charge of protecting To support implementation of the action plan, the public interest (Human Rights Commission, in 2003 UNDP launched the National Integrity State Specialized Inspection Agency, IAAC) will System Enhancement project, which had four not be effective if the judicial branch does not main objectives: (1) support selective initiatives follow through, especially regarding the system of under NPCC; (2) raise public awareness; (3) prosecutors and judges.
103 ‘UNDP Integrity and Transparency Project’ document. 104 Ibid.
4 0 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS The ADR team is aware of UNDP’s limited modest and that CSO development and coop- resources, which requires narrowing its focus to eration have not received sufficient attention in the most important development challenges. But UNDP’s interventions. the team also believes that UNDP should use its comparative advantage in aid coordination to make The 2005 internal review of the democratic maximum use of its interventions in one branch governance portfolio noted the weak links between of the government (anti-corruption) by synchro- UNDP and the CSO community: “The project nizing with interventions by other development on developing institutional capacity within the partners in the related branches (judiciary). Office of the President, begun earlier this year, has as an objective to stimulate and support policy dialogue between government and civil society... 4.1.5 Cooperation with Civil Society However, no activities are included within the A vibrant and proactive civil society is a sine project proposal to further this objective.”105 The qua non condition for a well-functioning demo- review suggested that support to civil society is cratic system. Apart from their watchdog and an important entry point for UNDP if its goals community development roles, CSOs frequently are to improve democratic governance. Similarly, act as catalysts for democratic changes. The CSO the lack of independent election monitoring community in Mongolia is gradually developing, and oversight in the 2008 election led to serious and given the historical and regional context, its contests of the official results, but CSOs special- active existence is a great achievement. However, izing in election monitoring were not allowed the civil society community in Mongolia still to officially follow the voting and counting faces numerous challenges. processes.106 Despite these circumstances, UNDP has not considered support to civil society sector Many Mongolian CSOs are unable to sustain development in its most recent planning period themselves through membership support and have (UNDAF and CPD 2007-2011). to rely on foreign donations or support from the Government. This results in pressure to work on Civil society involvement was found to be more issues based on funding availability. For example, substantial in the Human Rights and Access to the Mongolian Gender Equality Centre focuses Justice programmes. CSOs have actively partici- almost exclusively on human trafficking, which is pated in the Human Rights Strengthening in a serious and growing problem for Mongolia. But Mongolia (HURISTMON) I and II projects, it is only marginally related to the central issues of working on development of the national human promoting gender equality in Mongolia. rights strategy. The Centre for Human Rights Development was also involved in establishing UNDP Mongolia does not have a programme or the Human Rights Commission, and its head was project for development of the civil society sector. invited to participate in the work of the Commis- On the other hand, most UNDP programmes sion’s board. While there were reports of critical and projects at least formally mention or plan CSOs being left out of meetings, in general, for CSO involvement at a certain stage, in either involvement of the most active civil society a consultancy or a participatory role. Having representatives has resulted in positive outcomes conducted a number of interviews within the for UNDP. A notable success was the Access to CSO community, the ADR team has the view Justice project, in which the legal aid centres were that CSO contributions to UNDP projects, initially established under the auspices of UNDP outputs and outcomes have been relatively as foreign-supported CSOs. Today, LACs
105 UNDP Regional Centre in Bangkok, ‘Mongolia: Internal review of UNDP Democratic Governance Portfolio’, mission report by Stephen Browne, Patrick Keuleers, R. Sudarshan, Elizabeth McCall and Juan Gomez, Ulaan Baatar, June 2005 106 UNDP Mongolia, Electoral Capacity Building Needs Assessment, 2008.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 4 1 Table 8. UNDP support to MDG-oriented policy-making and monitoring
Projects Objectives Poverty Data Policy Advocacy Local Formulation and Governments Implementation
PREFI Strengthen national capacity Support to HIES Poverty Research NHDR 2002 in poverty research, formula- (with LSMS Group: defini- tion, analysis and monitor- features) tion of monitor- ing [towards] adoption of ing instruments, improvement of pro-poor analysis, policy policies and actions advice
Strengthen local govern- Voucher system ments to manage poverty pilot reduction programmes and monitor delivery of their Revolving fund benefits pilot
PMMS Support the establishment of Coordination Strengthened national capacities MDG localization a comprehensive, integrated system between in analysis and impact statement through local and decentralized system of existing monitor- from a human development level participatory monitoring and assessment ing components perspective mechanisms for achievement of poverty of poverty and reduction goals, MDGs MDGs
Poverty monitor- Domestic and ing information international system based on resources linked statistical and within framework administrative of MDGs to guide data developed decisions on and in use prioritization and resource allocation Promote the use of monitoring information for improving implementation and policy reform
PREFII Strengthen the capacity of Integration and enforcement government and disadvan- taged groups to mitigate economic and social vulnerabilities
Improve availability and Poverty mapping HD trainers Poverty utilization of statistical data and enforcement of trainers mapping and for planning and decision- measurements making to improve pro-poor policies, programmes and Labour statistics NHDR 2010 strategies Persons with HD disabilities textbooks
THDP Mainstream human develop- Trade and human Global ment concerns into trade development network- policymaking policy analysis ing among landlocked countries
Source: UNDP project documents
4 2 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS function as independent government-supported the capacity of government officials to units that have gained the trust of their benefi- undertake simple and practical analysis of ciaries. If the centres manage to become sustain- policies to assess their impact on poverty and able, their model of indirect CSO building could human development; be replicated in other areas of UNDP work. Strengthening of data collection, by updating survey methodologies at the National Statis- 4.2c A hieving the MDGs and tical Office; developing a methodology to Reducing Human Poverty map spatial distribution of poor people to the smallest administrative and territorial unit; and The key focus of UNDP activities in this practice improving basic labour and time-use statistics; area in the two successive programming cycles has been development of the capacities for evidence- Poverty and MDG monitoring, by intro- based and MDG-based policymaking to support ducing a system to coordinate various the formulation or implementation of govern- components of monitoring and assessment; ment programmes and strategies. strengthening participatory monitoring capacities of local governments and commu- nity-based organizations; and developing 4.2.1 MDG-oriented Policy a broadly accessible poverty monitoring and Monitoring information system based on statistical and The end of the National Poverty Alleviation administrative data; Programme in 1999 clearly showed the limita- MDG needs assessment and costing as well tions of a targeted poverty reduction programme as localization; in achieving a broad impact on poverty levels. It demonstrated that real progress against poverty Numerous advocacy activities on the human could not be achieved and sustained without development concept and the MDGs, more equitable social and economic policies.107 notably through support for the research, drafting and publication of NHDR reports. Starting in 2001, UNDP initiated a sequence of projects108 with the overall objective of developing The Poverty Research and Employment Facilita- capacity for evidence-based policy formulation tion (PREF) I project also provided support to with a particular focus on poverty reduction. deal with lingering problems from a revolving These projects constituted a coherent ensemble loan fund of the National Poverty Alleviation that aimed at strengthening capacities in mutually Programme. In addition it initiated a pilot skills reinforcing areas required to formulate sound training programme providing vouchers for policies (see Table 8). unemployed workers, a scheme that was soon taken up and expanded by the National Employ- In their totality, these projects provided support for: ment Agency.
Policy analysis, by establishing the Poverty These projects were successful in that they Research Group (PRG) within the public produced all their outputs and established the administration. Its role is to commission systems necessary for evidence-based policy poverty-related research, conduct analyses formulation, including the spatial mapping of and advise the Government on pro-poor the poor population. The success was particu- policies and programmes, as well as to build larly notable in improving the quality of data,
107 A similar comment was made in a Brooks World Poverty Institute study by Marshall, Nixson and Walters in 2008. 108 Poverty Research and Employment Facilitation projects I and II, Pilot Project to Support the National Poverty and MDG Monitoring and Assessment System, and Trade Policy and Human Development in Mongolia project; see Table 8.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 4 3 integrating different sources and improving their development for improved and better-informed accessibility. It also has been reported that some policymaking processes in the Government and aimags have undertaken production of their own public administration. This sustained support MDG reports. has led to the development of tools, methods and processes and the capacity to make use of them The advocacy efforts have also been quite among the public administration. However, their effective. Parliament adopted the MDGs as a impact on policymaking and budget allocation framework for public policy, meaning that policy has yet to be felt. Accordingly, until existing documents are either framed as MDG-based or capacity starts to be translated into better policy- specifically refer to the MDGs and/or human making, further support to refining that capacity development. A fund created to manage the is unlikely to result in a different outcome. revenue from the boom in mining activities has been named the Human Development Fund. The The assistance to trade and human development awareness of these concepts and approaches has was not as successful. First, the key component also spread among the burgeoning civil society, was building the capacity of the trade policy which increasingly refers to them. The concept of and negotiation unit of the Ministry of Trade human development is likely to gain more cred- and Industry. It was to result in a “solid policy 109 ibility and more support now that the national analysis on the impact of WTO accession on university has included in its curriculum a course poverty eradication and human development in 110 on human development. Mongolia” through the application of a human development impact assessment (HDIA). Two Much was accomplished by the PRG. The points are important regarding this objective: evaluation of PREF I concluded that the PRG was effective in mobilizing research capabili- While UNDP has a comparative strength ties around poverty issues among NGOs and in human development issues, within the academia, and the products from these research United Nations the comparative strength on technical assistance on trade issues rests studies have been widely disseminated and used. with the United Nations Conference on (This was despite the fact that the PRG ended up Trade and Development (UNCTAD). Given being used to support the elaboration of EGSPRS, the efforts for greater collaboration between and the time and effort devoted to that somewhat United Nations agencies, close collaboration detracted from PREF’s intentions.) The evalua- between UNDP and UNCTAD could have tion also points out that (i) these studies may have been expected on this project, but it does not had limited usefulness for policy formulation due appear to have taken place. to their excessively academic orientation and (ii) policymakers were unlikely to make productive Despite UNDP’s launch of HDIA in 2003, use of the research, an issue of both capacity and the concept has yet to gain a foothold in of weak ownership of the research agenda in some academia and research institutions; it is being ministries and agencies. used and discussed only within UNDP and related United Nations organizations. The Over the last nine years, the PREF projects (I and evaluation team of this project noted that the II) and the Pilot Project to Support the National “HDIA is a relatively new concept without Poverty and MDG Monitoring and Assess- a set methodology by its design and nature ment System (PMMS) have been examples of and tackles with a very difficult relation- UNDP’s strong commitment to support capacity ship between international trade and human
109 Mongolia joined WTO in 1997, nine years before the beginning of the Trade Policy and Human Development in Mongolia project. 110 Trade and Human Development project document.
4 4 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS development”.111 Without a set methodology, used to develop policies better aligned with the the capacity meant to be developed under the MDGs, it can be concluded that effectiveness project remains unclear and diffused. was limited by factors external to the interven- tions. The broad awareness of the human devel- The last point is important, as the project evalua- opment concept and its institutionalization in tion report implies that progress was hindered by curricula were also significant achievements that conflicting approaches on the content of an HDIA may provide the basis for better policies in the as well as on methodologies. Indications of such future. With regard to integration of the human conflicts can be found in the dismissal of the first development dimension in trade negotiations, the consultant on the project as its “draft method- results are much more uncertain, as the concept ology and scoping outcome was (sic) not adopted itself remains rather vague and subject to inter- by the global, regional and country level entities pretation by practitioners. of UNDP”.112 But even the completed assessment study came under criticism by the evaluation; it With the exception of implementation of the found that “the analyses in the document do not trade project (which experienced long delays), in have a certain impact assessment methodology the absence of contrary indications, the imple- or methodologies”.113 Regarding capacity devel- mentation of these interventions can be assessed opment through training, the evaluation found to have been efficient. The sustainability of these that most of the training was concerned with achievements will depend on whether policy- pure trade issues and negotiations and did not makers use the tools put in place to formulate include many elements of human development. better policies. This is not surprising, given the limited reach of the trade-related HDIA concept. Nevertheless, at the time of evaluation, heads of various depart- 4.2.2 Aid Coordination ments stated that the training had been beneficial In the aftermath of the transition and the loss to their staff. of aid from the former Soviet Union, abundant ODA from industrialized countries flowed to In summary, since policies grounded in evidence Mongolia, making it one of the most heavily and research are more likely to be effective, aided countries in the world.114 However, by the UNDP’s interventions were relevant to the stated early 2000s, it was estimated that these financial government objective of alleviating poverty. In flows had had only a modest impact in terms of particular, the effective interventions were the growth and poverty reduction and may even have technical aspects of capacity development for had a negative impact. This is because the aid strengthening data collection related to poverty reduced the pressure for domestic adjustment and and the MDGs, including at decentralized increased debt levels without really improving the levels, and the poverty-focused policy analysis. In country’s long-term prospects. other words, the interventions were effective in that they contributed to developing the instru- The issues of better coordination of aid among ments and the means for MDG-based and development partners and alignment of aid with poverty-inclusive policymaking. From a broader national priorities had already been addressed perspective, given the lack of firm evidence that in the 1990s and early 2000s through support to these instruments and capacities have been installation of two aid databases in the Ministry
111 Keklik et al. November 2008. 112 Ibid. 113 Ibid. 114 ‘Development Cooperation Effectiveness and Harmonization: Joint Programme of the Government of Mongolia and the Donor Group’, UNDP Mongolia, Ulaan Baatar, 2005.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 4 5 of Finance.115 But a new impetus for better aid composition and structure and the functions coordination emerged in the first years of the of some agencies116 also affected this incipient new millennium, with the Consultative Group process. (CG) deliberations, MDG Declaration, initiation of the PRSP process and the Rome Declaration The joint programme117 for Development Coop- on Harmonization. eration Effectiveness and Harmonization was launched in May 2005. It was implemented The Government had already initiated such a by DPCLA under NEX modality to support process through its GGHS programme, which these ongoing initiatives and national priorities, included a donor coordination committee. Unfor- in particular: tunately this coordination mechanism fell short of meeting expectations. With government-donor Implementing the 2003 Law on Foreign policy collaboration limited to the annual CG Loans and Grants; meetings and the monthly donor group meetings Implementing decisions of the 2002 and 2003 chaired by the UN Resident Coordinator, United CGs and the principles of the Rome Declaration; Nations theme groups succeeded in maintaining Enhancing aid effectiveness in Mongolia to a certain level of coordination, if only by sharing achieve the MDGs. information among key development partners. The programme had three objectives: In 2003, the Law on Foreign Loans and Grants was adopted, providing a framework for managing Enhancing the quality of information and external resources. It assigned specific respon- stakeholders’ access to it; sibilities to the Ministry of Finance’s Depart- Creating a better enabling environment for ment of Policy Coordination of Loans and Aid policy coherence; (DPCLA). At the November 2003 CG meeting, the EGSPRS was adopted and the CG called for Reducing the burden on the civil service enhanced development cooperation. through greater harmonization of donor procedures in line with the principles of the In April 2004, at a government-donor workshop, Rome Declaration on Harmonization and a decision was taken to establish four govern- OECD/DAC guidelines. ment-donor working groups — infrastructure, social sector, private sector and cross-sector — Given the pre-eminence of aid coordination in and to implement a partnership approach. In UNDP’s agenda and UNDP’s apparent success in subsequent years, some of these working groups introducing the concept of human development waned and others were created. In the meantime, and the MDGs in policy discussions, this project several ministries were working to design and appeared relevant in advancing implementa- implement plans for greater policy cohesion, tion of the policy agenda. The ADR team was resource allocation and aid coordination, with therefore surprised to learn during discussions the assistance of various development partners. with stakeholders that the project had had a very Despite their best intentions, these disjointed low profile. In fact, many stakeholders were not efforts never amounted to an actual and effective aware of it. This indication of the project’s low aid coordination system. The 2004 parliamentary effectiveness was confirmed by the report of an elections and the resulting changes in government independent evaluation.118
115 These were supported by UNDP and the EU Technical Assistance to the Commonwealth of Independent States and Debt Management Financial and Analysis System (World Bank and UNCTAD). 116 Particularly the restructuring of the MoFE into the Ministry of Finance. 117 The programme was financed by UNDP (86.1 percent), WHO (9.8 percent) and UNICEF (4 percent) as parallel financing, with about $150,000 left unfunded. 118 Chapelier and Sergelen, 2009.
4 6 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS The evaluation report also found the project little to show, since there could not have been extremely relevant for Mongolia, as it addressed any support to the working groups and the both local needs for better integration of activi- consequent improvement of sector strate- ties between the Government and development gies. It is recognized that DCPLA provided, partners, and the obligations of Mongolia with through the project, some logistical support regard to the international agenda on ODA. to the thematic groups organized by the The project management arrangements — an World Bank, but it was not as envisaged executive committee with chairs and co-chairs under the project. of working groups and a policy advisory board On the third objective, “reducing the burden including partner members of the CG — were on the civil service through harmonization of found to constitute a “nice theoretical construc- donor procedures”, little was achieved, as the tion” though heavy for a project of its size. In 2008 Paris Declaration survey indicates, and practice, however, the working groups were never the use of the national financial system remains constituted, and in 2006, meetings of the CG were limited. Some development partners explained replaced by semi-annual technical meetings.119 that, “The reason why this modality is rarely And neither the executive committee nor the used is that there is not a strong demand from policy advisory board became operational, leaving the Government. It does not seem that it is a the project with little guidance over activities by priority for the Government.”121 DPCLA and the PMU/PIU. The project demon- strated little capacity to adapt to this changing This last comment and the failure to set up environment. The same problem afflicted the UN the previously agreed working groups could be Resident Coordinator’s Office in the first year of taken as indications of a lack of interest (or a the project and the Human Development and shift of interest) on the part of the Government 120 Poverty Reduction Unit in the country office in for closer integration of development partners’ the following years. programmes with its own. The question would then be: After agreeing (in 2004) to a collabora- As a result, despite a one-year extension of the tion framework and signing a project to support project, the independent evaluation found a low that framework, why did the Government shift its level of effectiveness: interest away from that framework? One explana- On the first objective, “enhancing the quality tion was put forward in a number of interviews 122 and accessibility of information and stake- and documents: The project lost its impor- holders”, the database software had yet to be tance when, beginning in 2005, the reappraisal delivered at the time of the evaluation and of the potential mineral wealth of the country there were uncertainties as to how opera- and the surge in processing of minerals reduced tional it would be. What was certain was that the potential contribution of concessional aid to neither stakeholders nor other government development prospects. agencies had access to it; In that context, it is somewhat puzzling that the On the second objective, “creating a more evaluation report regretted the shortfall in resources enabling environment for policy coherence”, mobilized for the project and recommended that the independent evaluation found there was UNDP continue support for the aid effectiveness
119 G The C was the leading force for advocacy for greater aid coordination, a role not assumed by the semi-annual technical meetings. 120 As a ‘joint programme’, the project was initially under the UN Resident Coordinator’s Office. After the funding from UNICEF and WHO was spent, the project was shifted under the UNDP portfolio and funded solely by UNDP. 121 Quoted in Chapelier and Sergelen 2009. 122 Among others: Interviews with various sources, and Chapelier and Sergelen 2009.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 4 7 agenda. The ADR team agrees with UNDP that it development programme and the World Bank is should not act on that recommendation until more supporting a $51 million programme to improve favourable conditions are in place. Such condi- livelihoods in the regions. After the successful tions would include firmer ownership of such an MicroStart programme, which helped to open up initiative coupled by a clear intent to coordinate access to finance for small and medium-size enter- aid and technical assistance for maximum develop- prises and to create Xas Bank, UNDP initiated ment results. Presence of such conditions could be activities in some regions, with the assistance of confirmed, for example, when easy access to infor- the Government of Japan, to support the devel- mation is provided to all relevant stakeholders;123 opment of productive activities based on local aid coordination by DCPLA is properly linked to products and to link them with market opportu- policy coordination by NDIC; and serious discus- nities outside. The goal was to put producers on a sions on the best modalities to achieve develop- self-sustaining growth path. ment goals take place in coordinating mechanisms at technical levels. The Enterprise Mongolia Project (EMP) used a two-pronged approach. First, the One-Village- As Mongolia has been one of the most ODA- One-Product initiative identified areas locally dependent countries in the world, the coordina- or regionally recognized for a specific product tion of external assistance was and continues to be and provided services to small producers, with a prerequisite to enhance the prospects of sustain- the goal of increasing production so the product able development. Despite that need, effective- could be sold beyond the region. Second, the ness can only be assessed as low, given that few Local Cluster Development Initiative was to help of the outputs were produced and the objective various small entrepreneurs through provision remains unattained. of business development services and improved access to finance. The project contracted NGOs to set up local Enterprise Mongolia Centres 4.2.3 Support to Improved Livelihoods where local entrepreneurs could receive training and advice. In addition, the project provided The migration of the population towards Ulaan ‘collateral substitutes’ to beneficiaries and negoti- Baatar in hope of improving livelihood opportu- ated a memorandum of understanding with Xas nities not only creates social, economic and other Bank for loans, made under advantageous terms. problems in deserted regions but also makes it These arrangements were to address the capacity difficult for the capital to meet the demands on constraints of local entrepreneurs and their lack its scarce resources. While creation of livelihood of access to finance. opportunities in the regions is clearly impera- tive, this objective has to confront not only the At the time of the ADR mission, EMP’s phase I constraints created by poor infrastructure but also was completed and phase II had just begun, after a the limited market opportunities because of the lapse of more than one year. Field observations,124 low population density in the regions. though limited in scope, provided the ADR team with cases illustrative of the constraints faced by Through a variety of programmes, the Govern- EMP and similar projects. Local business owners ment is attempting to address the challenge, as expressed great appreciation for the project’s are a number of international agencies. In partic- technical support and the assistance in accessing ular, the German Technical Assistance Agency finance and market opportunities. Nevertheless, (GTZ) is implementing a $15 million regional it was also observed that:
123 At the time of evaluation, there was no network connection to provide NDIC with access to the donor data at Ministry of Finance, and a formal letter had to be sent by the Head of NDIC to the Minister of Finance. 124 In the main urban areas of the aimags of Uvurkhangai and Selenge.
4 8 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS Many of the participating enterprises remained small businesses should raise questions. One family businesses, and their improved sales had reason may be the scarcity of sound and viable yet to translate into much hiring other than projects despite the assistance of the EMCs, a neighbours on an as-needed basis. The stated possibility that cannot be dismissed in view of intention had been to use increased revenues the experiences of similar regional development to purchase machinery, rather than to hire and projects. However, another explanation may be train outside workers. the nature of the financing support provided by phase I: while a simple partial loan guarantee Many of the participating enterprises could scheme under proper circumstances would have not find necessary inputs on the local market leveraged the amount available for support to and had to import them from other aimags financing under the project, the provision of or Ulaan Baatar, thus limiting the multiplier collateral substitute may in fact have frozen these effect on the local economy. funds. The project evaluation report alludes to These observations were confirmed during this possibility. discussions with the manager of another regional In addition, while a loan guarantee scheme would development project.125 This individual explained that processing local agricultural products, such have helped direct new customers to Xas Bank as fruits into jams, requires importing sugar, and opened the possibility of replication through pectin and empty containers from Ulaan Baatar. a demonstration effect, the provision of collateral The enterprise also faces the constraint of limited substitutes could have just put a few beneficiaries electricity and the cost of transporting the finished in compliance with overly risk-averse lending product to the main market, Ulaan Baatar. The conditions by Xas Bank. This could explain the whole process is therefore costly and the end suspension of lending by Xas Bank at the end of product is not competitive. For these reasons, phase I. In other words, the conditions for repli- that project was concentrating on relatively large cability and sustainability may not have been regional urban areas where some kind of local present in the project. An analysis of the factors market opportunities could be developed, while behind the poor performance of the financing testing different approaches in more sparsely component would have contributed to a better populated areas. understanding of the constraints to financing for small and micro businesses and provided an According to the EMP phase I evaluation opportunity to identify further measures likely to report,126 only 97 businesses of the 500 expected overcome them. at initiation of the project benefited from access to Xas Bank financing. It was also reported that Another issue is the sustainability of services Xas Bank ceased lending to EMP-supported provided by EMCs. In EMP phase I, EMCs businesses at the end of phase I. At the time provided services at very low cost, below the cost- of the ADR team visits, EMP business owners recovery point, in order to reach as many users as where eagerly awaiting full operations of EMP possible. The goal was to create a sufficient client phase II, hoping that a new round of financing base for cost recovery, but EMCs have had diffi- would become available. culty in shifting towards cost recovery. As a result, in the interim between phases I and II, EMCs While the financing scheme may not have been have had to continue operating at a reduced level central to implementation of EMP I, its low level of activity with meagre subsidies from some insti- of performance compared to expectations in the tutions. Thus, EMCs would not be sustainable face of severely restricted access to financing for without a new financing mechanism.
125 GTZ Regional Development Initiative. 126 Quiroga et al., 2008.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 4 9 Like other projects with similar objectives it, participating private insurance companies will in Mongolia, the EMP faces the structural have strong incentives to try to deny reimburse- constraints of small local markets and poor ments through a set of complex rules,129 while transport infrastructure, which seriously limit benefitting from collecting a stream of monthly the prospects for business development in the premiums. Those insured under the scheme regions. The problem is compounded when the would run the risk of paying for services well target areas are selected based on poverty indica- below what had been promised. tors rather than on potential.127 While the intent of EMP was laudable, in retrospect the question For both poverty alleviation and regional devel- of its feasibility has to be raised. While a business opment, it is fully relevant to try to promote local assistance project cannot be expected to have economic activity based on local production. sufficient resources to significantly alleviate the However, the initiation of an activity should be structural constraints, the limited resources of based on reasonable prospects of feasibility. As EMP spread over four aimags probably consti- projects with objectives similar to those of EMP tuted an additional constraint. For example, the have experienced, poor infrastructure and limited small amount of resources available for the loan local market opportunities present formidable guarantee scheme may have led Xas Bank to view obstacles to progress. This kind of initiative faces it not as a test of a marketing opportunity but as serious constraints that can only be addressed a marginal operation. As a hypothetical example, with much greater resources. One possible way to if EMP could have joined forces and worked find such resources is to collaborate with other collaboratively with another regional business development partners engaged in similar projects, development project with similar approaches, and pool the resources together for a joint initia- the loan guarantee scheme could have reached tive. This would lead to a ‘critical mass’ and would a critical mass and thus received closer attention help to mobilize the administration and the from Xas Bank. banking sector, thus providing better conditions for sustainability. EMP presented no significant Addressing another need, UNDP recently advantage or alternative to similar projects run by initiated a project to develop a micro-insur- other development partners, and given its limited ance market for health care. The objective resources, it may have been more effective to was to address a crucial vulnerability facing collaborate with these projects. many Mongolians due to the transition to a market-based system. The scheme is still being developed, and the project team is working with a 4.2.4 Gender Issues number of financial institutions. The ADR team has discussed the initiative with the project team In most countries, the term ‘gender’ refers to and believes it is innovative and relevant, but is women’s issues, such as lack of access to education concerned that not all of its implications have and financial autonomy. In Mongolia, as pointed been sufficiently investigated. If these are not out in Chapter 2, the situation is somewhat addressed, the ADR team feels, the project may different. Although the empowerment of women unwittingly increase the vulnerabilities of those lags behind that of men, Mongolian women under the scheme. Experience in other parts of perform generally better than men on the indica- the world suggests that a proper regulatory body tors that make up GDI. The only GDI indicator is needed for this type of insurance.128 Without in which women lag is average earned income.130
127 Discussions with the management of a bilateral agency project were illustrative in this regard. 128 Some suggested that this could be handled by the financial supervision agency, but it is obviously beyond the scope of that agency. 129 The debate on health care reform in the United States during 2009-2010 is illustrative in this regard. 130 Mongolian women’s earned income is estimated at 87.4 percent of men’s, which is one of the highest ratios among all countries and certainly among countries with similar HDI and GDI rankings.
5 0 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS The gender issue in Mongolia thus tends to which included a series of workshops involving present itself less as a ‘women’s’ issue and more as country office staff and a broad range of stake- a real gender issue, encompassing both men’s and holders. It was completed in March 2008. An women’s issues. institutional mechanism, with a core Gender Focal Team, was put in place to implement and Little information was available to the ADR monitor the Gender Mainstreaming Strategy team on UNDP’s gender approach between 2002 on a monthly basis. This included expert- and 2006. From interviews with staff, it appears supported reviews of annual work plans from a that gender was mainstreamed in the programme gender perspective; advice to the country office, and projects as a cross-cutting theme, under the project staff and national counterparts in incor- responsibility of a gender focal point.131 This porating gender equality results; and training in approach is widely applied by UNDP around gender issues and in strengthening gender main- the world. UNDP also implemented a project streaming in human resources processes. in cooperation with the Ministry of Finance, ‘Capacity building on gender-sensitive budgeting UNDP participated in the ‘Joint UN Programme (2002-2004)’.132 A successor project appears to on Prevention of Violence against Women and have been in planning, as a draft project document Children in Mongolia’ from September 2007 to titled ‘Support for gender sensitive budgeting’ is December 2008. The project is reported as having dated November 2004, but it does not seem to had a significant impact in raising awareness have been implemented. about gender-based violence and domestic violence. The advocacy efforts that accompa- Without impugning the reasons behind such nied the project contributed to ratification of the a project, it is necessary to look at it from the Palermo Protocol by the Government in May viewpoint of whether national ownership existed 2008. They also contributed to a much-increased at its onset, when the MoFE was still struggling focus on domestic and gender-based violence by to assert control of the budgetary process and the General Police Department, development its implementation. Without broad acceptance of new ways of dealing with it and initiation of of the idea that addressing gender issues would programmes to change perpetrators’ behaviour. contribute to sustainable development, training on gender-specific budget allocation or analytical In addition to these clearly identified UNDP- tools would have had little impact. supported activities, UNDP has engaged in advocacy on issues of gender. This has taken place In the current programme cycle, UNDP clearly both indirectly, through ensuring that gender wanted to develop a more country-specific is addressed in project activities and publica- approach to gender issues in Mongolia. In tions, and more directly, through special events September 2006 it initiated a one-year project, such as celebration of International Women’s with funding from the UNDP Gender Thematic Day. It was difficult to assess how much UNDP Trust Fund, to elaborate a ‘Gender Main- was able to contribute to the gender dimension streaming Strategy for UNDP Mongolia, 2008- during its discussions with the Government, or 2011’. In October 2006 an assessment of needs the degree of substance in those discussions. In was carried out for capacity development among this regard, UNDP may have had a contribu- staff and counterparts and for the support of tion in establishing the National Programme for research on gender. Then began the process of Gender Equality in 2002. However, the clear lack drafting the Gender Mainstreaming Strategy, of concrete results on women’s empowerment,
131 In UNDP programmes, gender is typically defined as a cross-cutting issue. However, since it is also the focus of MDG 3, gender is discussed under this section of this report addressing MDGs. 132 See final report. The project was attached to and managed by the PREF project.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 5 1 despite greater awareness, shows the limit of notably in raising awareness on gender-based and advocacy in the medium term. domestic violence. This has led to improvements in treatment of gender issues by security forces Regarding international commitments on gender and the justice system. issues, the Government of Mongolia has ratified the Conventions on the Elimination of All Forms of Discrimination against Women, Women’s 4.3 iMPROVing Energy Political Rights, Protection of Motherhood and and Environmental Equal Wages. In the early 2000s, the Govern- Sustainability ment initiated a National Programme on Gender As seen in Chapter 2, the already fragile envi- Equality. To ensure its implementation, in 2005 ronment in Mongolia is threatened by intensi- the institutional status of its responsible authority fying pressures, mostly from unregulated human was elevated; instead of having one officer at the activities. Over the last two programming cycles Ministry of Social Welfare and Labour, it became UNDP has supported efforts to mitigate these the National Committee on Gender Equality, pressures, both downstream, contributing to chaired by the Prime Minister. development of self-regulatory mechanisms by herders, and upstream, contributing to revision of The committee instituted gender focal points environmentally related laws and regulations for in ministries and agencies, but they tend to be more effective implementation. fairly low-level officials with little power. Despite its limited financial and personnel resources, it cooperated with authorities and NGOs and 4.3.1 Environmental Governance received support from the Asian Development and Awareness Bank to draft the Gender Equality Law. It Environmental governance is defined as the sum promotes gender equality by eliminating gender- of organizations, policy instruments, financing based discrimination in all spheres and clarifying mechanisms, rules and procedures that regulate the responsibilities of authorities. It has also environmental protection.134 This definition may addressed compliance mechanisms and instituted imply but does not make explicit that govern- 133 an employment dispute commission. The draft ance in a democratic society is not the result of law also re-introduces the 30 percent quota for one actor; it requires participation by civil society women candidates in national elections, which and the private sector as well as government. was first introduced after the 2004 elections and Governance requires whole system management, rescinded shortly before the 2008 elections. The including enforcement mechanisms and tools to draft law was submitted to the SGK and recently implement rules and policies. considered for discussion. Mongolia has a fairly comprehensive environ- Although the status of women in Mongolia mental legal framework. It even includes laws presents a much different profile than in many related to payments for environmental services other countries, positions of power remain and use of natural resources. Yet there is no largely inaccessible, and women are denied their institution above sector ministries in charge of potential contribution to the nation’s develop- developing, coordinating and following up on ment. UNDP support to raising awareness of sustainable development policies. Although envi- gender issues is therefore relevant. Despite their ronmental protection is by nature a cross-sectoral limited scope, UNDP interventions have helped, issue, decisions affecting the environment are
133 The draft Law on Promotion of Gender Equality, 2009. 134 ‘Strengthening Environmental Governance in Mongolia’, project document, UNDP Mongolia, 2006. Definition adapted from ‘Global Environmental Governance: Reform Agenda’, International Institute for Sustainable Development, 2006.
5 2 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS made largely according to sectoral concerns by local and central level; and (iii) increasing CSO different ministries. At the local level, aimag- involvement in environmental decision-making level plans should be consistent with soum-level and monitoring through public participation and decisions because the law requires the soum khural information disclosure at all levels. representative to approve of aimag land use plans. However, in practice, mining authorities deliver The project began by supporting review of mining exploration and exploitation licences existing laws and policies and drafting of recom- after negotiations with aimag governors, without mendations on how to harmonize them. The requiring the formal approval of the soum or bag project has also promoted the introduction authorities and without having to comply with of new instruments such as strategic environ- local land use plans. mental assessment or environmental auditing, along with the necessary training so they can be Altering the environment affects the lives of all applied by specialized government agencies and people, especially in a country like Mongolia, national experts. The World Bank and other where many livelihoods depend closely on nature. agencies have also been involved.137 With regard Yet there exists no institutionalized participatory to information disclosure and public participa- process to define priorities on sustainable devel- tion in environmental management issues, SEG opment or environmental issues at national and assisted agencies to establish regular mechanisms local levels.135 to display information, such as websites, press conference and reports in daily newspapers. They Since 1992, UNDP has been closely involved with also received assistance in media relations. issues of environmental conservation and protec- tion in Mongolia. It has assisted in developing a SEG has conducted television and radio body of environmental laws to promote a balance programmes on emerging environmental issues between environmental protection and develop- and is planning to strengthen expertise and meth- ment. In the first programming period under odological capacity of non-state actors. However, review, UNDP efforts to improve environmental it is not clear to what extent such capacity devel- governance were largely focused on raising envi- opment activities have strengthened participation ronmental awareness. The objective was to get by the intended beneficiaries. In discussions with “as much information as quickly as possible into environmental NGOs and their umbrella groups, the hands of those organizations that can use it the ADR team was not able to identify any institu- to increase public awareness and promote more tionalized channel of communication between the sustainable approaches to national development”, Government and environmentally focused NGOs. according to a UNDP report.136 An environmental umbrella NGO has a repre- Starting in 2008, the Strengthening Envi- sentative in a dedicated office in the Ministry of ronmental Governance (SEG) project had an Environment. But this arrangement was largely objective of addressing weaknesses in envi- initiated by the ministry to ease its process ronmental governance by contributing to (i) of releasing calls for bids for works it needs to harmonizing and addressing key environmental contract out; it is not intended as a channel for and fiscal legislation and policies to facilitate policy discussion and input. By forming this rela- sound environmental governance at all levels; tionship with the ministry, the umbrella environ- (ii) strengthening institutional mechanisms to mental organization runs the risk of being seen as implement and monitor environmental policy at simply business-seeking, but it is possible that the
135 Internal evaluation of ‘Sustainable Natural Resource Management’, 2006. 136 ‘Strengthening Environmental Governance in Mongolia’, project document, UNDP Mongolia, 2006. 137 Including Netherlands Mongolia Trust Fund for Environmental Reforms.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 5 3 arrangement will evolve into a more substantive as advocacy and awareness campaigns among relationship. Nevertheless, it is clear that commu- communities; nications between civil society and government Improve laboratory capacity for drinking institutions regarding environmental issues at water and wastewater analysis (especially this stage depend more on sporadic events than in rural areas) through provision of water on an institutionalized channel. Despite SEG analysis devices and trained laboratory staff, intentions, the project seems to have empha- plus a feasibility study for improving waste- sized the technical side, giving little attention to water treatment operation and monitoring; improving the process and climate of environ- mental governance. Support the construction of safe water supply and adequate sanitation facilities UNDP is also a key contributor to a joint project through the construction and repair of wells on water and sanitation, which aims to implement and other facilities; pilot initiatives that will eventually lead to setting up a governance system for water use. It was Enhance community ownership of water surprising to learn that, 20 years after the political sources and develop a model to be introduced transition, Mongolia has no overall framework for nationally. governance of water use, despite the fact that water is a scarce resource in much of the country. The This joint project constitutes an interesting initia- joint project strives to “improve water and sanita- tive of UNDP and other United Nations agencies. tion governance and living conditions of target area Project activities have started only recently, and it population through providing support to strength- is mentioned here only as an additional example ened coordination mechanism and increasing of UNDP’s work in fostering improved sectoral access to safe drinking water sources and sanitation governance in Mongolia. facilities and improving water resources manage- In summary, the issue of environmental govern- ment”.138 Activities aim to:139 ance is fully relevant to the needs of Mongolia. Strengthen institutional structures and the Challenges seem to reside not so much in inade- legal framework on water governance and quacies of legal and regulatory texts as in problems sanitation service by facilitating imple- with implementation and enforcement. If this is mentation of government action plans and correct, UNDP’s efforts to refine a framework programmes. These include the National may be misplaced. Insufficient participation by the Environmental Health Programme and environmentally conscious civil society sector also Programme for Sanitation Facilities. It also may have influenced the effectiveness of environ- call for creation of a legal framework that mental governance. On the other hand, assistance enables clear definition of responsibilities, by to the water sector, as the first attempt to address assessing the needs for institutional capacity governance issues in that sector, is fully relevant. to implement the legal framework on water and sanitation; 4.3.2 Sustainable Land Management and Biodiversity Increase knowledge and practice on water protection and conservation among profes- UNDP supports the development of a legal sionals, communities and schoolchildren framework for environmental management in through trainings and study tours on water Mongolia. Yet based on worldwide experience, engineering, sanitation and hygiene, as well UNDP has been keenly aware that even the
138 ‘Joint Programme on Water and Sanitation in Mongolia 2007-2011’, project document, UN Country Team in Mongolia, January 2008. 139 Ibid. and interviews.
5 4 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS best legal and regulatory framework for environ- The projects implemented by UNDP cover a mental sustainability has limited impact unless wide range of issues, from desertification141 to the communities directly concerned, often poor improvement of land pasture management and and at the edge of survival, find it beneficial to preservation of biodiversity.142 In broad terms, support enforcement of these rules. Certainly in these projects have one common objective: to Mongolia there is a need to strengthen enforce- preserve an environment, or at the very least ment of laws, but advocacy in that area does not to minimize its degradation. These projects preclude the need to work with communities to also cover a wide array of ecological zones in start addressing the problems they face. Mongolia, with biodiversity projects focusing on two internationally important zones: Altai-Sayan Starting in 1997, through implementation of a (mountainous and forested mountainous areas in 140 biodiversity project in eastern Mongolia that the west and northwest) which stretches through extended well into the period under review, the territories of the Russian Federation and UNDP has used a community-based approach in China and are included in Global 200;143 and the most of its environment-related projects. Based Great Gobi Ecosystem (the southern and south- on experience with such an approach, the imple- western Gobi regions), one of the largest desert mentation of a community-level management ecosystems in the world. Both zones make up an model requires: important share of national protected areas.144 In the meantime, land management projects have securing user rights over resources, which covered the central and eastern steppes, which in Mongolia mostly involves herders’ rights are more prone to desertification, and deserts and over land; forested steppe areas. taking into account land conditions and herd carrying capacity; These projects have different rationales. For some the primary objective is improvement of establishing community structures to livelihoods through better use of land resources, strengthen users’ negotiating power with while others target preservation through devel- local authorities and service providers; opment of income-generating activities that have including provisions and options for inten- minimum impact on the environment. The differ- sifying land use, including appropriate ences may seem subtle at first, as both cases seem livestock composition such as the ratio of focused on better livelihoods and environmental goat to sheep; preservation, an attractive theoretical construct but in practice a delicate balance to achieve. It is having access to an early warning system clear from experience that attempts at environ- covering pasture and environmental conditions. mental preservation are prone to failure if they do The community-based approach requires estab- not also contribute to improved livelihoods of the lishment of a partnership between herders or groups people most directly affected. There is a clear link of herders and local authorities, with an agreement between poverty and conservation/preservation. from higher levels of public administration. However, the success of such an initiative will
140 ‘Biodiversity Conservation and Sustainable Livelihood Options in the Grasslands of Eastern Mongolia’, project document, UNDP and GEF, Ulaan Baatar, 1997. 141 ‘Sustainable Land Management to Combat Desertification in Mongolia’, UNDP Mongolia, project document. 142 ‘Community-based Conservation of Biological Diversity in the Mountain Landscapes of Mongolia’s Altai Sayan Eco-region’, project document, UNDP Mongolia, 2003. 143 The Global 200 is the world’s most outstanding habitat areas, possessing rich biological resources (World Wide Fund for Nature). 144 Currently, 14 percent of the total territory is protected. The country’s goal is to reach 30 percent.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 5 5 be assessed according to the degree of progress Given the social context of Mongolia, creating towards the primary objective, whether it is liveli- herder groups gives the headers a stronger voice hood or preservation/conservation. in local governance. The problem may be not in the creation of the groups themselves but in the In that regard, it is interesting to note that incentives provided by the projects to promote some stakeholders involved in initiatives closely formation of groups.145 A visit to a group of related to that of UNDP seem to disagree with herders suggested that the project in question had UNDP’s focus on livelihoods in its sustainable provided not only technical assistance but also a pasture management project. It has been implied well, a small tractor and seedlings, benefits that that, if the project was presented as a livelihood went well beyond the herders’ probable contribu- project to the herders, they may perceive it as a tion. Whether this group will remain after project way to improve their income and lose sight of support ends will likely depend on whether or not the long-term need to change their behaviour the gains from the project are sustainable and are to attain a more sustainable livelihood. On the sustained by the herders. In that regard, the ADR other hand, a greater focus on the land and what team wondered whether a comment in one evalu- it represents to the herder community would ation report is representative of a more general constitute an education and awareness process issue: “Most of these herders’ groups were solely that may yield fewer successes in the short term dependent on the external support provided by but more durable long-term results. the project and they lacked internal organiza- It is beyond the capacity of the ADR team to tional capacity, structure and leadership.”146 pronounce on this debate, but it sheds light on some issues that were raised during discus- This brief digression does not invalidate the sions and field visits. In discussions and evalua- project achievements. According to stakeholders tion reports, much is made about the number of and project staff, herders who participated in herders’ groups that have been organized over the the project suffered significantly fewer herd losses life of the project and what has been accomplished in the 2009-2010 dzud than did other herders in terms of relationships with local authorities, in the same region. The difference reflected the use of land, preparation for winter and so on. impact of pasture resting and rotation and the However, it appears that a certain percentage fencing of hay fields promoted by the project. If of these herder groups disintegrate or cease to confirmed, this result should prove that, despite the function, and there is little information as to what herders’ misgivings about the community-based percentage remain in existence after the project approach, it yields tangible benefits. However, has finished. Without discounting the individu- in another case,147 the evaluation report found alism that may characterize nomadic herders, the a lack of “any systematic connection between question should be raised as to why groups disin- herders’ groups and natural resource management tegrate when there seem to be obvious advantages and/or biodiversity conservation”. The evaluation to working as a group. The stock answer — a lack team “did not meet any herder groups that were of leadership — fails to address why members of engaged in implementing tangible activities for the disintegrating group do not associate into a biodiversity conservation”. new group to benefit from the advantages that are supposedly demonstrated by the groups that This apparent divergence of results raises remain intact. two issues:
145 Project staff tend to be assessed on the quantitative aspects of meeting output targets because in most cases the qualitative elements of progress towards objectives and outcomes depend on subjective assessment. 146 Murray et al. 2009, p. 63. 147 Ibid.
5 6 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS At the very least, a cross-project evaluation zone, improvements in conditions in the project of the effectiveness (and sustainability) of the area can open the way to ‘free riders’ from outside, community-based model of resource manage- which has happened in a number of projects. ment should be undertaken to identify the conditions under which it is appropriate and Working across administrative boundaries to yields results as well as the reasons that hinder cover an eco-zone may be beyond the resources its effectiveness in other cases. available to UNDP. However, the logic of the approach and the potential of impact should lead In the implementation of a development UNDP to forge partnerships with the Govern- project, there is a fine line between providing ment and other development partners to identify conditions for beneficiaries to assume the eco-zones and the issues they face, design responsibility for project activities and having complementary activities among partners and the project (its staff and other recruited build a management system to coordinate and personnel) undertake these activities. To implement the activities. It is through such a 148 meet output targets, project staff tend to pooling of human and financial resources that substitute themselves for direct stakeholders, UNDP could make a substantial impact. thus distorting project achievements. For projects dealing with natural resources It is unfortunate that the assessment of this part of management, whether pasture or biodiversity, the UNDP portfolio can rely only on evaluation results have been very localized. The processes reports and comments from project staff, since these leading to the results have yet to be duplicated to sources tend to focus narrowly on outputs and can an extent that would affect the identified ecolog- offer little information about outcomes. An illus- ical challenges. Nevertheless, these projects stimu- trative example can be found in the evaluation of lated awareness of the issues among the population the Sustainable Grassland Management Project.149 and policymakers. Some of the projects supported Regarding outcome 3, “herder community asso- the creation and capacity development of a unit ciations have the capacity to identify economic dealing with pasture and land management in the opportunities and to negotiate service contract Ministry of Food, Agriculture and Light Industry, with outside providers”, the evaluation states: “35 though it has not been fully integrated into of 72 herders’ groups are involved in commercial ministry structures. A law on pasture has been activities developed with the project support… drafted and submitted to the Government for The project contributed to develop an entre- debate. It recognizes the importance of securing preneurship mentality... herders groups… have access to pasturelands through legalized regula- enhanced capacities to identify and negotiate with tion and incorporating the concept of commu- services providers and markets”. This comment nity-based management of pastoral resources. only reflects the herders’ participation in training and provides only an unsupported statement that In summary, activities for environmental pres- the training has improved capacities. ervation, conservation and rehabilitation are relevant not only because they are part of inter- Administrative boundaries are artificial parcelling national commitments but also because in of the land and have little to do with nature itself. Mongolia they are an integral part of the national UNDP projects attempting to deal with ecolog- culture and livelihood. Assessing effectiveness of ical issues seem to have been limited to certain these interventions, the ADR team can only echo administrative areas that did not sufficiently cover a 2006 internal outcome evaluation of the envi- individual ecological zones. By working within ronmental portfolio, which found that results of administrative units smaller than an ecological activities in this field tend to be too localized. In
148 Ibid. 149 ‘Sustainable Grassland Management Project: Terminal Evaluation’, UNDP Mongolia, February 2008, p. 3.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 5 7 addition, no ex post evaluation has taken place, so assistance of GEF, UNDP launched the project it is not clear whether the improvements seen at Commercialization of Super-Insulated Buildings the end of the project have been maintained. The in Mongolia’, known as EEH (for energy-efficient practices demonstrated by various interventions housing), which was evaluated in 2007.150 In 2009, are not replicated, or if they are, not to an extent with the assistance of GEF and the Korea Energy that contributes to elimination of the problems Management Corporation, UNDP launched a they were meant to address. new project, Energy Efficiency in New Construc- tion in the Residential and Commercial Buildings Sector in Mongolia, known as BEEP (for Building 4.3.3 Energy Issues Energy Efficiency Project). Mongolia has an extremely harsh winter climate, with temperatures ranging from -10 C to -30 C The ultimate objective of EEH and BEEP is at midday and falling to as low as -40 C at night. to generalize the spread of properly insulated Buildings must be heated for up to eight months buildings in Mongolia. But BEEP also includes a year. In urban areas, most heating is provided assistance to review and draft a “modern, user by low-cost soft coal, with unsustainable use of friendly, less confusing, lower compliance cost, wood in northern urban areas. In Ulaan Baatar, more effective and proper performance-based it is estimated that 60 percent of families, mostly Building Code/Norms/Standards energy effi- 151 poor, live in ‘ger areas’, inhabiting traditional ciency system that is more appropriate for Mongolian felt gers and slightly larger informally Mongolian conditions and that will be strictly constructed houses with minimal thermal insula- enforced by the relevant government agencies”.152 tion, resulting in high heat loss. If successful, this component could contribute to better living conditions for Mongolians in As a result, urban air pollution — both particu- general. However, the issue, as often, is not in the lates and greenhouse gases — is extreme during legal or regulatory framework but in the imple- the winter. In Ulaan Baatar it has been estimated mentation of that framework. that the ger areas generate up to 90 percent of heating-related pollution. Poor insulation leaves Although the types of insulated houses promoted gers and informal houses under-heated despite by the two projects are quite different and the BEEP the significant share of income that poor families project is still young, the evaluation of the EEH must allocate for heating. project sheds interesting light. The EEH focused its efforts on insulating straw-bale buildings before Long aware of this issue, UNDP has initiated expanding its activities to ger insulation blankets. several projects that aim to increase awareness To summarize the evaluation report: of the need for better insulation of residential housing. These efforts have focused on individual The EEH project focused largely on new housing, which was rare in socialist times but has formal construction through a technology grown rapidly since then in the outskirts of cities. that, “at time of project design, was not a main- UNDP implemented the Provision of Energy stream commercial technology anywhere in Efficiency for Social Services (PEES) project the world, in spite of over 20 years of devel- from 1997 to 2001. In 2002, again with the opment, technical support and publicity”.153
150 Pool and Lodon 2007. 151 More appropriate relative to the Soviet-based system inherited from the socialist area and still in place. 152 ‘Energy Efficiency in New Construction in the Residential and Commercial Buildings Sector in Mongolia’, project document, UNDP Mongolia, 2009 153 Pool and Lodon 2007. The report pointed out that in the United States, after more than 20 years of effort, only around 500 straw-bale buildings had been built, and that only around 2,000 were known to be in existence around the world. Thus, the project’s expectation of building 15,000 to 20,000 in Mongolia was unrealistically ambitious.
5 8 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS Furthermore, straw-bale buildings deviated BEEP promotes a different type of insulated from what Mongolians tend to expect in an houses,154 and the issue of availability of materials individual house. Since housing is one of a has largely been addressed. However, discussions household’s largest investments, achieving between the ADR team and the BEEP team acceptance was difficult, at least initially. suggest the approach followed by BEEP may not The focus of the project on straw-bale have addressed the critical gap mentioned in the buildings was not supported by a sound EEH evaluation, between the technical demon- analysis of the supply chain needed to store stration of a product or system and the needs and quality straw from the autumn harvest in conditions for its mass-market development. northern grain areas through the long winter and then transport it to urban areas to meet On the basis of some demonstration houses built by an uncertain demand. GTZ, the BEEP project has commissioned designs from a local construction company and is working The focus on straw-bale buildings also with Xas Bank to implement a mortgage scheme discounted the use of other insulating to finance construction. The project document does materials more widely available in local not claim an anti-poverty objective. But given that markets, such as expanded polystyrene sheets, an estimated 90 percent of winter heating-related which are already used in construction, both formal and informal. It is recognized that the pollution originates in the ger areas around Ulaan polystyrene sheets are all imported, mostly Baatar and that project documents refer specifi- from China, and vary widely in quality, a cally to the ger districts, it is clear that the project problem that would have needed attention. intended to benefit people in these areas by estab- lishing a system to reduce air pollution, so the poor The EEH project did not pay enough attention are the de facto target population. to the gap between the technical demonstra- tion of a product or system and the needs and The preliminary figures for construction costs and conditions for its mass-market development, financing (see Table 9) suggest that a purchasing especially with few or no subsidies. household would have to come up with a down The EEH evaluation focused almost exclusively on straw-bale buildings, which were the focus of the project document, and hardly mentions the Table 9. Preliminary BEEP figures on ger insulation blankets. After the initial (heavily financing for insulated housing (MNT, %) subsidized) provision of these blankets as a demonstration, the demand for them crashed. A House size 35 sq.m 65 sq.m probable reason was the prohibitive cost of these Building costs 15,374,000 26,998,770 blankets for people with little savings and precar- ious income. Down payment 3074000 5,399,700
In short, while the EEH evaluation recog- Monthly payment 225,590 396,460 nized that the project met its outputs and raised Minimum required 528,400 698,800 awareness about energy efficiency, the initiative monthly income has not achieved sustainability. The evaluation suggested that the core reason for the project’s Share of housing in 42.7% 56.7% monthly income limited impact was that the enthusiasm for a tech- nology that met all the environmental considera- Required monthly income 234.9% 310.7% tions was not followed by sufficient attention to over GDP per capita the practical aspects of extending it. Source: Project estimates and IMF
154 Insulated masonry house, insulated timber-framed house, structural insulated panel house.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 5 9 payment estimated at MNT 3 million to MNT and have not given enough attention to economic 5.4 million and then spend between 42.7 percent and financial issues that would prop up their and 56.7 percent of the minimum required sustainability. As a result, as shown by EEH and monthly income on repayment of the loan. In suggested by the direction of BEEP, significant turn, the minimum required monthly income resources are applied towards an objective that is would represent between 235 percent and most likely unattainable under the circumstances. 311 percent of the estimated GDP per capita. Assuming households with both parents earning at incomes at that level, the monthly loan repay- 4.4 cRisis Prevention ments would still represent between 117 percent and Recovery and 155 percent of household income. As it Following a drought that reduced the fodder crop is, the loan repayment would amount to 42.7 for animals in many parts of the country during percent to 56.7 percent of the required minimum the summer of 1999, the winter had unusually income. The ADR team accepts that these figures may not be final and may be subject to revisions. heavy snowfall and ice, preventing millions of However, it is unlikely that revisions would bring livestock from grazing. By May 2000, 2.6 million them down to affordable levels without substan- livestock had perished — 7.8 percent of the entire tial subsidies, which the project cannot afford and herd. The following winter was even more severe which would put sustainability in question. and resulted in the loss of over 1 million livestock. These two consecutive years of drought and dzud In addition, poor households are unlikely to undermined the food security of large numbers of have saved the amount necessary for the down people, especially nomadic herders. This in turn payment, and a 100 percent loan shifts all the risk exacerbated inequities between rural and urban to the lender, a commercially unviable solution. It populations and drastically hampered develop- has been proposed that the plot of land underlying ment efforts. Mongolia has also experienced the houses could provide collateral and therefore other disasters, including wildfires and outbreaks security for the loan. Although this proposal is of animal diseases.155 attractive at first sight, it does not address the issue of providing the borrower with an incentive At the country’s request, UNDP established a to repay, since the land to be used as collateral was project to strengthen the national system for granted for free to the families occupying it. The disaster preparedness and response manage- only risk to borrowers under this scheme would ment. This support has been extended through then be the possibility of expulsion, a risk that two other projects into the current program- borrowers who have put up a down payment face ming cycle. Although distinct, these projects anyway in addition to loss of the down payment. work in parallel and are consistent with UNDP’s objective of supporting environmentally sustain- Although the project has good intentions, meeting able development. its objectives would require an unsustainable level of subsidies under current conditions. The UNDP’s goal in Mongolia between 2002 and objective of energy conservation is highly relevant 2010 has been to improve national capacity to for Mongolia as it could decrease air pollution manage disasters and risks. This goal is supported and improve the welfare of the poor through with concrete objectives to (i) establish a legal better housing and more disposable income. and institutional framework involving cross- However, the effectiveness of UNDP’s approach sectoral and civilian-based disaster manage- can only be seen as poor. The projects seem to ment; (ii) support implementation of laws; (iii) be focused almost exclusively on technical issues enhance the country’s technical and institutional
155 Ministry of Environment, Nature and Tourism, ‘Report on the State of Mongolia’s Environment 2008’.
6 0 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS capacity; and (iv) promote partnership among all These UNDP projects have greatly contrib- related stakeholders at national and local levels, uted to increasing the capacity of NEMA and including communities. These projects assist its branches in 21 provinces and 9 city districts. Mongolia in fulfilling its commitment to the Training, equipment and knowledge and infor- Hyogo Framework for Action 2005-2015: Devel- mation services, including risk and needs assess- oping Resilience of Nations and Communities ment, have reached all offices and staff. As a result, to Disasters, which calls for implementation of awareness and use of disaster and risk manage- disaster management and preparedness through ment are growing among staff, especially in concerted actions. outlying and remote areas, which are more prone to natural disasters. The objectives of building UNDP has taken a multi-year and phased a legislative and institutional framework and approach. Successive projects build on achieve- enhancing the capacity of NEMA have largely ments of previous phases and systematically been met. NEMA is positioned as the key agency address the issues in successive phases. The for disaster relief and management in Mongolia. planned outcomes for each phase were spelled out at a series of national conferences156 in 2001, But much still needs to be done to promote 2004 and 2005: national partnerships for risk reduction and community-based disaster management. Meeting In phase I, in 2002, the legal environment this objective is essential to achieve the goal of was set up, based on a new concept of disaster enhancing overall national capacity, meaning management that promoted sectoral and involvement of sectoral institutions, the private inter-sectoral interventions. A new National sector, NGOs and communities. NEMA’s coop- Disaster Management Agency was estab- eration with other agencies is limited; it exchanges lished, combining a fire brigade, state reserve weather news with the Meteorological Institute, fund and civil service, functions that had and with the Education Institute is drafting a previously been served by different agencies training programme on disaster management for with separate activities. possible integration into primary and secondary During phase II, the new law was updated school curricula. in 2005, reflecting the country’s need to As required by law, councils are established at all combine disaster management with disaster levels of administrative structures, and some minis- mitigation and prevention. The technical tries appoint officers in charge of emergencies.157 capacity of the National Disaster Manage- NEMA is responsible for facilitating the coor- ment Agency (renamed National Emergency dination of these structures and for establishing Management Agency, NEMA) was further a national partnership to serve as a network of supported with training and provision of organizations that could mobilize their resources some equipment. to respond to an emergency. As made clear during In phase III, the focus is supporting NEMA the 2009-2010 dzud, these partnerships have yet to capacity, increasing public awareness and operate. Interviews clearly suggested that delivery expanding community-based disaster of dzud relief services was seriously delayed by a management while integrating preparation lack of critical information and of coordination, for the consequences of climate change. for which NEMA was responsible.
156 The conferences involved a wide range of actors, from high-level decision-makers to NGOs, local communities and inter- national donors. They discussed the needs and priorities in enhancing the country’s capacity and resilience to cope with natural disasters. The objectives of UNDP’s three projects reflect the needs and priorities that were formally expressed at these conferences. 157 For example, the ministries of Agriculture, Food and Light Industry; Health; Nature, Environment and Tourism.
CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS 6 1 UNDP has promoted the establishment of 40 upgraded through training and some equipment herder groups in eight high-risk soums, providing across the country, and its internal coordination small grants to enhance their resilience to natural has improved. However, after almost nine years of disasters. As pointed out by the final evalua- support, NEMA has yet to develop the network tion report, this effort succeeded in motivating of partnerships with institutions and community herders to form groups, raised their awareness of organizations that would create the conditions for disaster reduction strategies and implemented the NEMA not only to mitigate disasters but also to grants to support their livelihood or risk prepar- respond to them effectively. edness. Best experiences were shared among herder groups through festivals. This experience With relatively moderate funding (barely over in community-based disaster management is to $4 million), the projects managed to reach 4,000 be expanded to four new soums and two duuregs. beneficiaries (NEMA staff ) and 40 herder groups and provided some equipment. This is a According to the project manager, a system for good indicator of resource use. The impact and effective partnership among stakeholders is to efficiency of resource use could have been even be detailed in a draft framework of actions going greater if the high turnover of staff within NEMA forward to 2015. It is to be renamed as a national plan had not required successive training sessions on and strategy, and when approved it will formalize the same topics. While a certain amount of staff the mechanism for inter-agency collaboration. turnover is normal, the turnover at NEMA seems to have increased the cost of building the capacity In summary, UNDP’s support to disaster manage- of personnel. ment and mitigation in Mongolia is highly relevant to the country’s needs and priorities. It The sustainability of results achieved by the end has contributed to filling a gap that exposed the of the third project will depend on whether issues vulnerabilities of citizens. UNDP has helped to set (many beyond the control of UNDP) that have up a legislative framework and establish NEMA, slowed capacity building in NEMA, notably a core government institution in charge of disaster the staff turnover, can be resolved and whether management and mitigation. The technical NEMA is managed professionally without being capacity of NEMA and its branches has been overly affected by political considerations.
6 2 CHAPTER 4. CONTRIBUTION TO DEVELOPMENT RESULTS Chapter 5 UNDP’S STRATEGIC POSITION
5.1lev Re ance The breadth of the development strategy and its accompanying Action Plan 2008-2012 did not To assess whether UNDP programmes have been necessitate any change in UNDP’s programme; addressing the development challenges and priori- the activities under the CPAP fit well under this ties that support national strategies and policies,158 broad framework. the first task is to analyse the development of the national strategies and UNDP programmes. All activities supported by UNDP that were As discussed in Chapter 2, when the CCF II reviewed by the ADR team (as reported in was prepared in 2001, the Government had just Chapter 4) were assessed as relevant in that they launched the GGHS programme and constituted addressed aspects of important issues for the working groups to design corresponding national country’s sustainable development. However, the programmes. When the CPD and CPAP were limitation of resources available to UNDP from prepared in 2006, the programme under imple- its own funding and other development partners mentation was the EGSPRS, a medium-term has limited its ability to address broad issues programme that soon came to an end. The that could have pushed the country towards the EGSPRS focused almost exclusively on reduction intended development results. As pointed out in of poverty in financial and economic terms; it did Chapter 4, UNDP-supported initiatives can largely not address democratic governance or environ- be characterized as having succeeded since they mental sustainability. It was only in 2008 that the achieved intermediate goals. But they had only Government drafted and the SGK adopted the had localized impact, geographically and institu- MDG-based Comprehensive National Develop- tionally, and they have yet to make a significant ment Strategy 2008-2021. The comprehensive- impact towards the overall objectives. Illustrative ness of the issues discussed may not be sufficiently examples from the last two programmes include: balanced by clear prioritization of the actions to be implemented. Support for greater integrity and transpar- ency in the public administration, despite While not inconsistent with these official frame- having made notables strides in developing works, the two successive UNDP programmes the capacity of key institutions such as the were designed less as direct responses to these IAAC, has not translated into an effective frameworks and more as internally formulated anti-corruption force, as the downstream initiatives to address the shared diagnosis of judicial institutions that have to adjudicate the challenges facing the country. Nevertheless, the cases remain weak. given the obvious close collaboration between the Government and UNDP over the period under Support to land and pasture management study, UNDP’s programmes and their compo- appears to have had an impact on at least some nents were designed in full agreement with the of the herders’ groups that participated and in Government, even though there was no clear focusing greater attention on land degrada- strategic framework to guide them. tion among policymakers. But outside these
158 According to the ADR Manual, March 2010 (draft), the relevance of a UNDP programme is assessed by “whether it has been addressing the development challenges and priorities in support of national strategies and policies” and “whether UNDP’s programme and strategy has leveraged national development strategies”.
CHAPTER 5. UNDP’S STRATEGIC POSITION 6 3 project areas (and those of other development to address a development constraint, especially partners) the conditions that led to imple- when other stakeholders are present and active mentation of these projects remains the same. in that field. Besides the financial and human resources that need to be mobilized, implemen- Support to business development in regions tation of an effective strategic approach requires through EMP has had an impact on some the buy-in of all stakeholders so that activities are small businesses, but it could not create harmonized and don’t operate at cross purposes. the conditions for sustainable provision of business development services or access to For UNDP, the path towards a more strategic credit for these businesses. programme approach rather than a project-driven The contributions of these projects to the broad modality passes through much closer collabora- objectives they intended to achieve may have been tion and cooperation with other stakeholders. limited not so much by the nature of the imple- This would allow sets of activities to be designed, mented activities as by the fact that these projects coordinated and implemented to address all acted in isolation and could not deal effectively the tactical targets, thus leading to the success with the broader issues affecting them. In that of the agreed strategy and achievement of the regard, the ADR team proposes that UNDP’s intended outcomes. This modality of close achievements may have been greater if UNDP integration with other stakeholders would give had been able to leverage its resources through true meaning to the partnerships created. It would closer collaboration with other development also provide a concrete platform to promote partners. In advancing this hypothesis, the ADR greater aid coordination by starting on well-iden- team recognizes that Mongolia is no longer a tified common objectives. priority country for a number of funding partners that frequently collaborate with UNDP. This 5.2.omot Pr ion of United Nations limits the resources they make available to their Values from a Human country programmes, thus limiting somewhat the Development Perspective areas under which mutual leveraging of activi- ties could be possible. However, on a number of Mongolia offers a particularly successful example of occasions, UNDP projects were implemented in UNDP efforts to promote United Nations values. parallel to partners’ projects with relatively similar It is not often that these values, the MDGs and the objectives and much larger resources. Under these concept of human development feature so promi- conditions, it is quite possible that closer collabo- nently in official proclamations, policy documents ration could have helped enhance the results. (such as the MDG-based Comprehensive National Development Strategy) and in institutions (such as If a strategy is a carefully designed plan to reach the Human Development Fund). This achieve- an outcome, and a tactic is a tool for accom- ment can only be the result of close collaboration plishing a specific target towards that outcome, between UNDP and successive governments over parts of UNDP’s programme over the last decade the years, and the support that UNDP has provided present themselves as a series of tactical moves to the transition to democracy. that are not necessarily coordinated through a clear strategy. In that context, to use another It can be argued with some justification that military analogy, skirmishes may be won, but the these references to United Nations values are still conditions to end the conflict remain formidable. largely limited to proclamations and documents, and that in a number of cases a significant gap The question remains whether any single develop- exists between the intent of these statements ment agency could be expected to assume respon- and the actual implementation. An illustrative sibility for implementing a full strategic approach example may be found in the issue of women’s
6 4 CHAPTER 5. UNDP’S STRATEGIC POSITION access to positions of power. Despite an apparatus address issues of concern to the people that could that is supposed to guarantee gender neutrality, have been picked up if UNDP had involved civil women hold few positions in the top ranks of society more regularly. the public administration. And, despite having adopted the MDG target of 30 percent women’s A key development over the last decade has been representation in the SGK by 2015, in spring the emerging prospect of a mining boom that, 2010 members of the SGK were still discussing a through taxes and royalties, could significantly threshold of 15 percent. increase the level of resources available to support the development agenda. On the downside, this Without minimizing the slow implementation opportunity also carries the risk of serious damage of United Nations values in Mongolia, the ADR to the environment. Some international organi- team came to the assessment that UNDP has set zations, such as the World Bank and the Interna- a fertile ground for support to these values by tional Finance Corporation, have been advising expanding the discourse about them beyond official the Government on management of the mining circles. Representatives of NGOs and CSOs refer sector. UNDP’s programme does not appear to regularly to either the set of United Nations values have been involved to the degree expected, given or to specific values, and the concept of human its close collaboration with the Government at development is a recurrent one. But the institu- the policy level regarding human development tionalization of a course on human development and the MDGs and at the sectoral level on envi- at the university constitutes probably the strongest ronmental issues. guarantee for the sustainability of the concept in Mongolian life and its continued dissemination among the population. This growing awareness 5.4. iMPLEMENTATion Issues and sensitivity to the human development concept and approach is likely to translate into demands 5.4.1rtnersh Pa ips for effective policies. The CCF II document refers explicitly to part- nerships under its proposed cross-cutting inter- 5.3.spons Re iveness ventions, specifically indicating that “UNDP will work closely with the Government of Mongolia UNDP has certainly been responsive in times of to ensure that its programmes are in line with crisis. It responded with assistance to the 1999-2001 dzud and initiated support to modernize and build government priorities… UNDP will also work the capacity of a crisis preparation and response with other United Nations agencies to achieve agency, NEMA. In 2010 it mobilized resources to the goals specified in UNDAF… the country address the most immediate needs in response to programme will also draw on the regional the 2009-2010 dzud. programs of UNDP in its three thematic areas…”. Yet neither the CPD nor the CPAP makes any The question remains whether UNDP has been reference to partnerships. sufficiently responsive to other latent or devel- oping issues in Mongolia in a way that could have Partnerships outside the United Nations system helped contribute to advance the human develop- tended to be informal, resting less on joint ment agenda. In that regard, the ADR team noted efforts towards common objectives and more on that UNDP activities implemented in support of exchange of information. The UNDP Resident these policies or strategies appear to have only Representative certainly seems to have engaged in marginally involved public participation, partic- fostering such a process through regular meetings ularly of CSOs, whether with regard to demo- with development partners. The feedback cratic governance or environment-related issues. received from a number of them indicates an Thus UNDP may have missed opportunities to expectation for a more active coordinating role by
CHAPTER 5. UNDP’S STRATEGIC POSITION 6 5 the Resident Coordinator.159 On the other hand, 5.4.2 iMPLEMENTATion of the one major bilateral donor made clear its interest NEX Modality in an active exchange of information but not “in All UNDP projects in Mongolia are implemented being coordinated”. under the NEX,161 according to which the staff of the institution hosting the project is supposed This difference in position may reflect less an to assume all responsibility for project manage- actual difference in approach than a difference in ment, including execution of activities, financial the interpretation of what coordination entails. control and procurement. However, implemen- For UNDP and the Resident Coordinator to respond effectively to requests for a more active tation of NEX in Mongolia normally includes role in coordination, a clear understanding would a PMU/PIU, staffed with personnel who do not be needed about what coordination involves, belong to the institution and work under contract its limits and the role that a government repre- to the project. The persistent use of PMU/PIU is sentative would play in that process. Also needed contrary to the principles of the Paris Declaration would be an agreement on sources of financing on Aid Effectiveness, and the number of parallel for that process. PMUs/PIUs is an indicator in the Declaration’s implementation monitoring. The responsibilities Collaboration (at least as exchange of informa- of PMU/PIU personnel depend on their terms tion) with institutions outside the United Nations of reference; duties can range from providing was not restricted to upper management. The technical expertise to project management and ADR team received clear indications that UNDP financial management. The most direct involve- staff and the managers of some projects inter- ment of institution staff in project management acted actively with managers of similar projects is through the national project director. This financed by other development partners. individual has the authority and responsibility for approving project expenditures, particularly those Most heads of United Nations agencies indicated that have to be paid through the project account. their appreciation160 with the collaborative attitude of UNDP management. Agencies without official In essence, implementation of NEX in Mongolia representation but with a bureau staffed by is a hybrid modality that deviates from the basic Mongolian nationals also expressed their appre- principles of NEX. This way of implementation ciation for the decision by the Resident Coordi- probably does not contribute to the key objectives nator’s Office to participate in a broader range of of NEX: the development of ownership and of coordination meetings, beyond those needed for institutional capacities. Nor is it likely to achieve drafting the CCA and UNDAF. An indication of the effectiveness and efficiency of the direct the willingness of UN agencies to collaborate can execution (DEX) modality. be found in a number of joint programmes, such as HIV/AIDS, gender-based violence and water and To the question of why UNDP continues sanitation. (These joint programmes are not imple- to operate under this hybrid NEX modality, mented through a single budget; distinct compo- the standard answer provided to the ADR nents are implemented in parallel by each agency.) team emphasized the lack of capacity of the
159 The distinction between the responsibilities of the UNDP Resident Representative and the UN Resident Coordinator is not always clear to the heads of bilateral agencies’ representations in the country, who may use the terms interchange- ably. Some assumed that the Resident Coordinator’s role is to promote aid coordination among all donors rather than only among the United Nations agencies. At time of the ADR mission, however, the Resident Coordinator position was assumed ad interim by the UNICEF Representative, and it was the UNDP Resident Representative ad interim who engaged in promoting exchanges between donors. Hence the distinction was clear. 160 The extent of the development of partnerships and inter-agency collaboration over the two programme cycles is difficult to assess because of the turnover of heads of agencies. The assessments here therefore tend to be based on their recent experience. 161 With the exception of the 2010 response to dzud.
6 6 CHAPTER 5. UNDP’S STRATEGIC POSITION implementing agency. This generic response first recognizes the possible risks involved in this way raises the questions of who determines this lack of implementing the NEX modality. of capacity, and how, and exactly what capacity is lacking. Finally, another issue is that financing of PMU/ PIU could further raise overhead costs, thus The prevalent use of PMUs/PIUs for project limiting the resources available for substantive execution further leads to a fundamental question: project activities. If UNDP had not offered the implementing agency this option for project execution,162 and Since UNDP has been active in Mongolia for 35 if the project were supposed to meet a priority years, it is reasonable to suggest that the time has government objective, would the agency be come to shift to a truer NEX modality that would meet the criteria of the Paris Declaration. In willing to take action to achieve the same that regard, preparation of the next programme objective as per its mandate? If not, it puts into should provide an opportunity to draft a strategy question whether the project objective was really for a transition towards a complete implementa- a priority for the Government and whether the tion of NEX. agency would need to act on it regardless, or whether it was a UNDP-induced action that the agency would take only if a UNDP-hired PIU/ 5.4.3 Delivering as One PMU would take care of it. In line with the prin- ciples of national ownership of the development The ADR team was informed that the Govern- ment of Mongolia has contacted the Office of process, UNDP is supposed to play a supporting the Secretary-General to request that Mongolia role to the Government when it takes priority be included among the countries implementing actions for achievement of its development goals. the ‘Delivering as One’ (DaO) initiative. Moving In its support, UNDP could provide some opera- into the DaO modality would affect UNDP’s tional resources or specific technical expertise. future strategic position, so this issue deserves The use of PIUs/PMUs hence does not seem to some attention. follow these principles. The DaO initiative aims to advance beyond the Concerns were also raised about a project director UNDAF towards a truly unified programme. who has the authority to control resources but, Operating under four principles — One Leader, because of the presence of the PMU/PIU, does One Budget, One Programme, One Office — it not participate in project implementation. Would allows all the agencies to share their comparative this person have sufficient incentive to choose advantages. The objective is to enhance the contri- the most efficient and effective course of action bution to results while lowering overhead costs to achieve the project results? Or would he/she through consolidation of programmes. The Govern- consider the project a supplement to his/her ment would deal with a single counterpart, stream- institutional resources? A case in point concerned lining coordination, management and supervision of a project that called for involvement of outside the programme. In theory, the initiative appears to stakeholders, notably civil society, but the project present only advantages both to the United Nations director did not involve any outside stakeholders and to the country. Whether the scheme can be in implementation. While the ADR team could implemented successfully may be another matter not examine such claims on individual cases, it entirely, and subject to a set of conditions.
162 Normally, PMU/PIU is also financially supported by UNDP. For example, the personnel of a UNDP project, PREF I, were detached from the MoFE and “the remunerations of the Poverty Research Group (PRG) national professional staff was…covered by UNDP under a reimbursable loan agreement with the MoFE under which UNDP reimbursed the Government of Mongolia for staff seconded under the label”. Incentive payments were paid by UNDP, although the staff making up the PRG never left government service. The Government therefore has little incentive to prioritize the projects from the financial aspect as well.
CHAPTER 5. UNDP’S STRATEGIC POSITION 6 7 Evaluations of pilot DaO initiatives in a number agencies is the Ministry of Foreign Affairs, which of countries suggest that successful countries had has little direct responsibility for implementation a firm commitment to aid coordination and had of activities related to development priorities. It undertaken effective steps towards achieving that could hence be said that the basic conditions for goal. In these cases, DaO was not an isolated effective implementation of DaO in Mongolia initiative but part of a broader national process have yet to be fulfilled. of asserting ownership of the country’s develop- ment process and strengthening horizontal coor- However, the government’s request for it should dination and collaboration within the Govern- be seen as an opportunity for the United Nations ment. In particular, entering into the DaO to build on previous initiatives and to advocate initiative implies realigning relationships among for setting up an effective system for national UN agencies and sectoral ministries through a management of the development process. The central channel. This would require changes in relatively recent designation of NDIC as respon- how ministries acquire funding from and engage sible for coordinating and monitoring the NDS in activities with UN partners, and hence it is a sound first step. It needs to be completed by requires strong political resolve. Further, it seems entrusting NDIC with responsibility for coor- that in the pilot countries the principles of the dination of national policies and international Paris Declaration were being implemented more assistance, and for implementation of the Paris successfully than in Mongolia. Declaration principles. To be able to assume Aid coordination in Mongolia has been focusing these expanded responsibilities, NDIC will need almost exclusively on loans and investments. It strengthened capacities, through a programme of does not appear to involve much technical assist- technical assistance and participation of its staff ance, which is the main input of the UN agencies, in project formulation and evaluations. With or coordination of international assistance with government commitment to a coherent system of national policies. In fact, the deficiency in these management of the development process through types of aid coordination is leading donors to NDIC along with the requisite assistance, the request that UNDP assume a more proactive conditions for successfully implementing DaO role. In addition, the counterpart for the UN could be met within a few years.
6 8 CHAPTER 5. UNDP’S STRATEGIC POSITION Chapter 6 CNUSO CL IONS AND RECOMMENDATIONS
6.1 cONclusions C onclusion 2: The strong partnership with the Government at the strategic level has not C onclusion 1: The strength of UNDP’s relation- always been translated into concordance of ship with the Government of Mongolia has priorities between UNDP and the Government had notable results, leading to incorporation at the level of individual initiatives. Mismatches of core UNDP concerns and values into the were observed between the intent of UNDP’s country’s broad policy framework. UNDP also initiatives and government follow-up actions. successfully promoted human development This has limited the effectiveness of many through its programme activities. UNDP projects. It is notable that policy discussions and documents With many UNDP projects, the activities and regularly refer to the concept of human devel- results were not followed up or taken over by the opment and that a Human Development Fund Government in a way to ensure effectiveness of the was created to manage the resources expected initiatives and sustainability of the results achieved. from greatly expanded mining operations. For example, UNDP has steadily supported devel- The MDGs are intended to constitute the opment of government capacities to collect and framework for the National Development produce data to analyse poverty with a view to Strategy 2008-2021. With support from assisting development of poverty-focused policies. UNDP, the Government has been working to However, policymakers have yet to make regular, extend MDG monitoring to the most decen- effective use of this capacity in formulating policies or drafting annual budgets. Similarly, there have tralized administrative units. The State Great been long delays in considering and passing laws Khural has adopted the MDGs as the law of the related to grassland management, which were land, including a ninth goal on democratic drafted with contributions from the field experi- governance. The creation of the NDIC (in 2009) ence of UNDP and other development partners. A was the logical conclusion of a long process notable exception is the initiative to provide legal of developing an institution with responsibility assistance to criminal defendants. After UNDP for coordinating, supervising and monitoring contributed to setting up the system, the Govern- implementation of the strategy to achieve these ment assumed full responsibility and now bears the goals and achieve middle-income status within core costs of operations. the next decade. Conclusion 3: UNDP’s approach to develop- UNDP also promoted human development with ment challenges in Mongolia over the last its programme activities. It contributed to, for two cycles often appears less strategic than example: improved access to justice by supporting tactical. Each project or activity seems the establishment of Legal Aid Centres and focused on achieving its narrow objective, awareness-raising on domestic violence; improved and efforts are not coordinated to address livelihood opportunities for the poor through common national development objectives its enterprise development programme; and among UNDP’s cluster teams or among improved management of disasters by supporting development partners. the modernization and capacity development of Lack of concerted effort among UNDP clusters the disaster management agency. and among development partners to achieve
CHAPTER 6. CONCLUSIONS AND RECOMMENDATIONS 6 9 commonly agreed national development results engagement with civil society groups in partic- in a most effective manner has led to the lack of ular. However, representatives of a number of sustainable national impact. civil society organizations expressed the view that UNDP had until recently interacted mostly One example concerns poverty and growing with representatives of public institutions, having vulnerability in rural areas, which is seen partly as initiated few meaningful interactions with civil resulting from environmental degradation related society. As UNDP engages with the Government to poor grazing practices. The problem seemed on diverse policy issues, including civil society in to be exacerbated by weakness of the regulatory its activities would help strengthen the capacities framework and lack of enforcement. It would seem of non-governmental actors and the country’s natural, therefore, that the strategy to address such democratic system. an issue would require multi-dimensional inter- ventions involving all cluster teams of the country Conclusion 5: UNDP’s past support has not office. Instead, under the standard project-based led to effective and transparent aid coor- approach, the cluster teams are not prone to dination at policy and programme levels. joining together to address a common objective. Recent progress made by the Government in Similarly, the lack of collaboration (beyond this regard presents a renewed opportunity. exchange of information) with other develop- The Government of Mongolia has pushed ment partners undertaking related projects is forward donor coordination mainly in dealing seriously limiting project results. The knowledge with development aid and investment projects. of other development partners’ activities, such as However, progress has been slow in estab- in grassland management or enterprise devel- lishing an effective and transparent coordina- opment, has not been translated into collabo- tion mechanism that aligns and integrates policy ration that could have leveraged the results of and programme support with national efforts. interventions. Likewise, if another development This has resulted in incoherent policy support or partner had supported judicial reform, it could uncoordinated parallel programmes by different have enhanced the results of UNDP’s assistance development partners. to the anti-corruption authority. These missed opportunities are symptoms of the failure to put With the establishment of the NDIC, the national effort at the centre of development, with Government has made strides towards estab- UNDP and other partners playing coordinated lishing such a mechanism centred on the supporting roles. Comprehensive National Development Strategy. Conclusion 4: Too few examples were found Given UNDP’s experience in this area, it could of public involvement in policy formulation play a useful supportive role in this effort. and programme implementation through civil society groups in UNDP’s programme Conclusion 6: UNDP has been implementing activities, despite its intention to do so. projects mostly under a national execution modality (NEX). This involves a project In Mongolia, voluntarily created civil society management unit/project implementation groups are a relatively recent phenomenon. While unit (PMU/PIU), often staffed by outside many of the more established groups focus on experts and working in parallel to the human rights issues, a growing number address national implementing partner. This practice environmental and social issues. Many are still weak and seeking their voice, which limits their tends to weaken national ownership of the effective contribution to policy discussions and results, limits the projects’ contribution to programme implementation. the capacity development of partner insti- tutions, and calls into question whether the In its documents UNDP often refers to the need projects really address the priority needs of for greater public involvement in general and the national partner.
7 0 CHAPTER 6. CONCLUSIONS AND RECOMMENDATIONS Under the current method of implementing time, UNDP should be more selective in initi- nationally executed projects, a national project ating support and avoiding activities with little director (often a government official) controls the chance of follow-up actions by the Government resources, while responsibility for implementa- to replicate or scale up initiatives. UNDP should tion rests with the PMU/PIU, often staffed by try to refrain from continuing activities if there is hired outside experts and working in parallel to no evidence or likelihood that the capacity and (and not in direct support of ) the national imple- tools developed will actually be used. For example, menting partner. This practice dilutes the respon- activities supporting further refinement of local sibility and accountability of the project director poverty and MDG mapping could become for achieving results effectively and efficiently, superfluous if policies and programmes would while reducing the potential for capacity devel- not make use of the data, tools and capacities that opment of the institution. Moreover, the use of have already been developed. The development of the PIU/PMU calls into question whether the capacities should not be an end in itself; it should projects were really addressing the priority needs be a means to realize an expected outcome. of the Government and the country, or were undertaking activities that the implementing Recommendation 3: UNDP should make a partner would not embark on without PIU/PMU. serious effort to introduce a more strategic and programmatic approach to its activities, focusing on development objectives and 6.2mmendat Reco ions achievement of results. To this end, it should (i) foster more collaboration among its cluster Recommendation 1: UNDP should continue teams and design their activities towards well- and enhance the support extended over the defined common objectives; and (ii) promote past decade to develop capacities to define much closer collaboration, if not integration and implement evidence-based policies of parallel activities, with other development focused on human development. partners where appropriate. By following up on the MDG-based Comprehen- This approach may pose a managerial challenge sive National Development Strategy, identifying in view of UNDP’s operational approach, based indicators and intended results, the Government on clearly assigned responsibilities and account- is now moving from a broad declaration of inten- abilities structured according to projects and tions to a more operational perspective. UNDP practice areas. Closer collaboration or integra- could further support capacity development of tion of activities with other partners would also NDIC, inter alia, through assistance in refining be challenging given the diverse practices, proce- the indicators and designing clearly targeted dures and policy objectives among partners. programmes and then in devising the ways to Nevertheless, such a strategic approach centred implement the strategy. on development objectives and achievement of results is probably the only way for UNDP to Recommendation 2: UNDP should better link make a substantial impact in Mongolia. its assistance to the government’s priority actions and be more selective to this end. Recommendation 4: UNDP should take a UNDP should keep in mind that the develop- more inclusive approach to supporting ment of capacities should not be an end in democratic governance by involving civil itself; it should be a means to realize an society more directly and substantively expected outcome. into its activities. UNDP could also support UNDP should continue to make strategic inter- government efforts to improve participation ventions where they have been making a real of civil society in governance. difference, such as in capacity development UNDP could strengthen public involvement support for disaster management. At the same and thereby democratic governance by involving
CHAPTER 6. CONCLUSIONS AND RECOMMENDATIONS 7 1 civil society more directly and substantively in impact. Instead, UNDP should strive to focus on preparing and implementing its projects and other leveraging national efforts and the government’s activities. This should not be the sole respon- own programmes. sibility of the democratic governance cluster team. It should be achieved through mobilizing For example, when UNDP implements a project existing and developing civil initiatives in a variety as a pilot case of an approach designed to address of areas, from associations for environmental a particular development challenge, it should be protection, to NGOs providing social services, to designed from the outset within the context of advocacy groups engaged in activities relevant to a national programme so that the approach and UNDP’s programme. This would allow UNDP results can be replicated and extended by the to contribute to giving voice to a broad range of Government either directly or through its aid citizen concerns and strengthening the democratic coordination mechanism. process. At the same time it would help in building the capacities of civil society organizations. UNDP Recommendation 6: UNDP should review could also support government efforts to improve its approach to the use of the NEX modality participation of civil society in governance. and initiate a strategy for transition to a full NEX modality by the end of the forth- Recommendation 5: UNDP Mongolia coming programme. should strategically position itself as the Under a true NEX modality, ownership of projects facilitator of national efforts and govern- would lie with the national implementing partner, ment programmes, rather than being a who should be fully responsible for implemen- project implementer. In doing so, it should tation of activities and results achieved. This utilize its comparative strength, such as approach leads to capacity development of the its convening power, global network and partner. UNDP should confine itself to playing value-based approach. a supporting role, providing specific technical UNDP seemed to have been running projects that, assistance and financial support for implemen- while broadly consistent with government policy, tation. It should not effectively take over imple- were mostly additional to and run in parallel to mentation responsibility by establishing PIUs/ the government’s own work. Hence, their impact PMUs. Their frequent use also calls into question has been limited by UNDP’s fund mobilization whether UNDP was addressing the true priori- capacity, and their results have lacked national ties of the national partners.
7 2 CHAPTER 6. CONCLUSIONS AND RECOMMENDATIONS Annex 1 Trmsfe o Reference
1. iNTRODUction 2. bAckground: Country context and key questions The Evaluation Office of UNDP conducts country evaluations called Assessments of Devel- The country’s transition to a democracy and a opment Results to capture and demonstrate market economy, set in force when the socialist evaluative evidence of UNDP’s contributions to regime collapsed in the early 1990s, has not development results at the country level, as well been an easy one. Especially in the early years, as the effectiveness of UNDP’s strategy in facili- the collapse of the subsidized socialist economy tating and leveraging national effort for achieving and the markets of its traditional socialist trading partners forced the economy to shrink by 10 development results. ADRs are carried out within percent both in 1991 and 1992, with the inflation the overall provisions contained in the UNDP rate reaching 325 percent in 1992, having led to Evaluation Policy.163 Based on the principle of a dip in the Human Development Index (HDI) national ownership, the Evaluation Office seeks from 0.652 in 1990 to 0.626 in 1992. Only in to conduct ADRs jointly with the national 1998, HDI returned to the 1990 level at 0.651. Government whenever agreed and possible. Since then, Mongolia saw significant advances in The purpose of an ADR is to: human development with continued democratic and market reform, brining HDI to 0.655 in 2002 Provide substantive support to the Adminis- and to 0.720 in 2008. The country now ranks 112th trator’s accountability function in reporting in the 2008 Global Human Development Report to the Executive Board; making it a medium human development country, th Support greater UNDP accountability to and 100 in the 2008-2009 Global Competitive- national stakeholders and partners in the ness Report. The 2007 National MDG Report programme country; indicates that many MDG targets are on track, including the vital infant and maternal mortality Serve as a means of quality assurance for goals. This paralleled economic growth in real UNDP interventions at the country level; terms, which has risen from 1.3 percent in 2000 to 6.3 percent annual average for 2001-2004 and Contribute to learning at corporate, regional to 8.7 percent for 2005-2008. and country levels. Behind this progress was the Government’s effort The ADR in Mongolia will be conducted jointly towards improved and equitable human devel- with the Government in 2010 towards the end of opment. The Good Governance and Human the current programme cycle of 2007-2011. The Security Programme (GGHSP), adopted in 2000, ADR in Mongolia is hence intended to make a set 11 priority goals in the areas of political, social, contribution to a new country programme, to be economic and environmentally sustainable devel- prepared by UNDP country office in Mongolia opment. UNDP’s second Country Cooperation together with national stakeholders. Framework (CCF II) 2002-2006 supported this
163
ANNEX 1. TERMS OF REFERENCE 7 3 effort, specifically those set out in GGHSP, by new global reality. The poverty rate has not gone aiming to galvanize national action through the down much, only by less than one percentage demonstration of best practices in the fields of point from 2002-2003 to 2007-2008, to 35.2 governance, economic and social development, percent. The rapid urbanization also widened the and natural resources management. This was a urban-rural gap. part of the overall support rendered by the UN Country Team in Mongolia under the first United Under this context and with a view to further Nations Development Assistance Framework promoting human development, in early 2008, (UNDAF) 2002-2006. Mongolia adopted MDG-based Comprehen- sive National Development Strategy to serve Despite this progress, the problems of disparities as an overarching policy document for the next and vulnerabilities remain in Mongolia. Dispari- fourteen years of development in a humane, civil ties have been growing between rural and urban and democratic society through actively pursuing areas, within urban areas and between residents of development of Mongolian society, economy, traditional gers and others, not only in income but science and technology in conformity with the also in access to basic social services and informa- global and regional development. tion. The persistent income poverty and the harsh natural conditions make the life of a large number In November 2008, the new Government’s Plan of population vulnerable. The vulnerability is of Action 2008-2012 was adopted with the compounded by the undiversified economy, following main objectives: heavily reliant traditionally on livestock herding and more recently on mining. The vastness of land Speed up the development of the mining sector, and the low population density, the extreme cold renew its legal environment, turn strategic and weather with little rain, the constant threat of land large mining deposits into economic circula- degradation and desertification make overcoming tion and grant parts of the revenue generated these problems inherently a difficult one. by the mining sector to citizens; Develop and implement the industrial The Government’s Plan of Action 2004-2008 programme, plan and develop mining-based and the Regional Development Strategy, as well industry, small and medium enterprises based as the adoption of national MDGs in 2005, on local raw materials; reflect its commitment to tackle these disparities and vulnerabilities, and promote good govern- Fully cover domestic needs in agricultural ance. UNDP has been supporting this effort products, in particular, meat, milk, flour, through the current Country Programme 2007- potato and vegetable; 2011, operationalized in the Country Programme Create a condition where every citizen could Action Plan (CPAP) 2007-2011, under the be healthy, educated, employed and able to second UNDAF 2007-2011. have income and pay special attention to the Since 2004, the Mongolian economy had grown training of professional workers; close to the average of 9 percent, largely due to the Ensure transparency, openness, speedy gains from the mining sector. The globalization and fair treatment in service delivery and and technological development have become the accountability in public administration and reality in Mongolia, providing new opportuni- strengthen mutual trust between the state ties and challenges. The transition process to the and citizens. multi-party democracy and the market economy is nearly over. The chronic problems of disparities UNDP will continue to support these efforts through and vulnerabilities still linger however under this its current and forthcoming country programmes.
7 4 ANNEX 1. TERMS OF REFERENCE The Mongolian economy remains heavily and succeeded in a coordinated United dependent on ODA assistance, and Mongolia Nations approach? How such a coordinated remains one of the countries with highest aid per approach contributed to better development capita. There is an expectation that, as democratic results? Has the cost of coordination been and market reforms bear fruit in Mongolia, the contained to keep the programme implemen- international development assistance will decline tation efficient? Is the UN Country Team in in the future. This includes a shrinking resource Mongolia ready to deepen its coordination base to UNDP Mongolia, including its core in the programming and implementation funding and the external funding that it relies on aspects, and what needs to be done to make programme implementation. further progress in this regard? The ADR Mongolia will address the above Key questions questions within its established framework Given the above context, the ADR will address described below in its scope and methodology. key strategic questions in addition to its standard analysis of UNDP’s contribution to the develop- 3.cpe S o and Methodology ment results. Such key strategic questions are: The ADR will review UNDP’s experience in Has UNDP responded well to development Mongolia under its two most recent country challenges of the country and the evolving programmes (2002-2006 and 2007-2011), and needs during its transition? Has it effectively assess its contribution to the national effort supported national strategies and plans for in addressing its development challenges, the pursuit of human development? Have encompassing social, economic and political the mix of approaches (e.g., capacity devel- spheres. It will assess key results, specifically opment, technical assistance, policy advice, outcomes – anticipated and unanticipated, community-based projects, advocacy) been positive and negative, intentional and uninten- the most effective and appropriate one in tional – and will cover UNDP assistance funded achieving the maximum development results? from both core and non-core resources. How could UNDP shift its portfolio and the mix of approaches so as to respond well to the The ADR has two main components, the analysis current and future needs of the country and of how UNDP has responded to the development the changing context, including the possible challenges in Mongolia, and how UNDP strategi- decline of the resource base? cally approached it. For each component, the ADR will present its findings and assessment according Further, the Government of Mongolia is interested to the set criteria provided below164. Further elab- in: the assistance to promote the private sector oration of the criteria will be found in the ADR development; and the coordinated and strategic Manual (to be provided by the task manager). The development cooperation, especially in the context key questions provided in the background above of UN system coordination. In this regard, the will be addressed within this framework. following questions should be examined:
How has the cooperation between UNDP Assessment of UNDP’s strategy and the Government influenced the country’s and approaches private sector development? The ADR Mongolia will assess the strategy and How has UNDP, through its support to the approach of UNDP both from the perspective of Resident Coordinator system, contributed the organization’s mandate165 and the development
164 The criteria may be revised in early 2010. 165 For UNDP’s Strategic Plan, see
ANNEX 1. TERMS OF REFERENCE 7 5 priorities in the country. This will entail systematic D olleaTA C ction analyses of UNDP’s place and niche within the In terms of data collection, the evaluation will use development and policy space in the country, as a multiple-method approach that could include well as strategies and approaches used by UNDP document reviews, workshops, group and individual to create a position for the organization in its interviews, project/field visits and surveys. The core practice areas and to maximize its contribu- appropriate set of methods would vary depending tion through adopting relevant approaches. The on country context and the precise nature would be set of criteria to be applied in assessing UNDP’s determined through the scoping mission and desk strategy are: (i) stretegic relevance and responsiv- reviews, and detailed in an inception report to be ness to evolving development challenges; (ii) UN prepared by the evaluation team. values, (iii) strategic partnerships, (iv) develop- ment cooperation coordination. Validation Assessment of UNDP’s response The evaluation team will use a variety of methods to ensure that the data is valid, including through The assessment of UNDP’s response to the devel- triangulation. All the findings must be supported opment challenges will entail a review of UNDP’s by evidence and validated through consulting programme portfolio of the previous and ongoing multiple sources of information. programme cycles, and conducted by the areas of intervention. This would entail: a review of development results achieved by the country and Stakeholder participation UNDP’s contribution to them with a reasonable A strong participatory approach, involving a broad degree of plausibility; the extent to which intended range of stakeholders, will be taken. The ADR programme outcomes were achieved; and factors will have a process of stakeholder mapping that influencing results (e.g., UNDP’s positioning and would identify both UNDP’s direct partners as capacities, partnerships, policy support). Where well as stakeholders who might not have worked relevant, the relationship to the national effort directly with UNDP. These stakeholders would and UNDAF will be analysed. The set of criteria include government representatives of ministries/ to be applied in assessing the development results agencies, civil-society organizations, private- are: (1) programmatic relevance, (2) effectiveness; sector representatives, UN agencies, multilateral (3) efficiency and (4) sustainability. organizations, bilateral donors, and importantly, the beneficiaries of the programme. Furthermore, The overall contents and structure of the report in order to identify key development challenges will follow aforementioned ADR Manual. of the country, the evaluation team may conduct interviews and consultations beyond those involved directly in UNDP country programme. 4.aluat Ev ion Methods and Approaches 5.eEaluat Th v ion Team Pilesrinc p and guidelines The ADR will be conducted by an independent The ADR Mongolia will be conducted in evaluation team. The team will be constituted of adherence to the Norms and the Standards166 and three or more members: the ethical Code of Conduct167 established by the United Nations Evaluation Group (UNEG), as Team leader, with overall responsibility well as to UNDP’s Evaluation Policy. for providing guidance and leadership for
166
7 6 ANNEX 1. TERMS OF REFERENCE conducting the ADR, and in preparing and point within NDIC for this exercise will be its revising draft and final reports; Information, Research, Monitoring and Evalua- tion Division (IRMED), which will oversee the Team specialists, who will support the team ADR in close collaboration with the Evalua- leader and provide the expertise in specific tion Office task manager. IRMED will collabo- subject areas of the evaluation, taking the lead in designing and conducting evaluation rate with the task manager in the formulation and drafting the relevant parts of the report of the terms of reference and the evaluation in those areas; team, jointly organize a stakeholder meeting to present the preliminary outcomes of the evalua- National coordinator, who will act as the tion, jointly receive the draft report, and manage coordinator and interlocutor of the team the follow-up processes within the Government in the country, and to liaise with UNDP of Mongolia. NDIC will ensure and safeguard country office and the national Government the independence of the evaluation team in as needed; one of the team specialists may conducting the ADR, and assist the team in its assume the role of the national coordinator; contact with different units of the Government as required. 6.les Ro and Responsibilities, and Management Arrangements UNDP Country Office in Mongolia UNDP EvALUATion Office The country office will support the evaluation The Evaluation Office will conduct the ADR team in liaison with key partners and other stake- jointly with National Development and Innova- holders, make available to the team all necessary tion Committee (NDIC) of Mongolia. Its task information regarding UNDP’s programmes, manager will provide overall management of projects and activities in the country, and and technical backstopping to the evaluation. provide factual verifications of the draft report. In consultation with the designated focal point The country office will contribute support in in NDIC, the task manager will set the terms of kind (e.g., arranging meetings with project staff reference for the evaluation, establish the evalu- and beneficiaries; assistance for the project site ation team, receive the first draft of the report visits; or office space for the evaluation team if and decide on its acceptability, jointly organize necessary). To ensure the independence of the a stakeholder meeting to present the prelimi- views expressed in interviews and meetings with nary results of the evaluation, and manages the stakeholders, however, country office will not follow-up processes. The task manager will also participate in them. support the evaluation team in understanding the scope, the process, the approach and the method- ology of the ADR, and in designing the evalua- 7.aluat Ev ion Process tion, provide ongoing advice and feedback to the team for quality assurance, and assist the Team Pase h 1: Preparation Leader in finalizing the report. The Evaluation Office will meet all costs directly related to the In consultation with IRMED/NDIC, the Evalu- conduct of the ADR. ation Office will set up the terms of reference and establish the evaluation team. The Evaluation Office will also undertake preliminary research National Development and to prepare for the evaluation, and conduct a Innovation Committee (NDIC) workshop for the team to understand the scope, NDIC will conduct the ADR jointly with the the process, the approach and the methodology UNDP Evaluation Office. The designated focal of the ADR.
ANNEX 1. TERMS OF REFERENCE 7 7 Phase 2: Planning the main mission and possible visits to project sites for observation. Desk reviews – Based on the preparatory work by the Evaluation Office and other information and materials obtained from Phase 3: Evaluation the Government, UNDP country office Data collection – Based on the evaluation and other sources, the evaluation team will plan as established in the inception report, the analyse, inter alia, national documents and documents related to UNDP’s programmes team will collect and validate data required and projects over the period being examined. for the evaluation before and during the main Through the desk review, the evaluation team mission. This will be done by conducting, is expected to develop a good understanding inter alia, further desk reviews, interviews, of the challenges that the country has been focus group meetings, and surveys. During facing, and the responses and achievements the data collection stage, the team will further of UNDP through its country programme develop the hypotheses and validate them and other activities. through triangulation and other methods. Scoping mission – The team leader will Data analysis – The team will analyse the undertake a scoping mission to the country data, using a solid methodology that would to conduct interviews of country office enable the team to ensure that the results programme staff and key programme partners, of such analysis are well supported by data. and to hold planning meetings with the team. While the team will start analysing data as Inception report (evaluation plan) – From they are collected, towards the end of the the information collected at the scoping main mission, the team will have dedicated mission, desk reviews and the planning time to analyse the data collected above to meetings with the team, the team leader will reach preliminary findings, conclusions and develop the evaluation plan and submit it recommendations. Evaluation Office task as an inception report. The inception report manager will assist the team during this stage should include: to ensure the validity of findings. yy Brief overview of key development chal- Main mission – While the data collection lenges, national strategies and UN/ and analysis will take place throughout the UNDP response to contextualize evalu- evaluation process, a large part of collecting ation questions; and analysing non-document data will be done at the main mission, which will last yy Key evaluation questions for each evalu- ation criteria; approximately four weeks. During the main mission, the first three weeks are allocated yy Methods to be used and sources of infor- mostly to data collection, while the last week mation to be consulted in addressing will be dedicated to analysing the collected each set of evaluation questions; data and to reach preliminary findings, assess- yy Preliminary hypotheses reached from the ments, conclusions and recommendations. At desk study with a clear indication of the the end of the main mission, a stakeholder information source (e.g. an evaluation meeting will be organized. In preparation of report) that led to the hypothesis; the main mission, the National Coordinator will establish a tentative schedule of its activi- yy Selection of projects/activities to be ties in consultation with other members of the examined in-depth; team, UNDP country office and IRMED/ yy Plan of evaluation activities, including NDIC. The schedule may need to be further those to be undertaken before and during adjusted during the course of the mission.
7 8 ANNEX 1. TERMS OF REFERENCE Stakeholder workshop – A stakeholder Evaluation Office for publication. The team workshop will be organized at the end of the leader will prepare an ADR brief with Evalu- mission for the evaluation team to present its ation Office assistance. preliminary findings, conclusions and recom- mendations, and to obtain feedback from a broad range of stakeholders. The team will Phase 5: Follow-up brief IRMED/NDIC on its presentation Management response – UNDP country prior to the stakeholder workshop. office will prepare a management response to the ADR under the oversight of RBAP. Phase 4: Drafting and reviews RBAP will be responsible for monitoring and overseeing the implementation of follow-up First draft and the quality assurance – The actions in the Evaluation Resource Centre.168 team will further analyse information collected and incorporate the initial feedback from the Communication – The ADR report and stakeholder workshop. The team leader will brief will be widely distributed in both hard submit to the Evaluation Office the first draft and electronic versions. IRMED/NDIC of the report within three weeks after the will be responsible for dissemination within departure of the team from the country. The the Government and its partners, and other first draft will be accepted by the Evaluation stakeholders in the country. The evaluation Office, after revisions if necessary, when it is in report will be also made available to UNDP compliance with the terms of- reference, the Executive Board by the time of approving a ADR Manual and other established guide- new Country Programme Document. The lines, and satisfies basic quality standards. report and the management response will be 169 Once the basic quality check is done, the published on the UNDP website. Evaluation Office will transmit the first draft to IRMED for its review and comments. The The tentative timeframe for the evaluation process first draft is also subject to a quality assurance is described in Table A1. process through external reviews. Second draft and the factual verification 8.xe E p cted Outputs and comments by key stakeholders – Once The expected outputs from the evaluation team are the first draft is thus accepted and quality assured, it becomes the second draft after An inception report, providing the design necessary revisions. The second draft will and the plan for evaluation (as specified in be reviewed for factual verification and the process section of this document). comments by (a) UNDP country and RBAP through the Evaluation Office; and (b) the The final report, ‘Assessment of Develop- Government through IRMED/NDIC. The ment Results – Mongolia’ (maximum 50 team leader, with assistance from other team pages plus annexes) members, will revise the draft as appropriate ADR Brief (2 pages) in close consultation with the task manager. The team leader will prepare an audit trail to Presentations at debriefings and at the stake- record changes made on the second draft. holder meeting Final draft – Once the second draft is thus The final report of the ADR will follow the ADR revised, it becomes the final draft. The final Manual (to be provided by the Evaluation Office), draft will be edited and formated by the and all drafts will be in English.
168
ANNEX 1. TERMS OF REFERENCE 7 9 Table A1. Evaluation Time-frame
Activity Estimated timeframe
Preliminary research by the Evaluation Office Nov. – Dec. 2009
Preparatory mission by the Evaluation Office Nov. 2009
Establishment of terms of reference and the evaluation team by the Dec. 2009 Evaluation Office/NDIC
Desk review by the evaluation team Jan. – Feb.2010
The following are tentative and will be decided in consultation with the team, country office and IRMED:
Scoping mission and the inception report End Feb/early March
Main mission to the country Apr. 2010
Submission of the first draft End May 2010
Internal review process and quality assurance June 2010
Submission of the second draft Mid-July 2010
Review by the country office and RBAP Mid-July – early Aug. 2010
Validation with the Government Aug. 2010
Issuance of the report October 2010
8 0 ANNEX 1. TERMS OF REFERENCE Annex 2 Poplece onsulted
Government of Mongolia Munkhsaikhan, G., Officer, Information, Research, Monitoring and Evaluation Ayush, Head of Strategic Policy Department, Division, National Development and Ministry of Social Welfare and Labour Innovation Committee Banzragch, Ts., Director, Sustainable Namsrai, D., Deputy Director, National Development and Strategic Planning Emergency Management Agency Department, Ministry of Nature, Environment and Tourism Narantuya, G., Head of Secretariat, National Batbayar, Z., Deputy Director, Water Authority Human Rights Commission of Mongolia Batbold, B., Head, Foreign Relation Nyamjav, D., Vice Minister, Cabinet Secretary Department, Ministry of Environment of the Government and the Project Director and Member, Supervisory Board of the on Local Governance Support Programme Civic Council of Environmental NGOs, Och, G., Senior Human Rights Officer, Lecturer, Eco-Asia Institute Multilateral Cooperation Unit, National Batkhurel, Macroeconomic Policy Human Rights Commission Department, NDIC Onon, S., Head of Department of Dagvadorj, D., Director of Sustainable International Organisations, Ministry Development and Strategic Planning of Foreign Affairs and Trade Department, Ministry of Nature, Environment and Tourism, UNCCD Otgon, Assistant, Human Rights focal point Sub-Committee of the State Great Khural Davaasuren, Ch., Independent Authority for Oyunchimeg, National Statistical Office Anti Corruption Sunduisuren, Deputy Commissioner, Dorjkhand, Deputy head of Aid Coordination Anti Corruption Agency Department, MOF Temuujin, Head, Human Rights Sub- Enkhsaikhan, B., Head of Office, National Committee of the State Great Khural Committee on Gender Equality Tseelee, Assistant to the Project Director on Enkhtaivan, E., Head, Information, Local Governance Support Programme Research, Monitoring and Evaluation Tuvshinjargal, S., Officer, Information, Division, National Development and Research, Monitoring and Evaluation Innovation Committee Division, National Development and Gantulga , D., Head of Construction and Innovation Committee Public Utilities Department, Administration for Land Affairs, Construction, geodesy and Cartography UVURHANGAI Aimag Gerelchuluun, D., Head of Administration Bolormaa, N., Cluster leader, One Village Office, National Human Rights Commission One Product (Yak hair) Hurenbaatar, B., Head of Aid Coordination Buyanbadrakh, Governor, Zuunbayan Department, Ministry of Finance Ulaan Soum
ANNEX 2. PEOPLE CONSULTED 8 1 Doljinsuren, Local coordinator, Enterprise TUV Aimag Mongolia Project and Lecturer, Technical Institute, Mongolian University of Science Batjargal, J., Chairman, Citizen’s Representative and Technology Khural of Tuv Aimag Gantuya, Social Officer of Protection Centre, National Centre for Anti-Violation CSi ivil oc ety and NGOs Oyunchimeg, D., Project Coordinator, Batbold, B., Head, Mongolian Environmental Sustainable Grassland Management project Civil Council Togtokhsuren, D., Governor Bayarmaa, Chairwoman, Mongolian Nature Protection Civil Movement Urjinpurev, T., Senior Officer, Legal Division, Governor’s Administration Department Burmaa, R., Director of Voter Education Centre and Manager, Legal Aid Centre Chagnaadorj, G., Executive Director, Mongolian Nature Protection Civil Movement Coalition Uuriintuya, Advocate, Legal Aid Centre Chantsallkham, J., Head of Community Beneficiaries of Legal Aid Centre Development Division, Mongolian Society Beneficiaries of Sustainable Grassland of Range Management Management project Dorligsuren, D., Executive Director, Mongolian Society of Range Management DARKHAN-UUL Aimag Erdenejargal, P., Executive Director, Open and SELENGE Aimag Society Forum Altanchimeg, L., Local Coordinator, Munkhsoyol, B., Manager for Local Legal Aid Centre, Darkhan Governance, Open Society Forum Batsaikhan, Cluster Head, One Village Nanzaddorj, Vice-abbot, Gandan Tegchenling One Product Monastery, Centre of Mongolian Buddhists Dolgormaa, Energy Saving Authority, Oyunbaatar, Executive Director, Mongolian Darkhan-Uul Aimag Federation of Organizations of the Disabled People Enebish, Local Coordinator, Enterprise Mongolia Project, Selenge Undarya, T., General Manager, Mon Fem Net Munhbayar, National Project Manager, Urantsooj, G., Chairperson, Centre for Human Building Energy Efficiency Project Rights and Development Sanjjav, Chairman, Citizens Representative Khural of Selenge Aimag International Organizations Tsendjav, former Finance Officer, Project Altantsetseg, UNAIDS Manager, Sustainable Grassland Management Project Bolormaa, ILO Filmeridis, Ioli, Programme Officer, USAID Yondonjamts, D., Local Coordinator, Legal Aid Centre, Selenge Flowers, Rana, UNICEF Representative Beneficiaries of Enterprise Mongolia in Howell, Chuck, Representative, USAID Zaamar and Altanbulag Meier, Matthias, Deputy Country Director, Beneficiaries of Legal Aid Centres, Darkhan Swiss Agency for Development and Cooperation Beneficiaries of Sustainable Grassland Management project Marschke, Martin, GTZ Country Director
8 2 ANNEX 2. PEOPLE CONSULTED Matavel, Argentina, UNFPA Representative UNDPo Pr jects Oyundelger, FAO Batjargal, N., National Project Manager, Project on Sustainable Land Management Tomihara, Takayuki, Project Formulation Adviser, for Combating Desertification Japan International Cooperation Agency Batkhuu, Ts., National Project Manager, von Franz, Johannes, Director, GTZ Programme Project on Enterprise Mongolia on Regional Economic Development Batnasan, N., National Project Manager, Gevers, Coralie, Country Director, WB Project on Community-based Fagninou, Gilles, UNICEF Deputy Conservation of Biological Diversity in the Mountain Landscapes of Mongolia’s Representative Altai Sayan Eco-region Lee Min, Selene, UNV Bolormaa, D., Administrative and Financial Assistant, Building Energy UNDPuntr co y office Efficiency Project Barkhas, L., Governance Specialist, Enkhbaatar, V., National Project Manager, Governance Team Project on Capacity Development for Micro- Insurance Market Bunchingiv, B., Rural Development Specialist, Enkhtuvshin, A., National Project Manager, Environment Team Project on Poverty, MDGs Monitoring Davaadulam, Ts., Team Leader, and Assessment System Governance Team Khandarmaa, D., Consultant on Environmental Doljinsuren J., Human Development & MDG Assessment and Monitoring, Project on Team Leader Strengthening Environmental Governance Noda, Shoko, UNDP Deputy Resident Khunan, L., National Project Manager, Project Representative on Access to Justice and Human Rights Ongonsar, P., Energy Efficiency and Disaster Luvsanjamts, L., National Project Manager, Project on Local Governance Management Programme Officer, Support Programme Environment Team Munkhjargal, Ts., Climate Change Programme Sinanoglu, Sezin, UNDP Resident Officer, Project on Strengthening the Disaster Representative Mitigation and Management System Tsetsgee, P., Human Development and MDGs Otgonbayar, G., National Project Manager, Programme Officer, Human Development Project on Water & Sanitation & Poverty Reduction Team Oyunbileg, P., National Project Manager, Tungalag U. Environment Team Leader Project on Poverty Research and Usmani, Akbar, UNDP Resident Employment Facilitation Representative a.i. Tsogt, A., Policy and Institutional Development Officer Yokota, Mio, Private Sector Development Specialist, Human Development and Uuriintuya, B., Secretary/Interpreter, Project Poverty Reduction Team on Access to Justice and Human Rights
ANNEX 2. PEOPLE CONSULTED 8 3 Annex 3 Dmentsocu Consulted
Anderson, James H., ‘The Size, Origins and Canada Foundation, ‘Overview of Artisanal Character of Mongolia’s Informal Sector during Mining Report’, 2005. the Transition’, Development Research Group and East Asia and the Pacific/South East Asia Center for Citizens’ Alliance, ‘State of Civil and Mongolia Country Unit, World Bank, Society in Mongolia 2004-2005: CIVICUS May 1998. Civil Society Index Report’, Ulaan Baatar. Center for Social Work Excellence, ‘Exploratory Asia Foundation, ‘Building Legal Institutions Study on Gender-based Violence in Mongolia: in Mongolia’, September 2000. Understanding and experiences of men and women’, UN Joint Programme on Prevention Asia Foundation, ‘Strengthening Mongolia’s of Violence against Women and Children in Nongovernmental Organizations’, Mongolia, Ulaan Baatar. September 2000. Chapelier, George and Battulga Sergelen, Asian Development Bank, ‘Private Sector ‘Development Cooperation Effectiveness Assessment for Mongolia’, September 2004. and Harmonization: Independent terminal evaluation’, January 2009. Asian Development Bank, ‘Rapid Sector Assessment of the Financial Sector in Mongolia: Erdenepurev A., ‘Current Status of Trade Transition to a market economy built on and Transportation Facilitation and Problems successful financial reforms’, 2008. Related to Border-Crossings’ (presentation at UNESCAP), Policy Coordination and Strategic Bayley, Scott J., ‘Program Performance Planning Department, Ministry of Industry Evaluation Report for Loan 1713-MON: and Trade, undated. Governance reform program in Mongolia’, Gibbs, Murray, Swarnim Wagle and the OED1, Asian Development Bank, January 2008. staff of TPHD project, ‘Trade Policy and Human Development in Mongolia: Beck, Linda, Toby Mendel and Jeff Thindwa, Way forward after a decade in the World ‘The Enabling Environment for Social Account- Trade Organization’, project report, ability in Mongolia’, report #32584-MN, Ministry of Foreign Affairs and Trade and Social Development Department/Sustainable UNDP Mongolia, Ulaan Baatar, 2009. Development Network, World Bank, 2007. Government of Mongolia, ‘Good Bernal, Luisa E., ‘Supply, Demand and Governance for Human Security: Performance Challenges in Assessing the Policy document’, January 2001. Human Development Impact of AfT’, Presentation, UNECA Expert Group Government of Mongolia, ‘Economic Workshop on Trade for Aid and Africa’s Growth Support and Poverty Reduction Trading Capacity, Addis Ababa, June 2010. Strategy’, July 2003. Government of Mongolia, ‘MDG-based Bernander, Bernt, Nathalie Bouché and Comprehensive National Development Lkamsuren Nyamtseren, ‘Forging Links between Strategy’, 2008. Poverty and Policy: An evaluation of the project Poverty Research and Employment Facilitation Government of Mongolia, ‘Action Plan of for Policy Development (PREF)’, UNDP and the Government of Mongolia 2008-2012’, Government of Mongolia, September 2005. November 2008.
8 4 ANNEX 3. DOCUMENTS CONSULTED Grigoriou, Christopher, ‘Landlockedness, Levitas, Tony, ‘Rethinking State-Local Infrastructure and Trade: New estimates for Relations in Mongolia Today: Possible Central Asian countries’, Policy Research directions for local government reform’, Working Paper #4335, Development Research UNDP, Ulaan Baatar, June 2008. Group Trade Team, World Bank, 2007. Marshall, Richard, Frederick Nixson and Hasnain, Zahid, ‘Mongolia: Improving public Bernard Walters, ‘Tracking Economic investment planning and budgeting’, PowerPoint Policy and Poverty Outcomes in Mongolia’, presentation, World Bank, 2010. BWPI Working Paper 27, Brooks World Poverty Institute, University of Manchester, International Finance Corporation, ‘Doing Business 2010: Mongolia’, World Bank, 2009. February 2008.
International Monetary Fund, ‘Country Report Murray, Martyn, Peter Hunnam, Badam-Ochir 08/200: Staff report for the 2008 article IV Damjin, Ganbat Munkhtuvshin and Kirk consultations’, July 2008. Olson, ‘Altai Sayan Eco-Region – Mid-term Evaluation’, UNDP, Ulaan Baatar, 2009. International Monetary Fund, ‘Growth and Recovery in Mongolia during Transition’ (Kevin Myagmar, G. (National Project Manager of Cheng), working paper 03/217, November 2003. BEEP/Head MRTCUD), ‘Building Energy Efficiency in Mongolia’, presentation, 2010. Kaplonski C., (Editor), ‘From World Power to Soviet Satellite: History of Mongolia (Baabar)’, Narantsatsral, N., ‘Civil Registration the Mongolia and Inner Asia Studies Unit, Project: Mid-term evaluation report’, University of Cambridge, 1999. UNDP, Ulaan Baatar, 2009.
Kehoe, Timothy J., ‘An Evaluation of the O’Neill, William G. and Gerelmaa Sandui, Performance of Applied General Equilibrium ‘Evaluation Report of Human Rights Models of the Impact of NAFTA’, Federal Strengthening in Mongolia (HURISTMON Reserve Bank of Minneapolis Research Project: GLO/99/615) and the Capacity Department Staff Report # 320, August 2003 Development of the National Human Rights [Reprinted in T.J. Kehoe, T.N. Srinivasan and Commission of Mongolia (MON /01/103)’, J. Whalley, editors, Frontiers in Applied General Ulaan Baatar and New York, December 2005. Equilibrium Modeling: Essays in Honor of Herbert Scarf, Cambridge University Press, 2005]. OECD, ‘2006 Survey on Monitoring the Paris Declaration: Mongolia’, 2007. Keklik, Mumtaz, ‘Human Development Impact Assessment of Trade and Related OECD, ‘2008 Survey on Monitoring the Policies: Towards a complete methodology Paris Declaration: Making aid more effective and capacity assessment’, paper presented by 2010’, 2008. at the UNDP Technical Consultation on HDIA of Trade Policy, Lutry (Switzerland), Onon, Urgunge, (translation) The Secret History September 2008. of the Mongols: The Life and Times of Chinggis Keklik, Mumtaz, Bayasgalan Bavuusuren, Khan, E.J. Brill, Leiden, the Netherlands, 1990. Odmaa Dagvadorj and Doyod Gongor, ‘External (Original text is considered to be written in 1240 Evaluation of Trade and Human Development by an unknown author/s, translation published Project: Addressing special needs of Mongolia in various revisions and languages.) as a landlocked developing country in meeting MDGs’, UNDP, Ulaan Baatar, November 2008. Pool, Frank and Erdendalai Lodon, ‘Final Independent Evaluation Report for Larsen, Henrik Fredborg, ‘Local Governance Project MON/99/G35: Commercialization Support Programme: Mid-term review’, of super-insulated buildings in Mongolia’, UNDP, Ulaan Baatar, June 2009. UNDP and GEF, February 2007.
ANNEX 3. DOCUMENTS CONSULTED 8 5 Quiroga, Eduardo, D. Otgonchimeng, Joint programme of the Government of D. Namsrai and S. Lhagva, ‘Enterprise Mongolia and the Donor Group’, project Mongolia (MON/05/103): Independent document, 2005. terminal evaluation’, UNDP, Ulaan Baatar, July 2008. UNDP Mongolia, ‘Pilot Project to Support the National Poverty and MDG Monitoring Rawkins, Phillip and Narantuya Danzan, and Assessment System (PMMS)’, project ‘Project Evaluation: Parliament strengthening document, July 2005. for democratic governance’, UNDP, Ulaan Baatar, June 2006. UNDP Mongolia, ‘Addressing Special Needs of Mongolia as a Landlocked Developing Country Sabloff, Paula W. (editor), ‘Modern in Meeting MDGs’, project document, 2005. Mongolia: Reclaiming Genghis Khan’, University of Pennsylvania Museum of UNDP Mongolia, ‘Sustainable Land Archaeology and Anthropology (Philadelphia) Management to Combat Desertification with National Museum of Mongolian History in Mongolia’, project document, 2008. (Ulaan Baatar), 2001. UNDP Mongolia, ‘Strengthening United Nations Country Team in Mongolia, Environmental Governance in Mongolia’, ‘Common Country Assessment for Mongolia’, project document, 2006. Ulaan Baatar, June 2001. UNDP Mongolia, ‘Energy and United Nations Country Team in Mongolia, Environment Group: Outcome evaluation ‘Mongolia: Common Country Assessment’, report’, March 2006. Ulaan Baatar, November 2005. UNDP Mongolia, ‘Country Programme United Nations Country Team in Mongolia, Document for Mongolia (2007-2011)’, ’United Nations Development Assistance New York, July 2006. Framework: 2007-2011’, Ulaan Baatar, February 2006. UNDP Mongolia, ‘Democratic Governance Indicators: Assessing the state of governance United Nations Country Team in Mongolia, in Mongolia’, follow up to the 5th International ‘Joint Programme on Water and Sanitation Conference on New and Restored Democracies, in Mongolia 2007-2011’, project document, Ulaan Baatar, 2006. January 2008. UNDP Mongolia, ‘Follow-up to the Fifth UNDP, ‘UNDP Asia Trade Initiative’, International Conference of New and Restored presentation, ESCAP Expert Group Democracies: Democratic governance indi- Meeting, June 2004. cators/assessing the state of governance in Mongolia’, project document, 2006. UNDP, ‘Human Development Report: Overcoming barriers, human mobility and UNDP Mongolia, ‘Country Programme Action development’, 2009. Plan between the Government of Mongolia and United Nations Development Programme: UNDP Mongolia, ‘Poverty Research 2007-2011’, February 2007. and Employment Facilitation for Policy Development’, project document, 2001. UNDP Mongolia, ‘Access to Justice and Human Rights’, project document, 2007. UNDP Mongolia, ‘Community-based Conservation of Biological Diversity in the UNDP Mongolia, ‘Local Governance Support Mountain Landscapes of Mongolia’s Altai Programme’, project document, 2007. Sayan Eco-region’, project document, 2003. UNDP Mongolia, ‘Mongolia: Employment and UNDP Mongolia, ‘Development poverty (National Human Development Report Cooperation Effectiveness and Harmonization: 2007)’, 2007.
8 6 ANNEX 3. DOCUMENTS CONSULTED UNDP Mongolia, ‘Sustainable Grassland UNDP Mongolia, ‘BEEP: Annual Progress Management Project: Terminal evaluation’, Report for 2009’, UNDP/GEF/KEMCO/ February 2008. MRTCUD, January 2010’
UNDP Mongolia, ‘Poverty Research UNDP Regional Centre in Bangkok, ‘Mongolia and Employment Facilitation for Human Rights and Access to Justice Project Policy Development – II’, project document, (2007-2011): Mid-term outcome assessment’, April 2008. Ulaan Baatar, April 2009.
UNDP Mongolia, ‘Water and Sanitation UNDP Regional Centre in Bangkok, in Mongolia 2008-2011’, project document ‘Mongolia: Internal review of UNDP (UNDP component of the joint project), Democratic Governance Portfolio’, mission June 2008. report by Stephen Browne, Patrick Keuleers, R. Sudarshan, Elizabeth McCall and Juan UNDP Mongolia, ‘Electoral Capacity Gomez, Ulaan Baatar, June 2005. Building Needs Assessment’, July 2008. UNDP Regional Centre in Bangkok, UNDP Mongolia, ‘Support in Achieving ‘Assessment of anti-corruption efforts MDG-9 on Human Rights and Demo- and proposals for UNDP’s future program cratic Governance Project: Evaluation report’, interventions: Mission report by Patrick November 2008. Keuleers’, Ulaan Baatar, February 2008. UNDP Mongolia, ‘Gender Mainstreaming UNDP and GEF, ‘Biodiversity Conservation Strategy in UNDP/Mongolia (2008-2011)’, and Sustainable Livelihood Options in the May 2008. Grasslands of Eastern Mongolia’, project UNDP Mongolia, ‘Support to Integrity and document, Ulaan Baatar, 1997. Transparency Efforts in Mongolia’, project UNDP and the Government of Mongolia, document, 2008. ‘Operational Guidelines: Piloting of the UNDP Mongolia, ‘Water and Sanitation in increased role of local government in service Mongolia 2008-2011’, project document, delivery’, Ulaan Baatar, September 2007. June 2008. Verena, Fritz, ‘Mongolia: The rise and travails of UNDP Mongolia, ‘Support in Achieving a deviant democracy’, Democratization, MDG-9 on Human Rights and Democratic 15/4, 2008. Governance –Phase II’, project document, 2009. Weatherford, Jack, Genghis Khan and the UNDP Mongolia, ‘Millennium Development Making of the Modern World, Three Rivers Press, Goals-9 Indicators and the State of Democracy New York, 2004. in Mongolia’, 2009. World Bank, ‘Mongolia Poverty Assessment’, UNDP Mongolia, ‘Energy Efficiency in New report # 35660-MN, Poverty Reduction and Construction in the Residential and Commercial Economic Management, East Asia and Pacific Buildings Sector in Mongolia (BEEP)’, project Region, April 2006. document, 2009. World Bank, ‘Mongolia: Silent Steppe, UNDP Mongolia, ‘Enterprise Mongolia the Illegal Wildlife Trade Crisis’, July 2006. Project – Phase I, Amendment to original signed on October 29, 2009’, June 2009. World Bank, ‘Mongolia: Source of Growth’, Country Economic Memorandum, Report # UNDP Mongolia, ‘National Integrated 39009-MN, Poverty Reduction and Economic Database for Civil Registration’, project Management, East Asia and Pacific Region, document, 2009. July 2007.
ANNEX 3. DOCUMENTS CONSULTED 8 7 ASSESSMENTOF DEVELOPMENT RESULTS
Assessment of development results Evaluati on of undp CONTRIBUtion MONGOLIA
mongolia HUMAN DEVELOPMENT effectiveness COORDINATI efficiency COORDINATION AND PARTNERSHIP sust NATIONAL OWNERSHIP relevance MANAGING FOR sustainability MANAGING FOR RESULTS responsivene AN DEVELOPMENT responsiveness NATIONAL OWN
ISBN #: 978-92-126303-9 NATIONAL OWNERSHIP effectiveness COORDINATI e-ISBN: 978-92-1-054789-5 United Nations Development Programme efficiency COORDINATION AND PARTNERSHIP sust Evaluation Office 220 East 42nd Street New York, NY 10017, USA NATIONAL OWNERSHIP relevance MANAGING FOR Tel. (646) 781 4200, Fax (646) 781 4213 Internet: www.undp.org/evaluation sustainability MANAGING FOR RESULTS responsivene HUMAN DEVELOPMENT effectiveness COORDINATI