From Strategy to Practice: The Tonle Sap Initiative

From Strategyto PracticeThe Tonle Sap Initiative

AUGUST 2006

© 2006 Asian Development Bank

This report was prepared by staff andconsultants of the Asian DevelopmentBank (ADB). The analyses andassessments contained herein do notnecessarily reflect the views of ADB, orits Board of Governors, or thegovernments its members represent.

ADB does not guarantee the accuracy ofthe data included in this publication andaccepts no responsibility for anyconsequence of their use.

The term “country,” as used in thecontext of ADB, refers to a memberof ADB and does not imply any view onthe part of ADB as to the member’ssovereignty or independent status.

Asian Development Bank6 ADB Avenue, Mandaluyong City1550 Metro Manila, PhilippinesTel +63 2 632 4444Fax +63 2 636 2444www.adb.org

Asian Development Bank. 2006.From Strategy to Practice:The Tonle Sap Initiative.

NOTE: In this report, “$” refers to US dollars.

This report was prepared by a team consisting of Olivier Serrat(Team Leader) and David Moffatt, Consultant.

Photos by Patrick Mercier

Contents

Executive Summary ii

Map iv

The Tonle Sap 1

Strategic Frame of Reference 5

Scenario Thinking 5Navigating a Strategy 5Strategy as Practice 6

The Tonle Sap Basin Strategy 9

Operating Framework 9Operating Principles 11Operating Outputs 13

From Strategy to Practice 15

Long-Term Perspective 15Selectivity and Concentration 17Partnerships 17Country Ownership and Delegation 20Informing and Listening 25Judicious Use of Modalities 28

From Practice to Results 35

Managing for Development Results 35Managing for Development Effectiveness 38Managing for Development Results and

Effectiveness in the Tonle Sap Initiative 39

Abbreviations and Glossary 41

Appendixes 45

1. Creating and Running Partnerships 462. Output Accomplishment and the Design and

Monitoring Framework 483. Approved Assistance for Nonlending Products

and Services, 1998 to date 504. Planned Assistance for Nonlending Products

and Services, 2006–2009 515. Tonle Sap Initiative Partnerships 526. Tonle Sap Initiative References 54

The Tonle Sap is a naturalphenomenon whose unusualqualities derive from the 100-kilometer long Tonle Sap Riverthat drains it into the Mekong

River at Phnom Penh. During the rainy season,the level of water in the Mekong River exceedsthe elevation of the lake and forces the TonleSap River to flow upstream. The Tonle Sapecosystem is defined by this flood-pulse andthe lake swells in response from about 2,500square kilometers to as much as 16,000square kilometers. Fish, reptiles, birds,mammals, and plants thrive on this reversehydrology. The fisheries of the Tonle Sapshore up the livelihoods of more than 1million people and satisfy most of the dietaryanimal protein, calcium, and vitamin Arequirements of Cambodia’s population.Its monsoon-fed waters still renew farmland.However, consumptive use of natural capitalis intense. On the lake, overexploitation offisheries and wildlife, rapid conversion of theflooded forest to agriculture, and harvestingof fuel wood are ever greater perils. In thewatersheds, deforestation is destroyinghabitats, impairing water and soil quality, andincreasing siltation.

How to protect the ecological base of theTonle Sap was put to investigations as longago as 1993, when a royal decree designatedthe lake as a multiple use management area.In 1997, the United Nations Educational,Scientific, and Cultural Organizationnominated the lake as a biosphere reserve.Nomination led to the classification ofecological zones that were susceptible tocurrent or foreseeable threats and that,justifiably, should be protected from certainforms of neglect or intrusion. In 2003, theTonle Sap Basin Strategy was drafted.

Under the Tonle Sap Initiative, apartnership of organizations and peopleworking to meet the poverty and environmentchallenges of the Tonle Sap, the AsianDevelopment Bank (ADB) is promoting an

approach that conserves nature and offers thepromise of sustainable development. Noteverything can be tackled at the same time.For that reason, the Tonle Sap Initiative usesgeographical and temporal phasing of loan,grant, and technical assistance projects,working from the core areas of the lake tothe watersheds over an 8-year period andrepeating this cycle as may be needed to

Executive Summary

ii FROM STRATEGY TO PRACTICE: THE TONLE SAP INITIATIVE | AUGUST 2006

EXECUTIVE SUMMARY

build on accomplishments and embed lessonslearned from the first iteration.

The Tonle Sap Initiative is more than4 years into implementation. This reportfleshes out its strategic frame of reference andexplains how the operating principles of theTonle Sap Basin Strategy are being actedupon to move from strategy to practice. It alsoillustrates the contribution that the Tonle

Sap Initiative makes to managing fordevelopment results and effectiveness.

The Tonle Sap Basin Strategy waspublished in 2005 to offer a formal knowledgeproduct that has implications fordevelopment thinking. This report ispresented as a resource and reference guide.It is not intended as a prescription tosuccessful strategy work.

iii

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iv FROM STRATEGY TO PRACTICE: THE TONLE SAP INITIATIVE | AUGUST 2006

FROM STRATEGY TO PRACTICE: THE TONLE SAP INITIATIVE | AUGUST 2006

1. The Tonle Sap forms a natural floodplainreservoir in the depression of the Cambodianplain. It is fed by three main perennial andnumerous erratic tributaries draining higherground covering 85,000 square kilometers(sq km), or 44% of Cambodia’s land area.It discharges southeastwards through theTonle Sap River, which joins the MekongRiver at Phnom Penh. When the level of theMekong River is high, the flow of the TonleSap River reverses: water is pushed into thelake, raising its level by up to 10 meters andenlarging its area from 2,500–3,000 sq km inthe dry season to 10,000–16,000 sq km in therainy season. This unique hydrological cycleand the vast areas of seasonally flooded lowforest and shrubs that it creates, in a tropicalclimate, result in very high biodiversity offish, reptiles, birds, mammals, and plants andengender exceptionally prolific fisheries.Migratory colonies of large water birds, someof which are endangered and of globalsignificance for biodiversity conservation,come to breed. The fisheries directly supportmore than 1 million people, who have noalternative livelihoods, and provide the singlelargest source of dietary animal protein,calcium, and vitamin A for Cambodia’s youngand rapidly growing population.1 Thebiologically rich flooded forest and theflooded areas offer seasonal breeding andnursery grounds and forage areas for fish thatsubsequently migrate via the Mekong Riverto other parts of the Greater MekongSubregion, thereby providing a regionally vital

resource. Agriculture is also carried out asfloodwaters recede.

2. The Tonle Sap is under severe pressure,and consumptive use of its natural capital isintense. Never has the lake been called uponto supply so much to so many, yet there aremany threats to its ecosystem. Its fisheriesand wildlife are overexploited and the floodedforest is being destroyed by rice cultivationand collection of fuel wood.2,3 In thewatersheds, deforestation is devastatinghabitats, leading to siltation with attendantharm to water and soil quality.4 Thus, despitethe lake’s inherent richness, povertyindicators in the Tonle Sap basin, in which4.5 million people or 35% of Cambodia’spopulation live, are even worse than thosethat typify the national population as a wholeor other parts of the country. Between 40%and 60% of households in the provinces thatadjoin the lake are below the official povertyline, with a peak of 80% in some areas.5 Manyhouseholds are entirely dependent on fishingand foraging, with access to common propertyareas often under dispute. Because of the largenumber of male fatalities in the 1970s and1980s, there is a disproportionately high levelof female-headed households, which areespecially disadvantaged. The communitiesthat dwell on or near the lake also includeethnic minorities that are excluded fromdecision making. The intense harvest ofnatural capital is not just a concern ofnational importance: it also has serioustransboundary repercussions.

1 With an annual production of 300,000–400,000 metric tons, of which the Tonle Sap accounts for about 60%, Cambodia’s inland fisheriesrank first in the world for their productivity and fourth for their total catch despite the small size of the nation. Their contribution to income,employment, and food security is higher than in any other country.

2 Overexploitation has led to smaller average catches, biodiversity loss, worsening poverty for many fish-dependent households, weaker accessrights for the poor, and escalating conflict.

3 In 1997, satellite imagery revealed less than 20,000 hectares of flooded forest, compared with about 370,000 hectares in 1992 and about795,000 hectares in 1985.

4 Forest cover has declined from 73% of total land area in 1970 to 58% now.5 They are Battambang, Siem Reap, Kompong Thom, Kompong Chhnang, and Pursat.

The Tonle Sap

THE TONLE SAP 1

3. What can be done? In 1993, a nationalprotected areas system was decreed. Itdesignated seven national parks, nine wildlifesanctuaries, three protected landscapes, andthree multiple use management areas.Several of these are sited in the Tonle Sapbasin. The Tonle Sap itself was designatedas a multiple use management area with theintent to conserve natural resources to sustaineconomic activities. In 1997, the Tonle Sapwas nominated as a biosphere reserve underthe Man and the Biosphere Program of theUnited Nations Educational, Scientific, andCultural Organization. In 2006, the Tonle Sapand its floodplains were identified as acritical part of the Greater Mekong SubregionBiodiversity Conservation CorridorsInitiative.6 The challenge is to achieve theright balance between production andpreservation: this can only be accomplishedby casting management within a basin-widestrategy.7

4. In 2003, the Tonle Sap Basin Strategywas drafted. It gave geographical focus to theCountry Strategy and Program (CSP), 2005–2009 and forms the basis for setting priorities

Threats to the Tonle Sap

Source: ADB. 2004. Future Solutions Now: The Tonle Sap Initiative. Manila.

Climate Change

Cumulative Impact ofBuilt Structures onthe Hydrology of

the Mekong Basin

Deforestationof the Watersheds

Agricultural Expansion

Industrial and UrbanPollution

Conversion ofthe Flooded Forest

to Agriculture

Overexploitation ofFisheries and Wildlife

Agricultural Runoff

Mining Habitat Fragmentation Collection of Fuel Woodfrom the Flooded Forest

Introduction ofNon-native Species

2 FROM STRATEGY TO PRACTICE: THE TONLE SAP INITIATIVE | AUGUST 2006

and planning assistance in the Tonle Sapbasin in effective and efficient ways. Such anapproach is consistent with the AsianDevelopment Bank (ADB)’s water policy, itssupport to basin management organizations,and a worldwide trend towards managingland, water, and biotic resources within aframework of basin units.

5. The Tonle Sap Initiative recognizesthe growing function of knowledge—local,regional, and global—in the advancing ofdevelopment. The Tonle Sap basin hasprovided a good practical example of a basin-wide approach and, in 2005, the Tonle SapBasin Strategy was published to share,primarily with ADB staff, a formal knowledgeproduct that has implications for developmentthinking.8 Since then, much has been learnedfrom implementation that also makes acontribution to managing for developmentresults and effectiveness. This report isoffered as a resource and reference guide toADB staff. Much as the Tonle Sap BasinStrategy, it may also appeal to organizationsand people having interest in the Tonle Sapand, more broadly, in strategic planning.

6 The Greater Mekong Subregion Biodiversity Conservation Corridors Initiative seeks to counterbalance the potential adverse effects of thedevelopment of regional economic corridors that may adversely affect critical ecosystems and high-value biodiversity areas resulting infragmentation of natural landscapes. Available: www.adb.org/projects/gms-biodiversity/default.asp.

7 Strategy is the overall process of deciding where one wants to get to and how one will get there. It involves the selection of guiding principles togive context and coherence to action.

8 ADB. 2005. The Tonle Sap Basin Strategy. Manila.

3THE TONLE SAP

All this will not be finished in the first one hundred days. Nor will

it be finished in the first one thousand days; nor in the life of this

administration; nor even perhaps in our lifetime on this planet.

But let us begin.

John F. Kennedy

Strategic Frameof Reference

6. Despite worldwide attention to strategicplanning, the notion of strategic practice issurprisingly new. This owes to widespreadperception that strategic reversals owe tostrategic miscalculations—the strategy wasnot sufficiently perceptive, imaginative, orvisionary. Alternatively, it was too much ofa good thing. But the truth is that strategicreversals are quite commonly failures ofexecution. In many cases, a strategy isabandoned out of impatience or because ofpressure for an instant payoff before it hashad a chance to take root and yield results.Or, its focal point is allowed to drift over time.

7. To draw a strategy is relatively easy butto execute it is difficult. Strategy is both amacro and a micro phenomenon that dependson synchronization. For that reason, it isworthwhile to examine a few elements of adisciplined process for systematicallyreviewing, evaluating, prioritizing, sequencing,managing, redirecting, and, if necessary, evencanceling strategic initiatives.

ScenarioThinking8. Strategic planning stands for theunrelenting process of making decisionssystematically with the greatest intelligenceof their futurity, organizing the effortsnecessary to carry them out, and measuringoutcomes against expectations with feedbackand self-control. The short term calls forstrategic decisions as much as the long-term.However, planning must take account ofunpredictability and should not stakeeverything on one possible scenario. It mustdevelop a small set of distinct scenarioscovering the main areas of uncertainty and allplausible futures.

9. A scenario is an internally consistentview of the future. Scenario thinking is theprocess of generating and analyzing a smallset of different futures. In discrete steps, it:(i) reveals the focal issue, (ii) characterizesfactors and players, (iii) lists driving forces,(iv) ranks driving forces, (v) fleshes outscenarios, (vi) draws implications, and(vii) selects indicators. The end-result ofbuilding scenarios is not an accurateprediction of tomorrow but better thinkingabout the future. Moreover, since scenariosprovide a context for decisions, better thinkingshould lead to decisions that are more robust.As events unfold, it is necessary to continue toreview whether plans fit the realities ofenvironment, economy, society, polity, andtechnology. If they do not, how can onediscard them, or at least stop devoting moreresources to their perpetuation?

NavigatingA Strategy10. To navigate a strategy, one must maintaina balance between strategizing and learningmodes of thinking. This is achieved by moreskillful action within the environment,in which the aim to make sense of anenvironment one finds puzzling is balancedby adaptive learning.

STRATEGIC FRAME OF REFERENCE 5

Set your course by the stars,

not by the lights of every

passing ship.

Omar Bradley

11. Strategizing involves a vision, a goal,a blueprint for the future, and a plan on howto get there. In almost any field of humanactivity, the factors and players that interactto create both the present and the future arecomplex and numerous. They include marketforces, globalization, regionalization, naturalresources, information flows, media, culture,and governance. Theories call for abstractions;for that reason, they apply only in a fewdomains.


It is a bad plan that admits of

no modification.

Publilius Syrus

12. Learning adheres to the sameprinciples as the process of evolution.The events that unfold suggest newhypotheses, based on which one decides onthe next steps. In a state of uncertainty,there is little alternative to adaptation. Onlythrough action can organizations and peopleparticipate and gather the experience thatboth sparks and is informed by the process oflearning.

Strategy asPractice13. Execution is a process. It is not an actionor a step and it rests on more people thanstrategy formulation. Strategy as practicemeans treating earnestly the habits of

STRATEGIC FRAME OF REFERENCE 7

Navigating A Strategy

Source: Adapted from van der Heijden, Kees. 2004. Can Internally Generated Futures Accelerate Organizational Learning? Futures 36: 145–159.

Strategizing

Predicting and ControllingTheorizing

Choosing DirectionsSolving Problems

Challenging OthersExplaining

Seeking the TruthDesiring the Future

Learning

ParticipatingExperimenting

Enabling Natural SelectionBuilding CapabilitiesListening to Others

InterpretingSeeking What Works

Trusting Fate

practitioners. It reconciles the dichotomybetween strategy and learning. Therefore, thepractice perspective is concerned withmanagerial activity, that is to say, with howmanagers do strategy. There are excitingmoments in this, such as the grasping ofsituations, the begetting of ideas, and theidentification of opportunities. But there isalso the daily fare, including the routine ofplanning and budgeting each year, the sittingin committees, the writing of officialdocuments, and the making of presentations.Here, attention to detail and persistencecount as much as foresight: at all times,questions of suitability, feasibility, andacceptability must be asked and answered.9

It is best to factor in smaller steps, celebratetheir achievement, and move sequentially.The practice perspective embodies concernfor the effectiveness and efficiency ofstrategists and not just of organizations.It connects to structured thinking; building,organizing, and working teams; appraisingoptions; creating support mechanisms;assigning and holding responsibilities andaccountability; choosing the right metrics;planning delivery; monitoring results;evaluating performance; and managingstakeholders and communications. Strategiesthat are not deliverable are of no use.

Plans are only good intentions

unless they immediately

degenerate into hard work.

Peter Drucker

9 Do the proposed actions address key issues and will they deliverdesired outcomes? Can the proposed actions be delivered with thepotential resources? Is there sufficient support to legitimize theproposed actions?

OperatingFramework14. The Tonle Sap Basin Strategy wasformulated in support of the CSP, 2005–2009and forms the basis for setting priorities andplanning assistance in the Tonle Sap basinin effective and efficient ways.10 Thedevelopment objectives are to foster, promote,and facilitate: (i) pro-poor, sustainableeconomic growth, (ii) access to assets,11 and(iii) management of natural resources and theenvironment. The strategic principles are:(i) sustainable livelihoods, (ii) social justice,and (iii) a basin-wide approach. To deliverassistance in effective and efficient ways,operations are anchored in operatingprinciples: (i) a long-term perspective,(ii) selectivity and concentration,(iii) partnerships, (iv) country ownership anddelegation, (v) informing and listening, and(vi) judicious use of funding modalities.

15. The strategy focuses on two core areas:(i) rural development and the environment,and (ii) human development. Crosscuttingthemes ensure that attention is paid to:(i) vulnerable groups, (ii) governance,(iii) resource cooperation, and (iv) the privatesector. Implementation of the strategy affordsa significant and positive contribution tobasin management; offers possibilities forcooperation to balance mounting demands onthe lake’s land, water, and biotic resources;and encourages continuity, gives confidenceto stakeholders, and presents opportunitiesto resolve current and future challenges. Thisconcentration catalyzes other assistance.

The Tonle Sap BasinStrategy

16. The Tonle Sap Basin Strategy markedthe introduction of basin-level strategicplanning in Cambodia. The strategicplanning process is iterative and providesregular opportunities for inputs in support of:(i) the CSP, 2005–2007 and its annualupdates, (ii) the National StrategicDevelopment Plan, 2006–2010, (iii) theRectangular Strategy for Growth, Employment,Equity, and Efficiency in Cambodia, 2004,(iv) the goals of the United NationsMillennium Declaration, and (v) Cambodia’sinternational obligations vis-à-vis the TonleSap. The particulars of ADB's thematic andsector support are laid out in the CSP, 2005–2007 and its annual updates.

THE TONLE SAP BASIN STRATEGY 9

1 0 Assistance will be less effective if it is extended in uncoordinated fashion and if its recipients cannot meet terms and conditions or havedifficulty absorbing the advice given.

1 1 Assets can be divided into human, social, natural, physical, and financial capital. The structures and processes that affect these assets areinstitutions, policies, legislation, culture, and power relations. They determine access, terms of exchange, and returns; shape the livelihoodstrategies of the poor; and govern their outcomes.

1 0 FROM STRATEGY TO PRACTICE: THE TONLE SAP INITIATIVE | AUGUST 2006

Tonle Sap Basin Strategy Operating Framework

Goal (5–10 years)

Poverty Reduction

Development Objectives (5–10 years)

Pro-poor, Sustainable Economic GrowthAccess to AssetsManagement of Natural Resources and the Environment

Core Areas of Intervention (3–5 years)

Rural Development and the EnvironmentHuman Development

Operating Outputs (annual)

Investment ApprovalsTechnical Assistance ApprovalsEfficiently Managed Project PortfoliosResources and Cofinancing Mobilized

Activities (regular)

Economic and Sector WorkThematic StudiesProgramming and ProcessingProject AdministrationAid Coordination

Strategic Principles

Sustainable LivelihoodsSocial JusticeBasin-Wide Approach

Crosscutting Themes

Vulnerable GroupsGovernanceResource CooperationThe Private Sector in Development

Operating Principles

Long-Term PerspectiveSelectivity and ConcentrationPartnershipsCountry Ownership and DelegationInforming and ListeningJudicious Use of Modalities

OperatingPrinciplesLong-Term Perspective17. The tasks of multilateral and bilateralagencies include improving policy;developing institutions; creating andstrengthening productive capacity,infrastructure, and services; and promotingresource cooperation. These are enduringtasks. They depend on continuity ofinterventions: one-shot projects are of limitedsustainable value and fail to buildcommitment.

Selectivity and Concentration18. ADB cannot be active in every sector andthroughout the country: too many issuesdemand attention. ADB must understand

what can realistically be achieved and beselective with the limited assets at itsdisposal. Concentrating a portion of them intargeted sectors in the Tonle Sap basin ismore conducive to impact. Assessing corecompetences against issues in consultationwith stakeholders helps to prioritize.

Partnerships19. Partnerships are formally recognizedcollaborative and mutually beneficialactivities. Selection of partners is guided bythe principles that partnerships should:(i) have a shared vision of needs and how theycan be addressed, (ii) be participatory, withsharing of responsibilities and accountability,(iii) have complementarity of skills betweenpartners, (iv) be within priority areas ofADB and those of partners, and meet theconditions set by them, and (v) result in

THE TONLE SAP BASIN STRATEGY 1 1

ADB’s knowledge benefiting the partners’activities and vice-versa.

Country Ownership andDelegation20. Country ownership must be evident in thepolitical commitment to reforms, programs,and projects. At the same time, multilateraland bilateral agencies remain accountable forensuring that loan and grant projects proceedonly where the policy and institutionalframework is conducive to the achievementof their development objectives. Havingeffectual field offices is one means of strikingthe right balance between national ownership


and the involvement of multilateral andbilateral agencies. Quality and excellence indelivery of interventions hinge on knowledgeof the local context and a local presence.

Informing and Listening21. Disclosure of information has become anoperating principle for all multilateral andbilateral agencies. In the last 10 years, theyhave done much to improve the flow ofinformation to governments, nongovernmentorganizations (NGOs), the private sector,academics, researchers, teachers, specialists,and the media. They attempt to encompassin their messages the views and interests ofthis large and diverse audience, includingcritical views and insights. In May 2003, ADBapproved a new mechanism to address theconcerns of persons affected by ADB-assistedprojects. It consists of two complementaryfunctions—a consultation phase and acompliance review phase. In June 2005,ADB enhanced disclosure and exchange ofinformation with a new public communicationspolicy that enables greater access andexpands opportunities for those affected byADB-assisted projects to influence decisionsthat shape their lives.

Judicious Use of Modalities22. A central function of ADB is to act asfinancial intermediary. It raises funds throughborrowings in international capital marketsfor development that otherwise would not befinanced or, if so, on less favorable terms. Italso acts as a channel for concessional fundsprovided by donor countries to acceleratedevelopment in poor countries that lack thecapacity to borrow sufficiently. Theseintermediation and channeling functions aresupported by expertise, experience, andpolicies that give direction and precision tothe financing provided. ADB provides a rangeof funding modalities. The policy andassociated procedures for each define whatthe tool is and how it is to be used. Onoccasion, new modalities are introduced andtested to meet new circumstances.

OperatingOutputs23. To accomplish in the two core areas ofintervention the development objectives ofthe Tonle Sap Basin Strategy, the Tonle SapInitiative delivers specific annual operatingoutputs:

Investment approvals. Investment approvals. Investment approvals. Investment approvals. Investment approvals. Investmentapprovals of loan and grant projects areplanned, programmed, approved, andmonitored by sector and subsector. Theirimpact, outcome, outputs, implementation,and cost and financing arrangements aredefined by the development objective eachseeks to accomplish as well as thecrosscutting theme that it addresses.

TTTTTechnical assistance approvals.echnical assistance approvals.echnical assistance approvals.echnical assistance approvals.echnical assistance approvals.Technical assistance (TA) approvals place

THE TONLE SAP BASIN STRATEGY 1 3

1 2 Project preparatory technical assistance (PPTA) is not an operating output of ADB. It is a supporting activity leading to investment approval.

he accent on change management, policydevelopment, and capacity building.12

Efficiently managed portfolios.Efficiently managed portfolios.Efficiently managed portfolios.Efficiently managed portfolios.Efficiently managed portfolios.The efficient management of the investmentapprovals of ADB is an annual operatingoutput. Performance is reflected in the healthof the portfolio as assessed against establishedproject performance criteria. Efficientlymanaged portfolios are given great importbecause of ADB’s sharpened attention tomanaging for development results andeffectiveness.

Resources and cofinancingResources and cofinancingResources and cofinancingResources and cofinancingResources and cofinancingmobilized. mobilized. mobilized. mobilized. mobilized. An essential aspect of ADB’sduty as a catalyst of development is thefinancial capital mobilized as an effect ofits assistance. In all cases, the concept ofadditionality is emphasized.

From Strategy to Practice

Long-TermPerspectiveAttributes24. A long-term perspective impliesselectivity. Selectivity, in turn, must bedefined in the context of the CSP, 2005–2009,which sets long-term targets and performancebenchmarks against which to gaugedevelopment results and effectiveness.Thus, ADB’s operations in the Tonle Sapbasin, guided by the basin-level strategicplanning and by agreement with theGovernment, are far more selective thanelsewhere, converging on sectors and areaswhere ADB has obvious strengths andcompetences and can maintain engagement.13

Operating Outputs andActivities25. The Tonle Sap Initiative’s interventionsare phased geographically and temporally.Starting at the core of the lake, loan, grant,and TA projects are planned over an eight-yearperiod that works outward to the basin’swatersheds. At the center of the practicalexpression of the Tonle Sap Basin Strategyis the recognition of a broad ecological zoningof the basin and the formulation andimplementation of four major projects toaddress the concerns specific to each zone.These four pillars buttress the implementationof the strategy, with each pillar joining thenext to support a cohesive long-term program.

26. Converging on the core areas and thebuffer zone of the biosphere reserve, anenvironmental management project tacklesthe central issue of conservation within thereserve. Two of the project’s components dealwith this directly. The first reinforces naturalresource management coordination and

planning by establishing coordinationframework and information disseminationmechanisms; mapping the biosphere reserve;and improving regulation and managementplanning. Closely allied to that is buildingmanagement capacity for biodiversityconservation; developing systems formonitoring and management; and promotingbiodiversity conservation awareness, education,and outreach. In addition, in recognition ofthe fact that the Government’s release ofcommercial fishing lots invites communitiesto organize themselves for natural resourcemanagement, the project also helps byformulating an implementation structure;empowering communities; and evaluatingtechnical packages in support of sustainablelivelihoods. In these latter aspects, the projectis also setting essential groundwork for thesecond pillar.

27. Next, a sustainable livelihoodsproject concerns itself primarily withincreasing access to assets for people whoderive all or part of their means of livingfrom the biosphere reserve’s buffer zone.Work under the environmental managementproject on sustainable livelihood packagesand community organization, and ADB’searly support to decentralization anddeconcentration through a commune councildevelopment project, feed naturally into aproject that will speed up community-drivendevelopment by establishing a communitylivelihood fund and designing andimplementing livelihood investmentpackages. The project will build skills andawareness for sustainable livelihoods insupport. Linking back to the first pillar,this project also includes a component tosafeguard the core areas by establishing aninformation base on core areas; institutinga management system for core areas; and

1 3 As a multilateral agency, ADB has global perspectives, experience, and resources. Yet, being anchored in the Asian and Pacific region, it canreflect and respond to the region’s development issues. The Tonle Sap is more than a national resource: it has regional and global dimensions.ADB is in a good position to communicate the Tonle Sap basin’s special requirements on the global stage, mobilizing resources for povertyreduction. ADB has a strong Asian character and is perceived to be sensitive to the region’s diverse social and cultural setting. As a leadingplayer in Cambodia, it has also gathered valuable cross-sectoral experience.

FROM STRATEGY TO PRACTICE 1 5

laying the foundations for an improvednetwork of fish sanctuaries.

28. The third pillar relates to thetransition area, the greater part of the vastseasonally flooded area, and to the dry landbeyond the lake’s edge to the foothills of thewatersheds. Still only at the preparatory stagea lowland stabilization project will beinformed by the approaches to community-driven development articulated under thesustainable livelihoods project. The projectwill complement and use the sameimplementation arrangements and modalitiesas the sustainable livelihoods project so thateach project will fit seamlessly into theGovernment’s decentralization anddeconcentration program. It will relievepressure on the natural resources of the TonleSap through improvement of existing and

development of new livelihood activities inthe lowlands. This will reduce the imperativefor dryland farming communities to extractnatural capital from the biosphere reserve,particularly when people migrate to the lakein the hungry months of the dry season.

29. The fourth pillar addresses theproblems faced in the watersheds. Awatershed management project will beprepared in 2007. As with the first pillar, thespotlight will be on conservation and,although the environment is very differentfrom that of the core areas and buffer zone ofthe lake, lessons will have been learnedchiefly in the areas of awareness building andeducation and mobilization of communitiesin support of environmental protection.The objective will be to slow or reverse landdegradation, increase income and well-being,and reduce vulnerability. Modalities tried andtested in the sustainable livelihoods andlowland stabilization projects will again formthe basis of community-driven development.

30. The strategy recognizes that one-shotprojects will never resolve developmentconcerns—and perhaps not even begin to—in a weakly performing environment such asthe Tonle Sap. In elaborating the scenario

Problems cannot be solved at

the same level of awareness

that created them.

Albert Einstein


thinking behind the strategy, it was notedthat one must identify and accommodatechanges over time and be prepared to abandondefunct approaches. Therefore, having setabout dealing with the management of thewatersheds, the implementation of thestrategy will circle back to the core of the laketo review progress, digest lessons, and identifymodifications in the physical, social, andeconomic environment that will fashion thenext major project in this area and so onthrough each ecological zone.14

Selectivity andConcentrationAttributes31. To enhance performance, ADB mustpursue a more circumscribed developmentagenda. It must delineate its strengths andweaknesses in relation to other multilateraland bilateral agencies and become far moreselective and concentrated. This should bebuttressed by an appropriate organization,a culture better aligned to the market place,and more robust partnerships.

Operating Outputs andActivities32. Striving for greater selectivity in the CSP,2005–2009 is pursued in three ways:concentrating on two core areas of intervention,reducing the annual number of projects sothat more intensified attention to designand implementation can be paid to them,and targeting projects in line with theconvergence given to the CSP, 2005–2009.This has led to a more sharply demarcatedprogram both in terms of sector concentrationand in terms of geographic focus.

33. The Tonle Sap basin constitutes anatural discrete entity, is critical to theoverall development of Cambodia, has far-reaching transboundary repercussions, andprovides a clear geographic hub. At present,

the crucial issues facing it are the preservationof its unique biodiversity and the maintenanceand improvement of the capabilities, assets,and activities that its inhabitants require for ameans of living. There are other issues withinthe basin: for instance, some of the riversfeeding the Tonle Sap offer potential forhydropower development; Siem Reap, inparticular, presents challenges as tourismrevolving around Angkor Wat expandscontinually. ADB considers these and othersuch short-term and long-term issues inmultidisciplinary analysis of the Tonle Sapbasin. But its position is to note them withoutattempting to integrate all possible relateddevelopments. It is important to maintainthe sectoral boundaries of the Tonle Sap BasinStrategy to ensure that the issues it purportsto address are common.

PartnershipsAttributes34. A partnership is a formal or informalagreement between two or more partners towork together to achieve common purposes.


1 4 Other major projects formulated in the two core areas of intervention boost this geographic thrust. Currently, a water supply and sanitationsector project meets human development needs in the buffer zone in support of the second and third pillars.

Partnerships with multilateral and bilateralagencies, and—possibly—private foundationscan compensate for resources that fall short ofrequirements. Partnerships with NGOs canimprove operations.15 However, unremittingeffort is needed to meet the challenges thatare associated with creating and runningpartnerships. Enhancing strategic alliancesrooted in formal or informal partnershipsrequires excellence in planning, intimateawareness of the drivers of success or failure,and steadfastness in execution. Creating andrunning partnerships are a long-term endeavorthat demands vision, organization, anddetermination. It is not a bolt-on or cosmeticactivity.

35. Partnerships can be very tightlybound or broadly defined. Notwithstanding,they should deliver tangible benefits to theparties and they should be cost-effective.Since partnerships are formal or informalagreements, there can be no recipe. Creatingand running partnerships take time and are

fraught with difficulty. Whatever the workingarrangements and whatever the phase of thepartnership one is in, there will be problems.The existence of commonalities of interestand memoranda of understanding offers onlythe promise of partnership.

Operating Outputs andActivities36. To advance the Tonle Sap Initiative,ADB is forging partnerships with four typesof organizations: (i) executing agencies,(ii) implementation support agencies,(iii) civil society, and (iv) financing agencies.For the purpose of the Tonle Sap Initiative,civil society comprises fishers/farmers,women, children and youth, ethnicminorities, workers and trade unions, businessand industry, the scientific and technologicalcommunity, NGOs, and local authorities.Wherever possible, the partners are involvedin several loan, grant, and TA projects so thatcorporate experience is built and drawn upon


1 5 NGOs can (i) lend skills and experience to plan, implement, and evaluate projects and programs; (ii) offer models for similar projects andprograms that will have a wider scope; (iii) represent marginalized groups and communities; and (iv) provide alternative perspectives ondevelopment issues.

and long-term relationships are established,in which the respective contributions of thepartners may vary with time but arenevertheless maintained.

Government37. The charge to execute the Tonle Sap BasinStrategy lies firmly with the Government.Because of the multifaceted nature of thestrategy, many ministries participate.16 Theneed to ensure harmonization of the interestsand activities of all these players has alsobrought attention to bear on nationalcoordinating bodies. The Tonle Sap isCambodia’s most significant Mekong sub-basin and the Cambodia National MekongCommittee is consequently included in manyloan, grant, and TA projects, working inparticular through the Tonle Sap BiosphereReserve Secretariat.17,18 The CambodiaNational Mekong Committee affords thenatural conduit through which to feed intothe implementation of the strategy the manyrelated accomplishments of the MekongRiver Commission, including its own basinplans of which one is for the Tonle Sapbasin.19 The Council for Agricultural andRural Development fosters coordination amongministries, smoothing the progress of policyformulation and harmonizing assistance foragricultural and rural development. Withinits wider program, ADB also supports thedevelopment of the commune councils.These will assume greater importance in theexecution of the strategy as the financialmanagers of the funds allocated tocommunity-driven development.

Implementation Support Agencies38. Two multilateral agencies are prominentpartners in the strategy. From the onset, theFood and Agriculture Organization of theUnited Nations has been involved in thecoming together of communities for natural

resource management and the drafting oflegislation in support of these. The WorldFishCenter is working closely with the InlandFisheries Research and DevelopmentInstitute, its function evolving from leader tosupporter with the two organizations nowgeared to work in partnership. Consulting firmsand individual consultants are also engagedto deliver preparation, implementation, andadvisory services. Customarily, these are tostudy, design, and organize specific projects,counsel executing and implementing agencies,conduct training, and transfer knowledge.

Civil Society39. The practical expression of the Tonle SapBasin Strategy draws widely on civil societyprominent among which are the following:

NGOs.NGOs.NGOs.NGOs.NGOs. Live and Learn EnvironmentalEducation has established itself as an agent ofthe strategy’s commitment to environmental


1 6 So far, the ministries include the Ministry of Agriculture, Forestry, and Fisheries; Ministry of Environment; Ministry of Interior; Ministry ofPlanning; Ministry of Public Works and Transport; Ministry of Rural Development; and Ministry of Water Resources and Meteorology.

1 7 The Cambodia National Mekong Committee has a membership of 10 ministries and a linkage with the Mekong River Commission. It advisesthe Government on all matters related to the formulation of water policy, strategy, management, preservation, investigation, planning, andrestoration and the development of the water and other natural resources of the Mekong River basin in Cambodia.

1 8 The Tonle Sap Biosphere Reserve Secretariat was established in 2001in response to the growing need for coordination and planning.Its establishment affirms the Secretariat’s legitimacy as the coordinating body for the Tonle Sap and, thereby, its influence in all sectors ofgovernment.

1 9 The Mekong River Commission has prepared basin plans that specifically address transboundary issues.

education and awareness. It has both run TAsand contributed to components of larger loanand grant projects. The Community BasedNatural Resource Management LearningInstitute is building skills and awareness atprovincial, commune, and village levels inadvance of the commencement of projectactivities. The Cambodia DevelopmentResources Institute has opened a learningresource center on the Tonle Sap and proposesto expand it.

Community organizations.Community organizations.Community organizations.Community organizations.Community organizations. While thecurrent attention is to community fisheries,other community organizations will assumeprogressively heavier responsibilities andaccountability for identifying, planning, andimplementing ADB-assisted activities. Thisaccords with the Government’s decentralizationand deconcentration program and underlies thedesign of the sustainable livelihoods project.

Financing Agencies40. ADB has continually invited inputs frommultilateral and bilateral agencies forimplementing the Tonle Sap Basin Strategy.The Government of Finland is prominentamong these: it has been closely involvedfrom the earliest days, financing individualTAs and cofinancing larger grant projects.Other financial support has come from theGlobal Environment Facility, Government ofJapan, Government of the United Kingdom,Agence Française de Développement,Government of the Netherlands, UnitedNations Development Programme, andWildlife Conservation Society.

CountryOwnership andDelegationAttributes41. Country ownership implies participationthrough institutions.20 Therefore, encouragingcountry ownership requires understanding ofhow participation grows out of democraticprocesses, how these processes depend on thestructure of institutions, and how institutionsoriginate from—and are supported by—resources. To begin, participation is essential.Privileged minorities seldom approve ofreforms and concentration of political,economic, or social power in their hands canretard development. Five questions must beasked. Who initiates? Who participates? Whodecides? Who controls? Who benefits? If it isthe people, then development activities arelikely to succeed—bearing in mind that thechance to take part hangs in turn on accessto information, freedom of association tohold discussions, and arrangement of regularmeetings at which officials andrepresentatives can listen and respond tocommunities and account for the delivery ofoutputs.

42. It follows that institutions should belocated at three levels:

CommunityCommunityCommunityCommunityCommunity..... At the community level, aviable institution reflects the ideas, interests,and needs of communities. It has theirconfidence and the strength to communicatetheir views to higher authorities. Naturally,this assumes a degree of decentralization ofdecision-making. It presupposes, too, acapacity to act on responsibilities andaccountability. Above all, perhaps, the rightto organize must exist.

Region.Region.Region.Region.Region. At the regional level, a viableinstitution possesses a mix of technical,managerial, and information-handling skills.It has also the ability to interpretcommunities to the nation and vice versa.


2 0 Some see institutions as the rules of the game. They define, for example, a system of property rights; regulations that curb the worst forms offraud and anti-competitive behavior; the rule of law; and socio-political arrangements that mitigate risk and manage social conflicts.Characteristically, each rule performs a distinct function. But, its effectiveness hinges on being complemented and supplemented by others.

You cannot escape the

responsibility of tomorrow

by evading it today.

Abraham Lincoln

Most of all, it has a reasonable degree ofautonomy, including independent revenues.

Nation.Nation.Nation.Nation.Nation. At the national level, a viableinstitution has competence in policy making,socioeconomic analysis, and technical research.It has negotiating parity with multilateraland bilateral agencies. It provides inputs tonational policy making without relying onexternal advice. And it assists in identifyinglinkages between the national, regional, andcommunity levels.

43. To equip institutions to takeownership at the appropriate level, threeapproaches have been employed.21 They aimto: (i) improve technologies available todevelopment managers, thereby enablingthem to use resources more efficiently andto make their performance more effective,(ii) rationalize organization and proceduresand adjusting structures and methods toenhance management control, save resources,sharpen efficiency, and speed the delivery ofservices, and (iii) firm up bureaucracies associal institutions. The three approachesare fairly technocratic, however, and havenot always been fully adapted to theuncertainties, complexities, and societalpluralism that distinguish the environmentsin which they are applied. New approachesaspire to: (i) reform structures, (ii) reinventoperational procedures, (iii) provideappropriate motivation, (iv) build upresponsibilities and accountability, and(v) eradicate corruption. More recently still,the value of enhancing managerial skills hasbeen underscored and training institutionsand programs are being established orstrengthened to energize the instrumental,political, entrepreneurial, interorganizational,public interest, and performance evaluationfunctions of development managers.

Operating Outputs andActivities44. To the extent feasible, ADB delegatesresponsibilities and accountability to itsResident Mission. This facilitates the day-to-day performance of business, ensures on-the-spot assessment of country needs, and tailors

technical solutions to local realities. For thespecific support of ADB's work in the TonleSap basin, a Tonle Sap Initiative CoordinationUnit is accommodated in the ResidentMission. The unit was set up to: (i) analyzeassistance that relates to the Tonle SapInitiative, (ii) review ADB’s collaborativearrangements under the Tonle Sap Initiative,(iii) identify opportunities to fortify them,(iv) draw action plans for partnerships, and(v) elaborate concept papers for TAs to givethem expression.


2 1 Esman, Milton J. 1991. Management Dimensions of Development: Perspectives and Strategies. Kumarian Press.

Individuals may form communities, but it is

institutions alone that can create a nation.

Benjamin Disraeli

45. Just as the Tonle Sap Initiativerecognizes the need for coordination of theannual operating outputs through which thestrategy is effected, so the Government hasmet this need by putting in place a nationalcoordinating mechanism. Under thechairmanship of the Council for Agriculturaland Rural Development, an interministerialWorking Group on the Tonle Sap Initiativereporting to the Council of Ministers isestablished, the objective of which is to assistthe Government to progress the developmentobjectives of the Tonle Sap Basin Strategy andensure a harmonized approach to themultisectoral coverage of its loan, grant, andTA projects. It embeds high-level policydialogue in the project cycle.

46. Attaining country ownership at thelevel of strategy formulation may require inputfrom only a relatively small number of people.Putting that strategy into practice calls upona large number of managers operating withinthe right policy and institutional frameworkand having appropriate managerial, financial,and technical skills. Much building of

capacity is required for the country to attainreal ownership of and the ability to implementthe strategy. Between 1975 and 1979, theKhmer Rouge destroyed Cambodia’s humanand social capital, forcing the nation toreconstitute. As a protectorate of Viet Nam,Cambodia underwent another decade ofisolation from the international communityin the 1980s, cutting links to assistance. Thechallenges that Cambodia faces are of greaterintensity and thus require more work, time,capabilities, and resources to surmount thanelsewhere. Therefore, emphasis is placed onfostering capabilities and ensuring that anenabling environment exists.

Institutional Development47. The Tonle Sap Initiative sponsorsinstitutional development as an adjunctto the basin-wide approach. Through a seriesof advisory technical assistance (ADTA)projects, two completed and three pipelinedup to 2009, a Tonle Sap basin managementorganization is being developed. Recognizingthe strategic imperative of drawing as much


as possible on existing institutions the basinmanagement organization will be structuredaround the Cambodia National MekongCommittee and its Tonle Sap BiosphereReserve Secretariat at the central level, andwill utilize existing decentralized systems atthe level of the sub-basin. With this assistance,the Government has reached agreement onthe model for a Tonle Sap basin managementorganization, its mode of operation, and thescope of necessary supporting legislation. Itwill comprise the Tonle Sap basin coordinationcommittee, its secretariat, the Tonle SapBiosphere Reserve Secretariat, sub-basincommittees, provincial water sector andrelated resources committees and theirsecretariats, and district taskforces.

48. Through the environmentalmanagement project, an ADTA, and thesustainable livelihoods project, the Tonle SapBiosphere Reserve Secretariat is beingstrengthened to coordinate with and fortifycooperation among government agencies,provincial authorities, and civil society. Newcapabilities will empower the Secretariat to:(i) serve as an information clearinghouse opento all, (ii) step up nationwide environmentaleducation and awareness, and (iii) effectcross-sectoral policy and strategy coordination.

49. Through an ADTA and the sustainablelivelihoods project, the Council for Agriculturaland Rural Development is being engaged.The aims are to: (i) enable the council tobetter coordinate with ministries, facilitatepolicy formulation, and harmonize assistancefor agricultural and rural development,(ii) draw up a work plan and train staff of thecouncil to update it, and (iii) build capacityto complete critical tasks effectively,efficiently, and more inclusively.

50. The Tonle Sap Initiative has alsoprovided substantial support to the InlandFisheries Research and Development Instituteby way of the WorldFish Center. Twointerrelated ADTAs have resulted in much-enhanced, if not newly created, capacity for:(i) institute management, (ii) research anddevelopment, (iii) technology transfer, and

(iv) policy development and dialogue. Rightthrough their implementation, constantefforts were deployed to train staff of theInland Fisheries Research and DevelopmentInstitute and to lay the foundations of lastingrelationships between the institute, theWorldFish Center, and leading internationalresearch centers.

51. The decision to release large areasof fishing lots for community managementin 2000 has placed a considerable burden onthe Department of Fisheries in the Ministryof Agriculture, Forestry, and Fisheries, whichsuffers from institutional weaknesses and lowlevels of capacity. Through the environmentalmanagement project and an ADTApiggybacked to it, the Department ofFisheries is guided to improve the regulatoryand management framework for inlandfisheries and organize communities fornatural resource management.

Policy and Institutional Framework52. Institutions of themselves are of no useunless they operate within an enabling policyand institutional framework. ADTA to improvethe regulatory and management frameworkfor inland fisheries has provided support tothe Department of Fisheries producing:(i) comments and recommendations on thedraft Fisheries Law and its Subdecree onCommunity Fisheries Management,22 (ii) thedraft Proclamation on Community FisheriesBy-laws and Area Agreement, (iii) revisedGuidelines for the Establishment ofCommunity Fisheries ManagementOrganizations, and (iv) the first-ever 5-YearGeneral Fisheries Management Plan for theTonle Sap.

53. Part of the assistance in establishingthe Tonle Sap basin management organizationaddresses the formulation of policy andstrategy to manage, preserve, investigate,plan, and develop water and related naturalresources, with an eye in particular to conservethe functions of the biosphere reserve. Allassistance is carefully targeted becausegovernance reforms need to be prioritized,


2 2 The Subdecree on Community Fisheries Management was signed by the Prime Minister on 10 June 2005. The King endorsed the FisheriesLaw on 24 May 2006.

achievable, and appropriate to the context.The tactics are to: (i) choose the right issuesand concentrate on the main causes ofinstability and the main capacities, 23

(ii) achieve discernible results in the nearterm, however modest, to build up momentumfor future reform, (iii) steer clear of the mostpolitically or socially controversial issues,(iv) avoid changes that are too ambitious inrespect of implementation capacity, (v) ensurethat reform does not wear away what capacityexists, and (vi) strengthen the responsibilities,accountability, and legitimacy of governmentwherever possible.

Capacity Building54. The building of capacity is a commonthread running through the practicalexpression of the Tonle Sap Basin Strategyat the community, regional, and nationallevels. The Department of Fisheries; Councilfor Agricultural and Rural Development;Tonle Sap Biosphere Reserve Secretariat; andInland Fisheries Research and DevelopmentInstitute are supported at the national level.An ongoing ADTA specifically addressescapacity shortfalls and provides skills andawareness building in the form of fivemodules at the community and regionallevels covering: (i) natural resourcemanagement and planning (community and

region), (ii) leadership and communityorganizing (community), (iii) networking andpartnership building (community and region),(iv) project management (region), and(v) proposal and report writing (communityand region). Its purpose is to build capacity tomanage, engage in, and support the Tonle SapInitiative.

Informing andListeningAttributes55. Informing stakeholders of past, ongoing,and planned activities in the execution ofa strategy is with regrettable frequencyconducted on an ad hoc basis. Improvisation,however, will never disseminate informationsuccessfully and can therefore cancel outthe role that stakeholders might wish toplay in the delivery of a strategy. Informingrequires a deliberate, planned, and sustainedapproach covering: (i) articulation of adissemination policy, (ii) drawing up of adissemination plan to cover impact andoutcomes, users, information content, medium,execution, obstacles, and accomplishment,(iii) development of a dissemination strategyto cover users, source, information content,


Characteristics of a Successful Dissemination Plan

1 The plan orientates itself to the needs of users. It relies on appropriate form, language, and information contentlevels.

2 The plan incorporates various dissemination methods such as written, graphical, electronic, and verbal media.The methods include summary documents; press releases; media coverage; flyers, posters, and brochures; lettersof thanks to study participants; newsletters to study participants; events and conferences; and seminars. Eachmethod calls for its own format and means of dissemination and includes both proactive and reactive channels—that is, it includes information content that users have identified as important and information content that usersmay not know to request but are likely to need. The dissemination methods are more likely to succeed when theirpackaging and information content has been influenced by appropriate inputs from users.

3 The plan draws on existing capabilities, resources, relationships, and networks to the maximum extent possible.It also builds the new capabilities, resources, relationships, and networks that users need.

4 The plan includes effective quality control mechanisms to ensure that the information content is accurate, relevant,and representative.

5 The plan establishes linkages to the resources that may be required to implement the information content.

2 3 The right issues are found where all the players have something to gain and something to lose. Genuine global public goods are often a goodbet.

context, and medium, and (iv) utilization ofdissemination tactics.

56. ADB should also receive informationand two-way exchange must encompass thefull spectrum of factors and players. Theyinclude: (i) national development priorities,(ii) local livelihood needs, (iii) regionalcooperation, (iv) international markets,(v) overseas development assistance,(vi) NGOs, (vii) the private sector,(viii) academics, researchers, teachers, andspecialists, and (ix) the media.

Operating Outputs andActivities57. In Cambodia, all the above factors andplayers are relevant. However, the nationaldevelopment priorities and local livelihoodneeds take precedence over the others andhave therefore been put at the center ofanalysis. In implementing the Tonle SapBasin Strategy, audiences are reached throughstructured access to information. In additionto formal channels of dialogue with theGovernment, information is made freelyavailable to NGOs, the private sector,academics, researchers, teachers, specialists,and the media.

Informing58. The Tonle Sap Initiative website24

frequently aggregates comprehensiveinformation so that it may be accessed. Thesix monthly Tonle Sap Initiative brochures,25

with a wide circulation in the English andKhmer languages, are also online there. Thereare powerful arguments for using the Internetto disseminate information: (i) outlay,(ii) speed and flexibility, (iii) synergies,(iv) outreach, (v) monitoring and evaluation,(vi) fundraising, and (vii) ease of storage.Through the environmental managementproject, efforts are deployed to: (i) build anefficient information clearinghousemechanism, (ii) set up a database to supportmanagement planning, environmentalassessment, and public information, and

(iii) establish a Tonle Sap Biosphere ReserveEnvironmental Information Database.26 Inconjunction with the Cambodia DevelopmentResource Institute, a learning resource centeron the Tonle Sap is established. The centercontains written, audiovisual, and website-based information as well as extensivedatabases on the Tonle Sap. The center ispublicized by the Cambodia DevelopmentResource Institute’s publishing unit andthrough networking with stakeholders.

59. The environmental managementproject also campaigns for environmentaleducation and awareness. The campaign hasnational application and targets the generalpublic, decision makers, the media, andschool children. Special attention is given toaction-based approaches in communitiesliving within the boundaries of the Tonle SapBiosphere Reserve. The campaign builds onaccomplishments under ADB’s WaterAwareness Program, which funded a pilot anddemonstration activity for developing andtesting environmental education andawareness methodologies and tools. Oneoutput was the development of a strategicapproach to environmental education andawareness and this is used to guide the


2 4 Available: www.adb.org/projects/tonle_sap/default.asp.2 5 ADB. Various years. Future Solutions Now: The Tonle Sap Initiative. Manila.2 6 Available: www.tsbr-ed.org/en/default.asp.

campaign. In addition, ADB’s WaterAwareness Program funded the making ofa 20-minute video documentary on howcommunities work together to protect thelake’s natural capital and improve theirlivelihoods.

60. The effort to reach out is also partof a concerted effort at branding the TonleSap Initiative. In a globalized economy,multilateral and bilateral agencies must alignvision, culture, and image:

VVVVVision and culture.ision and culture.ision and culture.ision and culture.ision and culture. Does the TonleSap Initiative practice the values it upholds?Does its vision to be a partnership oforganizations and people working to meet thepoverty and environment challenges of theTonle Sap inspire its culture?

Image and vision.Image and vision.Image and vision.Image and vision.Image and vision. Who are thestakeholders of the Tonle Sap Initiative? Whatdo they expect? Does the Tonle Sap Initiativeconvey its vision to them effectively?

Image and culture.Image and culture.Image and culture.Image and culture.Image and culture. What images dostakeholders associate with the Tonle SapInitiative? How do ADB staff andstakeholders interact? Do ADB staff careabout what stakeholders think?

61. Misalignment between vision andculture would reveal that the Tonle SapInitiative pursues development objectivesthat ADB staff do not understand or support(or worse still that the objectives are toogrand to accomplish). Misalignment betweenimage and vision would reveal discrepanciesbetween the image that stakeholders have ofthe Tonle Sap Initiative and the vision itpromotes. Misalignment between image andculture would signify confusion amongstakeholders as to what the Tonle SapInitiative stands for. To identifymisalignments and correct them, it isnecessary to listen.

Listening62. Channels for feedback are wellestablished. Briefings are held with seniorgovernment officials, both in Cambodia andabroad, to exchange views, ideas, andconcerns. These briefings are also targeted atcivil society, NGOs, journalists, and executivedirectors of ADB. The Tonle Sap InitiativeCoordination Unit plays a pivotal role ingathering the views of participants in allongoing loan, grant, and TA projects.Extensive testing of environmental educationand awareness materials was also conductedamong potential users with feedbackfashioning the final format of these materials.Likewise, the program for building skills andawareness at provincial, commune, andvillage levels was pilot tested with contentmodified by feedback.

Generating Knowledge63. On the Tonle Sap, women are particularlyactive in fisheries. They engage in fishing,fish cage operation, fish grading, fishprocessing, fish selling, and fishing gear andfishing equipment construction and repair.However, the public perception is that theydo not go out fishing and that theirassociation with fisheries is therefore notsignificant. They receive minimal assistance,for example in terms of training and extensionservices. Information on their contribution issparse, unreliable, and does not do justice totheir centrality. To enhance their role, aninformation base on gender issues andconcerns is being established, constraints andopportunities are being analyzed, andinterventions needed to enable women toparticipate fully in the development agendaare being investigated. The strategydeveloped will identify immediate entrypoints through the Tonle Sap Initiative.

64. Built structures such as dams, weirs,and flood control works bring social andeconomic benefits. But they can also alterwater quantity, quality, and timing; modifyflooding patterns; induce loss of habitat;affect fishery resources by blocking fishmigration and access to spawning areas;and ultimately impact communities thatrely on natural, especially aquatic, resources.


Your most unhappy customers

are your greatest source of

learning.

Bill Gates

To improve awareness of the influence of builtstructures on the lake’s hydrology, a database ofbuilt structures is being created; the impact ofbuilt structures on hydrodynamics and waterquality is being modeled; the influence ofbuilt structures on the environment, fisheryresources, and livelihood is being assessed; andpolicy makers and decision makers are beinginformed.

65. Cambodia’s inland fisheries yield300,000–400,000 metric tons of fish eachyear, of which about 60% originate from theTonle Sap. The monetary worth of this fishis largely unknown, but estimates suggesta value at landing of between $100–$200million and a retail value of $250–$500million per annum.27 Surprisingly, little dataon fish trade are available. Export figures, forexample, are uncertain: authorities cite aminimum of 50,000 metric tons and up to100,000 metric tons each year. To improveawareness of trade of living aquatic resources,existing data and statistics on fresh fish,prahoc,28 and other products for domesticconsumption and export will be evaluated;trade and distribution structures and networks,


2 7 The Mekong River Commission estimates that fisheries in Cambodia make up 16% of the gross domestic product.2 8 Prahoc (fermented fish) is made from small low-value fish such as trey riel. After the fish are washed, the head and scales are removed. The

fish are salted and dried for a few days and then stored in large ceramic pots to ferment. Families work together and businesses that make andsell prahoc hire many temporary workers. The protein in prahoc is more digestible than that in fresh fish. Prahoc is thus an excellent food forthe elderly and the young.

2 9 Poor people expressed just how much they depend on natural capital. They did so in terms of poor access to such things as water, fuel wood,and energy, rather than income. Inevitably, they pay most of the costs associated with environmental degradation, hazard, and conflict.

as well as actual and potential factors andplayers, their role, and importance will beassessed; needs for improved access tointernational markets and relatedinstitutional reforms will be circumscribed;and recommendations will be made to ensurethat aquatic resource trade patterns are inkeeping with biosphere reserve zonationprinciples.

66. Poverty in the Tonle Sap region hasbeen assessed using participatorytechniques.29 A first-ever baseline assessmentof community fisheries has been conductedand will be updated yearly. A communityfisheries site assessment tool is being appliedto monitor their progress toward registrationunder the Subdecree on Community FisheriesManagement. Mechanisms are in place tocontinue generating knowledge with partnersin continuing support of informing andlistening. Other investigations relate, amongothers, to establishing an information base oncore areas; exploring ways to improve thelivelihood of the poorest fishing households;promoting biodiversity conservationawareness, education, and outreach; and

educating for protection of natural resources.67. The generation and demonstration of

knowledge at the grassroots is being achievedthrough a project to improve the access of poorfloating communities to social infrastructureand livelihood activities. The project is(i) demonstrating alternative income-generating activities that may be viable,(ii) supporting community-basedmicrofinance, (iii) developing and testinglow-cost solutions for urgent and basic health,nutrition, water, and sanitation needs, and(iv) promoting functional literacy andvocational skills for illiterate adults and out-of-school children, especially girls.

Judicious Useof ModalitiesAttributes68. Lending, grant, and TA instruments mustbe used in ways that maximize developmentimpact. When translated into actualassistance, this entails the use of: (i) ADTAfor sector and institutional analyses and forcapacity building, (ii) PPTAs and programloans where costly and thorny sector policyreforms need to be front-loaded to makeinvestments viable, (iii) PPTAs and sectordevelopment programs where a synchronousmix of sector policy reforms and investmentsis desirable, (iv) PPTAs and grant or projectloans where specific investments that arerelatively immune from policy distortions,if any, are warranted, where the latter can besustainably addressed, or where pilot

approaches are to be tested, and (v) PPTAs andsector loans where the policy and institutionalframework is substantially in place. In mostcases, ADTA should only accompany grantor loans to assist in the implementation,operation, and management of the project orprogram.30 Policy dialogue must buttress allthese lending, grant, and TA instruments, andenable ADB to build up a portfolio steadilyand rationally. It goes without saying thatTAs must be programmed, in the sense thatthey should be prioritized as an organic whole,and that this demands as much forethoughtas planning the program of loan and grantprojects.

69. Conditionality has been a contentiousaspect of policy-based lending since the 1980s,when multilateral and bilateral agenciesendeavored to help developing countriesadjust to the debt crisis. Among the lessonslearned since is that conditionality cannotsubstitute for country ownership and that thecomposite problems of development must betackled with country-specific solutions.Blueprints do not always work and principlesmatter more than prescriptions. In tandem,importance is assigned to development resultsand, in turn, to selectivity and concentrationfounded on country performance.

70. ADB's sector development programsand program loans impose conditionality.On the Tonle Sap, dialogue is framed byseveral questions. Does conditionality havea worthwhile role in policy-based lending?Do policy makers find it useful or intrusive?How can ADB address the tension betweenconditionality and country ownership,leading to decision on whether ex-ante,programmatic, process-oriented, or outcome-based conditionality is most effective?How can ADB, the Government, othermultilateral and bilateral agencies, NGOs,research centers, and the private sectorcoordinate their approaches to reconcilethe predictability of financial capital flowswith responsibilities and accountability forperformance?

If the only tool you have is

a hammer, you tend to see

every problem as a nail.

Abraham Maslow

3 0 ADB introduced new pilot financing instruments and modalities in 2005, to be tested over three years, to reinforce the flexibility and clientorientation of its financial products. They include: (i) a multitranche financing facility, (ii) a subsovereign and nonsovereign public sectorfinancing facility, (iii) local currency lending, (v) a refinancing and restructuring facility, and (vi) financing syndications and risk-sharingagreements. Their relevance to the situation in Cambodia has not yet been explored.


Operating Outputs andActivities71. The loan, grant, and TA projects thatsupport the Tonle Sap Initiative now numberabout 30. The trademark of the suite is itshigh and visible interconnectedness. Eachloan, grant, and TA project is informed byand feeds into another. The benefits ofinterconnectedness need no explanation.Improving policy; developing institutions;creating and strengthening productive capacity,infrastructure, and services; promotingresource cooperation; and consequentlyachieving development effectiveness are long-term tasks. Interconnectedness promotescontinuity and that builds synergies.Synergies ease planning, processing, approval,and implementation of projects. They fire upanalytical capacity that is more intensive,targeted, and focused. They reduceadministrative burden.

72. TAs make up the bulk of the numberof the annual operating outputs. They areused to: (i) identify and formulate loan andgrant projects; (ii) improve institutionalcapabilities; (iii) formulate and coordinatestrategies, plans, and programs; (iv) undertakesector, policy, and issues-oriented studies;and (v) promote the transfer of technology.Building capacity for inland fisheries researchand development and basin managementfigures prominently. But many studies,typically small-scale, are also used to examinespecific circumstances in advance of PPTAs.They cover participatory poverty assessments,the influence of built structures on thehydrology and biology of the lake, the role ofwomen in fisheries, aquatic resource tradepatterns, dissemination of information onenvironmental and livelihood issues, andparticipatory watershed managementapproaches.

73. TAs are also judged against soundprecepts for approval. These precepts holdthat TAs are a comparative advantage of ADBthat should not be entirely outsourced. Theyare preceded by good diagnostics and marketresearch. They are focused where there ishunger for improvement and, to the extentpossible, deal with change management andnot simply policy development or capacity

building. They leave no unfinished business.Wide use is made of small-scale TAs becauseof the greater likelihood that they will beatexpectations.

74. The mix of loan and grant moniesused to fund the four pillars as well as relatedinterventions in rural water supply andsanitation and irrigation development isplanned carefully to match absorptioncapacity. Fragile institutions should not beoverloaded. More often than not, the mix isdelivered in grant form in recognition of thedebt that Cambodia carries and to assist thecountry in its transition from a post-conflictsituation to peace and stability.



Implementing the Tonle Sap Basin Strategy by Development Objective

Poverty Reduction

Management of Natural Resourcesand the EnvironmentAccess to Assets

Pro-Poor, Sustainable EconomicGrowth

• Improving the Regulatory andManagement Framework for InlandFisheries, 2002

• Tonle Sap Sustainable Livelihoods, 2003• Improving the Access of Poor Floating

Communities on the Tonle Sap to SocialInfrastructure and Livelihood Activities,2005

• Sustainable Rural Water Supply andSanitation, 2005

• Tonle Sap Rural Water Supply andSanitation Sector, 2005

• Tonle Sap Sustainable Livelihoods, 2005

• Participatory Poverty Assessment of theTonle Sap, 2003

• Living with Floods on the Tonle Sap,2003

• Capacity Building for the Tonle SapPoverty Reduction Initiative, 2004

• Study of the Influence of BuiltStructures on the Fisheries of the TonleSap, 2005

• Tonle Sap Lowland Stabilization, 2005• Enhancing the Role of Women in Inland

Fisheries in Cambodia, 2006• Capacity Building for the Tonle Sap

Poverty Reduction Initiative II, 2007• Study of Inland Aquatic Resource Trade

Patterns, 2009• Tonle Sap Resources Management and

Conservation, 2010

• Protection and Management of CriticalWetlands in the Lower Mekong Basin,1998

• Tonle Sap Environmental Management,2002

• Chong Kneas EnvironmentalImprovement, 2002

• Capacity Building of the Inland FisheriesResearch and Development Institute,2002

• Establishment of the Tonle Sap BasinManagement Organization, 2003

• Developing and Testing Methodologiesand Tools for Environmental Educationand Awareness, 2004

• Establishment of the Tonle Sap BasinManagement Organization II, 2004

• Capacity Building of the Inland FisheriesResearch and Development Institute II,2005

• Establishment of the Tonle Sap BasinManagement Organization III, 2006

• Study of Participatory WatershedManagement Approaches, 2007

• Tonle Sap Watershed Management,2008

• Establishment of the Tonle Sap BasinManagement Organization IV, 2008

• Establishment of the Tonle Sap BasinManagement Organization V, 2009

Note: All planned assistance is indicative and subject to the approval of authorities in ADB.


Implementing the Tonle Sap Basin Strategy by Crosscutting Theme

Poverty Reduction

Vulnerable Groups Governance Resource CooperationThe Private Sectorin Development

• Chong Kneas EnvironmentalImprovement, 2002

• Participatory PovertyAssessment of the TonleSap, 2003

• Living with Floods on theTonle Sap, 2003

• Tonle Sap SustainableLivelihoods, 2005

• Sustainable Rural WaterSupply and Sanitation, 2005

• Tonle Sap Rural WaterSupply and SanitationSector, 2005

• Improving the Access ofPoor Floating Communitieson the Tonle Sap to SocialInfrastructure andLivelihood Activities, 2005

• Tonle Sap SustainableLivelihoods, 2005

• Tonle Sap LowlandStabilization, 2005

• Enhancing the Role ofWomen in Inland Fisheriesin Cambodia, 2006

• Improving the Regulatoryand ManagementFramework for InlandFisheries, 2002

• Tonle Sap EnvironmentalManagement, 2002

• Capacity Building of theInland Fisheries Researchand Development Institute,2002

• Establishment of the TonleSap Basin ManagementOrganization, 2003

• Establishment of the TonleSap Basin ManagementOrganization II, 2004

• Capacity Building for theTonle Sap Poverty ReductionInitiative, 2004

• Capacity Building of theInland Fisheries Researchand Development InstituteII, 2005

• Establishment of the TonleSap Basin ManagementOrganization III, 2006

• Capacity Building for theTonle Sap Poverty ReductionInitiative II, 2007

• Establishment of the TonleSap Basin ManagementOrganization IV, 2008

· Establishment of the TonleSap Basin ManagementOrganization V, 2009

• Protection andManagement of CriticalWetlands in the LowerMekong Basin, 1998

• Developing and TestingMethodologies and Toolsfor EnvironmentalEducation and Awareness,2004

• Study of the Influence ofBuilt Structures on theFisheries of the Tonle Sap,2005

• Study of ParticipatoryWatershed ManagementApproaches, 2007

• Tonle Sap WatershedManagement, 2008

• Study of Inland AquaticResource Trade Patterns,2009

• Tonle Sap ResourcesManagement andConservation, 2010

Note: All planned assistance is indicative and subject to the approval of authorities in ADB.


Implementing the Tonle Sap Basin Strategy by Operating Output

Code1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

Score

Rating

3

Low

17

High

13

Medium

1 2 3 4 5 6 7 8 9 10 11 12 13 14

7

Low

14

Medium

17

High

2

Low

20

High

9

Low

7

Low

12

Medium

17

High

6

Low

14

Med

Code Project Name1 Protection and Management of Critical Wetlands in the Lower Mekong Basin (1998)

2 Tonle Sap Environmental Management (2002)

3 Improving the Regulatory and Management Framework for Inland Fisheries (2002)

4 Chong Kneas Environmental Improvement (2002)

5 Capacity Building of the Inland Fisheries Research and Development Institute (2002)

6 Establishment of the Tonle Sap Basin Management Organization (2003)

7 Living with Floods on the Tonle Sap (2003)

8 Tonle Sap Sustainable Livelihoods (2003)

9 Participatory Poverty Assessment of the Tonle Sap (2003)

10 Developing and Testing Methodologies and Tools for Environmental Education and Awareness (2004)

11 Capacity Building for the Tonle Sap Poverty Reduction Initiative (2004)

12 Establishment of the Tonle Sap Basin Management Organization II (2004)

13 Sustainable Rural Water Supply and Sanitation (2005)

14 Capacity Building of the Inland Fisheries Research and Development Institute II (2005)

Note: All planned assistance is indicative and subject to the approval of authorities in ADB.The rating indicates the degree of interconnectedness with other projects.


4 15 16 17 18 19 20 21 22 23

4

dium

8

Low

22

High

8

Low

11

Medium

13

Medium

9

Low

17

High

14

Medium

8

Low

24 25 26 27 28

9

Low

17

High

7

Low

17

High

18

High

LegendYes

No

Not applicable

Score Rating16 to 27 High

11 to 15 Medium

0 to 10 Low

Code Project Name15 Tonle Sap Rural Water Supply and Sanitation Sector (2005)

16 Tonle Sap Sustainable Livelihoods (2005)

17 Improving the Access of Poor Floating Communities on the Tonle Sap to Social Infrastructure and Livelihood Activities (2005)

18 Study of the Influence of Built Structures on the Fisheries of the Tonle Sap (2005)

19 Tonle Sap Lowland Stabilization (2005)

20 Enhancing the Role of Women in Inland Fisheries in Cambodia (2006)

21 Establishment of the Tonle Sap Basin Management Organization III (2006)

22 Capacity Building for the Tonle Sap Poverty Reduction Initiative II (2007)

23 Study of Participatory Watershed Management Approaches (2007)

24 Tonle Sap Watershed Management (2008)

25 Establishment of the Tonle Sap Basin Management Organization IV (2008)

26 Study of Inland Aquatic Resource Trade Patterns (2009)

27 Establishment of the Tonle Sap Basin Management Organization V (2009)

28 Tonle Sap Resources Management and Conservation (2010)

From Practice to Results

Managing forDevelopmentResults75. The introduction of results-basedmanagement in the 1990s has knitted practicemore closely to results. The techniques usedinclude results-based strategic planning, logicmodels (results frameworks), results-basedbudgeting, risk management, and results-based monitoring and evaluation. Results-based management sets out to transform theway organizations operate: it enshrinesmeasured performance as the centralorientation and fulfills responsibilities andaccountability through performance reporting.

76. Results-based management iscentered on causality. It propounds thatinputs and activities lead logically to higherorders of results (outputs, outcomes, andimpacts). These parameters are usuallyshown in a results chain that depicts cause-and-effect relationships. Results are usuallyunderstood as sequential and time-bound, andchanges are linked to a series of managementsteps within the cycle of a project. Results-based management asks managers and projectofficers to regularly think through the extentto which their implementation activities andoutputs have a reasonable probability ofattaining the outcomes desired, and to makecontinuous adjustments as needed to ensurethese are achieved.

77. Multilateral and bilateral agencies arenow tasked with managing for developmentresults. Although results-based managementis nearly synonymous with managing fordevelopment results, some approaches toresults-based management have focused onlyon responsibilities and accountability.

Managing for development results goes furtherand incorporates ideas about collaboration,partnership, country ownership and delegation,harmonization, and alignment. Managing fordevelopment results provides a highermanagement standard because it asksstakeholders to concentrate continuously oncountry outcome performance rather than onshort-term results. In ADB, managing fordevelopment results is a challenginginitiative.31,32 In 2003, ADB framed an actionplan for: (i) development results at thecountry level, (ii) results orientation at ADB’scorporate level, and (iii) ADB contributionsto managing for development results inpartnerships.33

Country Capacity78. ADB is helping its developing membercountries introduce and improve managementfor development results at the country levelto better align its actions with nationaldevelopment priorities. Developing membercountries need to acquire the ability tomanage for development results to know whatworks and what does not and to use betterinformation on performance and results todecide on future action. This concerns at leastthree different areas of activity: (i) establishinga regime of country development indicators,(ii) improving the capacity to deliver on aresults agenda, and (iii) education and

FROM PRACTICE TO RESULTS 3 5

3 1 ADB. 2006. An Introduction to Results Management: Principles, Implications, and Applications. Manila.3 2 ADB. 2006. Capacity for Results Management: A Guide for Conducting a Rapid Assessment of the Capacity of Developing Member Countries to Manage

for Results. Manila.3 3 ADB. 2003. Enhancing Effectiveness: Managing for Development Results. Manila.

Management by objective

works if you know the

objectives. Ninety percent

of the time you don’t.

Peter Drucker

training. ADB’s country operations must befocused on the three pillars of ADB’soverarching poverty reduction strategy andwhere ADB has strengths and competences.With the introduction of the enhanced projectperformance management system ADB isbetter able to gauge performance at theproject level. A first step is to define a regimeof outcome indicators in the areas of focus andoperational importance for ADB.

79. Closely allied to recognition of theneed to manage for development results is amove to portfolio management rather thanthe more generally followed project-by-projectapproach. ADB must pay attention to portfoliomatters across the project cycle. In particular,periodic and well-planned country portfolioreview missions underpinned by a consistentframework for measurement, monitoring, andmanagement of performance enable ADBto fine-tune the design of country strategiesand programs in agreement with the currentdevelopment situation. This locatesoperations strategically in time and space—responsibilities and accountability,transparency, predictability, and participationensue. In a review of operations, ADB notedthat the quality of its portfolio slips becausenot enough distinction is made betweenproject administration and portfoliomanagement. Until recently, review missionsplaced the accent on generic matters offinancial and physical progress. They paidinsufficient attention to assisting executingand implementing agencies to analyze andresolve major problems, address deficienciesin the quality of implementation, and consultwith beneficiaries. They were consequentlynot able to achieve lasting improvements.In general, where country-specific or sector-specific obstacles to implementation exist,a project-by-project approach ceases to beuseful.

80. The portfolio concept dictates therequirement to make decisive investmentchoices for economic, social, environmental,and other progress that are informed bycountrywide implementation reviews. Tomake choices, there must be alternatives.For ADB, there can be too many and thechallenge is to find a rationale for distinction.

For other multilateral and bilateral agencies,there can be too few and the challenge is tocreate opportunity. In both cases, all majoroptions should be investigated before a courseof action is chosen. The portfolio concept alsostresses the critical need to show concern foreffectiveness of expenditure, and to keepabilities and resources employed where theyhave the highest yield or the highest potentialyield. Portfolio management thereforenecessitates targets and indicators since theabsence of a market test that typifiesmultilateral and bilateral agencies removesthe discipline that forces a business to changeits ways or go bankrupt.

81. ADB and its developing membercountries need portfolio performance targetsthat can be reached over time to make possiblestrategic thinking and the transformation ofstatic plans into dynamic plans, and to ensurethe sustainability of the highest performanceof its portfolio. To move toward portfoliomanagement, annual country portfolio reviewsneed to be equipped with realistic and well-defined country-specific and sector-specificportfolio performance targets that can bereached over time, and need to identify meansto achieve the targets defined.

82. Portfolio management requirescountry-specific and sector-specific portfolioperformance indicators and their judicious useto impact on project approvals, disbursements,partial or full cancellation, closing, andextension. The purpose of portfolioperformance indicators is to concentrateenergy on the strategic agenda of ADB, verifythe achievement of development objectives,and provide inputs for constant performanceimprovement. Portfolio performance indicatorsare needed to make decisive investmentchoices for economic, social, environmental,and other progress. Yet, there is no universalconsensus on how best to appraise portfolioperformance, and excessive attention to asingle method of measurement, such asdisbursements, will result in some thingsbeing optimized at the expense of others.The obvious solution is to select a variety ofmarkers. The portfolio performance indicatorsrequired should be practical and achievable.They should communicate across the project


cycle, covering: (i) project identification,(ii) loan or grant processing, (iii) loan or grantapproval and negotiations, (iv) projectimplementation, and (v) project completionand evaluation.

Institutional Effectiveness83. ADB has launched initiatives to helpimprove institutional performance. It hasspecified that country strategies and programsmust be clear on: (i) what is being sought atall five logical levels of a results chaincomprising inputs, activities, outputs,outcomes, and impacts; (ii) the actions to taketo achieve these; and (iii) a commitment tomonitor and evaluate performance. Perhapsthe biggest single step in this regard is toimprove on the results aspects of countrystrategies and programs that must be moresystematic about delivering monitorableresults. Result-based country strategies andprograms must: (i) distinguish the challengesof development, (ii) identify a nationalstrategy for addressing these, (iii) single outADB’s strategy to assist in a plausible waythat contributes to achieving identifiedoutcomes, (iv) monitor ADB’s progress toensure that it remains on track; and (v) ensurequality-at-entry of projects and knowledgeproducts and services, a standard that shouldbe independently identified throughevaluation. Nevertheless, ADB’s capacity toundertake an expanded results agenda hingeson assisting ADB staff to augment itsinsights, knowledge, and experience.

Partnerships84. Development outcomes at the countrylevel, and across countries, will depend onharmonized efforts by factors and playersother than ADB. They include the developingmember countries themselves, othermultilateral and bilateral agencies, theprivate sector, and civil society. In pursuingbetter partnerships for development, ADBis less concerned with attribution, andfocuses more on whether it has a clearlydefined role, in collaboration with otherpartners. A challenge is to create a system tobetter assess effectiveness as a partnerworking with others to pursue development

results and effectiveness. This includes themanner in which information is exchanged,the extent to which ADB can embrace jointactivities, and the ways in which ADB staffare encouraged to work accordingly.


Managing forDevelopmentEffectiveness85. Managing for development results isa prerequisite to improving the quality ofassistance. It is also one of the five keyprinciples espoused by the Paris Declarationon Aid Effectiveness of 2005, which firmed upresolve to promote development throughownership, harmonization, alignment, results,and mutual accountability. Multilateral andbilateral agencies are under pressure todemonstrate development effectiveness andto show impact on the ground. In assessingeffectiveness, they must take intoconsideration:

Relevance. Relevance. Relevance. Relevance. Relevance. Relevance is the degree towhich the development objective of a projectremains valid and pertinent either asoriginally planned or as subsequentlymodified owing to changes in the immediatecontext or external environment of theproject.

PPPPPerformance. erformance. erformance. erformance. erformance. Performance is theprogress made by a project relative to itsdevelopment objective. In the past,assessment of performance tended to focus on

the conversion of inputs into outputs, withlimited reference to immediate and long-termdevelopment results. More importance isgiven to results in the monitoring andevaluation frameworks developed in the last10 years. The yardsticks of performance are:(a) efficiency—the optimal conversion ofinputs into outputs, and (b) effectiveness—the extent to which a project brings aboutdesired outcomes.

Success. Success. Success. Success. Success. Success is the extent to whicha project has brought about change tobeneficiaries. Success, the dimension that isperhaps closest in essence to the concept ofdevelopment effectiveness, is the expressionof: (a) impact—the overall effect of anintervention that goes beyond theachievement of outputs and developmentobjectives and tries to capture economic,social, environmental, and other progress;(b) sustainability—the durability of positiveproject results after the termination of theproject; and (c) contribution to institutionaldevelopment—the extent to which a projectenables target groups to be self-reliant andmakes it possible for government agencies,the private sector, and civil society to usepositive experience with the project inaddressing broader development issues.

Managing forDevelopmentResults andEffectiveness inthe Tonle SapInitiative86. The foregoing demonstrates that the suiteof loan, grant, and TA projects that deliversthe Tonle Sap Basin Strategy contributes tomanaging for development results andeffectiveness, notably through the accentthat it places on portfolio management,institutional effectiveness, partnerships,relevance, performance, and success. It


constitutes an integrated portfolio that ismanaged, monitored, evaluated, and reportedon in the same way as an overall countryportfolio.34 The additional flow of informationthat such management generates quickensthe processing of lessons learned, feedscountry portfolio reviews, facilitates results-based country programming under the CSP,2005–2007 and its annual updates, andpromotes quality at entry in terms ofpositioning and relevance.35 The sum totalis that the Tonle Sap Initiative does muchto align financing to country priorities,rely on country systems, strengthen systemiccapacity, improve aid predictability, increasedonor complementarity, intensify andincentivize joint action, and ensure mutualaccountability.

87. Supplementing strict adherence to thetenets of managing for development resultsand effectiveness, an exacting system of review,assessment, and reporting36 is established forall projects. It comprises:

Systematic six monthly reviews.Systematic six monthly reviews.Systematic six monthly reviews.Systematic six monthly reviews.Systematic six monthly reviews.Review missions are very structured.Workshops are held at the beginning to providestakeholders the opportunity to note specificissues to which attention needs to be directedbut also to engage in strategic debate. Themissions are planned in such ways that severalprojects are examined simultaneously tomonitor and evaluate their interlinkages.Aide-mémoires have a common format andmaintain high standards of quality, accuracy,fairness, and balance in reporting and writing.

Output accomplishment. Output accomplishment. Output accomplishment. Output accomplishment. Output accomplishment. Reviewmissions carry out analyses of outputaccomplishment to focus attention on thecause-and-effect relationships between thebasic elements of project design and to workout ways to resolve the problems affectingimplementation. The analyses relate towhether the targets for each output are beingachieved, how the activities required toaccomplish each output are being

implemented (listing strengths andweaknesses), and how implementation of theactivities can be improved (proposing changesand justifying the recommendations). Basedon these, review missions itemize specificaction plans to improve activities.

PPPPProgress reports. rogress reports. rogress reports. rogress reports. rogress reports. Each consultantsubmits monthly progress notes. The notesfeed monitoring and evaluation and informstakeholders in the interest of coordination.They comprise a short, concise statement ofwork accomplished during the past month,including a section that summarizes actionstaken during the month on the previousmonth’s recommendations. They consist ofa few pages of text followed by attachmentsgiving (a) information on daily outputs incalendar format, and (b) a summary ofoutputs against the consultant’s terms ofreference.

End-of-assignment reports. End-of-assignment reports. End-of-assignment reports. End-of-assignment reports. End-of-assignment reports. Eachconsultant submits an end-of-assignmentreport. The core of this is a full analysis ofoutput accomplishments that reflects theunique properties of an individual’s terms ofreference.

Questionnaires. Questionnaires. Questionnaires. Questionnaires. Questionnaires. A questionnaireassesses the effectiveness of all TAs uponcompletion. It investigates preparation,design, and implementation; the performanceof consultants; the contribution to changemanagement, policy development, andcapacity building; and constraints toimplementation. It identifies lessons learnedand suggests follow-up actions.

88. The forging and management ofpartnerships with executing agencies,implementation support agencies, civilsociety, and financing agencies is central tothe Tonle Sap Initiative. All through thesecoalitions of interest, built brick by brick,emphasis is placed on clear definition of rolesand effective exchange of information.This latter aspect is facilitated by the well-established channels of dialogue and


3 4 ADB. 2005. Practice Note on Results-Based Country Strategies and Programs. Manila.3 5 Relevance is a function of (i) national development priorities, (ii) socioeconomic issues, (iii) the CSP, 2005–2009, and (iv) the country

strategies and programs of partners. Positioning can be assessed by (i) sufficient background research on the country and sectors, (ii) countryownership and absorption capacity, (iii) ADB's comparative advantage and partnership with other partners, (iv) focus, selectivity, andsynergies, (v) long-term continuity, and (vi) constraints and risks and the adjustment and monitoring mechanisms needed to achievemeasurable targets.

3 6 This includes a clear paper trail and well-organized documentation for reference.

reporting systems and the rapid posting ofall relevant information on the Tonle SapInitiative website. The Tonle Sap InitiativeCoordination Unit plays a vital part innetworking so that not only is there strongvertical integration between partners in asingle project but linkages are forged acrossprojects. Partnerships are repeated onsuccessive projects but only following rigorousexamination of whether the partnership hascontributed to improved results. Using thesame core groups for as many issues as

3 7 Oxfam Australia has made a first, and welcome, attempt to present an overview and analysis of the Tonle Sap Initiative. Oxfam Australia.2006. Can the Asian Development Bank Save the Tonle Sap from Poverty? An Analysis of the Asian Development Bank's Operations in the Tonle SapBasin. Available: www.oxfam.org.au/index.html

3 8 A forthcoming study of ADB uses the environmental management project and three ADTAs as illustrative cases. ADB. 2006. SpecialEvaluation Study on ADB's Fisheries Policy. Manila.

possible keeps transactions costs down andraises benefits from economies of scope.

89. It is too early to gain any truemeasure of the success of the Tonle SapInitiative in meeting the poverty andenvironment challenges of the Tonle Sap.37,38

This will come as it moves into its nextiteration when relevance, effectiveness,efficiency, and sustainability will beexamined and the lessons learned from thefirst four pillars and their adjunctive TAswill fashion the design of the next suite.Throughout, much will hang on countryleadership of the Tonle Sap Initiative in theform of a supportive macroeconomic andgrowth environment, commitment to reformand the strengthening of institutions,political will to lead the development agendaand own the development process,accountability, and open and frankengagement.

Half the failures of this world

arise from pulling in one's

horse as he is leaping.

Julius Hare


Abbreviationsand Glossary

ADBAsian Development Bank

ADF IXAsian Development Fund IX

ADTAadvisory technical assistance

CFWSCooperation Fund for the Water Sector

CSPCountry Strategy and Program

FAOFood and Agriculture Organization of theUnited Nations

GDCFGender and Development Cooperation Fund

GEFGlobal Environment Facility

JFPRJapan Fund for Poverty Reduction

JSFJapan Special Fund

NGOnongovernment organization

PPTAproject preparatory technical assistance

PRFPoverty Reduction Fund

REGregional technical assistance

sq kmsquare kilometer

TAtechnical assistance

TASFtechnical assistance special fund

UNDPUnited Nations Development Programme

ABBREVIATIONS AND GLOSSARY 4 1

Basin management.Basin management.Basin management.Basin management.Basin management. Planning andmanaging natural resources based on basinunits. The advantages of the basinmanagement approach stem from the factthat natural resources, including surface waterand groundwater, natural vegetation, soils,and biodiversity, do not recognizeinterjurisdictional boundaries: naturalresource management decisions in one part ofa basin can have significant impactselsewhere. More and more, overallresponsibility for resource management isgiven to a basin organization constituted totake on this role, or to play a major part in it.Such organizations are arms of thegovernment but transcend administrativeboundaries and sometimes internationalborders.

Biological diversityBiological diversityBiological diversityBiological diversityBiological diversity..... Defined in theConvention on Biological Diversity, 1992 asthe variability among living organisms fromall sources including, among others,terrestrial, marine, and other aquaticecosystems and the ecological complexes ofwhich they are part. The term includesdiversity within species, between species, andof ecosystems. Biological diversity iscommonly referred to as biodiversity.

Biosphere reserve.Biosphere reserve.Biosphere reserve.Biosphere reserve.Biosphere reserve. An area ofterrestrial and coastal or marine ecosystems,or a combination thereof. Biosphere reservesare nominated by governments and remainunder their jurisdiction. They must meet aminimal set of criteria and adhere to aminimal set of conditions before beingadmitted to the World Network of BiosphereReserves of the United Nations Educational,

Scientific, and Cultural Organization.Reserves are intended to fulfill threecomplementary functions: (i) a conservationfunction, (ii) a development function, and(iii) a logistic function. Biosphere reservescontain one or more core areas that aresecurely protected sites, a clearly identifiedbuffer zone, and a flexible transition area.

Buffer zone.Buffer zone.Buffer zone.Buffer zone.Buffer zone. A zone that usuallysurrounds or adjoins core areas, and is used forcooperative activities congruent with soundecological practices, including environmentaleducation and awareness, recreation,ecotourism, and research. In the Tonle SapBiosphere Reserve, a buffer zone of about5,400 square kilometers (sq km) surroundsthe core areas up to the outer limit of theflooded forest.

Capacity building.Capacity building.Capacity building.Capacity building.Capacity building. Development ofthe abilities of individuals, groups, andorganizations to complete critical taskseffectively and efficiently on a sustainablebasis. It is the process of assisting suchentities to identify and address issues andgain the insights, knowledge, and experienceneeded to solve problems and implementchange. To be meaningful in the long term,capacity building is best done as part of aprocess, not as an end in itself.

Community fisheries.Community fisheries.Community fisheries.Community fisheries.Community fisheries. In Cambodia:(i) a form of co-management in which acommunity of people, usually a village orgroup of villages, is recognized andempowered as a co-management unit forfisheries; and (ii) a defined and demarcatedarea in the fisheries domain that is allocatedto a community for management. The

Source: UNESCO. 2006. The MAB Programme. Available: www.unesco.org/mab/mabprog.shtml


Biosphere Reserve Zonation

Subdecree on Community FisheriesManagement defines community fisheries asa group of persons holding Cambodiancitizenship living in or near a communityfishing area, voluntarily established, andinitiated to improve livelihoods by usingfisheries resources sustainably for economic,social, environmental, and other progress.

Core areas.Core areas.Core areas.Core areas.Core areas. Securely protected sites forconserving biodiversity, monitoring minimallydisturbed ecosystems, and undertakingresearch and other low-impact uses such aseducation. In the Tonle Sap BiosphereReserve, core areas are in Prek Toal (213 sqkm), Battambang; Boeng Tonle Chhmar(Moat Kla) (145.6 sq km), Kompong Thom;and Stung Sen (63.5 sq km), Kompong Thom.They are characterized by a flooded forest,streams and water bodies, and richbiodiversity, respectively. Nearly 100 waterbird species are found there, a dozen of whichare of global significance. The areas are alsoknown for their fish, mammals, and reptiles.

FFFFFishing lots.ishing lots.ishing lots.ishing lots.ishing lots. In Cambodia, exclusivegeographic areas that are awarded through acompetitive, public bidding system for aperiod of 2 consecutive years, with theauction fee payable for each of the two fishingseasons. They range in size from 20 to 500 sqkm and may include lake areas, river areas,and a flooded forest. The largest are found onthe Tonle Sap. The operator of each lot hasthe right to harvest fish according to theburden book for the lot. The burden bookdescribes the open season, payment schedule,permissible fishing gears, boundaries, maingeographic features, and designated publicfishing areas. In 2000, 175 fishing lotscovering 9,537 sq km were in Cambodia.That year, because of conflict between lotoperators and communities over access tofisheries, 56% of the area was transferred tocommunity fisheries, leaving 82 lots covering4,175 sq km.

Flooded forest.Flooded forest.Flooded forest.Flooded forest.Flooded forest. A descriptive term forthe particular natural vegetation thatoriginally covered most of the Tonle Sap'sfloodplains. It is now constituted byseasonally flooded low forest and shrubs thatstill account for the productivity of the TonleSap.

Livelihoods.Livelihoods.Livelihoods.Livelihoods.Livelihoods. The capabilities, assets,and activities required for a means of living.A livelihood is sustainable when it can copewith stresses and shocks and maintain orenhance itself in the present and in the futurewithout undermining the natural resourcebase. The livelihoods approach is a way ofthinking about the objectives, scope, andpriorities for development. It reinforcespositive aspects and militates againstconstraints and negative influences. Its coreprinciples are that poverty-focuseddevelopment should be people-centered,responsive, and participatory; multilevel;conducted in partnership; sustainable; anddynamic. It puts people at the center ofdevelopment.

Livelihoods framework.Livelihoods framework.Livelihoods framework.Livelihoods framework.Livelihoods framework. A tool toimprove understanding of livelihoods. Itillustrates the main factors that affect

ABBREVIATIONS AND GLOSSARY 4 3

people's livelihoods, e.g., access to assets;vulnerability; policies, institutions, andprocesses, and the typical relationshipsbetween these. Livelihood assets can bedivided into five types of capital: (i) humancapital, e.g., skills, knowledge, and ability towork; (ii) social capital, e.g., networks andconnectedness, formalized groups, andrelationships of trust; (iii) natural capital,e.g., natural resource stocks from whichresource flows and services useful forlivelihoods are derived; (iv) physical capital,e.g., transport, shelter, buildings, water supplyand sanitation, energy, and access toinformation (communications); and (v)financial capital, e.g., available stocks andinflows of money.

National protected areas system.National protected areas system.National protected areas system.National protected areas system.National protected areas system.In Cambodia, a systems that was set in placein 1993 whereby four categories of reserveswere set aside with distinct managementobjectives. They are: (i) national parks,defined as natural and scenic areas ofsignificance for their scientific, educational,and recreational values; (ii) wildlifesanctuaries, defined as natural areas wherenationally significant species of flora andfauna, natural communities, or physicalfeatures require specific intervention for theirperpetuation; (iii) protected landscapes,defined as nationally significant natural and

semi-natural landscapes that must bemaintained to provide opportunities forrecreation and tourism; and (iv) multiple usemanagement areas, defined as areas thatpermit sustainable use of water resources,timber, wildlife, fish, and pasture in supportof related economic activities.

TTTTTonle Sap basin.onle Sap basin.onle Sap basin.onle Sap basin.onle Sap basin. Strictly speaking,a sub-basin of the Mekong River basin;however, in conformity with internationalpractice for a system of this magnitude, theterm Tonle Sap basin is used in this report.The Tonle Sap basin, defined as thecatchment area of the Tonle Sap River at itsconfluence with the Mekong River, has anarea of 85,000 sq km, of which 80,000 sq kmlie in Cambodia (5,000 sq km lie inThailand). The Tonle Sap basin includes allor part of 8 of Cambodia's 24 provinces. Theprovinces are Banteay Meanchey, OddarMeanchey, Siem Reap, Preah Vihear,Kompong Thom, Kompong Chhnang, Pursat,and Battambang. The Tonle Sap basinextends over 44% of Cambodia's total landarea, including the Tonle Sap, and is home to35% of Cambodia's total population, or about4.5 million people. The catchments of theindividual tributaries that flow directly intothe basin's lake are referred to as sub-basins.The sub-basins are Stung Mongkol Borei,Stung Sreng, Stung Siem Reap, StungChikreng, Stung Staung, Stung Sen, StungChinit, Stung Boribo, Stung Pursat, StungDauntri, and Stung Sangker.

TTTTTransition area.ransition area.ransition area.ransition area.ransition area. An area in whichstakeholders work together in a variety ofeconomic and other activities to manage anddevelop sustainably a biosphere reserve'snatural resources. In the Tonle Sap BiosphereReserve, a transition area of about 9,000 sqkm lies between the outer boundary of thebuffer zone and Highways No. 5 and No. 6.


Appendixes

APPENDIXES 4 5

Appendix 1

1 For instance, NGOs can: (i) lend skills and experience to plan, implement, and evaluate projects and programs, (ii) offer models for similarprojects and programs that will have a wider scope, (iii) represent marginalized groups and communities, and (iv) provide alternativeperspectives on development issues.

Enhancing Strategic AlliancesA partnership is a formal or informalagreement between two or more partners towork together to achieve common aims. Forinstance, multilateral and bilateral agenciescan compensate for abilities and resourcesthat fall far short of requirements bypartnering with nogovernment organizations(NGOs), both national and international.NGOs are able to form close linkages andengender ownership and participation. Theirconsultative and participatory methods noteand express stakeholder views that mightotherwise not be entertained. This enablesthem to identify up-and-coming issues,respond rapidly to new circumstances, andexperiment with innovative approaches.1

Therefore, partnering can improve therelevance, effectiveness, efficiency, andsustainability of operations. However, fewwould-be partners consider fully theopportunities and constraints that areassociated with the creation and running ofpartnerships. A frequent cliché relates to theneed to avoid duplication and overlap.Habitually, extant memoranda of agreementare worded loosely.

Drivers of SuccessThe drivers of success include:

• Agreement that a partnership isnecessary;

• Esteem and trust between differentinterests;

• The leadership of a respected individual(or individuals);

• The commitment of key interestsdeveloped through a clear and openprocess;

• The development of a shared vision ofwhat might be achieved;

• Shared mandates or agendas;• The development of compatible ways of

working, which presupposesorganizational flexibility;

• Good communication, perhaps with thehelp of facilitators;

• Collaborative decision-making, with acommitment to achieving consensus;

• Effective organizational management; and• Time to build the partnership.

Drivers of FailureIn opposition, the drivers of failure include:

• A history of conflict among key interests;• One partner manipulates or dominates;• Unrealistic goals and objectives;• Differences of philosophy and ways of

working;• Poor communication;• An unequal and unacceptable balance of

power and control;• An absence of common interests;• Hidden or irreconcilable agendas; and• Financial and time commitments that

outweigh potential benefits.

Guidelines for ManagersIn general:

• Informal partnerships work best when aproject is specific and achievable.

• Where the project is complex and spansseveral years it may be necessary to create


Creating and Running Partnerships

formal partnership structures fordecision-making.

• It is not easy to tackle a wide range ofissues through an informal partnership.It is better to address such mattersthrough consultations.

• Simply setting up a partnership structuredoes not solve all problems. Partners stillneed to clarify the joint goal andobjective, values, and interests, amongothers.

• Partnerships do not have to be equal butthe partners do need to feel that they areinvolved to an appropriate degree.

Guidelines for Project OfficersThe following suggests how project officerscan make a start:

• Clarify the goal and objective behindforming a partnership.

• Identify the stakeholders and the keyinterests that can help or hinder thedevelopment of a project.

• Consider who one really needs as partnerand who would really want to be apartner: some stakeholders may onlywant to be consulted.

• Before approaching potential partners,make sure that you have support andagreement about working with others.

• Make informal contact with partners tounderstand their values and interestsbefore formulating formal proposals.

• Communicate with your partners in alanguage they will understand, focusingon what they may want to achieve.

• Plan the partnership process over time.• Use a range of methods to gather people

in workshop sessions as well as in formalmeetings.

• Encourage ideas from partners becauseownership leads to commitment.

• Be trustworthy. One of the main barriersto creating and running successfulpartnerships lies in the attitudes thatpeople bring to the process. To developtrust, it is necessary to draw out and dealwith suspicions from past contacts; beopen about what one is trying to achieveand about problems; be prepared to makemistakes and to admit to them; and

deliver what one promises.

Creating and RunningPartnershipsSince partnerships are formal or informalagreements to work together to achievecommon aims, there can be no recipe forsuccess. Whatever the working arrangements,and whatever phase of the partnership one isin, there will be problems: people will notread documents or come to meetings;colleagues will fail to deliver on promises;different interest groups will have conflictingaims; deadlines will be missed; and thechampions behind the partnership maybecome scapegoats. Notwithstanding, theneed to enhance strategic alliances calls onmanagers and project officers to:

• Advertise country strategies and programsand details of loan, grant, and technicalassistance projects through media such asthe Internet, newsletters, and publicmeetings, and take care to give evidenceof strategic integration.

• Map potential partners for strengths,weaknesses, opportunities, and threats.

• Understand the priorities and skills ofpotential partners.

• Develop a partnership structure based ona clear purpose, trust, and agreement onresponsibilities and accountability.

• Identify champions and communicatewith them frequently.

• Build partner confidence through earlyparticipation in project work.

• Accept that partnerships need long-termsupport and make abilities and resourcesavailable.

• Develop a forward strategy forpartnerships.

• Ensure appropriate monitoring of progressby the partnership.The existence of commonalities of

interest and memoranda of understandingoffers only the promise of partnership. Theonus of enhancing strategic alliances is onmanagers and project officers to integratepartnerships in the Tonle Sap Initiative’sannual operating outputs in the myriad waysthat the multifarious nature of suchassociations dictates.

APPENDIXES 4 7

Appendix 2

Logic models (results frameworks) neitherguarantee a good project design nor replacethe other instruments of project management.But they help to: (i) analyze the situationexisting during project preparation, (ii) setobjectives, (iii) establish a logical hierarchy ofmeans by which objectives will be reached,(iv) identify clusters of outputs, (v)determine how accomplishments might bemonitored and evaluated, (vi) flag theassumptions on which a project is based andthe associated risks, and (vii) summarize aproject in a standard format.

They also support creative analysis. It isa rare project that unfolds exactly according toplan. During project implementation, onemust pay close attention to the cause-and-effect relationships between activities,outputs, and component objectives. Repeat-edly, one must make certain that inputs foractivities are deployed successfully. Or onemust adjust the means of attaining compo-

Output Accomplishment and theDesign and Monitoring Framework

nent objectives, including the definition ofoutputs, the mix of activities, and the indica-tors needed to measure accomplishment ofthe newly defined targets. Administration canbecome complex and it helps to have struc-ture. Because of this, it is useful to deepenand extend typical logic models, for exampleusing the tool depicted below. (It lists onlytwo targets per output). For each component,one can examine methodically whethertargets are being achieved, how the activitiesare being implemented, and how activitiesmight be improved. One can then itemizeindividual action plans, which should bemonitored constantly.

Systematic analysis of outputaccomplishment leads to tellingimprovements in relevance, effectiveness,efficiency, and sustainability, therebyachieving impact. It clarifies materially thechain of causality in a design and monitoringframework.


APPENDIXES 4 9

The Design and Monitoring Framework

Design Summary

Goal. The broader impactof the project at a sectoraland national level

Purpose. The expectedoutcome at the end of theproject

Component Objectives.The expected outcome ofaccomplishing eachcomponent's outputs

Outputs. The direct resultsof the project (works,goods, and services)

Activities. The tasksexecuted to deliver theoutputs identified

Performance Targets/Indicators

Measures of the extent towhich the project hascontributed to the goal

Conditions at the end ofthe project indicating thatits purpose has beenachieved

Measures of the extent towhich component objec-tives have been accom-plished

Measures of the quantityand quality of outputs andthe timing of their delivery

Implementation and workplan targets

Data Sources/Reporting Mechanisms

Sources of information andways to gather and report it





Assumptions and Risks

Assumptions and risksabout the purpose-goallinkage

Assumptions and risksabout the componentobjective-purpose linkage

Assumptions and risksabout the output-component objectivelinkage

Assumptions and risksabout the activity-outputlinkage

Analysis of Output Accomplishment and Improvement of Activities

Component No

Outputs No

Targets No

No

Is the output being accomplished? Yes Partially No

Are the targets being achieved?No

No

How are the activities being implemented?

Strength WeaknessNo No

No No

How can the activities be improved?

Proposed Change JustificationNo No

No No

Action plan to improve the activities

Action Target DateNo No

No No

Ap

pro

ved

Ass

ista

nce

fo

r N

on

len

din

g P

rod

uct

s an

d S

ervi

ces,

1998 t

o d

ate


Sou

rce

of

Fun

din

gA

DB

Oth

ers

TTTT T ota

lo

tal

ota

lo

tal

ota

lA

ssis

tan

ceSo

urc

eA

mou

ntSo

urc

eA

mou

ntA

mou

ntPr

oje

ct N

ame

Typ

e($

’00

0)

($’0

00

)($

’00

0)

($’0

00

)($

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0)

($’0

00

)($

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($’0

00

)($

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($’0

00

)($

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($’0

00

)($

’00

0)

($’0

00

)($

’00

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1998

Prot

ectio

n an

d M

anag

emen

t of

Crit

ical

Wet

land

s in

the

Low

er M

ekon

g Ba

sin

REG

JSF

1,00

0.0

Finl

and

650.

01,

650.

0Su

bto

tal

1,00

0.0

650.

01,

650.

0

2002

Impr

ovin

g th

e Re

gula

tory

and

Man

agem

ent

Fram

ewor

k fo

r In

land

Fis

herie

sA

DTA

TASF

560.

00.

056

0.0

Chon

g Kn

eas

Envi

ronm

enta

l Im

prov

emen

tPP

TA0.

0Fi

nlan

d99

7.0

997.

0Ca

paci

ty B

uild

ing

of t

he In

land

Fis

herie

s Re

sear

ch a

nd D

evel

opm

ent

Inst

itute

AD

TATA

SF90

0.0

0.0

900.

0Su

bto

tal

1,46

0.0

997.

02,

457.

0

2003

Esta

blis

hmen

t of

the

Ton

le S

ap B

asin

Man

agem

ent

Org

aniz

atio

nA

DTA

TASF

135.

00.

013

5.0

Livi

ng w

ith F

lood

s on

the

Ton

le S

apA

DTA

CFW

S85

.00.

085

.0To

nle

Sap

Sust

aina

ble

Live

lihoo

dsPP

TATA

SF70

0.0

Finl

and

560.

01,

260.

0Pa

rtic

ipat

ory

Pove

rty

Ass

essm

ent

of t

he T

onle

Sap

AD

TAPR

F25

0.0

0.0

250.

0Su

bto

tal

1,17

0.0

560.

01,

730.

0

2004

Dev

elop

ing

and

Test

ing

Met

hodo

logi

es a

nd T

ools

AD

TACF

WS

50.0

0.0

50.0

for

Envi

ronm

enta

l Edu

catio

n an

d A

war

enes

sCa

paci

ty B

uild

ing

for

the

Tonl

e Sa

p Po

vert

y Re

duct

ion

Initi

ativ

eA

DTA

PRF

500.

00.

050

0.0

Esta

blis

hmen

t of

the

Ton

le S

ap B

asin

Man

agem

ent

Org

aniz

atio

n II

AD

TATA

SF30

0.0

0.0

300.

0Su

bto

tal

850.

00

.085

0.0

2005

Impr

ovin

g th

e A

cces

s of

Poo

r Fl

oatin

g Co

mm

uniti

es o

n th

e To

nle

Sap

AD

TAJF

PR1,

000.

00.

01,

000.

0to

Soc

ial I

nfra

stru

ctur

e an

d Li

velih

ood

Act

iviti

esCa

paci

ty B

uild

ing

of t

he In

land

Fis

herie

s Re

sear

ch a

nd D

evel

opm

ent

Inst

itute

IIA

DTA

TASF

300.

00.

030

0.0

Sust

aina

ble

Rura

l Wat

er S

uppl

y an

d Sa

nita

tion

PPTA

TASF

150.

00.

015

0.0

Stud

y of

the

Influ

ence

of

Built

Str

uctu

res

on t

he F

ishe

ries

of t

he T

onle

Sap

AD

TATA

SF0.

0Fi

nlan

d76

5.0

765.

0To

nle

Sap

Low

land

Sta

biliz

atio

nPP

TAJS

F80

0.0

0.0

1,00

0.0

TASF

200.

0Su

bto

tal

2,45

0.0

765.

03,

215.

0

2006

Enha

ncin

g th

e Ro

le o

f W

omen

in In

land

Fis

herie

s in

Cam

bodi

aA

DTA

GD

CF15

0.0

0.0

150.

0Su

bto

tal

150.

00

.015

0.0

Appendix 3

APPENDIXES 5 1

Pla

nn

ed A

ssis

tan

ce f

or

No

nle

nd

ing

Pro

du

cts

and

Ser

vice

s, 2

00

6–2

01

01

Sou

rce

of

Fun

din

gA

DB

Oth

ers

TTTT T ota

lo

tal

ota

lo

tal

ota

lA

ssis

tan

ceSo

urc

eA

mou

ntSo

urc

eA

mou

ntA

mou

ntPr

oje

ct N

ame

Typ

e($

’00

0)

($’0

00

)($

’00

0)

($’0

00

)($

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0)

($’0

00

)($

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0)

($’0

00

)($

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0)

($’0

00

)($

’00

0)

($’0

00

)($

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($’0

00

)($

’00

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2006

Esta

blis

hmen

t of

the

Ton

le S

ap B

asin

Man

agem

ent

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aniz

atio

n III

AD

TATA

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0.0

0.0

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0Si

phan

don

Envi

ronm

enta

l M

anag

emen

tPP

TA0.

0G

EF50

0.0

500.

0Su

bto

tal

300.

050

0.0

800.

0

2007

Capa

city

Bui

ldin

g fo

r th

e To

nle

Sap

Pove

rty

Redu

ctio

n In

itiat

ive

IIA

DTA

JFPR

1,50

0.0

0.0

1,50

0.0

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y of

Par

ticip

ator

y W

ater

shed

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agem

ent

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roac

hes

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0.0

0.0

150.

0To

nle

Sap

Wat

ersh

ed M

anag

emen

tPP

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0.0

0.0

800.

0Su

bto

tal

2,45

0.0

0.0

2,45

0.0

2008

Stud

y of

Inla

nd A

quat

ic R

esou

rce

Trad

e Pa

tter

nsA

DTA

TASF

150.

00.

015

0.0

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blis

hmen

t of

the

Ton

le S

ap B

asin

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agem

ent

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aniz

atio

n IV

AD

TATA

SF30

0.0

0.0

300.

0Su

bto

tal

450.

00

.045

0.0

2009

Tonl

e Sa

p Re

sour

ces

Man

agem

ent

and

Cons

erva

tion

PPTA

TASF

800.

00.

080

0.0

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blis

hmen

t of

the

Ton

le S

ap B

asin

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agem

ent

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aniz

atio

n V

AD

TATA

SF30

0.0

0.0

300.

0Su

bto

tal

1,10

0.0

0.0

1,10

0.0

2010

Tonl

e Sa

p Re

sour

ces

Man

agem

ent

and

Cons

erva

tion

PPTA

TASF

800.

00.

080

0.0

Sub

tota

l80

0.0

0.0

800.

0

Appendix 4

1Al

l pla

nned

assi

stan

ce is

indi

cativ

e an

d su

bjec

t to

the

appr

oval

of a

utho

ritie

s in

ADB.

Ton

le S

ap In

itia

tive

Par

tner

ship

s1

Key

Par

tner

s In

volv

edPr

oje

ct N

ame

Exec

uti

ng

Imp

lem

enta

tio

nFi

nan

cin

gA

gen

cyA

gen

cyA

gen

cyA

gen

cyA

gen

cySu

pp

ort

Ag

enci

esC

ivil

Soci

ety

Ag

ency

1998

TA 5

822–

REG

: Pr

otec

tion

and

Man

agem

ent

ofM

inis

try

ofU

ND

PFi

sher

s/fa

rmer

s,JS

F, F

inla

ndCr

itica

l Wet

land

s in

the

Low

er M

ekon

g Ba

sin

Envi

ronm

ent

loca

l au

thor

ities

2002

Loan

193

9–CA

M:

Tonl

e Sa

p En

viro

nmen

tal

Min

istr

y of

Agr

icul

ture

,FA

O, L

ive

& L

earn

Fis

hers

/farm

ers,

NG

Os,

TASF

, GEF

, UN

DP

Man

agem

ent

Fore

stry

, an

d Fi

sher

ies

Envi

ronm

enta

l Ed

ucat

ion,

loca

l au

thor

ities

UN

DP

TA 3

993–

CAM

: Im

prov

ing

the

Regu

lato

ry a

ndM

inis

try

of A

gric

ultu

re,

FAO

Fish

ers/

farm

ers,

NG

Os,

TASF

Man

agem

ent

Fram

ewor

k fo

r In

land

Fis

herie

sFo

rest

ry,

and

Fish

erie

slo

cal

auth

oriti

es

TA 3

997–

CAM

: Ch

ong

Knea

s En

viro

nmen

tal

Min

istr

y of

Pub

lic W

orks

Cons

ultin

g fir

mFi

sher

s/fa

rmer

s, e

thni

cFi

nlan

dIm

prov

emen

tan

d Tr

ansp

ort

min

oriti

es,

NG

Os,

loca

l au

thor

ities

TA 4

025–

CAM

: Ca

paci

ty B

uild

ing

of t

he In

land

Min

istr

y of

Agr

icul

ture

,Th

e W

orld

Fish

Cen

ter

The

scie

ntifi

c an

dTA

SFFi

sher

ies

Rese

arch

and

Dev

elop

men

t In

stitu

teFo

rest

ry,

and

Fish

erie

ste

chno

logi

cal

com

mun

ity

2003

TA 6

123–

REG

: Pro

mot

ing

Effe

ctiv

e W

ater

AD

BIn

divi

dual

con

sulta

nts

Fish

ers/

farm

ers,

wom

en,

CFW

SM

anag

emen

t Po

licie

s an

d Pr

actic

es II

I:ch

ildre

n an

d yo

uth

Livi

ng w

ith F

lood

s on

the

Ton

le S

ap

TA 4

197–

CAM

: To

nle

Sap

Sust

aina

ble

Live

lihoo

dsM

inis

try

of R

ural

Cons

ultin

g fir

mFi

sher

s/fa

rmer

s,TA

SF,

Finl

and

Dev

elop

men

tlo

cal

auth

oriti

es

TA 4

212–

CAM

: Es

tabl

ishm

ent

of t

he T

onle

Sap

Cam

bodi

a N

atio

nal

Indi

vidu

al c

onsu

ltant

sLo

cal

auth

oriti

esTA

SFBa

sin

Man

agem

ent

Org

aniz

atio

nM

ekon

g Co

mm

ittee

TA 4

283–

CAM

: Pa

rtic

ipat

ory

Pove

rty

Ass

essm

ent

Min

istr

y of

Pla

nnin

gIn

divi

dual

con

sulta

nts

Fish

ers/

farm

ers,

NG

Os,

PRF

of t

he T

onle

Sap

wom

en,

ethn

ic m

inor

ities

,lo

cal

auth

oriti

es

2004

TA 6

123–

REG

: Pro

mot

ing

Effe

ctiv

e W

ater

Min

istr

y of

Live

& L

earn

Env

ironm

enta

lFi

sher

s/fa

rmer

sCF

WS

Man

agem

ent

Polic

ies

and

Prac

tices

III:

Dev

elop

ing

Envi

ronm

ent

Educ

atio

nan

d Te

stin

g M

etho

dolo

gies

and

Too

ls f

orEn

viro

nmen

tal

Educ

atio

n an

d A

war

enes

s

TA 4

376–

CAM

: Ca

paci

ty B

uild

ing

for

the

Tonl

e Sa

pA

DB

Com

mun

ity-B

ased

Nat

ural

Fis

hers

/farm

ers,

the

sci

entif

icPR

FPo

vert

y Re

duct

ion

Initi

ativ

eRe

sour

ce M

anag

emen

tan

d te

chno

logi

cal c

omm

unity

,Le

arni

ng I

nstit

ute,

loca

l au

thor

ities

indi

vidu

al c

onsu

ltant

s

Appendix 5


Ton

le S

ap I

nit

iati

ve P

artn

ersh

ips,

con

tinue

d1

Key

Par

tner

s In

volv

edPr

oje

ct N

ame

Exec

uti

ng

Imp

lem

enta

tio

nFi

nan

cin

gA

gen

cyA

gen

cyA

gen

cyA

gen

cyA

gen

cySu

pp

ort

Ag

enci

esC

ivil

Soci

ety

Ag

ency

2004

TA 4

427–

CAM

: Es

tabl

ishm

ent

of t

he T

onle

Sap

Cam

bodi

a N

atio

nal

Indi

vidu

al c

onsu

ltant

sLo

cal

auth

oriti

esTA

SFBa

sin

Man

agem

ent

Org

aniz

atio

n II

Mek

ong

Com

mitt

ee

2005

JFPR

906

4–CA

M: I

mpr

ovin

g th

e A

cces

s of

Poo

rM

inis

try

of A

gric

ultu

re,

Osm

ose

Inte

rnat

iona

l, H

atta

Fish

ers/

farm

ers

JFPR

Floa

ting

Com

mun

ities

on

the

Tonl

e Sa

p to

Fore

stry

, an

d Fi

sher

ies

Kaks

ekar

, Ltd

., Ca

mbo

dia

Soci

al I

nfra

stru

ctur

e an

d Li

velih

ood

Act

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Appendix 6

Tonle Sap Initiative Documentsand Materials

• ADB. 2005. The Tonle Sap Basin Strategy.Manila.

• ADB. Various years. Future Solutions Now:The Tonle Sap Initiative. Manila.(6-monthly publication)

• Tonle Sap Initiative poster, postcards,and bookmarks

Tonle Sap Initiative Reports• Reports and Recommendations

of the PresidentAvailable: www.adb.org/projects/reports.asp?key=ctry&val=RRP&scpe=5

• Technical Assistance ReportsAvailable: www.adb.org/projects/reports.asp?key=ctry&val=TAR&scpe=5

• Technical Assistance Completion ReportsAvailable: www.adb.org/projects/reports.asp?key=ctry&val=TCR&scpe=5

Tonle Sap Initiative Events• The NGO Forum on ADB: Series of

Discussions on the GMS Program,Cambodia, and the Tonle Sap (ADBHeadquarters, March 2006)

• ADB-CAM Briefing on the Tonle SapInitiative (Council of Ministers, Phnom

Tonle Sap Initiative References


Penh, April 2005)• NGO Lobby Day Meeting: Meeting on

the Tonle Sap Initiative (ADBHeadquarters, March 2005)

• Independent Journalism Forum (ADBCambodia Resident Mission, PhnomPenh, June 2004)

• Mekong Development Forum (Ministry ofEconomy and Finance, Paris, June 2004)

• The Tonle Sap Initiative and CivilSociety (Russian Cultural Center, PhnomPenh, March 2004)

• ADB-BOD Briefing on the Tonle SapBasin Strategy (Hotel Sofitel, Siem Reap,March 2004)

• The Tonle Sap Initiative and CivilSociety (Russian Cultural Center, PhnomPenh, March 2003)

Tonle Sap Web Links• Tonle Sap Initiative Website

Available: www.adb.org/projects/tonle_sap/default.asp

• ADB Greater Mekong Subregion ProgramAvailable: www.adb.org/GMS/default.asp

• ADB Cambodia Resident MissionAvailable: www.adb.org/CARM/default.asp

For more information on the Tonle Sap Initiative,please contact

Urooj Malik, DirectorOlivier Serrat, Senior Project EconomistAgriculture, Environment, and Natural Resources DivisionSoutheast Asia DepartmentAsian Development Bank6 ADB Avenue, Mandaluyong City1550 Metro Manila, PhilippinesTel +63 2 632 6175Fax +63 2 636 [email protected]/projects/tonle_sap/

Paulin Van Im, Senior Project Implementation/Program Officer

Cambodia Resident Mission29, Suramarit Boulevard (at corner St. 19)Sangkat Chaktomuk, Khan Daun PenhPhnom Penh, CambodiaP.O. Box 2436, Phnom Penh, CambodiaTel +855 23 215805, 215806, 216417Fax +855 23 [email protected]/carm

Printed in the Philippines

About the Asian Development Bank

The work of the Asian Development Bank (ADB) is aimed atimproving the welfare of the people in Asia and the Pacific,particularly the nearly 1.9 billion who live on less than $2 aday. Despite many success stories, Asia and the Pacific remainshome to two thirds of the world’s poor. ADB is a multilateraldevelopment finance institution owned by 66 members,47 from the region and 19 from other parts of the globe.ADB’s vision is a region free of poverty. Its mission is to helpits developing member countries reduce poverty and improvethe quality of life of their citizens.

ADB’s main instruments for providing help to its developingmember countries are policy dialogue, loans, equityinvestments, guarantees, grants, and technical assistance.ADB’s annual lending volume is typically about $6 billion, withtechnical assistance usually totaling about $180 million a year.

ADB’s headquarters is in Manila. It has 26 offices aroundthe world and has more than 2,000 employees from over50 countries.

Asian Development Bank6 ADB Avenue, Mandaluyong City1550 Metro Manila, PhilippinesTel +63 2 632 4444Fax +63 2 636 2444www.adb.org

From Strategy to Practice: The Tonle Sap Initiative

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