INTERNATIONAL TROPICAL TIMBER ORGANIZATION

Final Report
Effectiveness of Pilot Operation of ITTO Thematic Programmes
January 2013

Prepared for the International Tropical Timber Organization (ITTO) by
Stephanie J. Caswell and Ricardo M. Umali

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page iTABLE OF CONTENTS
LIST OF ACRONYMS..................................................................................................................................... iii
EXECUTIVE SUMMARY ................................................................................................................................ iv
I. INTRODUCTION ......................................................................................................................................... 1
A. Scope ..................................................................................................................................................... 1
B. Methodology ........................................................................................................................................... 1
II. BACKGROUND .......................................................................................................................................... 3
A. Relevant provisions of the ITTA, 2006 .................................................................................................... 3
B. Actions by Council .................................................................................................................................. 3
C. Decision 9(XLIV) - TP pilot procedures and guidelines ........................................................................... 4
D. TP project cycle during the pilot phase ................................................................................................... 6
D.1. Calls for proposals ............................................................................................................................ 6
D.2. Project formulation and submission .................................................................................................. 6
D.3. Proposal appraisal process ............................................................................................................... 6
D.4. Project selection and funding ............................................................................................................ 7
E. Project/programme management, monitoring and evaluation ................................................................. 7
E.1. OLMS ............................................................................................................................................... 7
E.2. TP Monitoring Protocols (MPs) ......................................................................................................... 8
F. TP Advisory Committees (TPACs) during the pilot phase ....................................................................... 8
G. Communication and outreach ................................................................................................................. 8
H. Secretariat workload ............................................................................................................................... 9III. TP ACHIEVEMENTS TO DATE AND OUTLOOK .................................................................................... 10
A. Donor response to TP opportunities...................................................................................................... 10
A.1. TFLET ............................................................................................................................................ 10
A.2. REDDES ........................................................................................................................................ 10
A.3. CFME and TMT .............................................................................................................................. 11
A.4. IDE ................................................................................................................................................. 11
A.5. TP and regular project funding ....................................................................................................... 11
B. Producer response to TP opportunities ................................................................................................. 12
B.1. TFLET ............................................................................................................................................ 13
B.2. REDDES ........................................................................................................................................ 13
B.3. CFME ............................................................................................................................................. 13
B.4. TMT ................................................................................................................................................ 14
C. Achievements and impacts of TP projects and activities....................................................................... 14
C.1. TFLET ............................................................................................................................................ 14
C.2. TFLET pre-cursor initiatives ........................................................................................................... 15
C.3. REDDES ........................................................................................................................................ 17
C.4. CFME ............................................................................................................................................. 19
C.5. TMT................................................................................................................................................ 20
IV. SYNTHESIS OF SURVEY RESPONSES ON THE EVALUATION OF PILOT TP OPERATIONS .......... 21
A. Thematic Programme Profiles (TPPs)................................................................................................... 21
B. Thematic Programme Documents (TPDs) ............................................................................................ 21
B.1 Logical framework ........................................................................................................................... 21
B.2. TPD formulation and coherence of activities .................................................................................. 21
B.3. Complementarity with other programmes ....................................................................................... 22
B.4. TPD/TP review ............................................................................................................................... 22
C. TP project cycle during the pilot phase ................................................................................................. 23
C.1. Calls for proposals ......................................................................................................................... 23
C.2. Proposal appraisal process ............................................................................................................ 23
D. Project/programme management, monitoring and evaluation ............................................................... 24
D.1. Project/programme management ................................................................................................... 24
D.2. Project monitoring and evaluation .................................................................................................. 24
D.3. TP Monitoring Protocols (MPs)....................................................................................................... 24
D.4. Relationship to regular cycle projects ............................................................................................. 25
E. Scaling up lessons learned ................................................................................................................... 25

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page ii
F. Proposal formulation ............................................................................................................................. 25
F.1. Raising awareness of TPs .............................................................................................................. 25
F.2. Assistance to Members .................................................................................................................. 26
G. TPAC functioning.................................................................................................................................. 26
G.1. Modalities ....................................................................................................................................... 26
G.2. Functions ....................................................................................................................................... 27
G.3. Member qualifications and tenure .................................................................................................. 27
G.4. Consultative role for ITTO partners ................................................................................................ 27
H. TP funding ............................................................................................................................................ 27
V. FINDINGS AND LESSONS LEARNED .................................................................................................... 29
A. TP achievements/funding...................................................................................................................... 29
B. TP pilot operations ................................................................................................................................ 29
C. TPP/TPDs guidelines ............................................................................................................................ 30
D. Scaling up knowledge, lessons and best practices ............................................................................... 30
E. Impacts to date ..................................................................................................................................... 31
F. Proposal formulation ............................................................................................................................. 31
G. TPACs .................................................................................................................................................. 31
VI. RECOMMENDATIONS ........................................................................................................................... 33
ANNEX 1: Decision 8(XLIV) – Thematic Programmes Sub-Account under the Special Account .................. 35
ANNEX 2: Decision 9(XLIV) – Thematic Programmes on a Pilot Basis: Operational Procedures andGuidelines ..................................................................................................................................................... 36
ANNEX 3: Decision 10(XLIV) – Thematic Programme Profiles ..................................................................... 41
ANNEX 4: Consultants’ terms of reference ................................................................................................... 52
ANNEX 5: Questionnaire for ITTO Members on pilot operation of ITTO Thematic Programmes .................. 54
ANNEX 6: Questionnaire for TPAC Members on pilot operation of ITTO Thematic Programmes ................. 58
ANNEX 7: ITTA, 2006 provisions on Thematic Programmes (Articles 20, 24, 25) ........................................ 61
ANNEX 8: Thematic Programme proposal appraisal process ....................................................................... 63
ANNEX 9: REDDES Monitoring Protocol ...................................................................................................... 64
ANNEX 10: Current TPAC members ............................................................................................................ 69
ANNEX 11: Proposed refinements to Annexes 1-3 of Decision 9(XLIV) ....................................................... 70
ANNEX 12: Illustrative BWP 2014-2015 activity on mid-term evaluations of ITTO TPs ................................ 73
ANNEX 13: Decision 4(XLVIII) - Strengthening ITTO Thematic Programmes………………………………….74

LIST OF TABLESTABLE 1: Voluntary contributions to ITTO TPs (as of November 2012) ........................................................ 10
TABLE 2: Proposals submitted in response to TP calls for proposals: Spring 2009-Spring 2012 ................. 12
TABLE 3: Funding allocations under TPs through Spring Cycle 2012 .......................................................... 13

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page iii

LIST OF ACRONYMS
ACP FLEGT
ACTO
ATO
BWP
C&I
CBD
CFC
CFME
CIFOR
CITES
CPF
CSAG
EA
EC
ED
EIMI
EU
FAO
FCPF
FI
FLEGT
GEF
IDE
ITTA
ITTC
ITTO
IUCN
IUFRO
JLIA
M&E
MP
NGO
PROFOR
REDD
REDDES
RFM
RRI
Rio+20
SFM
TAG
TFLET
TMT
ToR
TP
TPAC
TPD
TPP
UNFCCCUNFF
UN-REDD

FLEGT Support Programme for African, Caribbean and Pacific Countries
Amazon Cooperation Treaty Organization
African Timber Organization
Biennial Work Programme
Criteria and indicators (for sustainable forest management)
Convention on Biological Diversity
Common Fund for Commodities
Community Forest Management and Enterprises (ITTO TP)
Center for International Forestry Research
Convention on International Trade in Endangered Species of Flora and Fauna
Collaborative Partnership on Forests
Civil Society Advisory Group
Executing Agency
European Community
Executive Director
Economic Information and Market Intelligence
European Union
Food and Agriculture Organization of the United Nations
Forest Carbon Partnership Facility
Forest Industry
Forest Law Enforcement, Governance and Trade
Global Environment Facility
Industry Development and Efficiency (ITTO TP)
International Tropical Timber Agreement
International Tropical Timber Council
International Tropical Timber Organization
World Conservation Union
International Union of Forest Research Organizations
Japan Limber Importers’ Association
Monitoring and evaluation
Monitoring Protocol
Non-governmental organization
Programme on Forests (World Bank)
Reducing Emissions from Deforestation and Forest Degradation in Developing Countries
Reducing Deforestation and Forest Degradation and Enhancing Environmental Services inTropical Forests (ITTO TP)
Reforestation and Forest Management
Rights and Resources Initiative
United Nations Conference on Sustainable Development (June 2012, Rio de Janeiro)
Sustainable forest management
Trade Advisory Committee
Forest Law Enforcement, Governance and Trade (ITTO TP)
Trade and Market Transparency (ITTO TP)
Terms of Reference
Thematic Programme
Thematic Programme Advisory Committee
Thematic Programme Document
Thematic Programme Profile
United Nations Framework Convention on Climate Change
United Nations Forum on Forests
United Nations Collaborative Programme on REDD

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page iv

EXECUTIVE SUMMARY
A. Introduction
1.
The International Tropical Timber Agreement of 2006 (ITTA, 2006) provides for the establishment of“Thematic Programmes” to complement ITTO’s traditional project work, with a view to attracting increased
unearmarked funding from a broader base of donors by offering an integrated and strategic programmatic
avenue to advancing ITTO priorities. The Forty-Fourth International Tropical Timber Council (ITTC 44,
November 2008) adopted Decisions 8, 9 and 10/XLIV to launch the pilot operation of ITTO Thematic
Programmes (TPs) for the following five thematic areas, the first four of which have become operational:a. Forest Law Enforcement, Governance and Trade (TFLET)
b. Reducing Deforestation and Forest Degradation and Enhancing Environmental Services inTropical Forests (REDDES)
c. Community Forest Management and Enterprises (CFME)
d. Trade and Market Transparency (TMT)e. Industry Development and Efficiency (IDE)
2.
Decision 9(XLIV) outlines procedures for TP pilot operations, guidelines for Thematic ProgrammeProfiles (TPPs) and Thematic Programme Documents (TPDs), and terms of reference for Thematic
Programme Advisory Committees (TPACs). A key feature of these procedures and guidelines is the
responsibility given to the Executive Director (ED) to develop TPDs, establish TPACs and select projects,
pre-projects and activities for financing from available unearmarked funds based on TPAC advice.
3.
Under Decision 9(XLIV), the Council decided to review and evaluate the effectiveness of TP pilot
operations after three years. To facilitate this review, the Executive Director (ED) commissioned two
consultants to prepare a draft report evaluating the TP pilot phase consistent with Activity 12 of the ITTO
1
Biennial Work Programme (BWP) 2012-2013. The draft report was completed in August 2012 andpresented at ITTC 48 (5-10 November 2012, Yokohama, Japan). Based on Members’ discussion of thefindings, lessons learned and recommendations contained in the draft report, ITTC 48 adopted Decision
4(XLVIII) on Strengthening ITTO Thematic Programmes, which establishes procedures and guidelines forregular operation of ITTO TPs under the ITTA, 2006.
4
The final report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes updates thedraft report to reflect the outcomes of the Spring Cycle 2012 call for proposals, including the number of
proposals approved for financing under the cycle. The final report also attaches Decision 4(XLVIII) as Annex
13.

B. Scope and methodology
5.

The scope of the evaluation of the pilot operation of ITTO’s TPs includes the following:a. Assessing Members’ responses to the new opportunities represented by TPs and early
achievements and impacts;
b. Assessing the effectiveness of the pilot procedures and guidelines set forth in Decision 9(XLIV)and measures to operationalize them; andc. Based on assessments and lessons learned, making recommendations to improve theeffectiveness of TP operations under the ITTA, 2006, including upscaling experiences gained.

6.
Consistent with the consultants’ terms of reference, the principal means used to gather views andinputs regarding TP pilot operations were the development, in close cooperation with the ITTO Secretariat, of
two questionnaires, one for ITTO Members and one for TPAC members. ITTO Members were asked fortheir views on the following aspects of the pilot operations:a. TPP formulationb. TPD formulation, scope and complementarityc. TP/TPD review
1

Draft Report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes, August 2012, prepared for ITTO by Stephanie J.
Caswell (USA) and Ricardo M. Umali (Philippines)

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page vd. TP project cycle, including appraisal, and TP management, monitoring and evaluatione. Coherence of funded projects/activities, contribution to TP objectives and potential for scaling up
lessons learned.
f. TP proposal formulationg. TPAC functioningh. TP funding and ITTO fundraising
7.
To supplement inputs from ITTO Members, TPAC members were asked to provide input on aspects(b) though (g) above.
8.
The ED circulated the two surveys in June 2012. Responses were received from the following 26
ITTO Members and 13 TPAC members:
Producers
Brazil, Cambodia, Colombia, Cote d’Ivoire, Ghana, Guatemala, Guyana, Honduras, Indonesia,
Malaysia, Mexico, Papua New Guinea, Peru, Philippines, Togo
2

Consumers
Australia, China, European Community, Finland, Germany, Japan, New Zealand, Norway, Portugal,
Switzerland, USA
TFLET
Mr. Zhang Zhongtian (China), Dr. Hadi S. Pasaribu (Indonesia), Mr. Carlos Enrique Gonzalez
Vicente (Mexico), Ms. Antje van Driel (Netherlands), Dr. David Brooks (USA, until January 2011)
REDDES
Mr. Ernest Foli (Ghana), Mr. Takuo Sato (Japan), Dr. Norini Haron (Malaysia), Dr. Carmenza
Robledo (Switzerland, until March 2012)
CFME
Dr. Pablo Martinez de Anguita (Spain)
TMT
Dr. Beatrice Darko Obiri (Ghana), Ms. Pradeepa Bholanath (Guyana), Mr. Stefano Guidese(Switzerland)
9.
The consultants wish to express their deep appreciation to ITTO Executive Director Mr. Emmanuel
Ze Meka, Dr. Gerhard Breulmann (Planning, Monitoring and Evaluation Officer) and Ms. Rosemarie
Jungheim (assistant to the ED) for their excellent guidance and support throughout the assignment, including
developing and implementing the two questionnaires, facilitating consultations, providing documentation, andsupporting the consultants’ presentation at ITTC 48.

C. TP pilot operations
C.1. TP project cycle during the pilot phase
10.
In operationalizing TP pilot procedures, the Secretariat adopted the regular project cycle model andestablished a fixed 6-month calendar for TPs. While the TP cycle follows standard procedures, theSecretariat introduced a number of positive innovations during the pilot phase.
a. Calls for proposals: Five calls for proposals have been issued as indicated below based on a
USD 1 million threshold in initial or additional TP funding (with the exception of the Spring Cycle
2012 which was a more limited call based on available funding). Although there was only one
cycle in 2010, 2011 and 2012, the schedule remained fixed on a 6-month calendar.
Spring Cycle
Spring Cycle
Spring Cycle
Spring Cycle

2

2009: TFLET, REDDES
2010: TFLET, CFME, TMT
2011: REDDES, TMT
2012: TFLET, REDDES, TMT

Autumn Cycle 2009: TFLET, REDDES

Germany and New Zealand noted they had insufficient experience with the TP pilot process to respond to the survey. The EC notedthat its response was not an official EU position as there had not been time to consult all member states.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page vib. Project formulation: The ITTO Manual for Project Formulation has been the main guide for TP
proponents. TP proposals are also required to address two additional elements which conform to
the two specific selection criteria contained in each TPD3: (i) the proposal’s conformity with the
TP deliverables set out in the TPD, and (ii) the association of expected results with the relevant
TP Monitoring Protocol (see C.2 below). The technical quality of proposals has varied widely,with some improvement over time. Many proposals have lacked a clear thematic focus andsome submissions have been incomplete and incorrectly formatted and prepared. In November
2009 the Council adopted a recommendation of the Committee on Finance and Administration(CFA) to set aside 3% of all new TP funding received to assist members with TP proposal
development if requested.
c.

Proposal appraisal process: The TP appraisal process is based on the regular cycle process.
TP proposals are cleared and endorsed by ITTO Focal Points and screened and “pre-appraised”
by the Secretariat prior to their appraisal by TPAC members. Three TP review forms have been
introduced (for projects, pre-projects and small projects) to facilitate TPAC review. These forms
are based on the standard format, with the addition of elements b(i) and (ii) above. A few
general selection criteria from Annex 3 of Decision 9/XLIV which apply only to TPs have yet tobe fully integrated into the review and rating process.

d. Project selection and funding: The ED has approved proposals for funding based on TPAC
advice. Because the ED and TPACs have been delegated project review and approvalauthorities, and donor funds are already available in the TP Sub-Account, the time from projectreview to start up is considerably fast-tracked and cost-effective as compared to the regularcycle.

C.2. TP project management, monitoring and evaluation
11.
TP projects are managed and monitored like regular projects rather than as a pool of thematicallylinked activities. Each project is designated F (Forests), M (Markets) or I (Industry) and assigned to therelevant technical division. While RFM has overall responsibility for REDDES and CFME, and EIMI is
responsible for TFLET and TMT, management of a TP project/pre-project/activity may be assigned to any
division. There can therefore be several project managers from different divisions under one TP.
12.
TP project monitoring closely follows the Manual for Project Monitoring, Review, Reporting and
Evaluation and the Manual on Standard Operating Procedures for the ITTO Project Cycle. No ex-post
evaluations have yet been conducted for TP projects or groups of projects. The Secretariat has developed
an Online Monitoring System (OLMS) to improve TP project monitoring and evaluation and overallmanagement. The OLMS is now used for all ITTO funded projects, not just TPs.
13.
The Secretariat has also developed a Monitoring Protocol (MP) for each TP to provide a framework
for monitoring and measuring progress and achievements towards TP objectives as a whole and set thestage for future mid-term evaluations of TPs. Each MP identifies a set of indicators, targets and means ofverification for each TP objective based on the relevant TPD.

C.3. TPACs
14.
Members of the four TPACs have been selected by the ED based on nominations by ITTO
Members. The purpose of each TPAC (per Decision 9/XLIV) is to assist the ED with: (a) the selection ofactivities/projects/pre-projects for financing, (b) monitoring and evaluation of progress in implementing the TP
and (c) identification of potential additional sources of TP funding. To date, the TPACs have not undertaken
activities related to (b) or (c). The TPAC workload under (a) has varied significantly based on the level offunding available and in turn the number of proposals submitted. Where many proposals were submitted in
response to a call for proposals, it has not been possible for all TPAC members to review all proposals within
the timeframe allotted under a 6-month cycle.
15.
Limited funds have allowed each TPAC to meet only once in 2009 or 2010 to approve its TPD.
Telephone and video conferencing have yet to be used to facilitate TPAC coordination and operations. In
reviewing proposals, TPAC members have operated as individual email reviewers in communicating with theSecretariat.

D. Achievements/impacts during the pilot phase3

The two specific selection criteria for each TP are: (1) Potential impact of the proposal to the achievement of the specific objectives of
the TP and (2) contribution of the proposal to the TP deliverables set out in the TPD.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page vii

16.
As shown in the overview below, the four operational TPs have attracted nearly USD 18.5 million involuntary contributions (from 13 consumer donors and the Japanese Lumber Importers Association) toward
a combined indicative target of USD 58 million. These funds have been allocated to 64 projects, pre-projects
and activities, including 46 projects/pre-projects in individual producer countries and 3 regional projects in
Africa and the Amazon. TFLET and REDDES have succeeded in attracting significant new contributions
from infrequent or first-time donors (notably Norway, Netherlands and UK), as well as contributions from
regular donors (primarily Japan, Switzerland and USA), which are also the major donors to CFME and TMT.
At the same time, many donors continue to earmark the majority of their contributions to projects under the
regular cycle.4
TP Overview through Spring Cycle 2012
TP
TFLET

Target(USD)
15 milFunding(USD)
6.90 mil%Funded45

REDDES

18 mil9.23 mil

51

CFME

10 mil1.10 mil

11

TMT

5 mil

1.26 mil

26

TOTAL

58 mil18.49milTop 3 consumer
donors5
Netherlands Japan
UK
Norway Japan
Switzerland
Japan USA
Switzerland
Switzerland USA
Japan

Projects
Funded21Completed
Projects
6
7

30

5

5

1

8

2

64

15

Top 3 producer
beneficiaries
Indonesia, Cameroon
Guatemala7
Brazil , Indonesia,
Ghana
Indonesia, Ghana,
PNG
Guatemala, Guyana,
Gabon

17.
Because relatively few TP projects have been completed to date (most of which are pre-projects or
ITTO activities), and no ex-post evaluations have yet been conducted, it is not possible to assess definitively
how much progress has been made toward meeting TP objectives and the potential for wider applications ofoutcomes/outputs to other countries. However, a general assessment of reports on completed and nearlycompleted projects/pre-projects/activities, including those funded under the TFLET pre-cursor initiative,
indicates positive impacts and shows that a wide spectrum of TP outputs defined in the relevant TPD and
MP are being addressed, albeit partially. At the same time, there are gaps in currently funded projects/preprojects/activities for some specific TP objectives and outputs.

E. Key findings and lessons learned during the pilot phase
18.
Section V of the full report synthesizes the survey responses from ITTO and TPAC members on theeffectiveness of TP pilot operations. These responses reflect a wide range of views, ideas and experience
regarding the pilot phase. The following findings and lessons learned (presented in slightly more detail in thefull report) are based on the synthesis of inputs received, as well as on consultations with the Secretariat andother information contained in the full report.

E.1. TP achievements/funding
1. Implementing TPs on a pilot basis has demonstrated the interest in and value of innovative
programmatic approaches to addressing issues/problems identified by ITTO, and the ability of
TPs to secure resources for ITTO’s work from a broader base of donors, including new
resources from non-traditional donors.
2. The positive response to REDDES and TFLET by both consumers and producers suggests thatTPs may be more successful when they are closely aligned with Members’ interests, including
donor interests, and/or build on existing and well-supported ITTO initiatives.
3. Reasons for slower progress on TMT and especially CFME and no progress on IDE (all areas
well within ITTO’s mandate) should be explored, identified and addressed as soon as possible if
these TPs are not to be seen as “failures”.
4. There is a need to enhance momentum and stimulate significant increases in contributions tomeet the objectives and deliverables of all TPs and realize their full potential. A variety of4

During the TP pilot phase, about USD 39 million was earmarked to non-TP projects, pre-projects and activities.
USD 3 million pledged to TFLET pre-cursor initiative
6
Includes projects/pre-projects/activities funded under the TFLET pre-cursor initiative
7
Regional project for the Amazon
5

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page viii
strategies should be considered in this regard, including mechanisms to enhance ITTO
fundraising overall.
5. New funding sources may be particularly important to avoid competition for funding fromtraditional donors among TPs and between TPs and regular cycle projects.
6. During the TP pilot phase, many consumers, including regular donors, have continued toearmark a majority of their ITTO contributions to regular projects, indicating that earmarking
remains an attractive option.
7. Before establishing new TPs, it may be prudent to confirm widespread interest and support forprospective TPPs among Members and if possible other potential donors.

E.2. TP pilot operations
1. The TP pilot operations have provided very useful experience and a solid basis for strengthening
regular TP implementation.
2. Delegation of authority to the ED to manage the TP process has significantly streamlined theprocess of proposal appraisal and selection, accelerated project start up and reduced costs, ascompared to the regular cycle.
3. The Secretariat has introduced positive measures regarding TP proposal appraisal and TP
monitoring. These should be maintained or enhanced under regular TP operations.
4. Greater efforts on the part of ITTO Focal Points to ensure TP submissions are complete andproperly formatted and prepared, and to indicate relative priorities when submitting multiple
proposals, would further facilitate the appraisal process.
5. The general criteria for TP proposal selection that apply only to TPs (i.e. criteria e, g, h), as wellas the two specific TP selection criteria contained in each TPD, cover factors key to TP success.
A system of weighting is needed to give priority to these criteria in the TP appraisal process.
6. The MPs are an important innovation for monitoring and evaluating TP progress as a whole andcan be further refined as needed under regular TP operations.
7. ITTO’s project-related manuals and guidelines have been relevant to TP pilot operations.
Updates or supplements are needed in due course to fully reflect TP procedures andrequirements.
8. The 6-month project cycle schedule has proved less relevant in the TP context which is driven
by available funding, not a fixed calendar. A flexible schedule reflecting funding levels and thenumber of proposals submitted could lead to a better pace of work, including for TPAC reviews.
9. The Secretariat has absorbed the additional TP workload during the pilot phase within existing
resources and structures. The reorganization of the Secretariat to address work under the ITTA,
2006 offers opportunities to mainstream and manage TPs holistically as collective pools ofthematically linked projects/pre-projects/activities (e.g. by creating a TP unit within the
Secretariat).

E.3. TPP/TPDs guidelines
1. The guidelines for developing TPPs and TPDs during the pilot phase remain relevant, althoughsome refinements are possible.
2. The TPDs have provided a good framework for TP pilot implementation. Future TPD’s can buildon these initial efforts with a view to further enhancing TP impacts, for example, by identifying
priorities among activities, regional approaches and measureable targets.
3. Consultations with key partners in the thematic area during TPP/TPD development could assure
and/or enhance complementarity at national and international levels and set the stage forcontinuing partnership and cross-institutional cooperation during TP implementation.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page ix
4. Periodic evaluations of TPs/TPDs are important to assess progress toward TP objectives andthe future outlook for TP success, as well as to identify course corrections needed and take into
account new and emerging issues and institutional arrangements. The MPs will be useful tools
in this regard.

E.4. Scaling up knowledge, lessons and impacts
1. Innovation and knowledge management and their multiplier effects are key features of aprogrammatic approach and should be emphasized throughout the TP process.
2. Although it is early to assess definitively the progress being made in meeting TP objectives andthe potential for wider applications of outcomes/outputs, reports to date indicate positive impacts
and show that a wide spectrum of TP outputs are being addressed in some way.
3. Ex-post evaluations of clusters of like projects/activities will be useful vehicles for analyzing
lessons learned, as well as TP effectiveness and impacts.
4. Mid-term evaluations, especially for larger projects, can help identify emerging opportunities tomainstream results, as well as track progress.
5. A variety of mechanisms should be considered to widely apply and disseminate TP results,
including workshops, learning modules, networking, publications and web-based platforms.
6. The potential for synergies between regional/global TP projects/activities and country-specificproposals by Members should be explored, with a view to building on lessons learned.

E.5. Proposal formulation
1. The quality of TP proposals has been mixed during the pilot phase, both technically and in termsof thematic/topical focus. Posting examples on the ITTO web site of well-designed and focused
TP proposals, as well as successful completed projects, could help in this regard.
2. Assistance to interested Members in formulating specific proposals that effectively address TP
objectives should be provided, drawing on TP funds already set aside for this purpose.
3. In view of the gaps in current projects/pre-projects/activities with respect to some TP objectives,
encouraging proposals to help fill these needs could enhance TP success.

E.6. TPACs
1. TPACs play an important role in the TP process but are not yet fully operational. Additional
efforts are needed to strengthen TPAC operations and contributions to the TP process.
2. Routine use of no cost internet-based mechanisms for regular coordination (e.g. to finalize
proposal ratings) and updates (e.g. on lessons learned) would contribute greatly to this end.
3. Establishing standard working procedures and modalities would also be useful, including
designating a Secretariat Focal Point for each TPAC, as well as a TPAC chair to provide
leadership.
4. Annual TPAC meetings are desirable to foster a team approach. Given scarce resources,
meetings could be supported through voluntary contributions (e.g. in the context of BWPs) or
through programme support. At a minimum, TPACs should meet at key stages in the TP
process (e.g. TPD/MP approval, TP evaluations).
5. TPACs can be most effective if comprised of individuals with a diversity of TP expertise atvarious levels. Establishing basic TPAC qualifications may be useful to fulfill TPAC functions.
6. Continuity among TPAC members is needed to develop and maintain a good understanding of
ITTO and TP procedures and build relationships and synergies. This should be considered wheninviting individuals to serve on TPACs.
7. It will also be important to establish that TPAC candidates have the time needed to devote to
TPAC duties, particularly in the absence of dedicated annual TPAC meetings.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page xF. Recommendations
19.
It is recommended that TPs be immediately mainstreamed and recognized as a regular andsubstantial part of ITTO’s work under the ITTA, 2006. In this regard, the Council may wish to:a. Consider refinements to TP pilot procedures and guidelines (Annexes 1-3 of Decision 9/XLIV)
for regular TP operations, as proposed in Annex 11.
b. Clarify the funding outlook for all TPs and in particular CFME, TMT and IDE; address issues that
may be affecting donor interest; and identify marketing strategies to attract additional funding,including from the private sector and other sources external to ITTO, such as the regional
development banks. Invite TAG and CSAG input as appropriate.
c.

In this context, consider strategies to enhance ITTO fundraising as a whole through, forexample, an informal advisory group to advise/assist the ED; making greater use of Assistant
Directors, CFA and TPACs; and developing targeted communication and outreach products.

d. Consider how the proposed reorganization and downsizing of the Secretariat addresses work
under the ITTA, 2006, including mainstreaming and holistically managing TPs.
e. Include the following activities in BWP 2014-2015 and encourage Members to make voluntary
contributions for these purposes:
I.

A process to update or supplement ITTO project-related manuals, guidelines and tools as
needed to ensure their full relevance and effective application to TPs.

II. Mid-term evaluations of TFLET and REDDES and, given sufficient progress, CFME and
TMT, as illustrated in Annex 12.
III. Meetings of TPACs in connection with the TP mid-term evaluations in order to maximize
their input and contributions and benefit from their experience and expertise.
20.

The Council may also wish to request the Secretariat to:a. Increase assistance to Members as requested to enhance their ability to develop effective
proposals that address TP objectives and where possible current gaps in TP projects, making
full use of ITTO Regional Officers and TPAC expertise.
b. Develop an ITTO strategy for mainstreaming TP lessons learned, best practices and follow up to
include, for example, wide dissemination/publication of results, web-based platforms andlearning modules, workshops and networking initiatives.
c.

Consider a flexible TP project cycle calendar/schedule which reflects the level of funds available,
the number of proposals submitted, and the time needed for proposal review by all TPAC
members.

d. Strengthen TPAC operations to make them fully functional by, for example, designating a
Secretariat Focal Point for each TPAC, convening periodic virtual TPAC meetings, establishingcoordination procedures (including via the ITTO website as appropriate), and providing
updates/follow up on relevant TP implementation activities (e.g. lessons learned). Establish aroster of TP experts based on nominations by Members, TAG and CSAG to supplement existing
ITTO rosters of experts and consultants.
e. Undertake ex-post evaluations of groups of TP projects/activities linked by objectives andoutputs and make use of mid-term evaluations as a strategic evaluation tool, subject to theavailability of funds. Include provisions for mid-term evaluations in future proposals, as
appropriate.
f.

Further refine the TP review and rating process by weighting selection criteria/factors to reflect
their relative importance to TP success, giving due attention to the coherence of, and linkages
among, proposals to be funded under a TP and the importance of mainstreaming results.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page xi
g. Refine MPs as needed to identify early warning performance indicators, closely align target
values with the issues/problems each TP seeks to address, and strengthen knowledge
management outputs and indicators.
h. Develop a list of regular cycle projects which have objectives/strategies/outcomes closelyaligned to those of TPs and make final reports of listed projects available to Members onrequest. Include in future regular project ex-post evaluations an examination of the project’s
relevance (if any) to TP objectives, outputs and best practices.
21.

The Council may further wish to:a. Urge consumers to provide new and additional voluntary contributions to ensure continued andenhanced TP operations and calls for proposals.
b. Urge producers, in particular producers not yet fully involved in TP implementation, to submit
high quality proposals that effectively contribute to TP objectives, and request advice andassistance from the Secretariat as needed for this purpose.
c.

Urge ITTO Focal Points to ensure that TP proposals forwarded to the Secretariat are complete,properly formatted and prepared, and technically sound; to indicate relative priorities whensubmitting multiple proposals; and to consider establishing a clearing house mechanism at thecountry level to this end.

d. Urge all Members to enhance outreach and communication at all levels on the opportunities
provided by TPs.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 1

I. INTRODUCTION
1.1
The International Tropical Timber Agreement of 2006 (ITTA, 2006) provides for the establishment of“Thematic Programmes” to complement ITTO’s traditional project work, with a view to attracting increased
unearmarked funding from a broader base of donors by offering an integrated and strategic programmatic
avenue to advancing ITTO priorities. The Forty-Fourth International Tropical Timber Council (ITTC 44,
November 2008) adopted Decisions 8, 9 and 10/XLIV (See Annexes 1-3) to launch the pilot operation of
ITTO Thematic Programmes (TPs) for the following five thematic areas, the first four of which have since
become operational:a. Forest Law Enforcement, Governance and Trade (TFLET)
b. Reducing Deforestation and Forest Degradation and Enhancing Environmental Services inTropical Forests (REDDES)
c. Community Forest Management and Enterprises (CFME)
d. Trade and Market Transparency (TMT)e. Industry Development and Efficiency (IDE)
1.2
Under Decision 9(XLIV), Council decided to review and evaluate the effectiveness of the pilot
operation of ITTO TPs after three years. This review and evaluation took place at ITTC 48 which was held 510 November at ITTO headquarters in Yokohama, Japan. To help facilitate the Council’s deliberations at
ITTC 48, and as provided under Activity 12 of the ITTO Biennial Work Programme (BWP) 2012-2013, theExecutive Director (ED) commissioned two consultants (one from an ITTO Consumer Member country andone from a Producer Member country) to prepare a draft report evaluating TP pilot operations.
1.3
The consultants’ Draft Report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes
was completed in August 2012, posted on the ITTO web site, and presented to the Council at ITTC 48.
Based on an exchange of views and deliberations among ITTO Members on the draft report’s findings,
lessons learned and recommendations, the Council adopted Decision 4(XLVIII) on Strengthening ITTO
Thematic Programmes, which establishes procedures and guidelines for regular operation of TPs under the
ITTA, 2006.
1.4
This Final Report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes updates thedraft report to take into account the outcomes of the Spring Cycle 2012 call for proposals, including thenumber of proposals approved for financing under the cycle. This final report also attaches Decision
4(XLVIII) as Annex 13.

A. Scope
1.5
Based on the terms of reference contained in Annex 4, the scope of the consultants’ evaluation of
TP pilot operations included:a. Assessing Members’ responses to the new opportunities represented by TPs and early
achievements and impacts;
b. Assessing the effectiveness of the pilot procedures and guidelines and set forth in Decision
9(XLIV) and measures to operationalize them; andc. Based on assessments and lessons learned, making recommendations to improve theeffectiveness of TP operations under the ITTA, 2006, including upscaling experiences gained.

B. Methodology
1.6This report draws on consultations with the ITTO Secretariat and other individuals identified by the
Secretariat, as well as a review and analysis of documentation related to TPs, including Council decisions,progress reports and other TP documents. In addition, as provided under Annex 4, the principal means used
to gather views and inputs on the effectiveness of the TP pilot phase was the development, in close
cooperation with the Secretariat, of a detailed questionnaire for ITTO members (see Annex 5). The
questionnaire was circulated by the ED to ITTO focal points in June 2012, with periodic reminder emails to
encourage as many responses as possible. Responses were received from the following 26 ITTO Members:
PRODUCERS:

Brazil, Cambodia, Colombia, Cote d’Ivoire, Ghana, Guatemala, Guyana,
Honduras, Indonesia, Malaysia, Mexico, Papua New Guinea, Peru, Philippines,
Togo

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 2
CONSUMERS:8 Australia, China, European Community (EC), Finland, Germany, Japan, New
Zealand, Norway, Portugal, Switzerland, USA
1.7
To supplement the inputs from ITTO members and gain the perspectives of individuals withexperience specific to each operational TP, a second survey (see Annex 6) was developed for circulation tomembers of the Thematic Programme Advisory Committees (TPACs) established for TFLET, REDDES,
CFME and TMT. Responses were received from the following current or former TPAC members:
TFLET:Mr. Zhang Zhongtian, China
Dr. Hadi S. Pasaribu, Indonesia
Mr. Carlos Enrique Gonzalez Vicente, Mexico
Ms. Antje van Driel, Netherlands9
Dr. David Brooks, USA (until January 2011)

REDDES:

Mr. Ernest Foli, Ghana
Mr. Takuo Sato, Japan
Dr. Norini Haron, Malaysia
Dr. Carmenza Robledo, Switzerland (until March 2012)

CFME:

Dr. Pablo Martinez de Anguita, Spain

TMT:

Dr. Beatrice Darko Obiri, Ghana
Ms. Pradeepa Bholanath, Guyana
Mr. Stefano Guidese, Switzerland

1.8
The consultants wish to express their deep appreciation to ITTO Executive Director Mr. Emmanuel
Ze Meka, Dr. Gerhard Breulmann (Planning, Monitoring and Evaluation Officer) and Ms. Rosemarie
Jungheim (assistant to the ED) for their excellent guidance and support throughout the assignment, including
developing and implementing the two questionnaires, facilitating consultations, providing documentation, andsupporting the consultants’ presentation at ITTC 48.

8

Germany and New Zealand noted that they did not have sufficient experience with the TP pilot process to respond to thequestionnaire. The EC noted that its response was not an official EU position as there had not been time to consult all member states.
9
Survey response submitted by Mr. Marnix Becking and Mr. Rob Busink

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 3

II. BACKGROUND
A. Relevant provisions of the ITTA, 2006
2.1
Negotiations on the ITTA, 2006 were concluded in January 2006. The Agreement entered into force
in December 2011, replacing the ITTA, 1994. The ITTA, 2006 provides for the first time for the establishment
of “Thematic Programmes” as a complement to ITTO’s traditional and largely earmarked project work, with aview to attracting increased unearmarked funding from a broader base of donors. Articles 20, 24 and 25 of
the ITTA, 2006 contain the following provisions on the purpose and operation of TPs and their linkage to
ITTO action plans (see Annex 7 for the full text):
The Special Account will be comprised of the Thematic Programmes (TP) Sub-Account and the
Project Sub-Account. (Article 20.1)

The purpose of the TP Sub-Account is to facilitate unearmarked contributions for the financing ofapproved pre-projects, projects and activities consistent with TPs established by Council on thebasis of policy and project priorities identified in accordance with Articles 24 and 25. (Article
20.4)



Possible sources of financing for the Special Account (including the TP Sub-Account) are: (a)the Common Fund for Commodities (CFC), (b) regional and international financial institutions,(c) voluntary contributions from members, and (d) other sources. (Article 20.2)

Donors may allocate their contributions to specific TPs or request the ED to make proposals forallocating their contributions. (Article 20.5)

The Council will establish criteria and procedures for the transparent operation of the Special
Account, taking into account the need for balanced representation among members, including
contributing members, in the operation of the TP Sub-Account and Project Sub-Account. (Article
20.3)



The Council will establish criteria for approving projects and pre-projects, taking into account,inter alia, their relevance to the objectives of the ITTA, 2006 and to priority areas for work or
TPs. (Article 25.2)

The Council will establish on a regular basis an action plan to guide policy activities and identify
priorities and the thematic programmes referred to in Article 20.4. (Article 24.3)

Members and the ED may submit proposals which contribute to the achievement of theobjectives of this Agreement and one or more of the priority areas for work or thematic areas
identified in the ITTO action plan. (Article 25.1)

The ED will report regularly to Council on the allocation and expenditure of funds within the TP
Sub-Account, on the implementation, monitoring and evaluation of pre-projects, projects andactivities, and on financial needs for the successful implementation of TPs. (Article 20.6)

B. Actions by Council
2.2
Following the conclusion of negotiations on the ITTA 2006, the Council decided on a number ofactions related to TPs in order to prepare for the Agreement’s entry into force. These included:a. March 2007: Meeting of the Inter-sessional Working Group on Thematic Programmes (Chiang
Mai, Thailand). The Working Group report proposed specific procedures and criteria for TPs andoperation of the TP Sub-Account, as well as examples of possible TP “themes”. The report waspresented to ITTC 42 (May 2007, Port Moresby) but no decision on TPs was taken at that time.
b. October 2007: Meeting of the Working Group on the Review of the Implementation of the ITTO
Yokohama Action Plan 2002-2006 (Yaoundé, Cameroon). The Working Group developed a draft
action plan to cover the transition period spanning extension of the ITTA, 1994 and entry into
force of the ITTA, 2006.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 4c.

June 2008: Meeting on Operational Modalities of Future Work of the ITTC (Accra, Ghana).
Drawing on the “Background Document on Operational Modalities under the ITTA, 2006: Workof the Committees, Thematic Programmes and Project Cycle”,10 the report of the Accra meeting
contained detailed proposals for, inter alia, pilot operation of TPs, including a draft decision forCouncil consideration.

d. November 2008: ITTC 44 (Yokohama, Japan). On the basis of the foregoing meetings andreports, the Council adopted the following decisions: Decision 8(XLIV) establishing the TP Sub-Account; Decision 9(XLIV) establishing procedures and guidelines for pilot implementation of TPs forthe five thematic areas listed in 1.1, as well as terms of reference for TPACs;
 Decision 10(XLIV) approving Thematic Programme Profiles for the five thematic areas; and Decision 4(XLIV) adopting the ITTO Action Plan 2008-2012
e. July 2012: Meeting of the Working Group on the Elaboration of a New ITTO Action Plan 20132018 (Yokohama, Japan). Annex 5 of the Working Group report includes a draft ITTO Strategic
Action Plan 2013-2018 for Council consideration at ITTC 48.
2.3
Part II of the ITTO Action Plan 2008-2012 reflected the linkage with TPs by listing the five thematic
areas to be pilot tested as TPs. This linkage is strengthened in the ITTO Strategic Action Plan 2013-2018
adopted by ITTC 48 (November 2012) under Decision 3(XLVIII). TPs are recognized as important means ofoperationalizing the Strategic Action Plan and achieving ITTO’s strategic priorities elaborated in the plan.

C. Decision 9(XLIV) - TP pilot procedures and guidelines
2.4
While TPs are a new element in the ITTA, 2006 and a significant innovation in the ITTO context, theconcept is not an entirely unfamiliar one. As early as 2005, ITTO began to develop and implement “thematicelements” through its Biennial Work Programmes (BWPs). These included:a. The ITTO-CITES Capacity Building Programme. This programme was first approved under
BWP 2006-2007 with a budget of USD 3.75 million based on a 1-page “profile” and a 20-page“grant proposal document” to provide a coherent framework for existing ITTO projects andactivities related to implementing CITES timber listings, build further capacity in this area, andenhance collaboration between ITTO and CITES. Programme funding, including a first-timepledge of USD 3 million from the European Commission (EC), has supported over 30 projects
and activities. A second phase was approved under BWP 2012-2013 with a budget of nearly
USD 10 million, of which the EC is contributing about USD 6.7 million (subject to Euro/USD
exchange fluctuations) under a grant agreement with ITTO. Other funding comes from the USA,
Switzerland, Japan, Germany, Norway, New Zealand and three pharmaceutical companies(Indena, Abbot-Salvay and Euromed), and from the Bali Partnership Fund.
b. ITTO’s Programme on Tropical Forest Law Enforcement and Trade (TFLET). TFLET wasapproved under BWP 2008-2009 with a budget of USD 4.3 million based on a 10-page“programme document” developed in by the ED and the Netherlands under a five-year ITTODutch MOU concluded in November 2007. The programme attracted USD 3.9 million inunearmarked contributions from the Netherlands (USD 3 million), Japan, USA, Australia, Norway
and the Japan Lumber Importer’s Association (JLIA) prior to being converted into the current TP
on Forest Law Enforcement, Governance and Trade (also known as TFLET). The original
TFLET is now referred to as the TFLET “pre-cursor initiative”. The eight projects and activities
funded under the pre-cursor initiative are known as TFLET pre-cursor projects/activities. Funds
unspent under the pre-cursor initiative were rolled over to the TFLET TP.
2.5
The TP pilot procedures and guidelines contained in Decision 9(XLIV) draw on these earlyprogrammes. Annex 1 of the Decision outlines a sequence of proposed procedures for pilot operation ofTPs, including actions and responsibilities. Annex 2 of the Decision contains proposed guidelines fordeveloping Thematic Programme Profiles (TPPs) and Thematic Programme Documents (TPDs). TPPs areconcise scoping documents covering the following elements:a. Rationale statement, including problem to be addressed and international context
b. General objectives
10

Prepared for ITTO by Alhassan Attah (Ghana) and Stephanie J. Caswell (USA), March 2008

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 5
c.
d.
e.
f.
g.

Strategy to be employed
Anticipated outputs/outcomes and benefits
Potential partners/collaborating agencies
Indicative budget and timeframe
Potential donors

2.6
TPDs provide detailed information on the following planning and operational elements which
comprise the logical framework for a TP:
Planning elementsa. Rationale statement and problem analysis, including relevant international and regional
processes and value-added of the TP
b. Specific objectives, including as appropriate, intermediary targets
c. Strategies for achieving objectives
d. Outputs/outcomes/deliverables and expected impact/benefits
e. Other partners and stakeholders
f. Activities
g. Work plan, including budget estimates and donor contributions
Operational elementsa. Composition of the Thematic Programme Advisory Committee (TPAC) and expert profiles
b. General selection criteria for proposed activities/projects/pre-projects (see 2.7)
c. TP-specific selection criteria for proposed activities/projects/pre-projects, as appropriate (see2.8)
d. Administrative arrangement
e. Monitoring and evaluation procedures
f. Technical and financial reporting procedures
2.7
Annex 3 of Decision 9(XLIV) outlines terms of reference for TPACs. TPACs are to assist the ED with(a) selection of activities and projects for financing under TPs, (b) monitoring and evaluation of progress in
implementing TPs, and (c) identification of potential additional sources of TP funding. In carrying out
function (a), TPACs are to consider the following “general criteria” in selecting TP activities/projects/preprojects, in addition to any specific criteria identified in TPDs:
a.
b.
c.
d.
e.
f.

Conformity with the TPD and ITTA objectives
Technical feasibility
Cost-effectiveness
Environmental and social effects
Applicability/extension of results, e.g. regionally or globally
Clear quantitative and qualitative indicators to evaluate project success toward achieving TP
objectives
g. Linkages or relevance to other activities/pre-projects/projects funded under the TP
h. Measures to verify the coherence and effectiveness of individual activities/pre-projects/projects
funded under the TP
i. Overall impact and sustainability of outputs and outcomes
j. Mechanisms for effective stakeholder participation
2.8
Many of the above general criteria, including criteria a (regarding ITTA objectives), b, c, d, e, i and j,also apply to the review and approval of projects under the regular cycle and are encompassed in the ITTO
Manual for Project Formulation (3rd edition, 2009). Others are new and only apply to TP proposals. These
include criteria a (regarding TPDs), f, g, and h. As shown in 2.6, the general criteria for TP proposal
selection constitute operational element b of each TPD and are to be supplemented, as appropriate, by TPspecific selection criteria (operational element c). In the development of TPDs to date, the following two“specific criteria” are identified for each TP:
k.
l.

Potential impact of the proposal to the achievement of the specific objectives of the TP
Contribution of the proposal to the TP deliverables set out in the TPD

2.9
A fundamental feature of these proposed procedures is the responsibilities given to the ED whichreflect the unearmarked nature of TP contributions. These include preparing TPDs, establishing TPACs, andselecting proposals for funding based on TPAC advice. Such delegation of authority is generally new in the
ITTO context, which has a long tradition of project-by-project approvals by the Council based on Committee

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 6
recommendations, and subsequent project financing through specific allocations earmarked by, andnegotiated among, consumer donors. The overall approach reflected in Decision 9(XLIV) is more typical of
multilateral financing and assistance organizations.

D. TP project cycle during the pilot phase
2.10
In operationalizing the above pilot procedures and guidelines, the Secretariat has adopted theregular project cycle model and established a 6-month cycle and calendar for TPs. While the TP cycle relies
largely on standard procedures, a number of positive innovations have been introduced by the Secretariat.

D.1. Calls for proposals
2.11
All calls for TP proposals are posted on the ITTO home page and circulated to ITTO Focal Points
and TPAC members. Five calls for proposals have been issued to date:Spring Cycle 2009: TFLET, REDDES
Spring Cycle 2010: TFLET, CFME, TMT
Spring Cycle 2011: REDDES, TMT
Spring Cycle 2012: TFLET, REDDES, TMT

Autumn Cycle 2009: TFLET, REDDES

2.12
All cycles except the Spring Cycle 2012 were based on an initial or additional financing threshold of
USD 1 million. The first USD 1 million catalyzed development of the TPD which contains, inter alia, the “nonexhaustive” list of activities that can be funded under the TP. The Spring Cycle 2012 was based on reduced
TP thresholds, reflecting the level of remaining funds (about USD 879,000 for REDDES, USD 728,000 for
11
TFLET and USD 335,000 for TMT) . In view of the lower thresholds, the call was limited to pre-projects andsmall projects under USD 150,000.
2.132009 was the only year to have both spring and autumn cycles. In 2010, 2011 and 2012, the springcycles conformed to the established 6-month calendar for proposal appraisal and selection although there
none of the years had a second cycle.

D.2. Project formulation and submission
2.14
The ITTO Manual for Project Formulation has constituted the main guidance and format for
proponents in developing TP proposals. In addition, each TP proposal is required to:a. Address the proposal’s conformity with the TP deliverables set out in the relevant TPD
b. Associate expected results with the relevant TP Monitoring Protocol, including means ofverification (see 2.26 on Monitoring Protocols)
2.15
Item (a) is one of the two specific criteria (criterion l) contained in each TPD as noted in 2.8. Item (b)covers general criterion (f) listed in 2.7. These criteria are highlighted in all calls for proposals and theirimportance is underscored. In view of these new requirements, in November 2009 the Council adopted arecommendation of the Committee on Finance and Administration (CFA)12 to set aside 3% of all new TP
funding received to assist members with TP proposal development if requested. This has generated USD
394,000 to date, of which about USD 361,000 remains since there have been few requests for assistance.
2.16
As with regular project proposals, TP proposals have been cleared and submitted through ITTO
Focal Points. In addition, TP proposals must be endorsed by the Focal Point. In some cases, proposals
forwarded by Focal Points have been incomplete, incorrectly formatted and/or poorly prepared, which has
added considerably to the time required for project appraisal.

D.3. Proposal appraisal process
2.17
The TP appraisal process (see Annex 8) is based on the regular cycle process but adapted to TPs.
Once TP proposals are cleared by ITTO Focal Points, the Secretariat screens the submissions forcompleteness and formatting based on the Manual for Project Formulation and the TP selection criteria. The
Secretariat then undertakes an in depth “pre-appraisal” of screened proposals involving at least two staff
members (primary and secondary reviewers). The Secretariat also pre-appraises its own proposals but inthese cases care is taken to exclude the proposing division/office from the pre-appraisal process. Both theproposals and pre-appraisals are distributed to TPAC members.

11
12

CFME was not included in the call for proposals since only USD 99,000 was available in the TP.
Report of the Twenty-Fourth Session of the Committee of Finance and Administration

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 72.18
To facilitate the review of proposals by TPAC members, the Secretariat has introduced three review
forms, one each for projects, pre-projects and small projects. (The regular cycle utilizes one review form forall proposals reviewed by the Expert Panel13.) The three forms closely follow the relevant guidance/format in
the Manual for Project Formulation, with the important addition of the two factors on the proposal’s
conformity with TPD deliverables and the Monitoring Protocol (see 2.14). TP general selection criteria g andh have yet to be fully integrated into the review forms and rating process. TP selection criteria and otherranking factors are not yet weighted to reflect their relative potential importance to TP implementation
success.
2.19
Having three review forms has been a useful innovation since TPAC members (unlike Expert Panelmembers) may not be ITTO experts and well-acquainted with ITTO’s guidelines for each type of projectcontained in the Manual for Project Formulation.

D.4. Project selection and funding
2.20
Based on each TPAC member’s review and ratings of proposals, the ED develops a list of
conditionally approved projects/activities, pending satisfactory integration of reviewer comments. This list is
circulated to TPAC members for concurrence. Thus far, TPAC members have uniformly endorsed the ED’s
proposed approvals.
2.21
Because the TPACs and ED have been delegated proposal review and approval authorities, and thenecessary funds are already available in the TP Sub-Account, the time from project selection to start up isvery swift as compared to the regular cycle. The Secretariat has also consistently advised EAs that project
implementation should be placed on a “fast track” to facilitate smooth project execution, generate baseline
information essential for operationalizing the relevant MP, and enable periodic reporting to major donors tomeet their reporting and auditing requirements. In practice, some delays have been encountered due to EA
inexperience or internal bureaucratic issues, but for the most part projects have been initiated expeditiously.

E. Project/programme management, monitoring and evaluation
2.22
Once approved, TP projects are managed and monitored in the same way as regular projects, rather
than as a pool of thematically linked (and often cross-cutting) activities. Each TP project/activity isdesignated as F (Forests), M (Markets) or I (Industry) and assigned to a project manager in thecorresponding division. While RFM has overall responsibility for REDDES and CFME, and EIMI has
responsibility for TFLET and TMT, management and monitoring of a specific project/activity may be assigned
to an individual in any division or to other professional staff. As a result, there are several project managers,
some from different divisions, under one TP.
2.23
The monitoring of TP projects and activities closely follows the established ITTO procedures andrdstandards contained in the ITTO Manual for Project Monitoring, Review, Reporting and Evaluation (3edition, 2009). All aspects of project/pre-project execution, from start-up to completion, also follow the
Manual on Standard Operating Procedures for the ITTO Project Cycle (2009). As is usual, an EA project
coordinator has been designated for each TP project/pre-project (typically supported byadministrative/financial and technical staff seconded to the project as in-kind contributions) and serves as thepoint of contact in coordinating with the ITTO project manager. Project Steering Committees (PSCs) havebeen established for large projects (e.g. over USD 400,000), and Technical Project Committees (TPCs) havebeen set up for smaller projects.
2.24
In view of the very few completed projects, no ex-post evaluations have been conducted to date. The
expectation is that ex-post evaluations will be undertaken for groups or clusters of TP projects with similar
objectives and types of outputs (as recommended under the Meta-Evaluation Report, and as has been done
to a limited extent for regular project ex-post evaluations).

E.1. OLMS
2.25
In 2010, the Secretariat completed development of an innovative integrated web-based Online
Monitoring System (OLMS) to improve the efficiency and effectiveness of TP project monitoring andevaluation and overall project management. The OLMS establishes an electronic database of TP activities
with a complete dossier of project-related documentation and information. This has allowed for easy andsystematic interaction between ITTO project managers and EA coordinators. The OLMS has been
periodically updated and fine-tuned to reflect technical developments and comments from users. For
example, in 2011 a new layout was applied to follow the layout of the ITTO website for easier navigation
13

Expert Panel for the Technical Appraisal of Projects and Pre-Projects

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 8and to enhance user-friendliness. Use of the OLMS is now mandatory for all ITTO projects, not just TP
projects.

E.2. TP Monitoring Protocols (MPs)
2.26
To supplement the current Manual on monitoring and evaluation, which has limitations in the TP
context, the Secretariat has developed a Monitoring Protocol (MP) for each TP to provide a coherent
framework for monitoring and measuring progress and achievements towards specific TP objectives and set
the stage for a future mid-term evaluation of TP activities as a whole. Each MP identifies a set of indicators,
target values and means of verification which are based on the outcomes, outputs and deliverables for
specific TP objectives displayed in Table 1 of each TPD (see Annex 9 for the current REDDES MP). As
noted above, TP proponents are now required to link or associate expected proposal outcomes/outputs withthe relevant MP, including means of verification.

F. TP Advisory Committees (TPACs) during the pilot phase
2.27
Once a TP had sufficient funding to develop a TPD, the ED invited ITTO Focal Points to nominate
individuals with “recognized expertise” in the TP area to serve on the relevant TPAC. Participants wereselected from the pool of nominations. A list of current TPAC members is contained in Annex 10.
Representatives of key partners, such as the World Bank and the EU FLEGT Action Plan process, were also
approached to participate on relevant TPACs. FAO responded positively and is represented on the
REDDES TPAC as a UN-REDD partner.
2.28
The only function performed by TPACs to date has been the review of proposals (item (a) under2.7). There has been no activity on the monitoring and evaluation of progress on TP implementation, or
discussions on possible additional sources of TP financing (items (b) and (c) under 2.7). The TPAC proposal
appraisal workload has varied significantly based on the number of proposals submitted, which has beenvery high for REDDES and low for CFME (see III.B).
2.29
Under Decision 9(XLIV), TPACs as a general rule were to meet annually and coordinate throughelectronic means at other times. Due to scarcity of funds, each TPAC has met only once in March-April 2009
(TFLET and REDDES) or March 2010 (CFME and TMT) to approve the respective TPD. CFME and TMT
were also able to approve their MPs since these had been developed by early 2010. Internet conferencing(e.g. via Skype) has not yet been used to facilitate TPAC coordination and communications as a group. In
reviewing proposals, TPAC members have operated as individual email reviewers in communicating with theSecretariat.
2.30
As with the Expert Panel, participation on a TPAC is a voluntary commitment of time and expertise.
In the absence of an annual meeting dedicated to TPAC business, the time TPAC members are able todevote to ITTO has varied based on their other duties, particularly when there has been a large volume ofproposals to review (e.g. under REDDES and TFLET) in the short time allowed under a six-month cycle.
Unlike the Expert Panel, TPAC members are not necessarily experts on ITTO and have not had the
incentive of an honorarium. There has also been a fair amount of turnover of TPAC members which has
affected the TPAC “learning curve” and limited continuity and institutional memory.

G. Communication and outreach
2.31
The ED/Secretariat have routinely highlighted TPs in presentations and side events at relevant
meetings and conferences. Other initiatives include:
a . Publication of “ITTO Thematic Programmes - Sustaining Tropical Forests” (Brochure, 2010).
b. Production of a poster on TPs.
c. Publication of an article on REDDES in the UN-REDD Newsletter (October 2009).
2.32
Information and materials about TPs are also easily accessible from the ITTO home page which
includes a TP “quick link” to the following:
a.
b.
c.
d.
e.

TPPs, TPDs, MPs and lists of approved projects for TFLET, REDDES, CFME and TMT
TPP for IDE
ITTO’s Thematic Programmes - Sustaining Tropical Forests (Brochure 2010)
Annual TP progress reports to Council (2009, 2010, 2011)
ITTO Manual for Project Formulation (2009)

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 9f.

ITTO Project Formulation Software Tool (ProTool - Microsoft 2003 and 2007) and User’s Manual(November 2009)

H. Secretariat workload
2.33
The management and implementation of the TP process have added to the Secretariat’s workload.
Currently, the Planning, Monitoring and Evaluation Officer (PMEO) is in charge of overall TP coordination,
among his other duties. As noted above, the management of individual TP projects is spread across thetechnical divisions and other professional staff, including the PMEO. As under the regular cycle, TP’s arecharged 8% in programme support for project management and 13% for activities implemented by the
Secretariat.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 10

III. TP ACHIEVEMENTS TO DATE AND OUTLOOK
A. Donor response to TP opportunities
3.1
The five TPPs approved as a package under Decision 10(XLIV) were an ambitious first step tolaunching ITTO’s TPs. As noted in 2.27, TFLET and REDDES achieved a sufficient initial response(USD 1 million or more) from donors to trigger development and approval of TPDs in early 2009. CFME andTMT proceeded more slowly and were launched in 2010. The TPP for IDE has yet to generate interest. As
shown in Table 1, the four active TPs have together attracted nearly USD 18.5 million in voluntary
contributions from 13 consumer countries and one private entity toward a combined indicative target of USD
58 million.

DONOR
NorwayNetherlands
Japan
Switzerland
USA
UK
Australia
FinlandGermanyJLIA
New ZealandSwedenRep. Korea
TOTAL% TARGETTARGET

TABLE 1
Voluntary contributions to ITTO TPs (as of November 2012)(USD 000)
TFLET
REDDES
CFME
TMT
TOTAL
15
3,000
991
683
757
949
282
35
88
50
38

8,174

40

484
400
175

635
100
300

166
700
300

98

25
10
14
6,898
45
15,0009,233
51
18,0001,100
1110,000

1,264
26
5,000

8,229
3,000
2,276
1,883
1,532
949
282
133
88
50
38
25
10
18,49532
58,000

%
45
16
12
10
8
5
1.5
<1
<1
<1
<1
<1
<1

A.1. TFLET
Issues of forest governance are the focus of a wide variety of initiatives at national, regional andinternational levels and feature prominently in the ITTA, 2006. As noted in II.C, the TFLET TP is based on
the TFLET pre-cursor initiative, which received USD 3 million in unearmarked funds from the Netherlands, asignificant contribution from a non-regular ITTO donor. More than other TPs, TFLET has attracted interest
from a broad base of donors, including a significant first-time contribution from the UK, as well as
contributions from regular ITTO contributors, notably Japan, Switzerland and the USA. TFLET is also the
only TP so far to be supported by the private sector, in this case the Japan Lumber Importers Association(JLIA). The broad support for TFLET suggests that the TP is closely aligned with the current priorities ofmany consumers and that additional pledges may be expected in future, at least at modest levels. At thesame time, it may be useful for Members and the ED to aggressively market TFLET to other major players in
the thematic area, such as the EC, to help ensure TFLET meets its objectives.
3.2

A.2. REDDES
3.3
Climate and forests is a relatively recent area of work for ITTO and one in which other organizations
have significant mandates and activities. The goal of REDDES is to complement these ongoing initiatives. Inview of the potential contribution of REDDES to the Norwegian International Climate and Forest Initiative,
Norway has become the principal donor to REDDES, which is now about 50% funded. While Norway has
previously made modest contributions to ITTO on occasion, REDDES stimulated substantial new funding
from the Norwegian government. Other contributors include Japan, Switzerland and the USA. This relatively
narrow base of financing to date may indicate that many consumers are channeling their forest-related
climate funds through existing mechanisms, such as the UN-REDD Collaborative Programme and the WorldBank’s Forest Carbon Partnership Facility. If so, the continued success of REDDES, and the potential tomeet its objectives, may depend on additional pledges from Norway and regular ITTO donors.
14

Includes USD 3,965,040 in pledges to TFLET precursor initiative from the Netherlands (USD 3 million), Japan (USD 600,040), USA(USD 250,000), Australia (USD 50,000), JLIA (USD 50,000) and Norway (USD 15,000).

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 11

A.3. CFME and TMT
3.4
CFME and in particular TMT are thematic areas well within ITTO’s mandate and where ITTO has aclear comparative advantage over many organizations. Despite this fact, these TPs have attracted only
limited financing and almost entirely from ITTO regular consumer donors (Japan, Switzerland, USA). As
noted in 2.11, contributions to CFME have supported only one call for proposals in the Spring Cycle 2010.
The reasons for this lack of donor interest are not clear. In the case of CFME, many consumers and other
donors are supporting community forest enterprises and local control of forests through bilateral and otherchannels. In the case of TMT, the role of trade and market transparency in fostering sustainably produced
tropical timber and timber products is a core ITTO issue. If significant pledges from new donors are notforthcoming in the near future, it may be useful for Members to explore reasons for the slow response to
TMT and especially CFME, perhaps in consultation with CSAG and TAG, and on that basis identify actions
needed to stimulate interest in these TPs and so enable them to reach their potential.

A.4. IDE
3.5
Although IDE is clearly within ITTO’s mandate and comparative advantage and of great interest to
producers, neither consumers nor the private sector have expressed interest in supporting the programme.
It has been speculated that IDE, while an important area for ITTO work, may not fit well with the current
forest policy and funding priorities of consumer countries, and/or that donors may be hesitant to invest in the
expansion of tropical forest industries at a time when reports of deforestation remain high and effective forest
governance systems may not be fully in place. In view of the importance producer countries attach to IDE
implementation, it would be useful for Members, perhaps in consultation with TAG, to exchange views andreach agreement on whether and how to make the IDE TPP more attractive, for example by:a. Emphasizing how an efficient tropical forest products industry can contribute to SFM and agreen economy, taking into account the relevant outcomes of Rio+20
b. Reducing emphasis on high value-added processingc. Adding a component (objective, outcome) on south-south cooperationd. Strengthening science and technology aspects
3.6
It also may be worthwhile to increase communication with both the public and private sector on thebenefits of an efficient tropical forest products industry. In addition, it may be useful to aggressively market
the IDE TPP to potential sources of funding external to ITTO, including the forest products industry, with theassistance of TAG members and contacts, as well as the Common Fund for Commodities (CFC) and nontraditional partners, such as the regional development banks which have small grants programmes within
their economic growth units.

A.5. TP and regular project funding
3.7
Under the ITTA, 2006, the Project Sub-Account and the TP Sub-Account of the Special Account are
two complementary avenues for supporting projects, pre-projects and activities to help Members translate
ITTO policy objectives into concrete actions. The Project Sub-Account is the vehicle for ITTO’s traditional
financing approach which is based on donor earmarks to specific projects approved by Council. The TP SubAccount is the new vehicle for unearmarked contributions from donors who wish to support broad areas of
ITTO’s work but cannot or will not engage in project-by-project review, approval and earmarking.
3.8
As already noted, TPs have succeeded during the pilot phase in mobilizing significant new funds
from Norway and the UK, as well as from the Netherlands for the TFLET pre-cursor initiative. Without TPs, it
is highly unlikely that the funds from Norway and the UK would have been forthcoming to ITTO.
3.9
At the same time, over 70% of donor contributions to ITTO (about USD 39 million) were earmarked
to non-TP projects and activities during the TP pilot phase. This includes about 94% of Japan’s contributions,
68% of Switzerland’s contributions and 70% of USA contributions, as well as smaller earmarks by Germany,
Australia, Finland, the Netherlands, Republic of Korea, Belgium, China, France and New Zealand. Thesefigures suggests that earmarking under the regular project cycle and for BWP activities remains an attractive
option for many donors.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 12

B. Producer response to TP opportunities
3.10
As shown in Table 2, 135 proposals have been submitted by ITTO members since the first TP callfor proposals (for TFLET and REDDES) in spring 200915. Producers account for 119 of these proposals,
which is indicative of their interest in TP opportunities. Proposals have also been submitted by a few
consumers and the Secretariat. The producer proposals were fairly well-distributed across regions: 45 fromAfrica, 38 from Latin America, 36 from Asia-Pacific. However, four countries -- Indonesia, Ghana, Peru andCameroon -- account for nearly 60% of producer submissions, suggesting that these producers are clearly
focused on TPs.
TABLE 2
Proposals submitted in response to TP calls for proposals:
Spring Cycle 2009 through Spring Cycle 2012
PRODUCERS
Indonesia
Ghana
Peru
Cameroon
GuatemalaMexicoBrazilEcuadorFiji
Liberia
Philippines
PNG
ThailandCAR
Cote d’Ivoire
DRC
GuyanaNumber of
Proposals
19
18
14
14
8
5
3
3
3
3
3
3
3
2
2
2
2

Proposals submitted by TP

TFLET
30

PRODUCERS
Honduras
Malaysia
MyanmarTogo
Colombia
Gabon
India
Nigeria
CONSUMERS
ChinaAustria
Germany
Netherlands
FranceITTO
TOTAL
REDDES
83

CFME
9

Number of
Proposals
2
2
2

2
1

1
1
1

5

1
1
1
1
7
135
TMT
13

TOTAL
135

3.11
The breakdown of proposals submitted by TP varies widely and largely reflects the funds available.
Producer priorities and the scope of their ongoing national activities related to REDD+ may also be factors in
the large number of REDDES proposals. The number of submissions has had a direct bearing on theworkload of TPACs. The high volume of proposals under three of the REDDES calls for proposals and one
TFLET call for proposals has made it infeasible for all TPAC members to appraise all proposals given thetight timeframe for review allotted under a 6-month project cycle. In these cases, the PME Officer has
assigned each TPAC member a set number of proposals to review (e.g. 10-12 proposals), with each
proposal being reviewed by at least two TPAC members.
3.12
Table 3 displays TP funding allocations by country/beneficiary and the number of projects and16
activities financed . Sixty-four proposals, about 47% of those submitted, have been approved and funded,
including 46 projects/pre-projects in individual producer countries, 3 regional projects/pre-projects for Africa
and the Amazon, 3 projects in China, 1 project in France, and 11 activities implemented by the Secretariat.
The vast majority of these projects and activities are being implemented under TFLET and REDDES, whichhave received significantly more funding than CFME and TMT. Excluding regional projects, five countries
account for nearly half the producer funding: Indonesia, Guatemala, Ghana, Peru and Cameroon. As
already noted, these countries also account for the highest number of submissions.

15

Table 2 excludes proposals submitted under TFLET pre-cursor initiative prior to the spring 2009 call for TP proposals, but includes
proposals revised per ED/TPAC and re-submitted.
16
Decision 7(XXXIII) also applies to TPs: “Members with cumulative arrears to the Administrative Account equal to or exceeding threetimes their annual assessed contribution are ineligible for project funding”.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 13TABLE 3Funding allocations under TPs through Spring Cycle 2012
USD 000
TFLET
REDDES
CFME
TMT
(#
TOTAL
(# projects) (# projects) (# projects) projects) (# projects)
1. Indonesia
971 (2) 1,101 (3)465 (1)
2,537 (6)
2. Ghana
311 (2)780 (2)149 (1)112 (1)
1,352 (6)3. Brazil
142 (1)
1,267 (2)Brazil-regional
1,125 (1)
4. Guatemala
563 (1)229 (2)360 (1)
1,152 (4)5. Peru
349* (3)772 (2)
1,121 (5)
6. Cameroon
668 (2)257 (3)925 (5)
7. Guyana
401 (1)321 (1)722 (2)
8. Togo629 (2)629 (2)
9. China
322 (1)295 (2)617 (3)
10. PNG473* (1)122 (1)595 (2)
11. Malaysia
591 (1)591 (1)
12. Myanmar
572 (1)572 (1)561 (1)
13. Cambodia
561* (1)477 (1)477 (1)
14. DRC
15. Mexico
471 (1)471 (1)
17
16. Thailand
57 (1)
113 (1)31 (1)
201 (3)
17. Germany-Africa regional
176 (1)176 (1)
18. Ecuador
150 (1)150 (1)
19. Liberia
150 (1)150 (1)
20. Honduras/Guatemala
145 (1)145 (1)
21. Gabon
139 (1)139 (1)
22. France
138 (1)138 (1)
23. Colombia
91 (1)
91 (1)
24. ATO - regional
544* (1)544 (1)
25. ITTO
1,200* (4)494 (3)200 (1)360 (3)2,254 (11)TOTAL 6,286 (21) 8,894 (30)967 (5)1,430 (8) 17,577 (64)*Includes one or more projects/activities funded under TFLET pre-cursor initiative
PROPONENT

B.1. TFLET
3.13
The 21 ongoing TFLET projects and pre-projects represent a cross-section of producers, taking into
account the two regional projects for Africa and the Amazon project, reflecting broad producer interest inforest governance issues at various levels. Eight of the projects/activities were approved under the TFLET
pre-cursor initiative prior to the first TP call for proposals in spring 2009. Producer interest in TFLET can be
expected to continue as additional funds become available. At the same time, there appear to be gaps in
TFLET proposals and approved projects relative to some of the TPD’s objectives and outputs. The TFLET
MP indicates a good balance of projects and activities focused on objective 1 (forest law enforcement) andobjective 3 (forest enterprises). However, there have been relatively few projects focused on objective 2(improving management and transparency of supply chains). It may be useful for the Secretariat to explorewith Members why this is the case and encourage proposals designed to fill the gaps in moving toward
TFLET objectives.

B.2. REDDES
3.14
REDDES projects and pre-projects also reflect a broad cross-section of producers, including a
regional project for the Amazon proposed by Brazil. A number of these projects are focused in some way on
activities to complement and strengthen REDD+ readiness processes and related programmes under theForest Carbon Partnership Facility. The REDDES MP (see Annex 9) shows that some REDDES outputs(e.g. REDD, PES) are well-covered by current projects, while other outputs (e.g. biodiversity, community
initiatives, knowledge management) are less well-covered. Again it may be useful for the Secretariat to
explore the reasons for this with Members, with a view to addressing gaps as additional REDDES funding
becomes available.

B.3. CFME
3.15
The limited funding available under CFME is likely the main reason that only five proposals havebeen approved. The large size of one project (USD 465,000) relative to the funds available may also be a17

Pre-project approved under Spring Cycle 2009 but terminated June 2012 due to unsigned agreement by EA.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 14
factor. However, the funding level does not seem to account entirely for the fact that only nine proposals
were submitted in the first place. This may suggest that CFME is not a priority for producers or perhaps that
effective community-based projects are difficult to formulate. For example, governments may facechallenges in working with communities, or communities may have difficulties in developing project proposals
that meet ITTO’s standards and requirements.
3.16
Also noteworthy in the CFME context are the possible synergies between the ITTO activity -- aninternational conference on forest tenure, governance and enterprises focused on Asia-Pacific -- and the
projects approved for Indonesia, Papua New Guinea and Thailand. Early preparations for the conference,
which was hosted by Indonesia in July 2011 (see III.C), may have helped set the stage for the project
proposals. It may be useful for the Secretariat and TPACs to further explore the potential for synergies
between TP activities by ITTO and proposals from Members.

B.4. TMT
3.17
TMT has also had limited funding, which has likely affected producer interest in the TP. However,the lack of funding may not fully account for the fact that only four proposals were submitted by producers
under the first two calls for TMT proposals (Spring Cycles 2010 and 2011). Other possible factors may bethat some TMT activities are outside the scope or mainstream of work of forestry agencies and/or may
require an understanding of timber trade and marketing situations, forces and policies beyond a single
country. If so, this could limit the ability of some producers to formulate proposals, even under increased
TMT financing. While producer response to the Spring Cycle 2012 call for proposals was stronger (fiveproposals), additional assistance to interested producers in developing proposals may be helpful, particularly
proposals that contribute to TMT objective 1 (strengthening national information systems on markets and theforest sector). Progress toward TMT objective 2 (filling gaps in the market transparency of tropical timber
and timber products) and objective 3 (enhanced market access and trade promotion of tropical timber) may
be more effective through regional projects, joint producer-consumer projects and ITTO activities.

C. Achievements and impacts of TP projects and activities
3.18
Of the proposals initiated since the Spring Cycle 2009, very few have been completed to date, andno mid-term or ex-post evaluations have yet been conducted. Therefore, it is too early at this stage to assess
definitively how much progress has been made toward meeting TP objectives and the potential for wider
applications of outcomes/outputs to other countries. However, reports on the following completed andongoing projects/pre-projects/activities, which include several under the TFLET pre-cursor initiative, indicate
positive impacts and show that a wide spectrum of TP outputs defined in TPDs and MPs are being
addressed, albeit partially.

C.1. TFLET
a. TFL-PPD 001/09 Rev.2 (M), Colombia (USD 91,498):
Implementing and promoting SFM through formulation of an action plan for forest law enforcement andgovernance in Colombia. (Completed)
3.19
The pre-project contributed to TFLET objective 1 on national forest law enforcement andsuccessfully set the stage for developing a full proposal on “Implementing and Promoting SFM throughForest Law Enforcement and Governance in Colombia.” The pre-project supported the identification ofproblems related to illegal logging, evaluation of existing forest laws and policies, and the convening of eightregional workshops to better understand stakeholder issues and perceptions. The pre-project enabled
Colombia to obtain reliable information on current realities in the forestry sector, as well as develop a
database of relevant stakeholders directly involved in forest law enforcement and governance. Outputs were: A report analysing and evaluating 36 national laws, 5 national policies,12 international treaties towhich Colombia is a party, and 61 regional norms.
 Surveys of major economic activities by stakeholders, marketing channels for timber, levels of
stakeholder awareness and knowledge of forest laws and regulations, training needs,
percentage of legal and illegal harvesting, perceptions of the state of Colombia’s forests andreasons for illegal logging, and proposals for assuring legality.
 A TFLET action plan for Colombia based on TFLET, describing the characteristics,
needs/challenges, potential for future involvement for types of stakeholders.
3.20
Following completion of the pre-project, the full proposal was submitted to the ITTO Expert Panel (asPD 640/12(F)), which rated it as Category 2. Revisions to the proposal are underway.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 15
b. TFL-PPD 023/10 Rev.1 (F), Germany (USD 198,242):
Development and implementation of species identification and timber tracking systems in Africa (Cameroon,
Congo, Gabon, Ghana) with DNA fingerprints and stable isotopes. (Completed)
3.21
This pre-project contributed to TFLET objective 2 on transparent and effective supply chains andobjective 3 on international cooperation in forest law enforcement. Although many legal instruments havebeen established to combat illegal logging and trade in illegally sourced timber, practical control mechanisms
to identify tree species and geographic origin of wood and wood products are lacking. The combination of
DNA fingerprints and stable isotope techniques (which use characters inherent to the timber and are
impossible to falsify) provides a highly accurate and cost-effective method to identify the origin of wood andwood products.
3.22
The pre-project successfully set the stage for developing a full proposal for an ITTO regional project
on DNA-based and isotopic timber tracking involving six African countries: Cameroon, Central African
Republic, Democratic Republic of Congo, Republic of Congo, Gabon and Kenya. The pre-project supported
two workshops in Hamburg, Germany and Yaoundé, Cameroon to involve and engage relevant
stakeholders. The full proposal was originally submitted under TFLET, but because there was no open
TFLET call for proposals at the time, the project was submitted in July 2011 under the regular project cycle
so as not to lose momentum. The Expert Panel rated the project as Category 1. It has since attracted about
USD 1.83 million in financing from Germany (USD 1.7 million), USA (USD 100,000), and Australia(USD 30,000), with additional countries expressing interest. Additional funding for project “satellite
components” has been achieved from the Australian Research Council through the University of Adelaide.
3.23
The pre-project and full project can be scaled up to provide measures to support other countries toachieve improved forest governance through DNA-based and isotopic timber tracking. The full project isclosely linked, and will be implemented in coordination with, a number of other ITTO initiatives, including the
ITTO-CITES Capacity Building Programme. It will also provide substantial input and guidance to a project tobe implemented by Biodiversity International on “Identification of Timber Species and Origins”.
c. TFL-PD 017/09 Rev 2 (M), China (USD 322,056):
Equipping small and medium-sized forestry enterprises in China for procurement of tropical timber fromlegal and sustainably managed forests. (Ongoing)
3.24
Under this project, the Chinese Forest Products Index (CFPI) was established and launched in
Shanghai in March 2012 as a platform for regular communication and information exchange among Chinese
government agencies, associations, research institutes and timber product enterprises, with a view topromoting procurement of timber products from sustainably managed forests. CFPI is under the auspicesof the State Forestry Administration and operated by the Chinese Academy of Forestry. Following a highprofile launching ceremony, the first CFPI forum was held in April 2012 and attended by government
representatives, forest industry associations, and presidents and CEOs of some 40 forest enterprises, aswell as FAO and ITTO. Thirty-three forest enterprises have been identified as the first group of “IndicatorEnterprises” which will take responsibility to provide information on their timber product procurement andproduction and other information through the platform.

C.2. TFLET pre-cursor initiatives
a. PPD-138/07 Rev.1 (M), Peru (USD 79,844):
Verifying the legality of timber forest products in Peru. (Completed)
3.25
This pre-project looked at applying traceability systems at the forest management level, including
community forests. The pre-project achieved excellent results and its impact on participating partners hasreceived formal recognition from the FAO Regional Forestry Commission for Latin America and the
Caribbean, which awarded distinctions of excellence in SFM to a number of forest communities which
participated in the execution of the pre-project. The pre-project also showed that traceability systems canimprove productivity and save time in obtaining Government approval for management plans, verificationand issuance of certificates. The pre-project generated very positive incentives, resulting in privatecompanies participating and providing additional in-kind contributions, particularly to cover duty travel andthe use of technology.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 16b. PD 449/07 Rev.2 (M.I), PNG (USD 473,040):
Enhancing Forest Law Enforcement in Papua New Guinea. (Ongoing)
3.26
The objective of this project is to enhance forest law enforcement in PNG, including SFM andproduct tracking and chain-of-custody verification systems. A software system was developed and tested at
two sites. The initial scoping and framework-setting activities were completed in consultation with a crosssection of registered stakeholders through a scoping questionnaire, draft framework documents and anational workshop. On this basis, a draft Timber Legality Standard, Industry Code-of-Conduct andStakeholder Monitoring Module were developed, widely circulated and field tested, and are now in theprocess of being revised.
c. PD 493/07 Rev.1 (F), Cambodia (USD 561,195):
Strengthening Capacity of Forest Law Enforcement and Governance (Cambodia). (Completed)
3.27
This project provided training and capacity building in forest law enforcement to a wide range ofindividuals from central and local forestry administrations, forest communities, the private sector and NGOs.
A computerized database system for forest crime monitoring was improved to systematically categorize andtrack forest crimes in two languages (Khmer and English) in four project sites. Nearly 1,700 forest crime
cases have been recorded in the database. To increase awareness of forest administration staff on forest
law enforcement, technical guide books were developed and published, including Forest Law Enforcement
Training Program (Khmer and English, 1,000 copies), Forest Law Enforcement Pocket Field Guide (425
copies) and Forest Patrolling Procedures in Cambodia (1,500 copies). Posters were also produced toincrease public awareness of illegal logging.
d. PP-A/43-193, ITTO (USD 300,000):
Assist countries in developing initiatives to enhance capacity of small and medium-sized enterprises to
produce and trade timber from legal and sustainable sources with the aim of promoting progress towards
SFM, verifiable legality and certification. (Completed)
3.28
This activity focused on improving the capacity of community and small and medium-sizedenterprises to implement and demonstrate that timber produced and traded comes from legal sources, andto contribute to sustainable livelihoods. Through the activity, two approved partnership initiatives were fully
implemented:
 A partnership between the Tropical Forest Foundation (TFF) and PS Suka Jaya Markur inIndonesia enabled the company to meet key TFF benchmarks, including verification of legality
and chain-of-custody and controlled wood assessment, as well as the pre-assessment for FSC
certification. The partnership is pursuing FSC certification under alternative funding, with theobjective of achieving certification by the end of 2012.


A partnership between the Foundation for People and Community Development (FCPD) andInnovition Papua New Guinea (IPNGL) enabled IPNGL to meet the pre-assessment for FSC
forest management certification. IPNGL is now pursuing full FSC certification.

e. PP-A/43-202, ITTO (USD 200,000):
Global assessment of status of tropical forest tenure with identification of trends and implications forinvestment and management, and for convening an expert workshop on Tropical Forest Tenure andBusiness Models, including formulation of a project to assist Civil Society Organizations to set up andoperate on a pilot basis a remote sensing system to detect illegal logging activities in areas known to be
critically affected by such activities. (Completed)
3.29
The main feature of this activity was the International Conference on Forest Tenure, Governanceand Enterprises hosted by Cameroon in Yaoundé in May 2009 and co-organized by ITTO and Rights andResources Initiative (RRI), as well as FAO, IUCN, CIFOR, Helvetas Swiss InterCooperation, the Global
Alliance for Community Forestry (GAFC) and ICRAF. Participants included representatives from a wide
range of civil society and local community organizations.
3.30
Important outcomes included the publication and dissemination of country reports on land tenure
prepared for the conference and a technical report on Tropical Forest Tenure Assessment published in April
2011. The technical report is based on the conference background document prepared under RRI’s
leadership, as well as conference discussions and conclusions, including regarding innovative policies toaddress livelihoods of forest dependent communities and forest conservation. The technical report has

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 17
generated significant interest in the local, regional and international media, as well as in technical, academic
and policy arenas related to forests and sustainable development in the tropics, and has helped accelerate
understanding of and support for local communities and indigenous groups to sustainably manage forests fortheir improved livelihoods.
3.31
A project proposal to assist civil society organizations with piloting remote sensing techniques has
been submitted to ITTO and evaluated by the Expert Panel as Category 2. Further revisions are needed
before it can be considered for approval.
f. PD 124/01 Rev.2 (M) Phase II–Stage 2, ATO (USD 544,070):
Promotion of Sustainable Management of African Forests. (Completed)
3.32
This Phase II project has helped build the capacity of 10 members of ATO and ITTO to
implement the ATO/ITTO Principles, Criteria and Indicators (PCI) for the Sustainable Management ofAfrican Tropical Forests, as well as strengthen regional cooperation on the PCI through ATO. A partnershipwith WWF in Central Africa was crucial to project implementation. The full report is available from the ITTO
Secretariat (French only). Impacts included the following: National sets of PCI were established, have become an integral component of several national
certification and legality verification schemes being developed in the region, including under
FSC and PEFC umbrellas, and are increasingly seen as a first step toward certification.
 Awareness and engagement of a wide range of stakeholders was increased.
 A regional FSC-based standard for Congo Basin Forests was developed.
 The PCI have become a main operational mechanism of the SFM component of the COMIFAC
action plan.
 Training sessions on PCI implementation and SFM auditing supported the development ofprofessional African forest auditors who are now recruited by FSC certifying firms and others
working on legality verification.
g. PP-A/43-194, ITTO (USD 600,000):(a) Support relevant NGOs to establish/operate a web-based information system designed and operated tomake available data and information that can assist consumers to identify and purchase legally andsustainably produced timber. (b) Support development of timber tracking systems and dissemination of
information on timber produced under timber tracking systems (will also involve establishment of a website
in conjunction with above on marketing tool). (Ongoing)
3.33
The web-based information system in (a) was developed by The Forest Trust (TFT) and is known as
The Wood News Agency (TWNA). While TWNA has generated great interest among companies andassociations, funding has not yet been provided to launch the system. Regarding (b), six companies havevolunteered to develop timber tracking systems and disseminate information on timber produced under the
tracking systems. Three companies have completed system development and the other three are close tocompletion.

C.3. REDDES18
a. RED-PD 007/09 Rev.2 (F), Indonesia (USD 447,071):
Enhancing forest carbon stock to reduce emissions from deforestation and forest degradation throughsustainable forest management (SFM) initiatives in Indonesia. (Completed)
3.34
The project has promoted SFM as an important option for forest-based climate change mitigation to
reduce emissions from tropical forests. It focused on initiating multi-stakeholder processes to develop anational strategy to maintain and increase forest carbon stock through implementation of SFM initiatives.
Outputs include: Information on SFM forest-based carbon, carbon stock, CO2 sequestration, and green products.
 Assessment of the supporting infrastructure and mechanisms to implement additional incentives
for SFM as an important option in REDD.
 Over 500 representatives of national/local government and a diverse range of other stakeholders
aware of the importance of SFM to achieving Indonesia’s REDD+ goals.
 Establishment of a database of all REDD+ and forest carbon related projects in Indonesia.
18

See Annex 9 (REDDES MP) for association of project/activity results with REDDES objectives, outputs, indicators, target values andmeans of verification.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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

Wide dissemination of methodologies for establishing forest carbon baselines and for estimating
the contribution of SFM activities to reducing GHG emissions.

b. RED-PD 005/09 Rev.2 (F), Guyana (USD 400,680):
Strengthening Guyana’s capacity to manage forest resources and environmental services through resources
assessment and monitoring changes in deforestation and forest degradation. (Completed)
3.35
This project supported a resource assessment of a forest area managed by the Guyana Forest
Commission (GFC), including identification of ecosystem services, development of a model for the valuationof those resources and services, and strengthening GFC’s capacity to monitor changes in forest conditions
using GIS technology. The outputs of the project have assisted in laying a firm foundation for Guyana’s workon a REDD+ readiness planning framework, including in the context of the MRVS (Measuring, Reporting,
Verification system) concept.
3.36
The project also has impacts at the international level. It will help the international community gain
further insights on considerations and methodological options of expanding MRVS and REDD+ readiness asa whole at the national and local level. Project components also have significant potential for scaling up. The
forest resource valuation model can be applied elsewhere in Guyana and in the region by adapting theparameters to reflect forest specific conditions. Outputs related to the assessment of forest andenvironmental services can contribute to global approaches to REDDES from a methodological perspective
and can give practical guidance on how this can be done using the Guyana example.
c. RED-PPD 006/09 Rev.2 (F), Guatemala (USD 82,080):
Local REDDES programme for development and addressing climate change in Guatemala: Building social
processes for sustainability. (Completed)
3.37
In order to reduce deforestation and forest degradation, Guatemala is promoting SFM by
establishing financial mechanisms derived from the management and conservation of resources andenvironmental services in 16 municipalities of the Departments of Huehuetenago and Quiché, while at thesame time providing a climate change adaptation mechanism. The pre-project served to consolidate
information and agreements with local communities on the management of natural resources and generatequantitative and qualitative data on the potential of forest resources and environmental services in the area.
Outputs were: Organization of several inter-municipal workshops which promoted consultation and consensusbuilding on the collective use and management of local forest resources and identified
consensus-based alternatives and mechanisms on REDD, forest harvesting and climate change.
 Completion of a diagnostic study on the collective use and management of local forest
resources.
 Identification and quantification of the potential environmental services in six localities in relation
to timber and non-timber resources, carbon sequestration and watersheds.
 Formulation of a local REDD project document, with wide participation of local stakeholders, toexplore the feasibility of developing a municipal and community programme for transboundary
conservation forests between Mexico and Guatemala.
 Building networks linking municipalities, communities, civil society organizations, the private
sector and Mexican institutions.
 Development of a consensus-based action plan to reduce deforestation and forest degradationin the region.
3.38
The experiences gained and lessons learned in the 16 municipalities can be upscaled and replicatedin other municipalities and integrated into regional approaches and plans for REDDES implementation in
Guatemala and other Central American forests. The social networks developed can be expanded to otherinstitutions and sectors.
d. RED-A 004/09 Rev.1 (F), ITTO (USD 97,180):
Building a voluntary carbon marketing scheme to promote sustainable forest management. (Completed)
3.39
This activity supported a feasibility study on establishing an ITTO mechanism to capture funds fromthe private sector and other potential contributors to support voluntary forest-related carbon offsetting
schemes, including REDD+ and payments for ecosystem services (PES) projects. The study concluded that
ITTO is unlikely in the term to be able to attract considerable funds from the private sector towards promoting
REDD(+) projects, primarily because there are still uncertainties related to forest carbon and the private
sector is still feeling the impact of the financial crisis. At the same time, the study highlights the comparative

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advantages of ITTO in terms of facilitating the development of REDD+ projects under REDDES, as well as
the importance of a number of ongoing REDDES projects in helping producer countries build solid REDD+
projects.
e. RED-A 023/09 Rev.1 (F), DRC (USD 476,820):
Technical support for the National Forest Inventory development in the Democratic Republic of Congo for theevaluation of the carbon stock changes in forest lands. (Completed)
3.40
This project has significantly strengthened the DRC’s technical and logistical capacity to undertake anational forest carbon inventory. It laid the foundation for the development and operationalization of a fieldlevel system dealing with MRV (Measuring, Reporting, and Verification) for REDD implementation and built
the capacity of several national institutions in this regard, including the Directorate of Forest Inventory andManagement (DIAF) and the Directorate for Sustainable Development (DDD), within the Ministry ofEnvironment, Nature Conservation and Tourism (MECNT). The vehicles, equipment and materials
purchased through the project will allow DIAF technical staff to start field activities for the forest carbon
inventory as soon as financial support is forthcoming from FAO through the UN-REDD Programme for field
implementation activities, as planned in the framework operationalizing the REDD Work Plan of DRC
prepared by FAO, UNDP, UNEP and World Bank in May 2009. Delays in UN-REDD funding risk losing the
momentum created by the ITTO project and may negatively impact the project’s sustainability.
f. RED-PD 029/09 Rev.1 (F) Brazil (USD 1,124,784):
Monitoring deforestation, logging and land use change in the Pan Amazonian Forest – PANAMAZON II.
(Ongoing)
3.41
This regional project builds on an earlier ITTO-funded regional project. It seeks to develop an
information and monitoring system for the Amazon region with all countries using the same system. Although
the project is still ongoing, the Government of Bolivia has expressed the importance of the project throughdiplomatic channels, calling it a cornerstone in the development of its forest policy and the centerpiece ofBolivia’s new national forest information and monitoring system (Note Embassy of Bolivia VL 143/2011 of
07.05.2011 – note to the Executing Agency).

C.4. CFME
a. CFM-PA 009/10 Rev.2 (F), ITTO (USD 200,000):International conference on forest tenure, governance and small and medium forest enterprises with focus in
Asia-Pacific. (Completed)
3.42
The International Conference on Forest Tenure, Governance and Enterprise: Experiences andOpportunities for Asia in a Changing Context was hosted by Indonesia in Lombok in July 2012 and coorganized by ITTO and RRI to take an in-depth look at the relationship between forest tenure, SFM andincome generating enterprises and promote actions across a range of Asian countries. The 300 participants,
including many from Indonesia, represented a wide range of stakeholders, including policy-makers, industry,
communities, civil society, researchers and NGOs. The conference focused attention on the fundamentalrole of local control and improved forest governance in alleviating poverty, expanding legal and sustainable
forestry, and reducing emissions from deforestation and forest degradation. The conference produced asummary of key issues and challenges, lessons and recommendations addressed to various groups forappropriate implementation.
3.43
During the keynote speech, the Government of Indonesia announced its intention to prioritize theneeds of its forest communities and to “recognize, respect and protect Adat rights”, including byimplementing a recently enacted moratorium on forest concessions under the terms of an agreement with
Norway to reduce deforestation and slow climate change. The announcement represented an important step
toward resolving the country’s forest tenure issues.
3.44
ITTO and RRI have collaborated on similar conferences focused on Latin America (Acre, Brazil,2007) and Africa (Yaoundé, Cameroon, 2009, see 3.29).

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C.5. TMT
a. TMT-PA 007/11 Rev.1 (I), ITTO (USD 60,116):
Methodological development for life cycle analysis of tropical wood products to improve theircompetitiveness in international markets. (Completed)
3.45
This activity supported the development of a report and work plan on Wood Product Accounting andClimate Change Mitigation Projects Involving Tropical Timber. The report contains recommendations fordeveloping an enhanced wood products accounting methodology which would address lineal decay, wood
product permanence, landfill emissions and emissions from burning, and export of products. The work plan
provides a framework for: (1) analysis of production and export of wood products, (2) analysis of in use
lifetime of wood products, (3) analysis of emissions from retired wood products, (4) calculation of net
atmospheric impact of wood products, (5) plan for accounting methodological development, and (6) likely
costs and timing. The framework has broad applications for wood product carbon accounting.

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IV. SYNTHESIS OF SURVEY RESPONSES ON THE
EVALUATION OF PILOT TP OPERATIONS
4.1
This section synthesizes the survey responses from ITTO and TPAC members on the effectivenessof TP pilot operations. A wide range of views and ideas were expressed through these responses, reflecting
a variety of perspectives and degrees of familiarity with aspects of the TP pilot phase. In view of theinterrelated nature of many survey questions, the following synthesis is organized to bring forward the input
received while minimizing overlap and repetition. Many suggestions are taken forward in some form in therecommendations in Section VI.

A. Thematic Programme Profiles (TPPs)
4.2
The general view is that the seven elements used to develop the five initial TPPs cover important
aspects of a TP scoping document. It was noted that existing TPPs address some elements in different
levels of detail. The following refinements were suggested to enhance the potential impact andattractiveness of future TPPs:
a. Element (a): Include a brief description of ITTO’s comparative advantage/value-added indeveloping and implementing the TP, and the TP’s complementarity with ongoing initiatives.
b. Element (b): Include a clear statement as to why the TP approach offers advantages.
c. Element (c): Include an initial description of what constitutes programmatic success, e.g. byidentifying notional targets.
d. Element (e): Identify specific potential partners and collaborating institutions and indicate their
expected role in the TP.
e. Add an element on the MP, including how TP activities will move the TP toward its generalobjectives.
f. Add an indicative list of projects and activities which would benefit from funding under the TP.

B. Thematic Programme Documents (TPDs)
B.1 Logical framework
4.3
The TPD planning and operational elements are widely thought to have provided an appropriate“logical framework” for TPD development and implementation during the pilot phase. It was noted that thelogical framework is a tool, not an end in itself. A few suggestions for enhancing TPD elements were madeas follows:a. Include knowledge management and information sharing as an element in the logical framework.
b. Include research as a planning element since some aspects of TPDs are research-based.
c. Improve conformity with the ITTO Manual for Project Formulation.

B.2. TPD formulation and coherence of activities
4.4
The general view is that the four TPDs are well-formulated, recognizing they represent a new effort
to develop and implement a programmatic approach to addressing key issues within ITTO’s mandate. Many
consider the broad scope reflected in the TPDs (objectives, strategies, open-ended list of activities)
necessary to accommodate varying country conditions and allow for a wide range of activities andoutputs/outcomes.
4.5
Others see a need for more focus to establish a coherent programme of work to achieve TP
objectives and move beyond a collection of individual projects which share a common topic but may have
limited programmatic impact. The following suggestions were made in this regard:a. Identify change and innovation and their multiplier effects as key expectations of TPs.
b. Establish initial priorities among TP topical areas/objectives and a logical sequence of activities
to be implemented.
c. Give priority to the formulation and implementation of national policies related to the TP, as wellas policies at local levels.
d. Consider if TP impacts might be enhanced by focusing initially on specific regions and/or
countries.
e. Strengthen TPD objectives/outcomes/outputs on knowledge management and mainstreaming
learning and provide guidance to activities in this regard.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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Elaborate measurable targets (e.g. area of reduced deforestation or improved forest
management, amount of increased community income) in addition to process outcomes.
g. More fully describe outcomes/deliverables to facilitate better targeted proposals.
h. Emphasize TP general criteria (e) on linkages/relevance among projects, (f) on extension of
results and (h) on measures to verify coherence of projects, as well as the specific TP criteria.
(Also relates to the proposal appraisal process-IV.C.2.)
i. Develop an ITTO activity for funding under each TP to assess coherence of ongoing/completed
projects. This could include preparing a publication consolidating project/activity strategies,
outputs, results and lessons learned for each TP objective.
4.6
It was also noted that TPDs should build in flexibility to accommodate new and emerging issues andinstitutional arrangements.

B.3. Complementarity with other programmes
4.7
Many consider the four TPs/TPDs to be highly complementary with ongoing programmes in thesame fields. While areas of overlap may occur, particularly for TFLET and REDDES, some overlap is
acceptable since there is scope for multiple initiatives in areas like climate change and governance, andseveral financing channels may be needed to cover a country’s needs broadly. One country expressed theview that there was too much duplication between TFLET and REDDES and other international
programmes, and that ITTO TPs should focus clearly on SFM and related trade and market objectives within
ITTO’s mandate.
4.8
Other respondents feel that complementarity is not yet clearly evident. TPDs do not seem to reflect
the cross-institutional cooperation/complementarities evident in, for example, the ITTO-CITES Capacity
Building Programme, and it is not clear to what extent major actors were consulted in TPD development andobjective-setting. The following suggestions were made to strengthen/clarify TP complementarity with related
programmes, enhance ITTO coordination with partners and avoid duplication of effort:a. Take a broad-based approach to strengthening ties between ITTO and partners in the TP
context which includes the Secretariat, Council and TPACs. The Secretariat in particular has animportant role to play in building/maintaining relationships with key partners.
b. Clearly focus TPDs on ITTO’s comparative advantage in thematic areas where others havesignificant mandates and programmes.
c. Engage key partners (e.g. TAG, CSAG, CPF members) in TP development early on to identify
areas of common and complementary interest on which TPDs can build, and keep partners
informed of TP activities, outcomes and results.
d. Identify mechanisms for cooperating with key partners during TP implementation, e.g. throughMOUs, joint activities, participation on TPACs.
e. Require proponents to clearly explain how a proposal fits into ongoing national priorities andactivities in the thematic area, including activities funded through international cooperation. (Alsorelates to the proposal appraisal process-IV.C.2, and proposal formulation-IV.F.)
f. Include in TP progress reports to Council an update on complementary programmes and ITTO
efforts to consult and coordinate with TAG, CSAG and CPF partners.
g. Invite CPF partners to update Council on their relevant programmes, and allocate time during
Council to exchange views on how to enhance TP complementarity and coordination.
h. Formulate an ITTO activity for TP funding to assess how TPs complement ongoing programmes
and initiatives.

B.4. TPD/TP review
4.9
The general view is that TPDs should be reviewed every 3 to 5 years in the context of a TP
evaluation and updated as needed to remain relevant and take into account lessons learned, achievements,
programme developments elsewhere, emerging issues and innovations, and the outlook for continued
funding. The following additional points were made:a. As TPs are implemented, reviews should check whether objectives are too ambitious andwhether projects are filling the intended fields of activity or if there are gaps.
b. Regular reviews should be funded through the Administrative Account if possible. Otherwise
they should be funded through BWPs or by including review provisions in TPDs with costs to becovered from programme support or through a small ITTO activity funded by the TP.
c. TPACs should monitor TP implementation using the MPs and make recommendations regarding
circumstances (positive or negative) that might warrant further review (e.g. implementation

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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issues, institutional developments, opportunities for partnership). (Also relates to TP MPs-IV.D.3
and TPAC functions-IV.G.2.)
d. Once a TP reaches target funding, it should be reviewed to determine to what extent objectives
have been met and whether to conclude or renew/extend the TP.

C. TP project cycle during the pilot phase
C.1. Calls for proposals
4.10
The general view is that a fixed 6-month cycle/calendar, while well-established for regular cycle
projects, may not have proved entirely meaningful in the TP context. Many consider that a flexible timetablebased on levels of funding available and numbers of proposals received may be more useful for TPs andcould result into a better paced workload and time needed for proposal submission, appraisal and revision.

C.2. Proposal appraisal process
4.11
Pre-appraisals. TPAC respondents consider that the Secretariat’s pre-appraisals of proposals,
including Secretariat proposals, have been technically sound, comprehensive and very helpful to theirreview. Two areas for further refinement were identified:a. If a Member submits multiple proposals in response to a call for proposals, the ITTO Focal Point
should group the proposals in terms of relative priority (e.g. high, higher, highest).
b. Proposals submitted and pre-appraised by the Secretariat can be rated by TPAC members
without the Secretariat’s involvement to avoid any appearance of conflict of interest.
4.12
TPAC review. TPAC respondents consider that the three review forms (for projects, pre-projects
and small projects) have allowed for an efficient review process and ensured that standard ITTO project
formulation procedures are taken into account. The general and specific TP selection criteria are widely seen
by both ITTO and TPAC respondents as providing a good additional framework for evaluating and selecting
TP proposals, recognizing that some general criteria also apply to regular projects. The following
suggestions were made to further refine the review and rating process:a. Introduce a weighting system to give priority to key criteria/factors, including key TP selection
criteria, such as the relevance of the proposal to other countries and its contribution to national
priorities and ongoing activities in thematic area.
b. Focus the evaluation more on how adequately a proposal addresses required aspects (e.g. a
proposal may mention forest governance but not actually provide for meaningful improvements
in governance.)c. Add a criterion on knowledge management and information sharing.
d. Give priority to regional proposals and proposals that are highly relevant to other countries.
e. Set minimum thresholds for rating categories.
f. Add/strengthen project review factors related to: (1) governance (e.g. stakeholder participation,transparency of information, recognition of indigenous/local rights), (2) cross-sectoral
coordination, (3) vertical integration and financing and institutional approach (in the planning andorganizational strategy), and (4) remuneration for consultants/project directors in comparison tototal project costs. (Also relates to project formulation-IV.F)
g. For CFME in particular, strengthen the stakeholder analysis to ensure community beneficiaries
are fully aware of a proposal in which they are named and will benefit from the project.
4.13
Recommendations in the Meta-Evaluation Report19 were also mentioned, including the need to focus
more attention in reviews on: (a) substantive aspects of project design to minimize the risk of unsatisfactory
performance, (b) exit strategies to ensure sustainability, (c) baseline information to allow evaluation of
impacts and (d) performance track record of EAs.
4.14
TPAC workload. In order to have sufficient time to critically review proposals, TPAC members
stressed the need for balance between the number of proposals they were asked to review and the deadline
for completing the reviews. Many members are busy with other responsibilities, and without a dedicatedmeeting (as originally envisioned), a high volume of proposals can be difficult to deal with in a compressed
timeframe along with normal duties.

19

Meta-Evaluation Report of Previously Evaluated ITTO Projects

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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4.15
Most TPAC respondents consider 5-10 proposals over a 2-4 week timeframe to be reasonable undercurrent TPAC circumstances. Ideally all members would review all proposals so as to give all proposals thesame attention and promote consistency and a team approach in evaluations. Two suggestions were madeto manage the TPAC appraisal workload:a. Establish a flexible timeframe for review based on the number of proposals submitted. A highvolume of proposals would result in a longer review timeframe, and vice versa. (Also relates to
the TP project cycle during the pilot phase-IV.C.)
b. Authorize the Secretariat to short-list proposals receiving the highest pre-appraisal scores,
thereby limiting the number of proposals needing TPAC review.

D. Project/programme management, monitoring and evaluation
D.1. Project/programme management
4.16
Many see merit to creating a new unit within the Secretariat (comprised of existing staff) to oversee
TPs and TP projects/activities holistically as a pool of interrelated and programmatically linked projects andactivities. This could be considered as part of the overall re-structuring of the Secretariat to better address
work under the ITTA, 2006, including mainstreaming TPs. Financing through modest TP programme support
charges might also be considered in this regard.
4.17
A few respondents propose that other mechanisms to promote TP integration and exchange ofexperiences be explored as an alternative to creating a TP unit. The Meta-Evaluation Report
recommendation to create a planning, monitoring and evaluation unit was noted in this regard. Providing
training for professional staff in programme approaches was also suggested.

D.2. Project monitoring and evaluation
4.18

The following points were made related to TP project monitoring:a. Update the Manual on Project Monitoring, Review, Reporting and Evaluation (as recommended
in the Meta-Evaluation Report) to strengthen guidance on assessing outcomes/impacts andinclude guidance specific to TPs.
b. Clarify and streamline/simplify ITTO mechanisms for monitoring.
c. Make greater use of mid-term evaluations as a strategic tool for TP project review andidentification of lessons, as well as to confirm that a project is on track to produce expected
outputs or needs to be “steered” in the right direction.
d. Undertake ex-post evaluations of TP projects in clusters based on specific objectives andoutputs (sub-themes), and analyze the potential for scaling up and mainstreaming results tobenefit other countries. (Also relates to scaling up lessons learned-IV.E.)
e. Promote cross-fertilization of ongoing projects through web-based platforms/projects.
f. Have ITTO Regional Officers and Focal Points play a more active role in assisting with projectmonitoring reports.

4.19
Respondents welcomed the new OLMS as an innovation for routine monitoring and reporting by EAs
for both TP projects and regular cycle projects. However, it was noted that some community organizations do
not have adequate internet access for online monitoring.

D.3. TP Monitoring Protocols (MPs)
4.20
The MPs are widely viewed as an innovative and useful framework for proponents to show how their
proposals fit into and contribute to TP objectives, as well as for conducting future assessments of the
progress of TP projects/activities as a whole in meeting objectives. The following refinements weresuggested:a. More closely align “target values” for outputs with the problems/issues the TP seeks to address
and the particular contributions to be made by the TP.
b. Identify a few performance indicators to be followed as an early warning sign for project failure ordeviation in expected deliverables.
c. Strengthen indicators for outputs related to knowledge management and information sharing.
d. Include timeframes within which activities are undertaken and monitored.
e. Consider if the MPs can be simplified while still meeting their purpose.
4.21
It was also suggested that further refinements to the MPs could be determined as needed based on
utilizing them in TP evaluations.

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D.4. Relationship to regular cycle projects
4.22
The TP process and the regular project cycle are widely seen as complementary but distinct
avenues to assist Members in implementing ITTO policies. Most respondents recommend keeping the twoprocesses separate. In this context, it was noted that TP proposals must address additional factors (e.g. how
a proposal fits with TP deliverables and MPs). While it was generally recognized that some projects
completed under the regular cycle might have outcomes that provide useful lessons in developing TP
proposals, a number of respondents advocated no linkage between TPs and completed regular cycle
projects at this time. Other suggestions included:a. Noting highly relevant regular projects in Secretariat reports to Committees on completed
projects/pre-projects and on projects/pre-projects in progress.
b. Developing a list of highly relevant completed regular projects and their lessons learned andbest practices for circulation to Members.
c. Incorporating highly relevant completed regular projects as part of TPs.

E. Scaling up lessons learned
4.23
All respondents acknowledged the importance of scaling up and mainstreaming learning developed
from implementing TP projects/activities to benefit other countries and regions. It was recognized that theextension of results was a basic feature of a programmatic approach and should be emphasized throughout
the TP process from proposal formulation to ex-post evaluation. The following specific suggestions weremade to promote knowledge management:a. Organize side events during Council sessions that focus on lessons learned, best practices andextension of results.
b. Establish/strengthen specific knowledge management outcomes for each TP/TPD at national
and international levels, including learning modules based on best practices or topics arisingfrom TP implementation.
c. Convene national and regional TP workshops to bring EAs and other project stakeholders
together to share experiences and ideas.
d. Publish and widely disseminate project results and documentation through the ITTO website,
ITTO publications and journal publications.
e. Establish/facilitate networks among experts and EAs in a given TP.
f. Make information sharing a required element of all TP proposals, representing at least 1% of thebudget.
g. Document best practices at the end of project implementation for further validation andadaptation as modules for addressing similar needs in other parts of the tropics.
h. Include in all ex-post evaluations an examination of how a project can be replicated and scaled
up in other member countries.
i. Help countries identify gaps and specific issues and how to address them, drawing on TP
projects/activities that have proved effective in other countries.
j. Once a sufficient number of projects are completed and/or well underway, develop an ITTO
activity for TP funding for each TP to evaluate lessons and propose concrete actions forextending results. Actions could be discussed by TPACs.

F. Proposal formulation
F.1. Raising awareness of TPs
4.24
Nearly all respondents agree that Members and the Secretariat should strengthen communicationand outreach regarding project funding opportunities and priorities under TPs with a view to attracting welltargeted proposals from a wide range of producers under all TPs -- assuming additional funds become
available. Specific suggestions included:a. Conducting 2-3 day workshops in regions/sub-regions which are under-represented in one ormore TPs, with a view to identifying partners and activities to fill specific gaps/needs in TP
proposals.
b. Having ITTO Regional Officers actively engage in raising awareness of TPs and explaining the
TP approach and objectives.
c. Requesting ITTO Focal Points to strengthen efforts to raise awareness within their countries.
d. Extending offers of assistance in proposal formulation to under-represented Members.

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F.2. Assistance to Members
4.25
TPAC responses indicate that the technical quality of proposals during the pilot phase has varied
within and across TPs. TMT and TFLET noted a wide range in quality. CFME noted that the few proposals
received were generally well done. REDDES noted that while the technical quality of proposals has steadily
improved, some lack a clear thematic focus, even when technically strong, or reflect limited understanding of
the issues involved (e.g. REDD+ readiness). It was suggested that such shortcomings may be due to thenewness of TPs in the ITTO context, the emerging and complex nature of some issues under a TP (e.g.
REDDES), and/or the global scope of issues involved (e.g. TMT).
4.26
While most respondents do not see the need to revise the Manual for Project Formulation at thistime, the general view is that it may be useful to have TP-specific guidelines and assistance to help
proponents prepare well-designed proposals that also reflect a sound understanding of TP issues/topics andtheir corresponding requirements and methods. It was noted in this regard that generalized training sessions
may not prove effective. The following suggestions were made:a. Assist proponents to formulate specific TP proposals that effectively address TP objectives anddeliverables and have a high degree of relevance to other members. This assistance could takethe form of small training workshops.
b. Make greater use of the 3% TP set-aside for proposal assistance and consider raising it to 5%.
c. Develop information notes or provide links to web sites for TP topics/objectives on which someforestry agencies may not be fully versed (e.g. REDDES-related activities). These could be
included in calls for proposals and on the ITTO website or made available by the Secretariat onrequest.
d. Provide examples of how a proposal should address TP deliverables and associate outputs with
the MP (e.g. through a logical frame matrix with measurable indicators).
e. Consider updating the ITTO Project Formulation Software Tool (ProTool) which is useful andhas many applications beyond ITTO.

G. TPAC functioning
G.1. Modalities
4.27
The general view is that further use should be made of cost-effective measures to strengthen andfacilitate TPAC operations as advisory committees, including for example by:a. Developing a regular schedule of virtual internet-based TPAC meetings which can besupplemented by group email communications.
b. Designating an Assistant Director to be responsible for and serve as the focal point for one ormore TPACs, including communications, coordination and other activities.
c. Designating a chairman for each TPAC to provide leadership.
d. Utilizing the ITTO website more fully for TPAC communications, e.g. through creating a TPAC
portal or platforms with interactive features.
e. Providing TPACs with regular updates/follow up reports related to project implementation,
including lessons learned (as recommended in the Meta-Evaluation Report).
4.28
Many respondents consider annual meetings important for TPACs to function effectively as a team;understand the overall picture of the TP, as well as the coherence and complementarity of funded activities;
and exchange views on how to approach functions. Recognizing funding limitations, it was proposed thatsuch meetings could be:a. Included in BWPs for potential voluntary financing by interested donors and/or
b. Supported by small TP programme support charges.
4.29
Other respondents question whether annual meetings, while desirable, are a priority given scarce
ITTO resources, especially if more TPACs are created under new TPs. The following alternatives to annual
meetings of all TPACs were suggested as cost-effective ways forward:
a. Convene TPAC meetings every two years, e.g. as part of a TP/TPD review or TP stock-taking
exercise. Such meetings could be staggered so that not all TPACs would meet in a given
biennium.
b. Convene annual meetings of TPAC chairmen to exchange experiences and lessons learned
across TPACs and identify common issues to be raised to Council.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 27c.

Convene TPACs when there is sufficient activity to warrant a dedicated meeting.

G.2. Functions
4.30
Several respondents, including most TPAC members, consider it timely for TPACs, with Secretariat
support, to initiate discussions on monitoring TP implementation (recognizing that the four TPs are atdifferent stages of implementation) and potential sources of additional TP funding, which many ITTO
Members consider an important TPAC function.
4.31
A number of TPAC and ITTO respondents also favor expanding the role of TPACs to include
fundraising. It was noted in this regard that there is a growing pool of individuals in both consumer andproducer countries with project experience, programmatic expertise and knowledge of major funding
initiatives related to a given TP. A few expressed concerns that such a role could lead to a conflict of interest
and/or would beyond TPAC capabilities, noting that TPACs are primarily project review bodies.
4.32
Other respondents suggested that more experience is needed in carrying out existing TPAC
functions before giving consideration to expanded functions.

G.3. Member qualifications and tenure
4.33
Many ITTO and TPAC respondents favor establishing qualifications or selection criteria for TPAC
members to include (in addition to project work) experience with programmatic approaches and knowledgeof relevant national/international programmes and financing initiatives. The following views were expressed:
a. TPACs should be comprised of individuals with diverse experience and knowledge reflecting therange of skills necessary to carry out functions effectively. Not all members need have the sameskill base but all TPAC functions should be covered.
b. Qualifications should relate to the nature of the TP (trade, community, industry) and include
strong contacts in the relevant field at national and international levels.
c. Qualifications should not be overly restrictive.
d. A roster of TP experts should be developed drawing on nominations/resumes submitted by
Members, TAG and CSAG to supplement ITTO’s current rosters of consultants and projectexperts for the Expert Panel.
4.34
The term of members was raised as a factor in TPAC functioning. Continuity is important to build
institutional knowledge and relationships even under voluntary ad hoc arrangements. To this end, it wassuggested that:a. TPAC members should be asked to serve for three years.
b. TPAC members should confirm they have the time available to devote to TPAC responsibilities
in addition to their regular duties.

G.4. Consultative role for ITTO partners
4.35
Most respondents are highly supportive in principle of establishing a consultative role in TPACs forrepresentatives of key ITTO partners and stakeholders to strengthen complementarity and synergies and thepotential for joint activities. At the same time, questions were raised as to how this could be put into practice.
The following observations were made in this regard:a. The current scale of TP funding may not be sufficient to capture the attention of CPF and otherpotential partners with major ongoing programmes in a thematic area (e.g. World Bank, GEF,
UNFCCC).
b. International partners may not need or want to review specific proposals but could contribute to
TPAC discussions regarding complementarity and potential financing sources.
c. Each TPAC should include representatives of TAG and CSAG as full participants.
d. TPAC operations should not be overburdened or made overly complex.

H. TP funding
4.36
All respondents recognize the need for significant additional contributions to meet TP indicative
targets, including launching IDE (discussed in III.A.4), as well as the need for additional ITTO financing
overall. Many are receptive to exploring the possible establishment of an ad hoc mechanism, such as an
informal advisory group, to advise/assist the ED with fundraising broadly. The following approaches weresuggested:Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 28
a. The Council could constitute such a body with the usual balance of producer and consumer
Members.
b. The ED could form an informal ITTO “friends” group by invitation. This could include individuals
from the private sector and other organizations, as well as ITTO Members.
c. The ED could convene a side meeting during Council sessions to seek informal advice on
fundraising from Members and representatives of TAG, CSAG and relevant organizations in
attendance.
4.37

The following strategies were also suggested by one or more respondents:
a. Make greater use of Assistant Directors and TP project managers, working as a team with therelevant TPAC, to identify and approach potential sources of funding for specific TPs.
b. Establish a “funding coordinator” position in the Secretariat to seek funding from Members andother sources and be responsible for liaising with ITTO partners regarding TP complementarity.
c. Expand TPAC functions to include fundraising (see 4.31).
d. Expand the functions of CFA to include identifying potential additional sources of funding andproposing ways to attract such funds.
e. Develop new communication products on TP achievements and impacts, targeting potential
public/private donors and the international community (as proposed in the Meta-Evaluation
Report).
f. Adopt the Strategic Action Plan: 2013-2018 which highlights the role of TPs in accomplishing
ITTO’s strategic priorities and should prove a useful communication tool for many audiences.
g. Consider calls for proposals that are designed to address initial problems and can demonstrate
early success and thereby assist in further fundraising.
h. Request the ED to explore the range of strategies/options for strengthening ITTO fundraising(including the above) and present results for Council consideration.

4.38
New TPs. Many respondents indicated support for the proposals in the draft Strategic Action Plan
2013-2018 for two new TPs which build on the ITTO-CITES Capacity Building Programme and ITTO’s workon biodiversity, including under the ITTO-CBD MOU on forest biodiversity. Others expressed the need forfurther information regarding expectations for increased donor funding and impacts on the Secretariat
workload. In this context, the following points were made:a. Converting ITTO activities to a TP may give more visibility to those activities but may not necessarily
generate increased funding since some donors prefer project earmarking under the regularcycle.
b. A thematic focus implies that there cannot or should not be a large number of focal areas.
Having too many TPs could dilute focus and donor funding.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 29

V. FINDINGS AND LESSONS LEARNED
5.1
The following findings and lessons learned during the TP pilot phase are drawn from the input
provided by ITTO and TPAC members, consultations with the Secretariat and other information contained inthis report.

A. TP achievements/funding
1. Implementing TPs on a pilot basis has demonstrated the interest in and value of innovative
programmatic approaches to addressing issues/problems identified by ITTO, and the ability of
TPs to secure resources for ITTO’s work from a broader base of donors, including new
resources from non-traditional donors.
2. The positive response to REDDES and TFLET by both consumers and producers suggests thatTPs may be more successful when they are closely aligned with Members’ interests, including
donor interests, and/or build on existing and well-supported ITTO initiatives.
3. Reasons for slower progress on TMT and especially CFME and no progress on IDE (all areas
well within ITTO’s mandate) should be explored, identified and addressed as soon as possible if
these TPs are not to be seen as “failures”. Aggressive marketing to the private sector and otherpotential donors external to ITTO may be important in this regard.
4. With the establishment of regular TP operations, there is a need to enhance momentum andstimulate significant increases in contributions to meet the objectives and deliverables of all TPs.
A variety of strategies should be considered in this regard, including mechanisms to enhance
ITTO fundraising overall.
5. New funding sources may be particularly important to avoid competition for funding fromtraditional donors among TPs and between TPs and regular cycle projects.
6. During the TP pilot phase, many consumers, including regular donors, have continued toearmark a majority of their ITTO contributions to projects under the regular cycle, indicating thatearmarking remains an attractive option.
7. Before establishing new TPs, it may be prudent to confirm widespread interest and support forprospective TPPs among Members and if possible other potential donors.

B. TP pilot operations
1. The TP pilot operations have provided very useful experience and a solid basis for strengthening
regular TP implementation.
2. Delegation of authority to the ED to manage the TP process, including developing TPDs,
approving proposals based on TPAC advice, and allocating available unearmarked funds, hassignificantly streamlined the process of proposal appraisal and selection, accelerated project
start up and reduced costs, as compared to the regular cycle.
3. The Secretariat has introduced positive measures which should be maintained or enhanced
under regular TP operations. These include innovations in the context of the proposal appraisal
process and the development and application of MPs.
4. The general criteria for TP proposal selection, including those not addressed in the Manual on
Project Formulation (i.e. criteria e, g, h), and the specific TP selection criteria cover factors key
to TP success. A system of weighting is needed to give priority to these criteria in the TP
appraisal process. It also may be useful to set minimum thresholds for the various rating
categories.
5. The MPs provide a coherent framework for placing projects/activities within a wider programme
context, routinely monitoring TP progress, and carrying out periodic TP evaluations. A few
refinements may be useful to identify early warning performance indicators, more closely alignFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 30
target values with issues/problems TPs seek to address, and strengthen knowledge
management outputs.
6. Existing ITTO project-related manuals, guidelines and other tools have been relevant for TP
proposal formulation, execution and monitoring. Supplemental/updated guidance is needed indue course to reflect TP-based selection criteria, MPs, and the roles of the Secretariat andTPACs in the TP process, and in turn facilitate the TP process.
7. The 6-month project cycle schedule has proved less relevant in the TP context where pledging
and calls for proposals are not driven by a fixed calendar. A flexible calendar which adjusts thelength of the cycle to the levels of funding and numbers of proposals involved could lead to abetter pace of work and ensure all TPAC members can review all proposals.
8. The Secretariat has managed to absorb the additional TP workload within existing resources
and structures. The reorganization of the Secretariat to address work under the ITTA, 2006
offers opportunities to mainstream and manage TPs holistically as collective pools ofthematically linked projects/pre-projects/activities, despite staff reductions. The creation of a TP
unit could be considered in this regard, as well as the Meta-Evaluation proposal for a planning,monitoring and evaluation unit.
9. Consideration could also be given to the need (if any) to further develop expertise within thecurrent staff on managing a programme-oriented approach to projects and activities.

C. TPP/TPDs guidelines
1. The guidelines for developing TPPs and TPDs during the pilot phase remain relevant, althoughsome refinements are possible.
2. The TPDs have provided a good framework for TP pilot implementation. Future TPD’s can buildon these initial efforts with a view to further enhancing TP impacts, for example, by identifying
priorities among activities, regional approaches and measureable targets.
3. Consultations with key partners/major actors in the thematic area during TPP/TPD development
could assure and/or enhance complementarity at national and international levels and set thestage for continuing partnership and cross-institutional cooperation during TP implementation.
4. Periodic review/evaluation of TPs/TPDs will be important to assess progress and achievements
in meeting TP objectives, as well as the future outlook for TP success, identify course
corrections needed, and take into account new and emerging issues and institutionalarrangements. The MPs will be useful tools in this regard.

D. Scaling up knowledge, lessons and best practices
1. Innovation and knowledge management and their multiplier effects are key features of aprogrammatic approach.
While this is recognized to varying extent in current TPDs,
extending/mainstreaming project learning and best practices should be further emphasized
throughout the TP process, including in TPDs.
2. Ex-post evaluations of clusters of like projects/activities will be useful vehicles for analyzing
lessons learned, as well as TP effectiveness and impacts.
3. Mid-term evaluations, especially for larger projects, can help identify emerging opportunities tomainstream results, as well as track progress.
4. A variety of mechanisms should be considered for the wide application and dissemination ofknowledge and results within a theme or sub-theme, including regional workshops, learning
modules, networking, publications and web-based platforms.

5. The potential for synergies between regional/global TP projects/activities, including ITTO
activities, and country-specific proposals by Members should be further explored, with a view toincreasing impacts and building on lessons learned.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 31

E. Impacts to date
1. It is too early to assess definitively how much progress has been made toward meeting TP
objectives and the potential for wider applications of outcomes/outputs to other countries.
2. Reports on the few completed TP projects/pre-projects/activities submitted since the Spring2009 call for proposals, as well as the completed TFLET pre-cursor projects, indicate positive
impacts and show that a wide spectrum of TP outputs defined in TPDs and MPs are being
addressed, albeit partially.
3. Additional funding is needed to comprehensively address TP outputs, strengthen impacts andrealize programme objectives.

F. Proposal formulation
1. The quality of TP proposals, while mixed, has steadily improved under some TPs during the pilot
phase but more work is needed, particularly to enhance the thematic/topical focus of proposals.
2. In the near-term, it may be useful to post on the ITTO website an illustrative selection of welldesigned and well-focused approved proposals for each TP and project type, with links to
information sources on specific TP topics/objectives. Reports on completed projects with goodresults could also be posted.
3. Assistance to interested Members to formulate specific TP proposals that effectively address TP
objectives should also be provided, drawing on funds already set aside for this purpose, andcould facilitate the process of proposal formulation, appraisal and selection and help fast track
project implementation.
4. In view of the gaps in the current suite of projects/pre-projects/activities with respect to some TP
objectives, encouraging proposals to help fill these gaps, while contributing to national priorities,
could enhance TP success.
5. Experience during the pilot phase shows that ITTO Focal Points have an important role to play infacilitating the TP process by ensuring that all proposals endorsed and submitted to theSecretariat are complete, follow ITTO format and content requirements, and clearly contribute tonational forest-related priorities, as well as TP objectives.
6. It will be useful for Focal Points submitting multiple proposals in response to one call for
proposals to indicate their relative national priority (e.g. high, higher, highest). Thought mightalso be given to setting a limit on the number of proposals a Member may submit at one time.

G. TPACs
1. TPACs play an important role in the TP process but are not yet fully operational. Additional
efforts are needed to strengthen TPAC operations and contributions in the TP process.
2. The routine use of low cost/no cost internet-based mechanisms for regular coordination (e.g. to
finalize reviews and ratings and resolve differences among reviewers), communications, updates
and feedback on lessons learned would contribute greatly in this regard.
3. Establishing standard working procedures and modalities would also be useful, including
designating a Secretariat Focal Point for each TPAC, as well as a TPAC chairman to provide
leadership in undertaking tasks and interfacing with the Secretariat Focal Point.
4. Annual TPAC meetings are desirable and often necessary to foster a team approach. Given
scarce resources, such meetings could be proposed as BWP activities supported throughvoluntary contributions or could be financed through TP programme support. At a minimum,
TPACs should meet at key stages in the TP implementation process (e.g. TPD/MP approval, TP
evaluations).

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 32
5. TPACs can be expected to be most effective if comprised of individuals with a diversity ofexperience, knowledge and expertise in the thematic area at national and international levels.
Establishing basic TPAC qualifications or guidelines may be useful in this regard.
6. Experience shows that continuity among TPAC members is needed to develop and maintain agood understanding of ITTO and TP procedures and build relationships and synergies. Whilesome turnover may be unavoidable, the selection of TPAC members should take into account an
individual’s expected availability over a period of time (e.g. three years).
7. In the absence of a dedicated annual meeting, it will also be important to establish that TPAC
candidates have the time needed to devote to TPAC duties before extending invitations.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 33

VI. RECOMMENDATIONS
6.1
It is recommended that TPs be immediately mainstreamed and recognized as a regular andsubstantial part of ITTO’s work under the ITTA, 2006. In this regard, the Council may wish to:a. Consider refinements to TP pilot procedures and guidelines (Annexes 1-3 of Decision 9/XLIV)
for regular TP operations, as proposed in Annex 11.
b. Clarify the funding outlook for all TPs and in particular CFME, TMT and IDE; address issues that
may be affecting donor interest; and identify marketing strategies to attract additional funding,including from the private sector and other sources external to ITTO, such as the regional
development banks. Invite TAG and CSAG input as appropriate.
c.

In this context, consider strategies to enhance ITTO fundraising as a whole through, forexample, an informal advisory group to advise/assist the ED; making greater use of Assistant
Directors, CFA and TPACs; and developing targeted communication and outreach products.

d. Consider how the proposed reorganization and downsizing of the Secretariat addresses work
under the ITTA, 2006, including mainstreaming and holistically managing TPs.
e. Include the following activities in BWP 2014-2015 and encourage Members to make voluntary
contributions for these purposes:i.

A process to update or supplement ITTO project-related manuals, guidelines and tools as
needed to ensure their full relevance and effective application to TPs.

ii.

Mid-term evaluations of TFLET and REDDES and, given sufficient progress, CFME and
TMT, as illustrated in Annex 12.

iii. Meetings of TPACs in connection with the TP mid-term evaluations in order to maximize
their input and contributions and benefit from their experience and expertise.
6.2

The Council may also wish to request the Secretariat to:a. Increase assistance to Members as requested to enhance their ability to develop effective
proposals that address TP objectives and where possible current gaps in TP projects, making
full use of ITTO Regional Officers and TPAC expertise.
b. Develop an ITTO strategy for mainstreaming TP lessons learned, best practices and follow up to
include, for example, wide dissemination/publication of results, web-based platforms andlearning modules, workshops and networking initiatives.
c.

Consider a flexible TP project cycle calendar/schedule which reflects the level of funds available,
the number of proposals submitted, and the time needed for proposal review by all TPAC
members.

d. Strengthen TPAC operations to make them fully functional by, for example, designating a
Secretariat Focal Point for each TPAC, convening periodic virtual TPAC meetings, establishingcoordination procedures (including via the ITTO website as appropriate), and providing
updates/follow up on relevant TP implementation activities (e.g. lessons learned). Establish aroster of TP experts based on nominations by Members, TAG and CSAG to supplement existing
ITTO rosters of experts and consultants.
e. Undertake ex-post evaluations of groups of TP projects/activities linked by objectives andoutputs and make use of mid-term evaluations as a strategic evaluation tool, subject to theavailability of funds. Include provisions for mid-term evaluations in future proposals, as
appropriate.
f.

Further refine the TP review and rating process by weighting selection criteria/factors to reflect
their relative importance to TP success, giving due attention to the coherence of, and linkages
among, proposals to be funded under a TP and the importance of mainstreaming results.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 34
g. Refine MPs as needed to identify early warning performance indicators, closely align target
values with the issues/problems each TP seeks to address, and strengthen knowledge
management outputs and indicators.
h. Develop a list of regular cycle projects which have objectives/strategies/outcomes closelyaligned to those of TPs and make final reports of listed projects available to Members onrequest. Include in future regular project ex-post evaluations an examination of the project’s
relevance (if any) to TP objectives, outputs and best practices.
6.3

The Council may further wish to:a. Urge consumers to provide new and additional voluntary contributions to ensure continued andenhanced TP operations and calls for proposals.
b. Urge producers, in particular producers not yet fully involved in TP implementation, to submit
high quality proposals that effectively contribute to TP objectives, and request advice andassistance from the Secretariat as needed for this purpose.
c.

Urge ITTO Focal Points to ensure that TP proposals forwarded to the Secretariat are complete,properly formatted and prepared and technically sound; to indicate relative priorities whensubmitting multiple proposals; and to consider establishing an clearing house mechanism at thecountry level to this end.

d. Urge all Members to enhance outreach and communication at all levels on the opportunities
provided by TPs.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 35

ANNEX 1

INTERNATIONAL TROPICALTIMBER COUNCIL

Distr.
GENERAL
ITTC(XLIV)/28
8 November 2008
Original: ENGLISHFORTY-FOURTH SESSION
3-8 November 2008
Yokohama, Japan

DECISION 8(XLIV)THEMATIC PROGRAMMES SUB-ACCOUNT UNDER THE SPECIAL ACCOUNTThe International Tropical Timber Council,
Noting that the “Financial Rules and Rules Relating to Projects of the International Tropical Timber
Organization” adopted by the International Tropical Timber Council through Decision 6(XXIII) of December
1997 dealt specifically with the three financial accounts of the Organization established through Article 18,
paragraph 1 (a), (b) and (c), and elaborated under Articles 19, 20 and 21 of the ITTA, 1994;
Also noting Article 23 of the ITTA, 1994 “Audit and publication of accounts”;
Recognizing that Decision 9(XLIV) on Thematic Programmes on Pilot Basis, and Operational
Procedures and Guidelines necessitates the establishment of a separate sub-account for thematic
programmes on a pilot basis;
Taking note of Article 18, paragraph 1 (d) of the ITTA, 1994, which states that “there shall beestablished such other accounts as the Council shall deem appropriate and necessary”;
In anticipation of Article 20, paragraph 1 of the ITTA, 2006 which includes the establishment of theThematic Programmes Sub-Account;
Decides to:1.

Establish, with effect from 1 January 2009, the Thematic Programmes Sub-Account in theSpecial Account of the International Tropical Timber Organization for the development,
management, implementation and evaluation of Thematic Programmes;

2.

Authorize the Executive Director to transfer into the Thematic Programmes Sub-Accountunearmarked contributions for the financing of specific Thematic Programmes, consistent
with the procedures for Thematic Programmes established on a pilot basis by the Council;

3.

Request the Executive Director to submit to the Council an auditor’s report on the Thematic
Programmes Sub-Account of the Special Account as soon as possible after the close of thefinancial year but not later than six months after that date and in any case not later than twomonths before the next session of the Council; and4.

Apply mutatis mutandis the Financial Rules of the International Tropical Timber Organization
to the Thematic Programmes Sub-Account.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 36

ANNEX 2

INTERNATIONAL TROPICALTIMBER COUNCIL

Distr.
GENERAL
ITTC(XLIV)/29
8 November 2008
Original: ENGLISHFORTY-FOURTH SESSION
3-8 November 2008
Yokohama, Japan

DECISION 9(XLIV)THEMATIC PROGRAMMES ON PILOT BASIS:OPERATIONAL PROCEDURES AND GUIDELINES
The International Tropical Timber Council,
Recalling that the International Tropical Timber Agreement (ITTA), 2006, the Successor Agreement to
the ITTA, 1994, was adopted in January 2006, and is expected to enter into force in the near future;
Also recalling Article 20 of the ITTA, 2006 which provides for the establishment of the Thematic
Programmes Sub-Account to facilitate unearmarked contributions for the financing of approved pre-projects,
projects and activities consistent with thematic programmes established by the Council;
Further recalling Article 24.3 of the ITTA, 2006 on the links between the Action Plan and Thematic
Programmes, and Article 25, paragraph 1 regarding the submission of proposals contributing to thematic
programmes;
Noting the report of the Meeting on Operational Modalities of Future Work of the ITTC convened
during 9-12 June 2008 in Accra, Ghana, and the Background Document on Operational Modalities under the
ITTA, 2006: Work of the Committees, Thematic Programmes, Project Cycle prepared for that meeting;Also noting the March 2007 report of the Inter-sessional Working Group on Thematic Programmes andthe October 2007 report of the Working Group on the Review of the Implementation of the ITTO Yokohama
Action Plan 2002-2006;
Considering experiences gained in developing and implementing thematic elements of the Biennial
Work Programme, including the ITTO programmes on Tropical Forest Law Enforcement and Trade and on
Cooperation between ITTO and CITES to Improve Country Capacity to Implement CITES Listings of Tropical
Timber Species, as well as experiences gained through implementation of Articles 20, 21, 24 and 25 of theITTA, 1994;
Decides to:1.

Implement, on a pilot basis, Thematic Programmes for the following areas where additional
funding is expected, utilizing the procedures and guidelines contained in Annexes 1 and 2 ofthis decision:
a.
b.
c.
d.

Forest Law Enforcement, Governance and Trade
Community Forest Management and Enterprises
Trade and Market Transparency
Industry Development and Efficiency

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 37e.

Reducing Deforestation and Forest Degradation and Enhancing Environmental Services
in Tropical Forests

2.

Adopt, on a pilot basis, the terms of reference for Thematic Programme Advisory Committees
contained in Annex 3 of this decision.

3.

Urge Members to contribute to the Thematic Programmes Sub-Account to initiate
implementation of the thematic programmes;

4.

Request the Executive Director to report at each Council session on the development, status
and other relevant information on the pilot operation of the Thematic Programmes, and to keep
Members informed inter-sessionally through the ITTO web site; and5.

Review and evaluate the effectiveness of the pilot operation of the Thematic Programmes after
three years.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 38
ANNEX 1PROPOSED PROCEDURES FOR PILOT OPERATION OF
THEMATIC PROGRAMMES FOR APPROVED THEMATIC PROGRAMME AREASRESPONSIBILITYACTION AND SEQUENCE

1.

Development of a thematic programme profile (TPP)

Executive Director (ED) ininterested donors and Members

consultation

with

2.

Approval of the TPP

Council3.

Preparation of a thematic programme document(TPD) based on the approved TPP

ED with assistance of donors, other interested
Members, and as appropriate, other partners

4.

Development and submission of proposals forfinancing under the Thematic Programme

Members and ED

5.

Assessment and selection of proposals for financing
under the Thematic Programme

Thematic Programme Advisory Committee

6.

Monitoring & evaluation of programme
implementation

Secretariat, implementing agencies,
Programme Advisory Committee

7.

Reporting on Programme implementation

Annual reporting to Council by ED

Thematic

Bi-annual reporting by implementing agencies andSecretariat

8. Revision/amendment of the TPD as needed

CouncilFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 39
ANNEX 2PROPOSED GUIDELINES FOR THEMATIC PROGRAMME PROFILES
AND THEMATIC PROGRAMME DOCUMENTS

1.

Thematic Programme Profile

A thematic programme profile is a concise scoping document that provides an initial description of thethematic programme and covers the following elements:
a)
b)
c)
d)
e)
f)
g)
2.

Rationale statement, including problem to be addressed and international context
General objectives
Strategy to be employed
Anticipated outputs/outcomes and benefits
Potential partners/collaborating agencies
Indicative budget and timeframe
Potential donors

Thematic Programme Document

A thematic programme document further develops the Thematic Programme Profile and provides detailed
information on the following planning and operational elements. These elements comprise the logicalframework for the programme:
Planning elementsa)Rationale statement and problem analysis, including relevant international and regional
processes and value-added of the programmeb)Specific objectives, including, as appropriate, intermediate targetsc)Strategies for achieving objectivesd)
Outputs/outcomes/deliverables and expected impact/benefitse)Other partners and stakeholdersf)Activitiesg)Work plan, including budget estimates and donor contributions
Operational elementsh)Composition of the Thematic Programme Advisory Committee and expert profilesi)General selection criteria for proposed activities/projects/pre-projects outlined in paragraph 2 ofAnnex 3j)Thematic programme-specific selection criteria for proposed activities/projects/pre-projects, as
appropriatek)Administrative arrangementsl)Monitoring and evaluation proceduresm) Technical and financial reporting procedures

Final Report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 40

ANNEX 3PROPOSED TERMS OF REFERENCE FOR
THEMATIC PROGRAMME ADVISORY COMMITTEES

1.

Each thematic programme will have a Thematic Programme Advisory Committee to assist the
Executive Director with the implementation of the thematic programme as follows:
a)
b)
c)

2.

In selecting activities/pre-projects/projects for financing, all Thematic Programme Advisory
Committees will consider the following general criteria, in addition to any specific criteria identified in
the relevant Thematic Programme Document:
a)
b)
c)
d)
e)
f)
g)
h)
i)
j)

3.

Selection of activities/pre-projects/projects for financing under the Thematic Programme;
Monitoring and evaluation of progress in implementing the Thematic Programme; andIdentification of potential additional sources of voluntary financial contributions to the Thematic
Programme.

Conformity with the Thematic Programme Document and ITTA objectives;
Technical feasibility;
Cost effectiveness;
Environmental and social effects;
Linkages or relevance to other activities/pre-projects/projects under the programme;
Applicability/extension of results, e.g. regionally or globally;
Clear quantitative and qualitative indicators to evaluate progress towards achieving programme
objectives;
Measures to verify the coherence and effectiveness of individual activities/pre-projects/projects
funded under the programme;
Overall impact and sustainability of outputs and outcomes; andMechanisms for effective stakeholder participation.

The membership of a Thematic Programme Advisory Committee and its specific functions will beidentified in the Thematic Programme Document. As a general rule, each Thematic Programme
Advisory Committee will not exceed seven members, taking into account the need for balanced
representation among members. They will include:
a)
b)
c)
d)

Three producer member representatives with recognized expertise on the thematic programme;
At least one non-donor consumer member representative with recognized expertise on the
Thematic Programme;
Expert representatives of interested donors and collaborating institutions; andExecutive Director or his designated representative.

4.

In consultation with members, the Executive Director will invite individuals to participate on
Thematic Programme Advisory Committees.

5.

As a general rule, Thematic Programme Advisory Committees will work and coordinate throughelectronic means and meet once a year.

*

*

*

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 41

ANNEX 3

INTERNATIONAL TROPICALTIMBER COUNCIL

Distr.
GENERAL
ITTC(XLIV)/30
8 November 2008
Original: ENGLISHFORTY-FOURTH SESSION
3-8 November 2008
Yokohama, Japan

DECISION 10(XLIV)THEMATIC PROGRAMME PROFILESThe International Tropical Timber Council,
Recalling Decision 9(XLIV) on Thematic Programmes on a Pilot Basis: Operational Procedures andGuidelines and Decision 8(XLIV) on Thematic Programme Sub-Account under the Special Account;
Decides to:1.

Approve the Thematic Programme Profiles contained in Annex 1 of this decision for thefollowing thematic areas:
a.
b.
c.
d.
e.

2.

Forest Law Enforcement, Governance and Trade
Reducing Deforestation and Forest Degradation and Enhancing Environmental Services
in Tropical Forests
Community Forest Management and Enterprises
Trade and Market Transparency
Industry Development and Efficiency;

Request the Executive Director to:a.

b.

Develop Thematic Programme Documents for 1(a) and 1(b) consistent with theprocedures and guidelines set forth in Decision 9(XLIV) and seek additional donor
financing for their full implementation; andCirculate completed Thematic Programme Documents to Members and invite Members
to submit proposals for activities/pre-projects/projects based on the documents;

3.

Also request the Executive Director to utilize the relevant profiles in Annex 1 to seek donor
financing for 1(c), 1(d) and 1(e), and, where there is sufficient donor interest, to develop
Thematic Programme Documents consistent with the procedures and guidelines set forth inDecision 9(XLIV); and4.

Further request the Executive Director to report progress on 2 and 3 above at the 45th Sessionof the Council.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 42

ANNEX 1
THEMATIC PROGRAMME ON
FOREST LAW ENFORCEMENT, GOVERNANCE AND TRADE
Programme Profile
RATIONALE AND CONTEXT
Illegal activities in the forest sector continue to add to the degradation of forests and undermine thecontribution of the forest sector to employment generation and social and economic development andpoverty alleviation. An unknown volume of timber is illegally felled, processed and traded. Forest operations
conducted outside the law may under-value the resource on which they are based, resulting in the
degradation of the resource and a lack of optimal socioeconomic benefits for local people. Several factors
contribute to the occurrence of illegal timber harvesting, such as an ineffective policy and legal framework, alack of enforcement capacity, insufficient data about the forest resource and illegal operations, and a highdemand for cheap timber. Cooperation between producer and consumer countries is needed.
The International Tropical Timber Agreement (ITTA), negotiated in 2006, includes commitments to:strengthening the capacity of members to improve forest law enforcement and governance and address
related trade in tropical timber; improving the marketing and distribution of tropical timber and timber productexports from sustainably managed and legally harvested sources; contributing to sustainable development
and poverty alleviation; and recognizing the role of forest-dependent indigenous and local communities inachieving sustainable forest management and developing strategies to enhance the capacity of thesecommunities to sustainably manage timber-producing forests.
In 2007 the Council approved a pilot of the TFLET Thematic Programme. The objectives of that pilot, as wellas the projects and activities under implementation, will be integrated into the Thematic Programmes to be
developed under this profile, taking into account the administrative arrangements put in place for the existing
programme.
GENERAL OBJECTIVE
The general objective of the Thematic Programme is to improve national forest law enforcement andgovernance in tropical ITTO member countries in order to enhance and diversify international trade intropical timber from sustainably managed forests and to help alleviate poverty in those countries.
PROGRAMME STRATEGY
The strategy to reach the objective contains several elements: (i) respond to the needs of producer members
and local communities to improve forest governance; (ii) enhance the transparency and effective
management of supply chains; and (iii) public-private partnerships between governments, the private sector,
Civil Society Organizations and local communities are enhanced to create strong networks to discourage
illegal forest activities.
ANTICIPATED OUTPUTS/OUTCOMES

Enhanced capacity of forest-dependent and local communities to improve governance and sustainably
manage their forests in order to alleviate their poverty;Enhanced capacity of small and medium-sized enterprises in harvesting, processing and handlingtimber from legally and sustainably managed sources;

Increased market opportunities for legally and sustainably produced timber from tropical forests bysupporting business-to-business initiatives;Enhanced capacity of trade associations and civil-society organizations, in particular those
representing local groups and workers in the forest sector, to be involved and actively participate in thedevelopment and implementation of policies and programmes on tropical forest management andtimber trade;Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 43


Policies and programmes to improve forest law enforcement and governance, contributing to theimplementation of international objectives as agreed in the ITTA, UNFF, FAO, CITES, CBD and
UNFCCC, as well as relevant partnership arrangements;



Information exchange among stakeholders as well as the identification of commonalities andhorizontal elements in policies and programmes to improve forest law enforcement and governance;and

Better enforcement of forest laws and regulations through chain of custody and tracking and tracing
systems such as fingerprinting methods and improved verification and monitoring procedures.

The approach to be taken in this proposed Thematic Programme will complement ITTO’s work on policy andtransparency by intensifying its work with government, private-sector and civil-society actors. The
programme will encourage and facilitate partnerships between government agencies, civil-society
organizations and private companies to, on the one hand, increase the involvement of local communities inforest management, production and benefit-sharing and, on the other, improve market access for forest
products.
POTENTIAL PARTNERS AND COLLABORATING AGENCIESThe Thematic Programme will enhance public-private partnerships between relevant stakeholders, including
governments, the private sector and civil-society organizations, taking into account the specific concerns andneeds of local and indigenous communities depending heavily on the conservation and sustainable use oftropical forest resources as well as the sustainable use of timber and non-timber forest products.
The main actors in the forest sector are national government forestry agencies, national government forest
law enforcement agencies, national-level civil-society, and private-sector organizations, companies, local
cooperatives and community administrations, and small and medium-sized forest enterprises.
The intermediary beneficiaries are a diverse group of national-level and local organizations. The primarytarget group comprises national governments. The secondary target groups are the trade associations andcivil-society organizations, the private sector and research institutions. The ultimate target groups are theproducers and the end-users. The programme will be demand-driven and flexible, so that potential
beneficiaries can, in consultation with ITTO and other stakeholders, determine the exact nature of theactivities they undertake through the programme.
INDICATIVE BUDGET
The total indicative budget of the Thematic Programme is US$15 million, of which US$12 million would be forcountry-level activities and US$3 million for regional and international-level activities.
TFLET pilot phase already pledged
BalanceTOTAL

US$ 4,800,000
US$ 10,200,000
US$ 15,000,000

POTENTIAL DONORSThe governments of the Netherlands, Japan, Switzerland, USA, Australia, New Zealand, Finland, Norway
and Korea have already pledged contributions to the thematic programme pilot phase totalling US$4.8
million.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 44
THEMATIC PROGRAMME ON
REDUCING DEFORESTATION AND FOREST DEGRADATION AND
ENHANCING ENVIRONMENTAL SERVICES IN TROPICAL FORESTS
Programme Profile
RATIONALE
Tropical forests play a vital role in sustaining a large proportion of the world’s biodiversity, maintaining landuse options and water resources, contributing to the carbon cycle and providing other key services to forestdependent people. The ITTA, 2006, commits ITTO to promoting a ‘better understanding of the contribution of… environmental services to the sustainable management of tropical forests with the aim of enhancing thecapacity of members to develop strategies to strengthen such contributions in the context of sustainable
forest management…’.
Tropical forests provide an important service by protecting watersheds that supply forest-dwelling and urban
communities with high-quality water. Some ITTO member countries have developed payment schemes forenvironmental services related to watershed management, which could inform similar initiatives in othertropical countries. Tropical forests are also of enormous importance for the conservation of biodiversity. They
contain more species than other biomes and a high proportion of these species are threatened. Services
such as these and others, including carbon storage and disaster prevention, may be achieved
simultaneously through sustainable forest management.
Deforestation and forest degradation in tropical forests have reduced the quality of many forest
environmental services. Often, poorly implemented timber harvesting has damaged remaining trees andcaused soil erosion and compaction, while the conversion of forests to other land uses has also led to theloss or degradation of many services. The introduction or strengthening of sustainable forest management,
forest restoration, afforestation and reforestation in such areas can play an important role in restoring
environmental services and reducing emissions from deforestation and forest degradation. ITTO has a longtrack record of working with member countries and partners to promote such activities through field projects
and capacity-building.
GENERAL OBJECTIVE
The general objective of the Thematic Programme is to help improve livelihoods by reducing deforestationand forest degradation and enhancing environmental services through the sustainable management of
tropical forests, forest restoration, afforestation, reforestation and other related activities.
PROGRAMME STRATEGYThe Thematic Programme would focus primarily on four strategic areas:
I.

Assessment and diagnosis
The quality of planning for forest-related interventions depends on the availability and accuracy of dataand information related to the state of and threats to forest resources. Activities to be supported in thisarea could include:
Forest cover and forest resources assessment, monitoring and verification systems
Pilot multi-purpose forest inventories
Estimation of forest carbon stocks, including emissions from deforestation and forest
degradation based on already existing tools for this purpose
Assessment of policy, legal and institutional frameworks to promote biodiversity conservation,
carbon storage, watershed conservation and other environmental services through sustainable
forest management
Land and forest tenure assessments
Capacity-building, institutional strengthening, training and outreach.

II.

Enabling conditions and capacity-building
Activities here would be aimed at establishing enabling policy, legal and institutional frameworks andgovernance related to environmental services and the reduction of emissions from deforestation anddegradation, including by strengthening tenure security and resource access. They would be grouped
under four headings: Formulation/enhancement of national forest policies, including legislation;
Training; and Proposal formulation.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 45

III.

Demonstration activities
The Programme would facilitate demonstration projects on sustainable forest management, forest
restoration, reforestation and afforestation to help realize the benefits of environmental services,
including in local communities.

IV.

Scaling up and dissemination
Programme support would be provided for activities dedicated to the replication and scaling up of
successful demonstration projects related to environmental services schemes in tropical forests. The
Programme would also provide support for sharing information and lessons learned locally, nationallyand internationally.

In all four areas, ITTO would undertake complementary cross-cutting actions to facilitate the implementationof the Programme in an integrated manner.
ANTICIPATED OUTPUTS/OUTCOMESThe intended outcomes of the Thematic Programme are: (i) Increased area of forest under sustainable
management, and reduced deforestation and forest degradation in tropical timber producing forests; (ii)
Improved capacities to develop and implement feasible policy options and incentives mechanisms topromote environmental services through sustainable forest management; (iii) Improved livelihoods for forest
dwellers and other stakeholders directly involved in the supply of environmental services through thesustainable management of tropical forests; (iv) Improved practices to promote and stimulate community
involvement in the supply of environmental services from the sustainable management of tropical forests,
and their wide dissemination; and (v) Improved resilience of tropical forest ecosystems and forest-dependentcommunities.
POTENTIAL PARTNERS/COLLABORATING AGENCIESThe Programme would be implemented in close cooperation with ITTO’s Civil Society Advisory Group andTrade Advisory Group and relevant international, regional and national organizations and bodies, including
the UN-REDD Fund, the World Bank’s Forest Carbon Partnership Facility and the planned Forest Investment
Program.
INDICATIVE BUDGET AND TIMEFRAME
An indicative three-year budget that would result in significant improvements in the three tropical regions
would be US$18 million.
PledgedBalanceTOTAL

US$ 3,500,000
US$ 14,500,000
US$ 18,000,000

POTENTIAL DONORSThe Government of Norway has made an initial pledge of US$ 3,500,000. The Governments of Japan,
Switzerland and U.S.A. have indicated their intention to contribute to this Thematic Programme.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 46
THEMATIC PROGRAMME ON
COMMUNITY FOREST MANAGEMENT AND ENTERPRISES
Programme Profile
RATIONALE
Forests are important resources for the rural poor, with over 800 million people living in forests andwoodlands in the tropics. In addition to their contributions to livelihoods by providing a subsistence safety net,
tropical forests are also a source of income and employment, a capital asset, and, by providing natural
medicines, an alternative health care system. Indigenous groups and communities own or manage about
20% of forests in developing countries, and this percentage is growing. Such communities, however, often
face challenges in managing their forests sustainably and in obtaining tangible benefits from their efforts. In
many cases, the forest areas for which they assume rights are degraded and, without investments inrehabilitation, have limited development potential. In many tropical forests, most income for communities isderived from the collection and commercialization of non-timber forest products (NTFPs) rather than fromtimber production.
Many community-based forest enterprises (CFEs) are involved in the harvesting and management of forests
and the processing of timber and NTFPs. They are typically small, operate informally, and depend on
national and niche export markets and they rarely form part of organized commercial supply chains. Only a
few have developed into medium-sized industrial enterprises, and their capacity to add value is generally
low. Regulations may unintentionally act as barriers to community access to forests, capital and markets
and may also unduly raise the costs of CFEs. Weak governance and inequitable sharing of benefits can beadditional challenges. National policies may not recognize the economic potential of community forestry andbroader social, cultural and other objectives which are important for CFEs.
One of the constraints to the development of forest communities, smallholders and their enterprises can betheir limited managerial and technical capacity. Building the capacity of communities to plan, utilize, monitor
and manage their forest resources is critical to reducing their vulnerability to external pressures. CFEs faceparticular challenges in meeting the demanding and complex market requirements for their products. On theother hand, many new opportunities are emerging – e.g. growing national and regional markets for forest
products, community/smallholder-corporate partnerships, and high-value market niches in developed
countries which appreciate the social value of community products – but external support is necessary to
make effective use of these. With adequate support, community-based management and business models
could often provide local solutions for the sustainable management and utilization of forests.
GENERAL OBJECTIVE
The general objective of the Thematic Programme is to contribute to poverty reduction in tropical forest areasby: (i) strengthening the ability of forest communities and smallholders to sustainably manage their tropicalforest resources; and (ii) assisting CFEs to add value to and market the products and services obtained fromthese resources.
PROGRAMME STRATEGYAt the community level the Programme would support CFEs to develop and implement approaches with highemployment and revenue creation potential and economic feasibility. These would be targeted at improving
forest management and the production of timber, timber products and NTFPs to supply local industry or
domestic and export markets. Programme interventions would aim at strengthening organizational,
managerial and technical skills and the business development of CFEs, smallholders and theirorganizations. The programme strategy would focus on participatory planning and implementation where
communities define their own needs and priorities. Implementation would involve the piloting, demonstrationand mainstreaming of successful approaches and models for creating financially and economically viable,socially and culturally adapted CFEs.
At the country level, activities would include, inter alia, the strengthening of the policy, legal and institutionalframeworks for CFE development, training, increasing CFE access to capital and markets, the strengtheningof community-based organizations, associations and networks, the strengthening of local governancemodels, the development of tools for implementing community forest management, and improving theefficiency of CFEs.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 47At the regional and international levels, activities would include, inter alia, providing support to knowledge
management and the sharing of country experiences, and partnership-building with interested national,
regional and international bodies. To avoid duplication, the Programme would rely heavily on existingknowledge and accumulated experience.
ANTICIPATED OUTPUTS/OUTCOMESThe intended outcomes of the Thematic Programme would be: (i) improved knowledge and skills in
implementing sustainable forest management among communities, smallholders and their organizations; (ii)
improved access by CFEs to capital and technology, and strengthened marketing capacities; (iii) increased
value added of CFE production; (iv) strengthened organizations of communities and smallholders; and (v)enabling policy and legal frameworks at the country level to implement community forest management.
POTENTIAL PARTNERS/COLLABORATING AGENCIESThe Programme would be implemented in close cooperation with ITTO’s Civil Society Advisory Group andTrade Advisory Group, and relevant international, regional and national organizations and bodies.
INDICATIVE BUDGET AND TIMEFRAME
An indicative three-year budget of the Thematic Programme that would result in significant improvements inthe three tropical regions is US$10 million, most of which would be for community-level pilot projects andother country-level activities.
POTENTIAL DONORSFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 48
THEMATIC PROGRAMME ON
TRADE AND MARKET TRANSPARENCY
Programme Profile
RATIONALE
International tropical timber markets are undergoing structural changes in the face of changing global
demand and supply patterns and market requirements. Transparency is essential for promoting international
trade in timber and other products from sustainably managed and legally harvested tropical forests.
Improvements in market transparency that need to be addressed include assessments of future demand andsupply, the description of value chains for tropical timber products, end uses, characteristics of markets(including domestic markets in tropical regions), and factors influencing market conditions and thecompetitiveness of tropical timber producers. Enhanced market information on non-timber forest products(NTFPs) and a better knowledge of international market opportunities would help the development of forestbased small and medium-sized enterprises (SMFEs), which dominate the NTFP sector. Other specificinformation gaps include markets for lesser-used species and new plantation timbers.
Public and private timber procurement policies and emerging regulations designed to promote trade in legally
produced timber and timber products represent new challenges, especially for tropical timber exporters. Nontariff barriers and tariff escalation, technical, health and sanitary standards and product specifications inmajor import markets are also evolving and influencing market requirements for timber and timber products.
There is a need to monitor these developments and to support tropical timber producing countries in meetingthe challenges they pose. Consumption and trade can be encouraged by communicating the environmental
credentials of tropical timber and timber products to buyers, consumers and other stakeholders.
The lack of adequate information makes it difficult to improve national policy and regulatory frameworks andthereby to promote trade in timber and other products from tropical forests. Many ITTO producer member
countries will benefit from strengthening information systems concerning the forestry sector and domestic
and export markets for forest products.
GENERAL OBJECTIVES
The general objectives of this Thematic Programme would be to: (i) increase the capacity of producer
member countries to develop and employ market intelligence and marketing skills; and (ii) improve market
transparency through improved data and analysis.
PROGRAMME STRATEGYThe Thematic Programme would operate at two levels: (i) the country level, to build capacities to monitor
existing markets and develop new markets for products derived from tropical forests and to promote thetrade in tropical timber from sustainably managed and legally harvested sources; and (ii) at theregional/international level, to improve market transparency and share experiences on trade and tradepromotion.
Activities could include support for:

the development of market information systems and training on statistical and economic
information, market intelligence and marketing for all forest products and services;

studies and exchanges on:
domestic, regional and international market opportunities,
substitution and competitiveness in relation to competing materials and non-tropicaltimber and non-timber products,
factors which influence the markets for and competitiveness of tropical timber and timber
products and NTFPs,
systems for forest certification,
procurement and other relevant policies,
export/import procedures
timber-related technical, safety, health and environmental standards and regulations;Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 49the development of product standards, grading rules and quality control systems for tropicaltimber products and NTFPs;



strengthening the capacity of and cooperation among customs authorities; and

the improvement of communication on the environmental credentials of tropical timber andtimber products.

ANTICIPATED OUTPUTS/OUTCOMESThe intended outcomes of the Thematic Programme would be: (i) improved market transparency for tropicaltimber and timber products and NTFPs; (ii) strengthened country capacity in market intelligence, information
systems and trade promotion; and (iii) improved market conditions that promote trade in tropical timber andtimber products and NTFPs.
POTENTIAL PARTNERS/COLLABORATING AGENCIESThe Thematic Programme would be implemented in close cooperation with ITTO’s Trade Advisory Groupand Civil Society Advisory Group, relevant international and regional organizations, national timber tradeassociations and civil-society organizations.
INDICATIVE BUDGET AND TIMEFRAME
An indicative three-year budget for this Thematic Programme that would result in significant improvements inthe three tropical regions would be US$5 million, most of which would be for country-level activities and theremainder for regional/international level activities.
POTENTIAL DONORSFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 50
THEMATIC PROGRAMME ON
INDUSTRY DEVELOPMENT AND EFFICIENCY
Programme Profile
RATIONALE
Tropical forest industries create value from the use of forest resources and can contribute to their sustainable
management. The potential for revenue and employment can be increased by, for example, expanding
production and exports of further-processed products. At the same time, where local processing capacities
exceed the sustainable timber production potential of forests, unsustainable and illegal activities can occur.
National legal and policy frameworks must consider the need for long-term sustainable industrial
development.
Examples of problems in forest industries include structural deficiencies and managerial weaknesses. The
latter is particularly common in small and medium-sized forest enterprises (SMFEs). Management systems in
SMFEs may be inadequate for the effective planning and control of operations, posing difficulties for effective
supply-chain management and product tracking. These enterprises may not have sufficient capacity to apply
modern technology and management methods, which may be a barrier to integration with established supply
chains. Access to financing (particularly for SMFEs) is often identified as an important constraint tosustainable tropical forest industry development. The situation is characterized as a vicious circle in which
low profitability results in a lack of sufficient funds for the renewal of capital equipment, which further inhibits
the profitability of the enterprise.
There are several underutilized opportunities for tropical forest resource-based industrial development,
including growing product demand in emerging markets, new markets for secondary processed wood
products, the expanded use of lesser-used species, new product and process innovations, and thecommercialization of forest-based services. Many tropical countries need external support in order to makeuse of these opportunities with a view to increasing employment and revenue generation, thereby
contributing to poverty reduction.
GENERAL OBJECTIVE
The general objective of this Thematic Programme would be to strengthen the capacity of tropical timberproducing countries to: (i) increase the production, further processing and trade of tropical timber and otherforest products and services from sustainably managed and legally harvested forests; and (ii) improve
efficiency in the processing and utilization of tropical timber and timber products and non-timber forest
products (NTFPs).
PROGRAMME STRATEGYThe Thematic Programme would operate at three levels with the aim of enhancing sustainable forest industry
development in ITTO producer member countries, with a particular emphasis on SMFEs.
At the enterprise level, the Programme would demonstrate and disseminate innovative approaches andtechnologies, support business development, and strengthen management and technical skills along thewhole value chain in order to improve efficiency and value adding.
At the country level, the Programme would support the mainstreaming of innovations, improving policy andlegal frameworks, the promotion of investment, and the strengthening of those institutions that serve
industrial development.
At the regional/international level, the Programme would support the sharing of experiences, technology
transfer and partnership-building.
Activities could be implemented through research and development, technology transfer and international
cooperation. These could include:
support for industrial planning, investment promotion, business development and risk management;
improved concession management;
development of efficient harvesting and processing technologies; the utilization of wood residues and wood
wastes; the development of sustainable wood-based bioenergy production; the organization of commercial
supply chains and producer networks and the strengthening of relevant stakeholder associations; and theFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 51
improvement of managerial and technical skills in SMFEs through capacity-building, institutional
strengthening, training and networking.
ANTICIPATED OUTPUTS/OUTCOMESThe intended outcomes of the Thematic Programme would be: (i) the increased supply and trade of forest
industry products and services with higher value added; (ii) improved efficiency in the harvesting andprocessing of timber and NTFPs; (iii) reduced emissions from industrial operations; (iv) improved policies topromote investment, facilitate the development and transfer of technology; and (v) improved management
capacity, particularly in SMFEs.
POTENTIAL PARTNERS/COLLABORATING AGENCIESThe Programme would be implemented in close cooperation with the ITTO Trade Advisory Group and Civil
Society Advisory Group, relevant international and regional bodies, and national industry and tradeassociations.
INDICATIVE BUDGET AND TIMEFRAME
An indicative three-year budget for the Thematic Programme that would result in significant improvements inthe three tropical regions is US$10 million, most of which would be for pilot projects and other country-level
activities, supported by relevant regional and international-level activities.
POTENTIAL DONORSFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 52

ANNEX 4TERMS OF REFERENCE FOR THE EVALUATION OF THE PILOT OPERATIONOF ITTO THEMATIC PROGRAMMESI.

BackgroundAt its Forty-fourth Session held in November 2008, in Yokohama, Japan, the Council adopted Decisions 8(XLIV) on the establishment of a Thematic Programmes (TP) subaccount under the Special Account, 9(XLIV) on the Operational Procedures and Guidelines of the Thematic Programmes on a Pilot Basis and 10(XLIV) on the Thematic Programme Profiles (TPP). It was decided to implement, on a pilot basis, Thematic
Programmes in five areas where additional funding was expected, i.e., Forest Law Enforcement,
Governance and Trade (TFLET), Community Forest Management and Enterprises (CFME), Trade andMarket Transparency (TMT), Industry Development and Efficiency (IDE) and Reducing Deforestation andForest Degradation and Enhancing Environmental Services (REDDES). Pursuant to Decision 9(XLIV) the
effectiveness of the pilot operation of the Thematic Programmes will be reviewed and evaluated after three
years.
II.

Description

Under the Thematic Programmes, the ITTO Secretariat plays a much more elaborate role in theimplementation process than under the regular project cycle, including involvement in the development ofThematic Programme Documents (TPD), the proposal appraisal and approval, the selection of Executing
Agencies or the project implementation, monitoring and reporting.
By means of review, analysis and careful evaluation of the rules and procedures established and applied
during the different stages of Thematic Programme implementation, the overall goal of the TP Evaluation is
to assess the effectiveness of the pilot operation of the Thematic Programmes, the member country
response to the new opportunity and the achievements to date in the respective thematic areas. The
evaluation will include all stages from the development of the TP profiles to the completion of the project
cycle. It is expected to draw lessons that can be used to further improve the efficiency and sustainability of
the TP operation under the ITTA, 2006 and towards achieving the purpose of the programme as set forth in
Article 20.4.
III.

Scope of the Evaluation

The evaluation will review and analyze the relevant documentation guiding the implementation of theThematic Programme pilot phase including Council decisions, Council reports, TP profiles, TP Documents,
TP Monitoring Protocols, TP reports, selected proposals and review documentation etc., with a view to:Assess the effectiveness of the rules and procedures developed and applied during the different stages of
the Thematic Programme pilot operation:a) Evaluate the achievements and impact (potential and actual) to date in the respective thematic areas
considering the objectives, outputs and target values defined in the Thematic Programme
Documents and the Monitoring protocols, also considering the funding available.
b) Assess the member country response to and perception of the new (funding) mechanism
established under the Thematic Programmec) Assess the donor response to the Thematic Programmes including the impact of the funding
received (vs. envisaged) on the operation of the TPs, and the ability of the TPs to mobilize newfunding from ‘non-traditional’ sources (e.g. vs competition with the ITTO regular project cycle)d) Draw lessons learned and recommendations to improve the effectiveness and sustainability of theThematic Programmes under the ITTA 2006 and towards achieving the programme’s purpose as set
forth in Article 20.4e) Make recommendations on how lessons learned can help generating approaches and methods to be
used for upscaling and mainstreaming the experiences gained from the implementation of the
programmes beyond the immediate beneficiary countries.
IV.

ApproachFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 53
The task is expected to be undertaken as a desk review based on thorough review and analysis of all TP
relevant documentation, questionnaires and surveys to be developed, conducted and analyzed by the
consultants.
V.

Reportinga)Preparation of a TP Evaluation Report on the effectiveness of the TP pilot operations including interalia findings, lessons learned and recommendations on the further improvement of the efficiency andsustainability of the TP operation under the ITTA, 2006
Preparation of a final draft Overall Executive Summary and presentation of the final draft Overall
Executive summary at the next Council Session of the International Tropical Timber Council,
November 2012, in Yokohama, JapanAs requested, preparation of an article or a set of articles for possible publication in the ITTO
Tropical Forest Update (TFU) or on the ITTO website, in consultation with the editor, containing an
overview of the Thematic Programmes and the overall results of the TP evaluation.

b)c)VI. Composition of the TeamThe evaluation team shall be composed of 2 independent consultants, one from a producer member country
and one from a consumer member country. One consultant will be the team leader, who will also present the
final draft overall executive summary to the Council. All relevant reports are to be produced in English
language.
VII. Duration of the Assignment
The duration of the assignment will be 2.5 months (10 work-weeks) for the team leader and 2 months (8work-weeks) for the second consultant. The team is expected to produce the draft report(s) within 2 months
from the date of signing the contract.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 54

ANNEX 5QUESTIONNAIRE FOR ITTO MEMBERS
ON PILOT OPERATION OF ITTO THEMATIC PROGRAMMESRESPONDENT’S NAME, AFFILIATION, COUNTRY:____________________________________________________________________________________________________________________________________________________________________________(1)

Development of Thematic Programme Profiles (TPPs)

Q 1:
Have the TPP elements outlined in Annex 2 Item 1 (Thematic Programme Profile) of Decision
9(XLIV) proved to be the right ones for a successful TP scoping document, or should they be revised orenhanced and if so how?
Q 2:
Did the five TPPs (TFLET, REDDES, CFME, TMT, IDE) approved under Decision 10(XLIV) provide
sufficient information on each element in Annex 2 Item 1 for the development of effective TPDs, or would
additional information have been helpful and if so what?
(2)

Development of Thematic Programme Documents (TPDs)

Q 3:
Have the planning and operational elements listed in Annex 2 Item 2 (Thematic Programme
Document) of Decision 9(XLIV) provided an appropriate logical framework for TPD development andimplementation, or should they be revised or enhanced and if so how?
Q 4:
Have the four TPDs developed thus far (TFLET, REDDES, CFME, TMT) contained sufficiently
focused specific objectives and details on the types of projects and activities to be funded to provide for a
fully integrated programme of work, or is further focus and specificity needed to improve coherence and meet
TP objectives?
Q 5:
To what extent are the TPDs complementary with the relevant programmes of ITTO partners,
including members of the Collaborative Partnership on Forests (CPF), the UN-REDD Programme and the
EU FLEGT Action Plan, and how can complementarity be strengthened?
(3)

Review and approval of TP projects/activities

The ITTO secretariat has introduced measures to operationalize the general procedures contained in Annex
1 of Decision 9(XLIV) regarding the solicitation and appraisal of proposals. These include: (a) Issuing a callfor proposals on a 6-month cycle (“fall” and “spring”) once a funding threshold of USD 1 million is reached fora given TP20 and (2) developing a standard TP proposal appraisal process (see the flow chart annexed tothis questionnaire - NB: flow chart included as Annex 7 to this draft report).
Q 6:
Has designation of a biannual fall/spring cycle proved meaningful and effective in the TP context
given that the trigger for soliciting proposals is funding (not a 6-month timeframe) and that individual TPs
may reach the USD 1 million threshold at different times? Should a more flexible cycle be considered
whereby the ED may issue a call for proposals at any time after sufficient new pledges are received for aparticular TP?
Q 7:
Since all approved TP projects have needed revisions prior to approval, is the guidance and format
contained in the ITTO Manual for Project Formulation sufficient for developing TP proposals, or should themanual be reviewed and supplemented to take into account the programmatic nature of TP activities anddeliverables and the guidelines/procedures common to all TPDs?
Q 8:
To what extent have the general criteria for selecting projects/activities contained in Annex 3 Item 2of Decision 9(XLIV), together with the specific criteria contained in individual TPDs, led to a coordinated andintegrated set of TP approved projects (as opposed to a collection of uncoordinated projects on a common
20

The first call for proposals occurs (in spring or fall) after initial pledges to a TPP have reached USD 1 million and led to thedevelopment of a TPD. Thereafter a call for proposals is issued in spring or fall for those TPs that have received USD 1 million in
additional pledges.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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topic)? Can the criteria be strengthened to promote the coherence and interrelation of approved TP
projects?
(4)

TP project management, monitoring and evaluation

TP project management is a significant and expanding part of the Secretariat’s workload. Due to budgetary
constraints on hiring new staff, approved TP projects are handled much the same as traditional projects.
Each approved project is designated as F (Forests), M (Markets) or I (Industry) and assigned to an ITTO
project manager from within the relevant technical division.21 Typically, there are several project managers
under one TP.
In April 2010 the ITTO Secretariat established a “monitoring protocol” for projects/activities funded undereach TP, which identifies a set of “outputs, output indicators, target value and means of verification” for each
TP specific objective. The monitoring protocols were recently enhanced with a web-based Online Monitoring
System (OLMS) to allow for easy interaction between ITTO project managers and executing agency project
coordinators and to establish an electronic database of projects and related documentation and information.
Q 9:
Since TP projects are by definition thematically linked and collectively cross-cut issues related toforests, markets and industry, would it be useful to establish a new unit/division within the Secretariat tooversee TPs and TP projects holistically and build the Secretariat’s programmatic expertise by reassigning
existing staff from the current technical divisions and/or financing new hires through programme support
charges levied on and shared across TPs?22
Q 10: Recognizing that the individual TP monitoring protocols are a recent innovation, have they beeneffective thus far, or could they be enhanced and if so how?
Q 11: Should Council adopt specific guidelines on the monitoring and evaluation of TP projects and overall
TP implementation based on experience to date, including use of the initial monitoring protocols and OLMS?
(5)

TP project proposal development

To date, producers have submitted some 100 project proposals for TP funding, with three countries
accounting for 30% of the submissions (Indonesia, Cameroon and Peru). A total of about USD 14 million23
has been allocated to some 40 projects in 20 producer countries eligible to receive project funding according
to ITTO’s rules regarding payments of assessments to the Administrative Account. Nearly half these funds
involve five countries (Indonesia, Ghana, Guatemala, Peru and Cameroon). In view of differing producer
capacities to formulate projects, since 2009 3% of all new TP funding has been set aside in a pooled accountto assist with proposal development, of which only a small portion has been used to date.
Q 12: Should the Secretariat and member countries strengthen communication and outreach regarding TP
opportunities with a view to attracting additional proposals from a greater diversity of producers?
Q 13: Should funds generated from the 3% charge on new TP pledges be used primarily for training tohelp build long-term capacity within producer countries to formulate high quality TP proposals?
(6)

TPAC functioning

As envisioned in Annex 3 Item 1 of Decision 9(XLIV), Thematic Programme Advisory Committees (TPACs)
play an important role in TP operations, including project/activity selection, monitoring and evaluation ofprogress in TP implementation, and identifying potential additional sources of funding. Under Annex 3 Item
5, TPACs were expected as a general rule to meet once a year to carry out their responsibilities. However,
due to funding constraints, each TPAC has met only once in 2009 or 2010 to review and approve TPDs. Thishas significantly limited the ability of TPACs to function as advisory bodies. In the review and appraisal of
proposals, TPAC members have typically operated as individuals, rather than a coordinated team, in their

21

RFM currently has overall responsibility for REDDES and CFME. EIMI has overall responsibility for TFLET and TMT. Management ofspecific projects may be assigned to a staff person in any of the three technical divisions.
22
As with ITTO’s traditionally financed projects, TPs are currently charged 8% in programme support for project management and 13%
for activities implemented by the ITTO Secretariat.
23
An additional USD 4 million has been allocated to activities implemented by the ITTO Secretariat, regional projects in Africa and the
Amazon, and consumer projects in consumer countries.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 56
communications with the Secretariat. Work has yet to be undertaken in the areas of monitoring/evaluation of
TP implementation and identifying potential funding sources.
Q 14:

In order to make the TPACs fully functional, would it be useful to consider:a) Allocating funds from TPs to cover the costs of annual TPAC meetings, which could be held inconjunction with ITTC sessions to reduce overall costs?
b) Developing specific qualifications for TPAC members to include experience with national and international
programmes related to a TP theme, including relevant new and emerging forest financing initiatives andarrangements? (Also see Q16)c) Establishing a consultative role in each TPAC for representatives of key partners, including TAG and
CSAG, the World Bank, GEF and other relevant CPF members, as well as the regional development banks
and other TP-related international initiatives, with a view to strengthening the complementarity of TP
projects/activities with other programmes/initiatives and increase the potential for joint activities?
(7)

TP funding

The four operational TPs (TFLET, REDDES, CFME, TMT) have attracted USD 18 million in voluntary
24
contributions toward a combined implementation target of USD 58 million. Donors include consumers
which have not previously contributed to ITTO or have contributed only small amounts, suggesting that the
TPs are attractive. While some regular contributors have reduced their contributions to ITTO’s traditional
project financing mechanism in order to contribute to TPs, others have substantially increased theircontributions in order to support one or more TPs. At the same time, significant additional financing isneeded to meet the specific objectives of the ongoing TPs and to launch the TP on Industry Development
and Efficiency (IDE) which has not yet attracted financing.
Q 15: Could IDE be made more attractive to public and private funding sources by revising the TPP with
the involvement of TAG members and taking into account relevant outcomes of Rio+20?
Q 16: In addition to fulfilling their functions under Annex 3 Item 1 of Decision 9(XLIV) should the TPACs
assist the ED in securing additional funds for TP implementation? Should the potential to fund-raise be aselection qualification for some/all TPAC members?
Q 17: Should Council give consideration to establishing an ad hoc mechanism, such as an informal
advisory group, to advise and assist the ED with aggressive fund raising for TPs, as well as for ITTO’s
regular project cycle?
(8)

Other considerations for current and future TPs

Q 18: Recognizing that many approved projects are still in the early stages of implementation, are theresults/impacts/outputs so far (particularly under TFLET and REDDES which have been operational for three
years) making a clear and direct contribution to meeting specific TP objectives?
Q 19: How can the lessons learned in the implementation of TP projects and activities be scaled up andmainstreamed to benefit other countries? Is this an issue that can be addressed now or is more experienceneeded in TP implementation?
Q 20: Should ITTC give consideration to revising any of the current TPDs to enhance their programmatic
inputs and outputs and complementarity with the programmes/initiatives of CPF and others partners, as wellas the potential for joint work?
Q 21: Should ITTC consider a regular interval (e.g. every five years from launch) for reviewing each TP
and updating TPDs as needed, as well as establishing the initial duration of each TP and a process for TP
termination (whether or not target funding is reached)?

24

Includes contributions to the TFLET “precursor” initiative approved under BWP 2008-09 with a budget of USD 4.3 million. Pledges
totaling nearly USD 4 million had been made by the time TFLET was converted to a TP.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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Q 22: Since many ITTO projects approved and financed under the regular project cycle have objectives
consistent with a TP, should such projects be referenced or acknowledged in some way in the context of therelevant TP and if so how?
Q 23: Are there ongoing ITTO activities that could be considered for conversion to a TP, for example the
ITTO-CITES Capacity Building Programme25 or ITTO’s recent work on biodiversity, including under the MOU
with the Convention on Biological Diversity, and potential inputs to the Aichi Biodiversity Targets in theStrategic Plan for Biodiversity 2011-2020?

25

Since it was initiated in 2005, the ITTO-CITES Capacity Building Programme has generated about USD 9 million in financing, largely
from the European Community which had not previously contributed to ITTO.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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ANNEX 6QUESTIONNAIRE FOR TPAC MEMBERS
ON PILOT OPERATION OF ITTO THEMATIC PROGRAMMESYOUR NAME:
AFFILIATION:
COUNTRY:
TPAC:__________________________________________________________________________________(1)

Thematic Programme Documents (TPDs)

The TPD for your TP was developed based on a Thematic Programme Profile (TPP) approved by theInternational Tropical Timber Council under Decision 10(XLIV). As outlined in Annex 2 of the Decision, thepurpose of the TPD is to provide detailed information on a set of planning and operational elements which
comprise the logical framework for your TP. Your TPAC met in 2009 or 2010 to approve its TPD. Based onyour experience as a TPAC member since then:
Q 1:

Would you say that the TPD for your TP contains sufficiently focused specific objectives and details
on the types of projects and activities to be funded to provide for a fully integrated programme ofwork, or is further focus (a narrowing of scope) and specificity needed to improve coherence andmeet TP objectives?

Q 2:

To what extent have the general criteria for selecting projects/activities contained in Annex 3 Item 2of Decision 9(XLIV) led to a coordinated and integrated set of approved projects (as opposed to acollection of uncoordinated projects on a common topic)?

Q 3:

Similarly, to what extent have the specific criteria for project/activity selection contained in your TPD
led to an integrated set of approved projects?

Q 4:

Should steps be taken to strengthen or promote the coherence and interrelation of approved TP
projects, and if so what?

Q 5:

To what extent does your TPD complement related programmes at national, regional andinternational levels? Can complementarity be strengthened and if so how?

(2)

Review and appraisal of proposed TP projects, pre-projects and activities

As you are aware, in order to facilitate your review of proposals for potential approval and funding, the ITTO
Secretariat “pre-appraises” each proposal (including its own proposals) through an in-depth review by two
staff members. The Secretariat then forwards the proposals and pre-appraisals to you, together with areview form with instructions for scoring and rating proposals, as well as other relevant documentation (e.g.
the TPD and Monitoring Protocol).26
Q 6:

Have the pre-appraisals been technically sound and helpful for your review of proposed projects
and activities? What improvements would you suggest?

Q 7:

Is it a good procedure for the Secretariat to pre-appraise its own proposals, or should suchproposals only be evaluated by TPAC members? Would you recommend alternative mechanisms
for pre-appraisal of ITTO projects?

Q 8:

Has the review form, including the scoring and rating system, allowed for an effective review andappraisal process? Do you have suggestions for improving the form and/or the scoring/rating
system?

26

The TP review form is a modified version of the form used by the ITTO Expert Panel on the Technical Appraisal of Projects and PreProjects funded under ITTO’s regular project cycle. The Expert Panel’s review form ‘weights’ each review criterion by a certain factor
and also includes certain minimum “thresholds”.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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Q 9:

Would it be useful to introduce a system for weighting the review criteria for your TP in order torecognize relative importance and priority among criteria (see footnote 1)?

Q 10

What (if any) additional measures would you introduce to improve the current process for reviewing
and appraising proposals? Would further guidance/instructions from the ITTO Secretariat bebeneficial, and if so what?

(3)

TP project proposal formulation

The number of proposals received in response to a TP call for proposals -- and the number of calls issued -differs significantly across TPs based on donor funding available and producer interest. Consequently the
number of proposals assigned to each TPAC member for review differs as well. As an example, under the
Spring Cycle 2011, 42 proposals were received under REDDES, while 5 proposals were received under
TMT. Each member of the TMT TPAC reviewed all five proposals received, while members of the REDDESTPAC were assigned 10 to 13 proposals so as not to overburden TPAC members but also to ensure thateach proposal was reviewed by at least two TPAC members.
Q 11:

Could you cope with the number of proposals you had to review within the timeframe available(usually approximately 3 weeks)?

Q 12:Considering current procedures and the timeframe for your review, could you indicate a maximum
number of proposals you could realistically review under any given call for proposals?

Q 13:

Would a longer review timeframe be helpful, and if so what would you suggest?

Q 14:

Based on your experience with and impression of the proposals you have reviewed thus far, howwould you assess the overall quality of the proposals? Is further training or assistance needed tohelp build long-term capacity within producer countries to formulate high quality TP proposals?

Q 15:

Is there a need to strengthen communication and outreach regarding project funding priorities andopportunities under your TPD with a view to attracting additional proposals from a greater diversityof producers? If so how?

(4)

TPAC functioning

The purpose of each TPAC as set forth in Decision 9(XLIV), Annex 3, Item 1 is to assist the Executive
Director in: (a) selection of activities, pre-projects and projects for financing under the TP, (b) monitoring andevaluation of progress in implementing the TP, and (c) identification of potential additional sources offinancial contributions to the TP. To date, your role as a TPAC member has been mainly or exclusively
limited to (a). This has been due to various reasons, primarily lack of funding for TPACs to meet annually (asenvisioned in Annex 3, Item 5) following your initial meeting in 2009 or 2010 to approve your TPD.
Q 16:

How can your TPAC better assist the ED in all three areas, and in particular regarding (b)monitoring and evaluation and (c) potential financing sources?

Q 17

Would annual meetings improve the effectiveness of your TPAC by providing an opportunity formembers to work as a committee on TP project selection, monitoring and financing issues andstrategies?

Q 18:

Are there other ways the functioning of your TPAC and communication among members could be
improved?

Q 19:

To what extent are you familiar with or using the Monitoring Protocol established for your TPD?

Q 20:

To what extent are you familiar with the progress, outputs and impacts to date of projects andactivities financed under your TP? In your view are these clearly contributing to the TP’s objectives?

Q 21:

What experience have you had with national, regional and international programmes related to yourTP, including the programmes of members the Collaborative Partnership on Forests (CPF)?

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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Q 22:

Which new and emerging forest financing initiatives and arrangements relevant to your TP are you
familiar with? Which would you recommend as potential sources to strengthen the flow of funds toyour TP?

(5)

TP project implementation

Because of their programmatic nature, TPs provide an opportunity to share and scale up project
implementation experiences, information and learning between ITTO members and within ITTO member
countries.
Q 23:

How can positive lessons and knowledge learned thus far in the implementation of TP
projects/activities be scaled up and mainstreamed to benefit other countries? Is this an issue thatcan be addressed now or is more experience needed with implementation of your TP?

Q 24

Would it be useful to establish specific knowledge management outcomes for your TP, perhaps as
an addendum to your TPD, which might include, for example, learning modules based on bestpractices or other topics arising from project implementation?

Q 25:

Although the Monitoring Protocol for your TP is a recent innovation, has it proved effective andefficient thus far (e.g. considering that proponents now are requested to address their conformity
with the TP deliverables and the Monitoring Protocol), or could it be enhanced and if so how?

(6)

Other considerations

Q 26:

Please provide any additional comments you may have on the TPs and/or TPACs.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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ANNEX 7
ITTA, 2006 PROVISIONS ON THEMATIC PROGRAMMES(ARTICLES 20, 24, 25)
CHAPTER VI. FINANCE
Article 20
SPECIAL ACCOUNT
1.

The Special Account shall comprise two sub-accounts:
(a)
(b)

2.

The Thematic Programmes Sub-Account; andThe Project Sub-Account.

The possible sources of finance for the Special Account shall be:
(a)
(b)
(c)
(d)

The Common Fund for Commodities;
Regional and international financial institutions;
Voluntary contributions from members; andOther sources.

3.
The Council shall establish criteria and procedures for the transparent operation of the Special
Account. Such procedures shall take into account the need for balanced representation among members,
including contributing members, in the operation of the Thematic Programmes Sub-Account and the
Project Sub-Account.
4.
The purpose of the Thematic Programmes Sub-Account shall be to facilitate unearmarked
contributions for the financing of approved pre-projects, projects and activities consistent with Thematic
Programmes established by the Council on the basis of the policy and project priorities identified inaccordance with articles 24 and 25.
5.
The donors may allocate their contributions to specific Thematic Programmes or may request the
Executive Director to make proposals for allocating their contributions.
6.
The Executive Director shall report regularly to the Council on the allocation and expenditure of funds
within the Thematic Programmes Sub-Account and on the implementation, monitoring and evaluation of
pre-projects, projects and activities and the financial needs for the successful implementation of theThematic Programmes.
7. The purpose of the Project Sub-Account shall be to facilitate earmarked contributions for the financing of
pre-projects, projects and activities approved in accordance with articles 24 and 25.
8.
Earmarked contributions to the Project Sub-Account shall be used only for the pre-projects, projects
and activities for which they were designated, unless otherwise decided by the donor in consultation with the
Executive Director. After the completion or termination of a pre-project, project or activity, the use of any
remaining funds shall be decided by the donor.
9.
To ensure the necessary predictability of funds for the Special Account, taking into consideration thevoluntary nature of contributions, members shall strive to replenish it to attain an adequate resource level tofully carry out the pre-projects, projects and activities approved by Council.
10. All receipts pertaining to specific pre-projects, projects and activities under the Project Sub-Account or
the Thematic Programmes Sub-Account shall be brought into the respective Sub-Account. All expenditures
incurred on such pre-projects, projects or activities, including remuneration and travel expenses ofconsultants and experts, shall be charged to the same Sub-Account.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 62
11. No member shall be responsible by reason of its membership in the Organization for any liability arisingfrom any actions by any other member or entity in connection with pre-projects, projects or activities.
12. The Executive Director shall provide assistance in the development of proposals for pre-projects,
projects and activities in accordance with articles 24 and 25 and endeavour to seek, on such terms andconditions as the Council may decide, adequate and assured finance for approved pre-projects, projects andactivities.
CHAPTER VII. OPERATIONAL ACTIVITIESArticle 24
POLICY WORK OF THE ORGANIZATION
1.
In order to achieve the objectives set out in article 1, the Organization shall undertake policy work andproject activities in an integrated manner.
2.
The policy work of the Organization should contribute to achieving the objectives of this Agreement for
ITTO members broadly.
3.
The Council shall establish on a regular basis an action plan to guide policy activities and identify
priorities and the thematic programmes referred to in article 20, paragraph 4, of this Agreement. Priorities
identified in the action plan shall be reflected in the work programmes approved by the Council. Policy
activities may include the development and preparation of guidelines, manuals, studies, reports, basic
communication and outreach tools, and similar work identified in the Organization’s action plan.
Article 25
PROJECT ACTIVITIES OF THE ORGANIZATION
1.
Members and the Executive Director may submit pre-project and project proposals which contribute to
the achievement of the objectives of this Agreement and one or more of the priority areas for work orthematic programmes identified in the action plan approved by the Council pursuant to article 24.
2.
The Council shall establish criteria for approving projects and pre-projects, taking into account inter alia
their relevance to the objectives of this Agreement and to priority areas for work or thematic programmes,
their environmental and social effects, their relationship to national forest programmes and strategies, theircost effectiveness, technical and regional needs, the need to avoid duplication of efforts, and the need toincorporate lessons learned.
3.
The Council shall establish a schedule and procedure for submitting, appraising, approving andprioritizing pre-projects and projects seeking funding from the Organization, as well as for theirimplementation, monitoring and evaluation.
4.
The Executive Director may suspend disbursement of the Organization's funds to a pre-project or
project if they are being used contrary to the project document or in cases of fraud, waste, neglect or
mismanagement. The Executive Director will provide to the Council at its next session a report for its
consideration. The Council shall take appropriate action.
5.
The Council may establish, according to agreed criteria, limits on the number of projects and preprojects that a member or the Executive Director may submit in a given project cycle. The Council may also
take appropriate measures, including suspension or termination of its sponsorship of any pre-project or
project, following the report of the Executive Director.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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ANNEX 8
THEMATIC PROGRAMME PROPOSAL APPRAISAL PROCESS

Submission of proposals
by proponent

Clearance by the ITTO
country focal point

Screening/pre-appraisal by
the Secretariat

Distribution of pre-appraisal forms andproposal documents to TPAC members

Review by TPAC members- comments

Integration of comments and pre-selection
by the Secretariat- distribution to TPAC members

Recommendation by TPAC members

ED decision

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
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ANNEX 9REDDES MONITORING PROTOCOLASSOCIATION OF PROJECT ACTIVITIES TO THE REDDES MONITORING PROTOCOLREDDES General Objective is: Reduce deforestation and forest degradation, enhance environmental services and help improve forest dependent livelihoods throughsustainable management of tropical forests, forest restoration and other related activities.
The Specific Objective of the Programme is to strengthen the capacity of ITTO developing member countries and their stakeholders to:a) Reduce unplanned deforestation b) Reduce forest degradationc) Maintain and enhance climate change mitigation and other environmental services of tropical forestsd) Contribute to the social and economic sustainability and well-being of forest-dependent communities by increasing forest values through forest restoration and rehabilitation, as
well as payments for forest-based environmental servicese) Enhance adaptation and resilience of tropical forests to negative effects of climate change and human-induced impacts
Outputs
Avoided deforestation,
restoration orconservation initiatives
established to combat
deforestation anddegradation

Output Indicator
Increased area under SFM, restoration orconservation

Target Value
6 countries(2 per region)

Means of Verification
Projects funded
Reports on initiatives

Number of initiatives on avoided deforestation:
Delineated land and forest tenure and user
rightsMonitor forest cover and landuse change
Establishment of permanent forest estate
Number of initiatives addressing restoration:
Forest landscape restoration
Demonstration projects on restoration
Number of initiatives on conservation
Trans-boundary Conservation Area (TBCA)
Buffer zone management

Integration of climatechange mitigation/
adaptation and otherenvironmental services in
the ITTO guidelines on

Revised/updated versions of ITTO guidelines
and other relevant policy documents
incorporating new approaches on climatechange and environmental services

2 guidelines/
policy documents
reviewed/updated

New/updated versions of
ITTO guidelines

Associated activities implemented/in progress RED-PD 005/09 Rev.2 (F) – Guyana. Supportof SFM and resource utilization at community
level to maintain forest resources and prevent
deforestation and degradation
 RED-SPD 009/09 Rev.2 (F) – Indonesia.
Reduction of emissions from deforestation andforest degradation through promotion ofconservation and restoration of peat swamp
forest RED-PD 026/09 Rev.1 (F) – Ghana. Reduced
emissions from deforestation and forest
degradation through collaborative managementwith local communities
 RED-PD 029/09 Rev.1 (F) – Brazil.
Coordination of participatory processes fordevelopment and implementation of Forest
Cover National Monitoring Systems in 8
Amazon countries
 RED-PA 056/11 Rev 1 (F) RED-PD 031/11 Rev.1 (F) RED-PD 064/11 Rev. 2 (F) RED-SPD 055/11 Rev.1 (F)Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 65
C&I, SFM, certification,
valuation, as appropriate
to manage forest area
sustainably
Income generation basedon forest related
environmental services
and other forest outputs
by local communities

Increased recognition of
the values of tropicalforests and theirenvironmental services

Quantification of carbon
stocks performed using
reliable monitoring andassessment technologies
and/or valuation
techniques

Increased income resulting from forest-related
environmental services and other forest
products by local communities of participating
countries

10% increase
from the baseline
information inincome in atleast 30
communities

Increase of women participation in thecommunity forest-related environmental
services of participating countries

Increase of
womenparticipation in atleast 30
communities ofparticipating
countries
2 countries

Increased public awareness

Reports on the
demographic and socioeconomic situation in thearea of influence of the
projects supported by the
Thematic Programme

 RED-PPD 006/09 Rev.2 (F) – Guatemala.
Facilitation for participatory development of aprogramme to generate payment forenvironmental services through forest resource
management and conservation
 RED-PD 018/09 Rev.1 (F) – Peru.
Strengthening of forest management togenerate additional income for local
communities
 RED-PD 031/11 Rev.1 (F) RED-PD 033/11 Rev.2 (F) RED-PPD 051/11 Rev.1 (F) RED-SPD 055/11 Rev.1 (F)Number of awarenesscampaigns at
community/country level

 RED-A 004/09 Rev.1 (F) – ITTO.
Feasibility study for the establishment of amechanism in ITTO to capture funds, to fundvoluntary forest related carbon offsetting
schemes, including REDD and PES projects
 RED-PD 026/09 Rev.1 (F) – Ghana.
Determination of the financial value ofenvironmental services in the project area
 RED-PD 037/11 Rev.2 (F) RED-PD 038/11 Rev.3 (F) RED-SPD 058/11 Rev.2 (F)Existence of appropriate methodology to value
Environmental Services and ability to apply

1 country

Report on appropriate
valuation andmethodology available

Increased forest value and market
opportunities for forest products and services

2 countries

National accounting
reports

Incorporation of the value of forest
environmental services in national accounting

2 countries

National forest carbon assessment andmonitoring systems

2 national forest
carboninventories
supported by the
programme

Report on study on actual
payments forenvironmental services
National forest carbon
inventory reports
National forest monitoring
systems

 RED-PD 007/09 Rev.2 (F) – Indonesia.
Initiation of multi-stakeholder processes insupport of the development of a national
strategy to maintain and increase forest carbon
stock RED-A 023/09 Rev.1 (F) －DRC.
Technical support for a carbon inventory on
national forest land in the DRC
 RED-PD 026/09 Rev.1 (F) – Ghana.
Development of appropriate methods formeasurement, assessment reporting andFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 66
verification (MARV) of forest carbon
 RED-PA 069/11 Rev.1 (F) RED-SPD 039/11 Rev.1 (F) RED-PD 026/09 Rev.1 (F) – Ghana.
Estimation of the financial value ofenvironmental services (incl. biodiversity) in the
project area
 RED-PA 056/11 Rev 1 (F)Value of biodiversity
assessed and surveys
conducted on land withpotential for biodiversity
PES schemes
Assessments are made in
an attempt to ‘bundle’environmental services, tomaximize forest related
revenues
Community initiatives
taken to identify
opportunities to increase
productive capacity offorests, including byimplementing SFM
schemesCapacity building
initiatives undertaken to
implement policy reforms
and/or clarify land/forest
tenure arrangement

National/regional studies conducted on
assessment of value of biodiversity on landwith potential for biodiversity PES schemes.

3 studies

Report of the national/
regional studies

Assessment of National forest financestrategies

1 country

Assessment reports

Increased area of community forest protectedagainst fire, pest and disease

30 communities

Fire, pests and disease
incident reports

Improved silvicultural systems in community
forests

3 countries

Project reports

National policy reforms and clear forest andland tenure arrangements in place, integratingclimate change mitigation/adaptation and otherenvironmental services

3 countries

 RED-PD 018/09 Rev.1 (F) – Peru.
Legal rights for the use of forest resources in
the community territory and ecotourism
concession area are endorsed and secured
 RED-PPD 041/11 Rev.2 (F)Information sharing andknowledge management
systems operational

Learning network on forest landscaperestoration focusing on benefits ofenvironmental services

Establishment of
one global
network
supported

Evidence on policy andlegislative reforms
processes on forest andland tenure in at least
three countries coveredby the programme
Website and links to the
network; information madeavailable

Information on REDDES results available on
ITTO website
PES incentive mechanisms developed orundergoing implementation

Regularly
updated website
3 countries

Evidence on PES
mechanisms developedor undergoing
implementation

Studies on the assessment of willingness topay for environmental services

3 studies RED-A 004/09 Rev.1 (F) – ITTO.
Feasibility study for establishment of amechanism in ITTO to capture funds, to fundvoluntary forest related carbon offsetting
schemes, including REDD and PES projects
 RED-PD 005/09 Rev.2 (F) – Guyana.
Completion of a feasibility study of targeting
remuneration systems for environmental
services

PES incentive
mechanisms assessedand established

Reports

 RED-SPD 009/09 Rev.2 (F) – Indonesia.
Mobilization of relevant stakeholders and local
community participation in the preparation ofactivities and direct involvement in field activities
such as fire protection
 RED-PPD 051/11 Rev.1 (F)Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 67

Countries with improved
capacity to implement
SFM, forest restoration
and rehabilitation.

Demonstration areas
established

Operational practices forcommunity involvement indevelopment ofenvironmental services

Forestry stakeholders trained in theimplementation of restoration andrehabilitation activities, PES schemes and theimplementation of policy reforms and/or
land/forest tenure arrangements

300 forestry
stakeholders in
3 countries (100each)

Training Reports

National criteria and indicators for SFM, forest
restoration and rehabilitation developed

3 countries (onper region)

National C& I reports











Project reports. Visit
reports of demonstration
projects.

Demonstration projects on community
involvement in avoided deforestation anddegradation, development of environmental
services, SFM, restoration and rehabilitation of
secondary and degraded forest areas.

3 demonstration
projects

Communities trained and assisted indevelopment and implementation of PES
mechanisms

Communities in 3
countries trained

Report of the training
workshops

Communities directly involved in PES
mechanisms developed and /or undergoing
implementation with the support of the
programme

Communities in 3
countries
involved in PES
mechanism

Activity Report


















RED-PD 033/11 Rev.2 (F)RED-PD 037/11 Rev.2 (F)RED-PD 038/11 Rev.3 (F)RED-PPD 051/11 Rev.1 (F)RED-SPD 055/11 Rev.1 (F)RED-SPD 058/11 Rev.2 (F)RED-SPD 009/09 Rev.2 (F) – Indonesia.
Enhancement of SFM and conservation of peatswampy forest through involvement of
stakeholders and local communities inconservation and rehabilitation
RED-SPD 020/09 Rev.1 (F) – China.
Assessment report on environmental services
and development of PES schemes jointly withlocal communities and other stakeholders
RED-PD 064/11 Rev. 2 (F)RED-PPD 041/11 Rev.2 (F)RED-PPD 050/11 Rev.1 (F)RED-PD 005/09 Rev.2 (F) – Guyana.
Support of SFM and resource utilization atcommunity level to prevent deforestation andforest degradation
RED-SPD 009/09 Rev.2 (F) – Indonesia.
Restoration of ecosystem functioning indegraded peatland through plantation involving
stakeholders including local communities
RED-PD 018/09 Rev.1 (F) – Peru.
Support for local communities in formalization ofrights to trade ecosystem services
RED-PD 018/09 Rev.1 (F) – Peru.
Communities trained in planning anddevelopment of PES schemes
RED-SPD 020/09 Rev.1 (F) – China.
Development and implementation of PES
schemes together with local communities andother stakeholders in project area
RED-PD 026/09 Rev.1 (F) – Ghana.
Participatory development and implementation ofgood governance and management systems in
the project area
RED-PD 033/11 Rev.2 (F)RED-PD 037/11 Rev.2 (F)RED-PD 038/11 Rev.3 (F)Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 68

Stakeholder consultations/dialogue s undertaken forawareness raising and toencourage cooperation
among interested parties

Information sharing
mechanisms in place

Participatory systematization of lessons
learned30 communities(Sub-) National working groups

3 countries

Forest dependent communities sensitized on
adaptation options to climate change
Issues of the TFU and number of hits on the
ITTO website for the information sharing andknowledge management systems

3 countries

International seminar on REDDES to shareexperiences and lessons learned

1 internationalseminar3 issues of TFU(one per year)
and more than
5,000 hits on the
ITTO web pagefor REDDES
information
sharing

Report of the multistakeholder partnerships

Workshop and training
Reports
Report of theestablishment of networkand the operation of thewebsite including usagematrix

Proceedings of theinternational seminar on
REDDES and PES








RED-PD 045/11 Rev.2 (M)RED-PD 064/11 Rev. 2 (F)RED-PPD 050/11 Rev.1 (F)RED-PPD 051/11 Rev.1 (F)RED-SPD 055/11 Rev.1 (F)RED-SPD 058/11 Rev.2 (F) TP website operational and updated

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 69

ANNEX 10CURRENT TPAC MEMBERS
TFLET
1.
2.
3.
4.
5.
6.
7.

Cameroon:
Mexico:Indonesia:
China:
Netherlands:
USA:
ITTO Secretariat:

Mr. Samuel Ebia Ndongo, Ministry of Forestry and Wildlife
Mr. Carlos Enrique Gonzalez Vicente, Private Forestry Consultant
Dr. Hadi S. Pasaribu, Ministry of Forestry
Mr. Zhang Zhongtian, State Forestry Administration
Ms. Antje van Driel, Ministry of Foreign Affairs
Ms. Ellen Shaw, US Department of State (replaced Dr. David Brooks)
ED or his designee

REDDES
1.
2.
3.
4.
5.
6.
7.
8.
9.

Brazil:Ghana:
Malaysia:
Peru:
Canada:Japan:
Switzerland:
FAO/UN-REDD:
ITTO Secretariat:

Ms. Thais Linhares Juvena, UN-REDD secretariat27
Dr. Ernest Foli, Forestry Research Institute of Ghana
Dr. Norini Haron, Forestry Research Institute of Malaysia
Ing. Rocio Malleux Hernani, Ministry of Agriculture
Dr. William de Groot, Canadian Forest Service, Natural Resources Canada
Mr. Takuo Sato, Ministry of Foreign Affairs (replaced Mr. Kazuyuki Morita)
Dr. Carmenza Robledo, Swiss Intercooperation (until March 2012, replaced France)
Ms. Mette Loyche Wilkie (replaced Dr. Jose Antonio Prado)
ED or his designee

CFME
1.
2.
3.
4.
5.

CAR:
Philippines:
Venezuela:
Spain:
Japan:

6. ITTO Secretariat:

Mr. Theodore Mbaro, Ministry of Water and Forests
Mr. Juan Magboo Pulhin, University of the Philippines, Los Banos
Mr. Ernesto Arends Rodriguez, Latin American Forest Institute
Dr. Pablo Manuel Martinez de Anguita, University Rey Juan Carlos
Mr. Koji Hattori, Ministry of Agriculture, Forestry and Fisheries (replaced
Mr. Kazuyuki Morita)
ED or his designee

TMT
1.
2.
3.
4.
5.
6.

27

Ghana:
Guyana:Malaysia:
Korea:
Switzerland:
ITTO Secretariat:

Dr. Beatrice Darko Obiri, Forestry Research Institute of Ghana
Ms. Pradeepa Bholanath, Guyana Forestry Commission
Mr. Sim Wah Loke, Malaysian Timber Industry Board
Dr. Rin Won Joo, Korea Forest Research Institute
Mr. Stefano Guidese, Woodtrade GM AG
ED or his designee

Ms. Linhares Juvena joined the UN REDD secretariat after being invited to participate as a Brazilian expert on the REDDES TPAC.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 70

ANNEX 11PROPOSED REFINEMENTS TO ANNEXES 1-3 OF DECISION 9(XLIV)DECISION 9(XLIV)ANNEX 1PROCEDURES FOR PILOT OPERATION OF
THEMATIC PROGRAMMES (TPs) FOR APPROVED THEMATIC PROGRAMME AREAS

ACTION AND SEQUENCERESPONSIBILITY

8. Development of a Thematic Programme Profile(TPP)

Executive Director (ED) in consultation withinterested donors and Members

9. Approval of the TPP

Council

10. Preparation of a Thematic Programme
Document (TPD) based on the approved TPP

ED with assistance of donors, other interested
Members, and as appropriate, other partners

11. Development and submission of proposals forfinancing under the TP

Members and ED

12. Assessment and selection of proposals forfinancing under the TP

ED based on the advice of the Thematic
Programme Advisory Committee (TPAC)

13. Monitoring & evaluation of TP implementation

Secretariat, implementing agencies, TPAC

14. Reporting on TP implementation

Annual reporting to Council by ED
Bi-annual reporting by implementing agencies
and Secretariat

8. Revision/amendment of the TPD as needed

CouncilFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 71

DECISION 9(XLIV)ANNEX 2GUIDELINES FOR THEMATIC PROGRAMME PROFILES
AND THEMATIC PROGRAMME DOCUMENTS

1.

Thematic Programme Profile (TPP)A TPP is a concise scoping document that provides an initial description of the Thematic Programme (TP)and covers the following elements:h)Rationale statement, including problem to be addressed and international contexti) General objectives, including a description of what constitutes programme successj) ITTO’s comparative advantage and value-added in the thematic areak)Strategy to be employedl) Anticipated outputs/outcomes and benefitsm) Potential partners/collaborating agencies and anticipated means of cooperationn)
Indicative budget and timeframeo)Potential donors
2.

Thematic Programme Document (TPD)

A TPD further develops the TPP and provides detailed information on the following planning and operational
elements. These elements comprise the logical framework for the TP:
Planning elementsn)Rationale statement and problem analysis, including relevant international and regional
processes and value-added of the programmeo)Specific objectives, including intermediate targetsp)Strategies for achieving objectives, including through knowledge managementq)Research inputs and methods, as appropriater) Outputs/outcomes/deliverables and expected impact/benefitss)Other partners and stakeholderst) Activities, including priority activities, as appropriate, and regional activitiesu)Work plan, including budget estimates and donor contributions
Operational elementsa)Composition of the Thematic Programme Advisory Committee and expert profilesb)General selection criteria for proposed activities/projects/pre-projects outlined in paragraph 2 ofAnnex 3c)TP-specific selection criteria for proposed activities/projects/pre-projectsd)Administrative arrangementse)Monitoring and evaluation proceduresf)Technical and financial reporting procedures

3.
To the extent possible, new TPDs will be developed in close consultation with TAG and
CSAG, as well as ITTO partners within the Collaborative Partnership of Forests with significant
mandates and activities in the thematic area.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 72

DECISION 9(XLIV)ANNEX 3TERMS OF REFERENCE FOR
THEMATIC PROGRAMME ADVISORY COMMITTEES

6.

Each ITTO Thematic Programme (TP) will have a Thematic Programme Advisory Committee (TPAC)
to assist the Executive Director with the implementation of the TP as follows:d)Selection of activities/pre-projects/projects for financing under the TP;
e)Monitoring and evaluation of progress in implementing the TP; andf) Identification of potential additional sources of voluntary financial contributions to the TP.

7.

In selecting activities/pre-projects/projects for financing, all TPACs will consider the following generalcriteria, in addition to the requirements identified in the ITTO Manual for Project Formulation, andthe specific criteria identified in the relevant TPD:k)
Conformity with the specific objectives and deliverables contained in the TPD;l) Linkages or relevance to other activities/pre-projects/projects under the programme;m) Mechanism for knowledge management and applicability/extension of results to othercountries, regionally or globally;n)
Clear quantitative and qualitative indicators to evaluate progress towards achieving TP
objectives;o)Measures to verify the coherence and effectiveness of activities/pre-projects/projects funded
under the TP.

8.

The membership of a TPAC and its functions will be identified in the TPD. As a general rule, each
TPAC will not exceed eight members, taking into account the need for balanced representation
among members. They will include:e)
Three producer member representatives;f) One non-donor consumer member representative;g)Representatives of interested donors;h)Representatives of collaborating institutions;i) One representative of TAG and/or CSAG depending on the nature of the TP; andj)
Executive Director or his designated representative.

9.

All TPAC members will have recognized expertise on the TP, including experience relevant to
the functions contained in paragraph 1.

10.

The Executive Director will invite individuals to participate on TPACs for a three-year term based on
nominations by Members, as well as TAG and CSAG, which are included on a roster of TP
experts.

11.

As a general rule, TPACs will coordinate regularly through electronic and internet means, including
voice and video internet communications (e.g. Skype), and will meet as needed to fulfill theirfunctions, subject to the availability of funds. TPAC chairpersons and TPAC focal points
within the Secretariat will consult closely on TPAC operations.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 73

ANNEX 12ILLUSTRATIVE BWP 2014-2015 ACTIVITY ON
MID-TERM EVALUATIONS OF ITTO THEMATIC PROGRAMMES28
ITTA, 2006, Articles 20, 24 25
Relevant ITTC 48 Decisions
ITTC Decisions 8, 9 and 10(XLIV)ITTO Strategic Action Plan: 2013-2018
I.

Background

In November 2008, through Decisions 8, 9 and 10(XLIV), the Council launched the pilot operation of ITTO
Thematic Programmes (TPs) for the following five thematic areas.
1. Forest Law Enforcement, Governance and Trade (TFLET)
2. Reducing Deforestation and Forest Degradation and Enhancing Environmental Services inTropical Forests (REDDES)
3. Community Forest Management and Enterprises (CFME)
4. Trade and Market Transparency (TMT)
5. Industry Development and Efficiency (IDE)
TFLET and REDDES TPs became operational in 2009 and have sufficient completed or ongoingprojects/pre-projects/activities to warrant a comprehensive assessment of progress and achievements todate in meeting TP objectives. CFME and TMT became operational in 2010 and are expected to havesufficient projects/pre-projects/activities completed or underway in the near future to support a similarassessment of efforts and impacts to date.
II.

Description

Conduct mid-term evaluations of TFLET and REDDES in 2014 and CFME and TMT in 2015 to evaluate
progress and achievements in meeting TP objectives and identify further actions needed. Each evaluation
will assess:
1.
2.
3.
4.

The extent to which funded projects/activities have contributed to meeting TP objectives
The coherence of funded projects/activities
Any gaps in projects/activities relative to specific TP objectives and outputs
Lessons learned and opportunities for upscaling lessons and best practices to othercountries/regions
5. TP complementarity with significant ongoing programmes/initiatives in the thematic area
6. New and emerging issues and institutional arrangements relevant to the TP
7. Opportunities for new and additional funding from public and private sources
The TP Monitoring Protocols will provide a framework for the TP evaluations which will consider, inter alia,
the results of ex-post and/or mid-term project evaluations and consultations with representatives oforganizations with significant TP-related mandates. The evaluations will be undertaken with the involvementof TPACs, and a meeting of each TPAC will be organized at a key juncture in the evaluation process.
III.

Expected Outputs
1. Comprehensive mid-term evaluation reports on progress and achievements under each TP.
2. Identification of potential sources of additional funding and ways to approach them.
3. Recommendations to strengthen TPs, revise/update TPDs and enhance coordination withpartners.

28

This activity is illustrative only and of necessity cannot reflect the status of TPs and TP operations as of ITTC 49 when Council willconsider the proposed BWP 2014-2015.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 74

INTERNATIONAL TROPICALTIMBER COUNCIL

Distr.
GENERAL
ITTC(XLVIII)/20
10 November 2012
Original: ENGLISHFORTY-EIGHTH SESSION
5-10 November 2012
Yokohama, Japan

DECISION 4(XLVIII)
STRENGTHENING ITTO THEMATIC PROGRAMMESThe International Tropical Timber Council,
Recalling Decision 8(XLIV) establishing the Thematic Programmes Sub-Account under the Special
Account, Decision 9(XLIV) on operational procedures and guidelines for Thematic Programmes on a pilot
basis, and Decision 10(XLIV) approving Thematic Programme Profiles for five thematic areas;
Welcoming the subsequent launch of ITTO Thematic Programmes on Forest Law Enforcement,
Governance and Trade (TFLET), Reducing Deforestation and Forest Degradation and Enhancing
Environmental Services (REDDES), Community Forest Management and Enterprises (CFME), and Tradeand Market Transparency (TMT);
Recalling that the International Tropical Timber Agreement (ITTA), 2006, the Successor Agreement to
the ITTA, 1994, entered into force definitively on 7 December 2011;
Also recalling the provisions of Articles 20, 24 and 25 of the ITTA, 2006 on the establishment andimplementation of Thematic Programmes;
Noting the Draft Report on the Effectiveness of Pilot Operation of ITTO Thematic Programmes;
Considering experiences gained in developing and implementing Thematic Programmes during thepilot phase;
Decides to:
1.

Adopt the procedures and guidelines for Thematic Programmes contained in Annexes 1 and 2 ofthis decision, and the terms of reference for Thematic Programme Advisory Committees(TPACs) contained in Annex 3 of this decision;

2.

Utilize the Thematic Programme procedures, guidelines and terms of reference for the continued
implementation of TFLET, REDDES, CFME and TMT and for any new Thematic Programmesthat may be established;3.

Initiate a process to review and, as needed, update or supplement existing ITTO project-related
manuals to ensure their full relevance to Thematic Programmes;

4.

Urge Members to contribute to the Thematic Programmes Sub-Account in order to fully
implement ongoing Thematic Programmes as soon as possible;

5.

Urge Members to submit high quality, well-focused Thematic Programme proposals and, as
needed, seek assistance from the Secretariat in this regard;

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 75

6.

Urge ITTO Focal Points to ensure that proposals submitted to the Secretariat are complete,properly-formatted and contribute to national priorities in the thematic area;

7.

Review and evaluate the effectiveness of individual Thematic Programmes when decided byCouncil; and8.

Request the Executive Director to:a)Include activities in the Biennial Work Programme to implement paragraph 3 of thisDecision and encourage Members to make voluntary contributions for this purpose;b)Update existing Thematic Programme Profiles and Thematic Programme Documents andadjust the composition of TPACs, as needed, to reflect paragraph 2 above;c)

Identify reasons for the lack of donor interest in the Thematic Programme on Industry
Development and Efficiency (IDE), consider ways to address these issues, and report toCouncil at its Forty-ninth Session on options for moving forward;d)

Utilize a flexible Thematic Programme project cycle calendar based on the level of funding
available and the number of proposals received;e)Facilitate the effective functioning of the TPACs in accordance with Annex 3;

f)

Work with the TPACs, ITTO Focal Points and implementing agencies to seek opportunities
to maximize synergies within each Thematic Programme, particularly during the appraisalstage;g)

Establish a weighting system for Thematic Programme proposal selection criteria to reflect
their relative importance to programme success, drawing on the weighting system used by
the Expert Panel on Technical Appraisal of Projects and giving due consideration to thecriteria contained in Annex 3 (paragraph 2) of this decision;h)Screen all proposals submitted for funding under the Thematic Programmes Sub-Accountand identify for appraisal only those proposals that meet the formatting and basic
information requirements set out in the Manual for Project Formulation and otherrequirements outlined in calls for proposals;i)Refine, in consultation with TPACs, the Thematic Programme Monitoring Protocols to
identify key indicators which can signal early successes or problems and, as needed,
better align target values with the issues the Thematic Programme seeks to address;j)Raise awareness on lessons learned and best practices from the implementation of
Thematic Programme projects, pre-projects and activities as part of ITTO’s knowledge
management strategy; andk)Report at each Council session on progress in implementing and managing Thematic
Programmes, including impacts and outcomes, and keep Members informed intersessionally through the ITTO website.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 76
ANNEX 1PROCEDURES FOR OPERATION OF
THEMATIC PROGRAMMES (TPs) FOR APPROVED THEMATIC PROGRAMME AREAS
ACTION AND SEQUENCERESPONSIBILITY

15. Development of a Thematic Programme Profile (TPP)

Executive Director (ED) in consultation withinterested donors, Members and relevant
stakeholders

16. Approval of the TPP

Council

17. Preparation of a Thematic Programme Document(TPD) based on the approved TPP

ED with assistance of donors, other interested
Members and to the extent possible the Trade
Advisory Group and the Civil Society AdvisoryGroup

18. Development of proposals for financing under the TP

Members, ED

19. Submission of proposals

ITTO Focal Points, ED

20. Proposal screening (for compliance with basic
requirements)

Secretariat

21. Proposal appraisal

Thematic Programme Advisory Committee (TPAC),
Secretariat

22. Selection of proposals for financing under the TP
based on appraisals

ED

23. Notification of Members of the ED’s selection two
weeks prior to the endorsement by the TPAC

Secretariat

24. Review and endorsement of selection of proposals

TPAC

25. Financing decisionED

26. Implementation of financed projects, pre-projects,
activities

Implementing agencies, Secretariat

27. Monitoring & evaluation of TP implementation

Secretariat, implementing agencies, TPAC

28. Reporting on TP implementation

Annual reporting to Council by ED
Bi-annual reporting by implementing agencies andSecretariat

15. Revision/amendment of a TPP or TPD as needed

CouncilFinal Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 77
ANNEX 2GUIDELINES FOR THEMATIC PROGRAMME PROFILES
AND THEMATIC PROGRAMME DOCUMENTS

1.

Thematic Programme Profile (TPP)A TPP is a concise scoping document that provides an initial description of the Thematic Programme (TP)and covers the following elements:p)Rationale statement, including problem to be addressed and international context
q)
General objectives,r) ITTO’s comparative advantage and value-added in the thematic areas)
Strategy to be employedt) Anticipated outputs/outcomes and benefitsu)Potential partners/collaborating agencies and anticipated means of cooperationv)
Indicative budget and timeframew)
Potential donors
2.

Thematic Programme Document (TPD)

A TPD further develops the TPP and provides detailed information on the following planning and operational
elements. These elements comprise the logical framework for the TP:
Planning elementsv)
Rationale statement and problem analysis, including relevant international and regional
processes and value-added of the programmew)
Specific objectives, including intermediate targets
x)Strategies for achieving objectives, including through knowledge managementy)Measures to verify the coherence and effectiveness of activities/pre-projects/projects funded
under the TPz)
Outputs/outcomes/deliverables and expected impact/benefitsaa) Other partners and stakeholdersbb) Indicative list of activitiescc) Work plan, including budget estimates

g)
h)
i)
j)
k)

Operational elements
General selection criteria for proposed activities/projects/pre-projects contained in paragraph 2 of Annex
3
TP-specific selection criteria for proposed activities/projects/pre-projects
Administrative arrangements
Monitoring and evaluation proceduresTechnical and financial reporting procedures

3.
To the extent possible, new TPDs will be developed in close consultation with Trade Advisory Group(TAG) and Civil Society Advisory Group (CSAG), as well as ITTO partners within the Collaborative
Partnership on Forests with significant mandates and activities in the thematic area.

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes
Page 78
ANNEX 3TERMS OF REFERENCE FOR
THEMATIC PROGRAMME ADVISORY COMMITTEES

12.

Each ITTO Thematic Programme (TP) will have a Thematic Programme Advisory Committee(TPAC) to assist the Executive Director in the:
g)
h)
i)

13.

When appraising, reviewing and endorsing activities/pre-projects/projects for financing, TPACs
will consider the requirements identified in the ITTO Manual for Project Formulation. In addition,
TPACs will consider any specific criteria identified in the relevant Thematic Programme Document(TPD), as well as the following general criteria:
p)
q)
r)

14.

Selection of activities/pre-projects/projects for financing under the TP;
Monitoring and evaluation of progress in implementing the TP; andIdentification of potential additional sources of voluntary financial contributions to the TP.

Conformity with the specific objectives and deliverables contained in the TPD;
Linkages or relevance to other activities/pre-projects/projects under the programme;
Clear quantitative and qualitative indicators to evaluate progress towards achieving TP
objectives;

As a general rule, each TPAC should not exceed 10 members and should take into account theneed for balanced representation among members. Each TPAC will include:
k)
l)
m)
n)
o)

Three producer member experts, representing the three producer regions;
One non-donor consumer member expert;
Representatives of interested donors;
Representatives of collaborating institutions, as appropriate;
One representative of Trade Advisory Group (TAG) and/or Civil Society Advisory Group (CSAG)The Secretariat will facilitate the work and operation of the TPACs.
15.

All TPAC members will have expertise on the topic covered by the TP, including experience
relevant to the functions contained in paragraph 1.

16.

The Executive Director will invite individuals under 3(a), (b) and (c) to participate on TPACs for athree-year term based on nominations by Members. The Executive Director will also invite
nominations from collaborating institutions, as well as TAG and CSAG.

17.

As a general rule, TPACs will coordinate regularly through electronic means and will meet as
needed to fulfil their functions, subject to the availability of funds. TPAC members and TPAC focal
points within the Secretariat will consult closely on TPAC operations.

***