INTERNATIOAL TROPICAL TIMBER ORGANIZATION

Final Report on
Effectiveness of Pilot Operation of ITTO Thematic Programmes
Executive Summary
January 2013

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

Final Report of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 1

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
Biennial Work Programme (BWP) 2011-2012. The draft report was completed in August 20121 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 TPs under the ITTA, 2006.
4
The 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. The final report also attaches Decision 4(XLVIII)
as Annex 13.2

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.
b.
c.
d.

1

TPP formulation
TPD formulation, scope and complementarity
TP/TPD review
TP project cycle, including appraisal, and TP management, monitoring and evaluation

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)
2
The final report and ITTC 48 Decisions, including Decision 4(XLVIII), are available from the ITTO website at:
http://www.itto.int/files/user/pdf/thematicprogrammes/TP_Review_2012_FullReport_Final.pdf

Final Report on Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 2e. 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
Consumers3
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

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

Autumn Cycle 2009: TFLET, REDDES

b. 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 to3Germany 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 of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 3the two specific selection criteria contained in each TPD4: (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 requestedc.

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
selection criteria from Annex 3 of Decision 9/XLIV which apply only to TPs have yet to be 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 cost-effective and fast-tracked 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 ofprojects/pre-projects/activities 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.

4

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 – Executive Summary
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D. Achievements/impacts during the pilot phase16.
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.5
TP Overview through Spring Cycle 2012
TP
TFLET

Target(USD)
15 milFunding(USD)
6.90 mil%Funded46

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
donors6
Netherlands , Japan
UK
Norway, Japan
Switzerland
Japan, USA
Switzerland
Switzerland, USAJapan

Projects
Funded21Completed
Projects
7
7

30

5

5

1

8

2

64

15

Top 3 producer
beneficiaries
Indonesia, Cameroon
GuatemalaBrazil8, 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 somewhat greater detailin the full report) are based on the synthesis of inputs received, as well as consultations with the Secretariat
and other 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”.

5

During the TP pilot phase, about USD 39 million was earmarked to non-TP projects, pre-projects and activities.
USD 3 million pledged to the TFLET pre-cursor initiative
7
Includes projects/pre-projects/activities funded under the TFLET pre-cursor initiative
8
Regional project for the Amazon
6

Final Report of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 5
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 ofstrategies 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 – Executive Summary
Page 6

4. Periodic evaluations of TPs/TPDs will be 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 (in the context of BWPs) or throughprogramme 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 of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
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F. 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 1.
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 2.
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 – Executive Summary
Page 8g. 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 of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 9ANNEX 1PROPOSED 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

1. Development of a Thematic Programme Profile(TPP)

Executive Director (ED) in consultation withinterested donors and Members

2. Approval of the TPP

Council

3. 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 TP

Members and ED

5. Assessment and selection of proposals forfinancing under the TP

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

6. Monitoring & evaluation of TP implementation

Secretariat, implementing agencies, TPAC

7. 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 – Executive Summary
Page 10DECISION 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:
a)
b)
c)
d)
e)
f)
g)
h)
2.

Rationale statement, including problem to be addressed and international context
General objectives, including a description of what constitutes programme success
ITTO’s comparative advantage and value-added in the thematic area
Strategy to be employed
Anticipated outputs/outcomes and benefits
Potential partners/collaborating agencies and anticipated means of cooperation
Indicative budget and timeframe
Potential donors

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 elementsa)Rationale statement and problem analysis, including relevant international and regional
processes and value-added of the programmeb)Specific objectives, including intermediate targetsc)Strategies for achieving objectives, including through knowledge managementd)Research inputs and methods, as appropriatee)
Outputs/outcomes/deliverables and expected impact/benefitsf)Other partners and stakeholdersg)
Activities, including priority activities, as appropriate, and regional activitiesh)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 of Effectiveness of Pilot Operation of ITTO Thematic Programmes – Executive Summary
Page 11

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

1.

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:
a)
b)
c)

2.

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:
a)
b)
c)
d)
e)

3.

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;
Mechanism for knowledge management and applicability/extension of results to othercountries, regionally or globally;
Clear quantitative and qualitative indicators to evaluate progress towards achieving TP
objectives;
Measures to verify the coherence and effectiveness of activities/pre-projects/projects funded
under the TP.

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:
a)
b)
c)
d)
e)
f)

Three producer member representatives;
One non-donor consumer member representative;
Representatives of interested donors;
Representatives of collaborating institutions;
One representative of TAG and/or CSAG depending on the nature of the TP; andExecutive Director or his designated representative.

4.

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

5.

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.

6.

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 – Executive Summary
Page 12ANNEX 2
ILLUSTRATIVE BWP 2014-2015 ACTIVITY ON
MID-TERM EVALUATIONS OF ITTO THEMATIC PROGRAMMES9
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.

9This 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.