ASEAN

Democratization
Program Evaluation
Collaboration Between INFID And ICCO

JULY 2013-DECEMBER 2015

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION i

ii ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO
ASEAN DEMOCRATIZATION
PROGRAM EVALUATION
Collaboration Between INFID and ICCO
July 2013-December 2015

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION iii
Table of Content
List of Tables v
List of Diagrams and Graphs v
List of Acronyms vi
Executive Summary Vii

CHAPTER I INTRODUCTION xii

A. INSTITUTIONAL PROFILE 1
B. PROGRAM CONTEXT 2
C. METHODOLOGY 7
1. External Evaluation 7
2. Focus and Criteria 7
3. Output 8
4. Approach and Method 8
5. Work Procedure 9
6. Evaluation Process 9
7. Key Informants 10

CHAPTER II PROGRAM DESIGN OVERVIEW 12

A. Program Vision and Mission 13
B. Direct Partners and Beneficiaries 16
c. Outcomes 20
D. Strategy Map 22
E. Organizational Behavior 25

CHAPTER III PROGRAM PERFORMANCE OVERVIEW 30

A. Relevance 31
B. Effectiveness 32
C. Efficiency 34
D. Impact 35
E. Sustainability 36

CHAPTER IV CONCLUSION AND RECOMMENDATION 38

A. CONCLUSION 39
1. Program Design 39
2. Program Performance 40

B. RECOMMENDATION 41
1. Program Design 41
2. Program Performance 41

APPENDIX 43

iv ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

List of Tables
Table 1. Program Activity 4
Table 2. Evaluation Process 9
Table 3. Key Informants 10
Table 4. Outcomes 20
Table 5. Strategy Map for Foreign Affairs Ministry 23
Table 6. Strategy Map for Members of Parliament 23
Table 7. Strategy Map for National and Regional CSOs 23
Table 8. Strategy Map for Academicians and the Media 24
Table 9. Organizational Behavior 27

List of Diagrams
Diagram 1. ASEAN Democratization Program Design 14
Diagram 2. Program Partners 16

List of Graphs
Graph 1. Program Design Evaluation 39
Graph 2. Program Performance Evaluation 40

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION v

List of Acronyms
INFID International NGO Forum on Indonesian Development

ICCO Interchurch Organization for Development Cooperation

ASEAN Association of Southeast Asian Nations

CSO Civil Society Organization

Komisi Untuk Orang Hilang dan Tindak Kekerasan / Commission
KONTRAS
for Missing Persons and Victims of Violence
Perkumpulan Keluarga Berencana Indonesia / Indonesian Family
PKBI
Planning Association
HRWG Human Rights Working Group

APF ASEAN Peoples Forum

ACSC ASEAN Civil Society Conference

ADN Asia Democracy Network

United Nations Economic and Social Commission for Asia and
UNESCAP
the Pacific
OGP Open Government Partnership

OECD Organisation for Economic Co-operation and Development

DPR Dewan Perwakilan Rakyat / House of Representatives

AICHR ASEAN Intergovernmental Commission on Human Rights

SEACA South East Asian Committee for Advocacy

FGD Focus Group Discussion

DE Developmental Evaluation

vi ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

EXECUTIVE SUMMARY
ASEAN DEMOCRATIZATION PROGRAM EVALUATION
Collaboration Between INFID and ICCO
(Interchurch Organization for Development Cooperation)
July 2013-December 2015

PROGRAM CONTEXT. INFID has been working in concert with ICCO (Interchurch
Organization for Development Cooperation) for the ASEAN Democratization
Program which was implemented from July 2013 to December 2015. The main
purpose of the program is to contribute significantly in creating a more inclusive
and participatory ASEAN policy-making process in a view to become a regional
organization that can better support and promote human rights, social justice
and sustainable development. The key strategy and approach for achieving the
program aim is through the following: (1) Policy research for advocacy; (2) Build
networks and synergies with various institutions and initiatives. Stakeholders
involved in the program are: (1) Indonesian Foreign Affairs Ministry, primarily
the Directorate for ASEAN Cooperation; (2) members of parliament; (3) National
CSOs such as Imparsial, KONTRAS, PKBI, HRWG, etc.; (4) Regional CSOs such as
ASIA Forum, etc.; (5) Academicians and the media. Main program activities cover:
(1) Coordination and meetings with Indonesian and regional CSOs; (2) ASEAN
policy research on human rights, poverty and social disparities; (3) Workshop on
formulating the ASEAN Human Rights Declaration, eradicating poverty, narrowing
gaps and social policies in ASEAN; (4) Advocacy meeting with the ASEAN Secretary
General in Jakarta and thematic meetings with ASEAN; and (5) Meetings with
parliament and participation in ASEAN and Asia Forum.

METHODOLOGY. The evaluation focuses on program design, outcome, agenda

and activities related to the ASEAN Democratization Program undertaken from July
2013 to August 2014. The evaluation criteria includes: Relevance, Effectiveness,

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION vii
Efficiency, Outcome and Sustainability. Outputs expected from this evaluation
are: (1) Facts and data on the evaluation criteria; (2) Key lessons learnt for the
organization based on evaluation results; and (3) Recommendation to improve
program quality and management, further develop the program and broaden
program impact. The evaluation approach is Developmental Evaluations (DE).
The evaluation method is outcome mapping, while data is collected through
document reviews, in-depth interviews and FGD. Key informants for the evaluation
are the implementing team, direct partners and program beneficiaries.

KEY FINDINGS. (1) Related to program design: (a) The programs vision needs to
take into account the characteristics of the system, mechanism, procedure and
policy-making practices in ASEAN as well the capacity of direct partners; (b) The
linkage between vision, mission, goals, targets, program and activities needs to
be operationalized into work flows and phases in a more systematic, measurable
and realistic manner. (2) Related to the selection of program partners. (a) The
importance of improving the quality of CSO representation and participation,
specifically in ASEAN policy-making processes. CSOs were previously only mere
listeners in public consultations without any meaningful engagement in decision-
making processes; (b) The participation of members of parliament serves as
a leverage point for accelerating the agenda of democratizing ASEAN; (c) The
need to comprehensively map out CSOs capacity (in terms of human resource,
organization and institution), develop a more effective strategy for engagement
and role delegation, and improve literacy and disseminate information on the
importance of democratizing ASEAN; (d) National and regional CSO networks
need to focus on providing input on issues related to the three pillars of ASEAN
Community cooperation (political security, economic and socio-cultural); and
(e) The need to intensify the engagement of the academia in developing critical
reviews of ASEANs future specifically on promoting human rights, democracy
and social justice in member countries. (3) Related to outcome. (a) Outcomes
expected from the program in general have not been effectively made known to
partners and beneficiaries; (b) The need to probe deeper into how submissions

viii ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO
can significantly impact on ASEAN policies; (4) Related to program strategy. (a)
The need to develop a more effective direct-causal strategy for the Foreign Affairs
Ministry and parliament as both partners play a pivotal role in promoting ASEAN
democratization; (b) The need to develop a more direct-causal effective strategy
for the academia and media for accelerating the dissemination of initiatives
and building public understanding on the correlation between the urgency for
democratizing ASEAN and promoting human rights, social justice and social
welfare at the national and regional level. Related to organizational behavior (a)
The need to broaden more meaningful support from multiple parties in ensuring
the democratization of ASEAN; (b) The need to promote critical studies and reviews
on ASEAN democratization for building the capacity of program implementers and
partners.

Key findings related to program performance are as follows: (1) Relevance (a) The
program in regard to substance should optimize the impact of the three pillars of
ASEAN cooperation. (b) As the program is based on needs, it is not only accepted
and supported by CSOs at the national and regional level, but also well-received
by the government of Indonesia (Foreign Affairs Ministry); (2) Effectiveness (a)
The need to determine the role and position of program partners in accelerating
efforts aimed at democratizing ASEAN; (b) The need for innovative approaches for
organizing in a more contextual, inclusive and comprehensive manner to ensure
widespread support for the ASEAN democratization discourse and agenda at the
national, regional and international level (3) Efficiency (a) The need to formulate
the stages necessary for program implementation according to targets by taking
into account organizational capacity and accessibility; (b) The need to determine
the structure and strategy for mobilizing a movement advocating ASEAN
democratization to protect human rights, narrow inequalities and promote social
justice at the national and regional level. (3) Impact (a) The need to formulate
indicators of success for the ASEAN democratization agenda and the implications
toward ASEAN policies, primarily concerning human rights, narrowing gaps and
social justice; (b) The need to re-identify key actors in accelerating the ASEAN

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION ix

democratization agenda by taking into account the differences in the political/
administrative systems of ASEAN member states, and policy-making mechanisms
of the ASEAN organization; (c) The need to scale up efforts aimed at sensitizing
and disseminating lessons learnt and outputs from the ASEAN Democratization
Program to stakeholders at the national, regional and international level; (d) The
need to set priorities and targets based on dialogues held from the lowest level
to ensure that real issues are raised and addressed in the ASEAN democratization
framework (issue-based). (5) Sustainability (a) The need to consolidate CSOs at the
national and regional level in order to ensure the engagement of as many elements
of civil society as possible, and to urge APF to discuss the three ASEAN cooperation
pillars and promote the democratization of ASEAN through social-cultural issues
(pillar); (b) The need to build literacy and capacity on ASEAN policies and the
impact on CSOs and the public; (c) The need for innovations and the replication of
the CSO-government engagement model in ASEAN member countries.

RECOMMENDATION. Program Design. First, reconstruct the vision-mission-goals-

targets-program-activities into a more systematic, measurable and realistic work
flow and stages; (b) comprehensively map out strategic actors and partners by
paying heed to the political culture and system of each country, as well as its
competence, capacity, credibility and constituents. Second, develop and intensify
the direct causal strategy related to the Foreign Affairs Ministry and members of
parliament, academicians and the media. Third, strengthen the broader support
and engagement of international bodies, such as UNESCAP, OGP and OECD.
Program Performance. First, enhance the understanding of CSOs and the public
on the role and urgency of ASEAN democratization and its implication in efforts to
mainstream human rights, narrow inequalities and promote justice at the national
and regional level. Second, strengthen the advocacy capacity and capability for
ASEAN democratization through partnerships with strategic units within ASEAN,
relevant ministries and regional networks. Third, determine the role and position
of program partners in accelerating the ASEAN democratization movement.
Fourth, innovative approaches for organizing in a more contextual, inclusive

x ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

and comprehensive manner to ensure more widespread support for the ASEAN
democratization discourse and agenda at the national, regional and international
level. Fifth, re-engineer advocacy efforts for the democratization of ASEAN to
protect human rights, narrow gaps and create social justice at the national and
regional level. Sixth, amplify, raise awareness and disseminate lessons learnt and
outputs from the ASEAN Democratization Program to stakeholders at the national,
regional and international level.

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION xi

CHAPTER I

INTRODUCTION

xii ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO
A. INSTITUTIONAL PROFILE
INFID (International NGO Forum on Indonesian Development) was founded in
1985. Prominent figures in civil society such as Gus Dur, Asmara Nababan, Gaffar
Rahman, Adnan Buyung Nasution, Dawam Rahardjo, Fauzi Abdullah, Wukirsari,
Kartjono, Zoemrotin KS, and many others, have been instrumental in forming
INFID. INFID has earned the recognition and accreditation of the United Nations as
an institution with UN Special Consultation Status with the Economic and Social
Council since 2004.

INFID is a member of IFP (International Forum for National NGO Platform) based
in Paris, France. IFP is a global NGO network that brings together national NGO
forums from across the world (http://www.ongngo.org/en) since 2009. INFID is also
part of Beyond 2015 (www.beyond2015.org), a global CSO network campaigning
on the post-2015 development agenda.

INFID envisions to promote democracy, social justice, equality and peace, and to
guarantee the upholding of human rights at the national (Indonesia) and global
level.

To bring this vision to reality, INFIDs mission is to:

a. Raise public awareness on the values of human rights, democracy, equality,
social justice and peace through public education;
b. Conduct policy research and reviews;
c. Promote policy dialogues to push for supportive policies that ensure the
fulfillment of human rights for all, specifically the poor and marginalized, based
on the values of democracy, equality, social justice and peace;
d. Collaborate and foster networks for building social solidarity and the national
and international level.

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B. PROGRAM CONTEXT
INFID works in concert with ICCO (Interchurch Organization for Development
Cooperation) for the ASEAN Democratization Program from July 2013 to December
2015. The program primarily hopes to significantly contribute in creating a more
inclusive and participatory ASEAN policy-making process and become a regional
organization that can more effectively support efforts to promote human rights,
social justice and sustainable development.

The main strategy and approach for achieving this program purpose is as follows:

1. Policy research for advocacy. The policy option proposed by NGOs shall
shape the policy-making process. Policy research for advocacy work therefore
becomes critical. Advocacy research will generate added value not only for
programs being implemented by INFID but also by its CSO partners. Advocacy
research must formulate initiatives and recommendations proposed by
civil society organizations in Indonesia and ASEAN, and supported with the
appropriate advocacy materials to help CSOs more effectively exert pressure
or influence on ASEAN;

2. Build networks and synergies with various institutions and ongoing initiatives
at the ASEAN level. The networks can help develop key aspects for policy
advocacy such as the following: (i) political map of ASEAN stakeholders,
including who and what institutions are influencers and or decision-makers, or
are resistant to human rights initiatives, and others; (ii) opportunities available
at different levels, including key events. For example, cooperation with Asia
Forum. Collaborative ties and synergies can be manifested through joint
meetings and joint formulations, such as in jointly preparing policy papers.

3. Give voice to the agendas advocated by Indonesian CSOs that are also INFID
members who have long been actively engaged at the ASEAN level. INFIDs
key advantage lies in the social capital of Indonesian CSOs, and national CSO

2 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 engagement is not simply viewed as being of immense strategic value but that
it can also ensure the optimal success of policy advocacy at the ASEAN level.
Organizations such as Imparsial, Kontras and HRWG are partners who will be
involved from the planning to implementation stages.

4. Make the most of INFIDs strategic position in Jakarta. Unlike other organizations
outside of Jakarta, INFID can make significant contributions by capitalizing on
its place of domicile and proximity to the ASEAN Secretariat in Jakarta.

Stakeholders involved in this program are: (1) Indonesian Foreign Affairs Ministry,
specifically the Directorate for ASEAN Cooperation; (2) Members of parliament; (3)
National CSOs such as Imparsial, KONTRAS, PKBI, etc.; (4) Regional CSOs such as
HRWG, ASIA Forum, etc.; (5) Academicians and the media.

Key program activities are as follows:

1. Coordination and meetings with regional and Indonesian CSOs;
2. ASEAN policy research on human rights, poverty and social inequality;
3. Workshop on formulating the ASEAN Human Rights Declaration, eradicating
poverty, narrowing gaps and social policies in ASEAN;
4. Advocacy meeting with the ASEAN Secretary General in Jakarta and thematic
meetings by ASEAN;
5. Meetings with parliament and participation in ASEAN and the Asia Forum

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 3

Program activities that have been conducted are provided in the table below:

Table 1. Program Activity

JULY 2013 JUNE 2014
Activity Involved Parties Frequency Outcome
Preparatory Meeting Implementing teams Once INFID gained input
(10 September 2013) from INFID, Kontras and on institutions
Imparsial recommended to attend
expert meetings
Expert Meeting on ASEAN Meeting attended by Once INFID gained input on
Human Rights Declaration 10 participants (ASEAN the areas of focus of
(19 September 2013) Foundation, LIPI, ASIA policy papers which
Forum, KontraS, AICHR, INFID will be preparing
Institute for Global
Justice, WALHI, Serikat
Buruh Migran Indonesia,
Imparsial, journalists
from The Jakarta Post)
ASEAN Writing Panel of jury from Once Three of the best
Competition with the the Foreign Affairs submissions and three
Directorate General for Ministry, the media runner-ups shortlisted as
ASEAN Cooperation under and academia, and winners
the Indonesian Foreign 400 participants who
Affairs Ministry (July- submitted their written The written works are
September 2013) work input from the public
concerning ASEAN and
the government of
Indonesia

Publication of INFIDs INFID implementing Once Publication of the digital

deliverables including team version of SNO-INFID in
those related to INFIDs two languages, English
advocacy work at the and Indonesian
ASEAN level, specifically
the Short News Overview- Distribution of SNO-
INFID (SNO-INFID) INFID to INFID partners
newsletter (September and members at the
2013) local, national and
international level

4 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 JULY 2013 JUNE 2014
Activity Involved Parties Frequency Outcome
Participated in the 80 participants Once INFID was part of the
establishment of Asia representing 50 CSOs Steering Committee for
Democracy Network and from 20 countries in Asia the formation of a new
the Asia Development alliance named Asia
Alliance regional meeting Democracy Network
in Seoul, South Korea (ADN) as a CSO forum for
(21-23 October 2013) promoting democracy
and human rights in
Asia, including ASEAN.
Participated in Bali Representatives Once Recommendation on
Democracy Forum VI (7-8 from 86 countries civil society engagement
November 2013) and 6 international in Bali Democracy Forum
organizations as an example of best
practice in regional/
other multilateral fora.

Press release and media

publication (radio) on
CSO activities in forums
Involved as resource Government Once INFID recommendation
person in a workshop on representatives from on CSO engagement in
the post-2015 development Brunei Darussalam, policy making and social
agenda held by ASEAN Indonesia, Lao PDR, development in ASEAN
Intergovernmental Philippines, Vietnam,
Commission on Human Singapore, Thailand and
Rights (AICHR) ASEAN Secretariat.
(11-12 December 2013) Also present were
national and regional
CSOs, UNDP, OHCHR
National Indonesian Civil Some 30 national CSO Once Several agendas
Society Consolidation for representatives emerged, and pressures
ASEAN Community 2015 from civil society on
(28 February 2014) ASEAN
Research and the Researchers: Twice Publication of research
formulation of policy 1. Wahyudi Djafar report on strengthening
recommendations on 2. Ardimanto Putra human rights in ASEAN
strengthening the ToR of 3. Hilman Hadoni
AICHR 4. Daniel Hutagalung Research report on
Institutionalizing civic
engagement in the
ASEAN Community for
upholding human rights
and social justice

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 5

 JULY 2013 JUNE 2014
Activity
APF Media Brief
(8 April 2014)
JULY 2014 JUNE 2015
Activity
ASEAN Expert Meeting,
Akmani Hotel Jakarta
(9 July 2015)
Audience with the ASEAN
Cooperation Dir-Gen to
hand in the submission
document on Post-2015
ASEAN VISION, Office of the
Foreign Affairs Ministry
(29 July 2015)
Discussion of CSO
Coalition for ASEAN, INFID
office in Jakarta
(8 September 2015)
Post-2015 ASEAN Special
Event at the National Civil
Society Meeting on SDGs,
Arya Duta Hotel in Jakarta
(7 October 2015)
6 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO
Involved Parties Frequency Outcome
CSOs under APF and the Once CSO and media
media consolidation
in preparing for
participation in APF in
Malaysia
Involved Parties Frequency Outcome
18 invitees consisting Once Obtained input and
of researchers, and feedback from experts
representatives on INFIDs draft input
from the Directorate prepared by Daniel
General for ASEAN Hutagalung on the
Cooperation, AICHR, ASEAN Vision 2025
FIHRRST, Komnas HAM, document
Komnas Perempuan,
LIPI, Sayogyo Institute,
Migrant Care,
academicians from UI,
UGM and UNPAR, and
Jakarta Post
Foreign Affairs Ministry Once Submission was handed
over to the Foreign
Affairs Ministry
20 participants from Once Recommendation for
national and regional initiating a forum for
CSOs formulating a joint
advocacy strategy /
Working Group
100 representatives Once Discussion on ASEAN
from the Indonesian issues related to SDGs
coalition of civil society
organizations
C. METHODOLOGY
1. External Evaluation
External evaluation carries an almost similar meaning as the generic term of
external quality monitoring. The only difference is that external evaluation can be
regarded as several forms of explicit summative assessments whereby external
quality monitoring covers more extensively and includes all forms of external
evaluation. External evaluation also refers to a process where a certain entity or
personnel collects data, information and evidence on an institution, a specific
unit of a certain institution, or the core activity of an institution for the purpose
of forming an opinion of its quality. External evaluation is conducted by a team of
external experts.

2. Focus and Criteria

The focus of this evaluation is program design, outcome, agenda and activities
related to the democratization of ASEAN implemented since July 2013 with the
following set of criteria:
a. Relevance: to look into the extent to which program goals, agendas or
activities are consistent with the needs of beneficiaries, contextual and
in keeping with the national and regional social and political dynamics
within ASEAN;
b. Effectiveness: to assess whether programs, agendas and activities are
conducted accordingly as set forth in point a (doing the right things);
c. Efficiency: to see whether programs, agendas and activities are carried
out appropriately in terms of strategic choice, method and resource
allocation;
d. Impact: to determine the indicators of long-term impact whether positive
or negative, direct or indirect, generated by the programs, agendas and
activities;
e. Sustainability: to assess whether the initiatives, programs, agendas and
activities will continue with the likelihood of further development and
expansion in the future.

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 7

3. Outcome
a. Data on program relevance, effectiveness efficiency, impact and
sustainability;
b. Key organizational lessons learnt based on evaluation results;
c. Recommendations for improving the quality of program management,
program development and extending program impact;

4. Approach & Method

Approach. This evaluation shall adopt the Developmental Evaluation (DE)1 approach.
This approach is advantageous for supporting a learning process, developing
innovations and devising program strategies adaptable to the complexities and
dynamics of change. The DE approach is preferred for the following considerations.
First, this program remains ongoing until the end of December 2015. Second,
this program faces the complexities of national and regional social and political
landscapes. Third, this program is designed to stimulate changes at the micro level
(mindsets and behaviors) and macro level (public policies).

Method. The method applied for the evaluation is outcome mapping which
can provide insights into how program outcomes can translate into changes
in the behaviors, relations, activities and actions of individuals, groups and/
or organizations that are the programs direct partners and beneficiaries. These
insights will be constructed based on the intentional program design that focuses
on program vision, activities, profile of direct partners, evidence of program
outcomes, changes that have occurred in direct partners, strategy map, and
how the implementing team carries out their functions. The techniques used for
outcome mapping include document review, FGD (focus group discussion) and
in-depth interview with direct partners and beneficiaries.

1 Patton 2010. Developmental Evaluation: Applying Complexity Concepts to Enhance Innovation & Use. New York: Guilford
Press;Patton, Michael Q., 2006, Evaluation for the Way We Work,The Nonprofit Quarterly, Spring; ; Jamie Gamble. (2008), A
Developmental Evaluation Primer, Montral: The J.W. McConnell Family Foundation.

8 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

5. Work Procedure
The evaluator formulates the initial findings based on document reviews
(proposals, work plans, evaluation monitoring reports, financial reports and
other relevant documents) and the results of interviews with the implementing
team. These initial findings shall cover the provisional identification of program
relevance, effectiveness, efficiency, impact and sustainability.

a. Evaluator performs a triangulation related to the initial findings by

using the FGD approach involving the implementing team and partner
representatives;
b. Based on the FGD results, the evaluator shall prepare a draft evaluation
report that contains the final findings and draft recommendations;
c. The draft evaluation report will be discussed further during the reflective
session with the INFID implementing team;
d. Presentation of evaluation results to INFID-ICCO.

6. Evaluation Process

Table 2. Evaluation Process

No Time Activity Venue
1. 27 October 2015 Preliminary meeting with INFID Office
INFID implementing team
2. 28 October 2015 Document review Griya Patria
3. 29 October 2015 13 November Semi-structured interview Adjusted according
2015 and in-depth interview with to key informants
stakeholders availability
4. 13 November 2015 19 Identification of key findings Grahatma Semesta
November 2015 Office, Jogjakarta
5. 20 November 2015 First draft report Grahatma Semesta
Office, Jogjakarta
6. Document finalization

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 9

7. Key informants
Key informants for this evaluation are as follows:
Table 3. Key Informants
Government/
Organization
I Foreign Affairs Ministry
1 Directorate for ASEAN
Economic Cooperation
II CSO
2 PKBI
(Perkumpulan Keluarga
Berencana Indonesia,
Indonesian Family
Planning Association)
3 HRWG
(Human Rights Working
Group)
4 Arus Pelangi
5 MAKAR/Pergerakan
Indonesia
6 Serikat Petani Indonesia
(Indonesian Farmers
Union)
Regional NGO
7 Asia Forum
8 SEACA
10 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO
Name Contact Person
Ina Hagniningtyas Director of ASEAN Economic
Cooperation
Ministrys Office, Tower Building, 8th Fl.
Frenia Nababan Frenia Triasiholan A.D.S.Nababan
Twitter : @suarapkbi / @thefr3y
Skype : amfr3y
frenia@pkbi.or.id
08158300406
Daniel Awigra ASEAN Advocacy Manager
Phone+6221 7073 3505,+6221 314
3015,+62817 692 1757
Fax+6221 3143 058
awigra@gmail.com
Anna Arifin (Upi) Program Manager
anna@aruspelangi, anna.arifin@gmail.
com
081299150011
Shantoy Communication Manager
broadcast97@gmail.com
081298810833
Amalia Pulungan sendamail@gmail.com
081218964169
Atnike Nova Sigiro - ASEAN Advocacy Program Manager
Indonesia Jalan Borobudur No. 14, Menteng,
Jakarta Pusat13510 - INDONESIA
E-mail:atnike@forum-asia.org
Tel:+62-21-31922975
Corinna Katrina South East Asian Committee for
Lopa - Filipina Advocacy SEACA
clopa@seaca.net
ckalopa@gmail.com
 Implementer
9 INFID Sugeng Bahagijo, sbahagijo@infid.org
Director
10 INFID Beka Ulung Beka.hapsara@infid.org
Hapsara, Advocacy
Manager
11 INFID Yolandri yolandri@infid.org
Simanjuntak,
Program Assistant
12 INFID Mugiyanto, mugiyanto@infid.org
Program Officer 081399825960

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 11

CHAPTER II

PROGRAM DESIGN
OVERVIEW

12 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

A. Program Vision and Mission
Program vision is a statement on the expected fundamental changes in human
behavior and condition as well as the social, political, economic and environmental
situation. These changes will be stimulated through program implementation.
The vision statement contains the aspirations, ambitions and ideal conditions to
be achieved that are driven by a deep concern over the current less-than-ideal
situation.

In accordance to the planning document and based on interviews with the

implementing team, the vision of the ASEAN Democratization Program is
More inclusive and participatory ASEAN policies in order to become a regional
organization that increasingly supports human rights, social justice and sustainable
development.

Program mission is a statement on how the implementing team wishes to support

program vision through an ideal approach which the implementing team prefers,
believes and considers to be the most appropriate for making the vision statement
real. The mission statement covers the preferred method and strategy for achieving
the program vision. It also reflects who the implementing team will be collaborating
with in carrying out the program and the specific roles that the implementing team
will assume that are considered to be the most consistent with the organizational
capacity and values. The mission statement further explains how the implementing
team will maintain the effectiveness, efficiency and relevance of the program and
related issues.

The mission of the ASEAN Democratization Program is as follows: (1) coordinate

and convene meetings with Indonesian and regional CSOs; (2) conduct research
on ASEAN policies related to human rights, poverty and social inequalities; (3)
organize a workshop for formulating the ASEAN Human Rights Declaration,
alleviating poverty and narrowing gaps in ASEAN, and social policies in ASEAN;
(4) advocacy meeting with the ASEAN Secretary General in Jakarta and thematic

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meetings with ASEAN; (5) meetings with parliament and engagement in the ASEAN
and Asia Forum.

Diagram 1. ASEAN Democratization Program Design

Findings related to program vision and mission:

1. Program vision needs to take into account the characteristics of ASEAN policy-
making systems, mechanisms, procedures and practices, and the capacity of
direct partners;

2. Linkages between vision, mission, goals, targets, program and activities need to
be operationalized into work flows and stages in a more systematic, measurable

14 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 and realistic manner. In regard to program implementation, these work flows
and stages are necessary to main work consistency and that it is carried out in
a systematic manner. Meanwhile concerning direct partners, there is the need
to facilitate better understanding of program logic;

3. The ASEAN Democratization Program initially focused on renewing the ASEAN

Charter but midway in the program it shifted to the strengthening of AICHRs
mandate. By the end of the program period, the focus of activities shifted to the
ASEAN 2025 vision. Throughout the program implementation process, changes
in program target are highly possible due to internal and external factors.
Within the context of the ASEAN Democratization Program, an internal factor
that may influence changes to program target is the implementing teams
understanding of the work design, flow and stages, in addition to the ineffective
identification of stakeholders, and changes in human resources involved in
program implementation. External factors include the ASEAN policy-making
system, climate and tradition, accuracy in selecting direct partners and the
dynamics of ASEAN regional issues.

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B. Direct Partners and Beneficiaries
Direct partners are individuals, groups or organizations that work together
to achieve program vision and mission. Program beneficiaries are groups or
individuals who ultimately benefit from the program outcomes. Direct partners
and beneficiaries involved in the ASEAN Democratization Program are as follows:

Diagram 2. Program Partners

BENEFICIARIES

DIRECT PARTNERS
Members of
IMPLEMENTING TEAM parliament

Foreign Affairs
Ministry
ICCO
STRATEGIC Intermediate
Input Activities Output Outcome
PARTNER Outcome

National & Regional

CSOs Regional ASEAN
INFID
Academicians &
Mass Media AICHR

The programs direct partners are as follows:

1. Foreign Affairs Ministry. The Foreign Affairs Ministry is a direct partner with
a significant role to play in the ASEAN Democratization Program with the
assumption that Indonesia has a dominant position in ASEAN and the Ministry
serves as a strategic entry point for promoting the democratization of ASEAN. As
a direct partner, the Foreign Affairs Ministry needs to be more open and actively
engaged in ASEAN policy-making processes. The Ministrys Directorate General
for ASEAN Cooperation is the key unit involved in the ASEAN Democratization
Program. The Directorate is responsible for formulating and implementing

16 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 policies, and determining the technical standardization in regard to politics
and foreign relations within the scope of ASEAN cooperation.

Intervention framework: (1) Create synergies with the Foreign Affairs Ministry
through a range of joint actions for building civil societys understanding and
broadening horizons on ASEAN; (2) Encourage the Foreign Affairs Ministry to
develop a civil society engagement mechanism for formulating policies related
to ASEAN.

2. Members of parliament. Another direct partner is the members of parliamentary

Commission I that is tasked to foster foreign relations with government
institutions and the private sector according to the responsibility of each
commission and under the coordination of the Inter-Parliamentary Cooperation
Agency. The engagement of these MPs is expected to strengthen support for the
ASEAN Democratization agenda through ASEAN inter-parliamentary channels.

Intervention framework: Build the commitment of Commission I members to

actively push for the democratization of ASEAN through inter-parliamentary
forums.

3. National & Regional CSOs. National and regional CSOs form a strategic
network for advocating ASEAN-related issues. Regional CSO networks are APF
(ASEAN People Forum), ACSC (ASEAN Civil Society Conference) and ADN (Asia
Democracy Network), while national CSO networks include the Civil Society
Coalition for ASEAN. As direct partners in the ASEAN Democratization Program,
regional and national CSOs can help mobilize civil society to promote the
democratizing of ASEAN.

Intervention framework: (1) Build synergies and establish a solid network

among national CSOs (through the Civil Society Coalition for ASEAN) and
regional CSOs (through APF/ASEAN Peoples Forum and ACSC/ASEAN Civil

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 17

 Society Conference) concerned over ASEAN-related issues; (2) Formulate more
effective advocacy strategies to establish a more participatory ASEAN policy-
making mechanism.

4. Academicians and the Mass Media. Academicians and the media are vital
components for articulating and resonating the ASEAN democratization
agenda. Both elements have the strength and influence to promote literacy
and dissemination through a persuasive approach on ASEAN democratization
to policy-makers and the public at large. Academicians and the mass media are
expected to amplify the resonance of issues related to ASEAN democratization.

Intervention framework: (1) Engage academicians (through advocacy research)

in pushing for the democratization of ASEAN; (2) Optimize the effective role of
academicians and the mass media in promoting literacy and dissemination on
ASEAN democratization.

Findings related to Direct Partners:

a. Foreign Affairs Ministry. Communication between CSOs and the Foreign
Affairs Ministry is established through various activities such as the ASEAN
Writing Competition, audiences and submissions. Open communication
lines provide a strategic opportunity for promoting the process of
democratizing ASEAN. There is an urgent need to improve the quality
of CSO participation, specifically in ASEAN policy-making processes.
CSO were previously mere listeners in public consultations without any
meaningful participation in the policy-making processes;
b. Parliamentary Commission I members. At the time of the evaluation,
members of parliament were not yet involved in program activities. Their
engagement in fact can be a leverage point for accelerating the ASEAN
democratization agenda;
c. National and Regional CSO Network. Program activities aimed at
developing national and regional CSO networks cover the following: (1)

18 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 Participation in establishing ADN (ASIA Democracy Forum); (2) Indonesian
National Civil Society Consolidation for ASEAN Community 2015; (3)
APF media brief; (4) CSO Coalition for ASEAN discussions; (5) Post-2015
ASEAN Special Event at the National Meeting of Civil Society for SDGs.
The outcomes of these activities are as follows: (1) INFID networks are
established for promoting human rights and democracy in Asia including
ASEAN; (2) Various civil society agendas and pressures on ASEAN have
emerged; (3) Recommendation for initiating a forum for the joint
formulation of the advocacy strategy/Working Group. Efforts needed to
optimize the outcomes and impact of work carried out by national and
regional CSO networks include: comprehensive mapping of CSO capacity
(in terms of human resource, organization and institution), develop a more
effective strategy for engagement and role division, and build literacy and
disseminate information on the importance of ASEAN democratization.
d. Academicians and the Media. The academia and media are key
components in amplifying the resonance of the ASEAN democratization
movement.

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c. Outcomes
Outcomes are changes in the attitude, behavior, action and relations expected
from direct partners through program interventions. Based on document reviews
and interviews with direct partners, the following outcomes are identified:

Table 4. Outcomes
Assessment
Direct Partner Outcome Excellent Good Fair Poor
(SB) (B) (C) (K)
Foreign Affairs A more inclusive and participatory
Ministry ASEAN policy-making process is
stimulated, that involves regional CSOs
and citizens
Notes:
Communication has been initiated but the quality of participation needs to be improved;
The Foreign Affairs Ministry is open and receptive to submissions but further assessment is
necessary on the extent to which submissions can influence policies

Assessment
Direct Partner Outcome Excellent Good Fair Poor
(SB) (B) (C) (K)
Members of Have a role to play in the
parliament democratization of ASEAN through the
inter-parliamentary networks of ASEAN
member countries
Notes:
There are no program activities specifically meant for members of parliaments, hence the
outcome cannot be measured as yet;
Assessment
Direct Partner Outcome Excellent Good Fair Poor
(SB) (B) (C) (K)
National & Solidness among CSOs through the
Regional CSOs ASEAN NGO Working Group with a joint
agenda to push for more democratic
ASEAN policies

20 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 Notes:
Initiatives have been made to mobilize CSOs at the national and regional level. At the national
level, the National Civil Society Consolidation for ASEAN Community 2015 has been initiated,
while APF (ASEAN People Forum) is established at the ASEAN level. In addition, the Forum for
Formulation of a Joint Advocacy Strategy/Working Group has been formed to respond to ASEAN-
related issues.
The need to develop a literacy strategy for heightening CSO concern and public control in
mainstreaming human rights, improving welfare and narrowing gaps among ASEAN member
states;
National and regional CSO networks need to focus on providing input and feedback concerning
issues related to the three pillars of cooperation within the ASEAN community (political security,
economic and socio-cultural);

Assessment
Direct Partner Outcome Excellent Good Fair Poor
(SB) (B) (C) (K)
Academicians Play an active role in literacy,
and the mass knowledge production and
media dissemination of information on the
urgency of democratizing ASEAN
Notes:
Several academicians and journalists from LIPI, UI, UGM, UNPAR and Jakarta Post are involved
in the ASEAN Democratization Program. Efforts should continue to be made to intensify the
engagement of academicians in developing critical reviews on the future of ASEAN that focus
on issues related to human rights protection, democracy and social justice in ASEAN member
countries.

Key findings related to outcome:

1. Outcomes expected from the program in general are not effectively made
known to partners and beneficiaries;
2. The need to probe further into how submissions can significantly influence
ASEAN policies.

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D. Strategy Map
A strategy map refers to a series of actions which the implementing team considers
to be most effective to support direct partners in achieving expected outcomes. A
strategy map provides an overview of how the implementing team shall collaborate
with direct partners. The map can be classified into two key strategies: First,
strategy for supporting partners directly (DIRECT STRATEGY). Second, strategy for
creating an enabling environment for the program (INDIRECT STRATEGY).

The direct and indirect strategy can be categorized into three groups: (1) Causal
Strategy is a strategy for generating something which can be directly observed
or felt; (2) Persuasive Strategy is a strategy for convincing and encouraging direct
partners to initiate change, primarily for building their capacity; and (3) Supportive
Strategy is a strategy intended to support the organizational development of
direct partners in order to stimulate more profound changes in direct partners and
create long-term impact.

In regard to causal strategy, the control and responsibility of the resulting

consequences (and outcomes) lies entirely in the hands of the implementing team.
For other types of strategies, the program only facilitates change. Hence, outcomes
are ultimately the responsibility of direct partners. The further the program moves
away from the causal strategy, the implementing team will have less control. This
concept has a significant implication on claims regarding program contribution
towards the achievement of program vision. The following are the strategies
applied in this program:

22 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

a. Strategy Map for Foreign Affairs Ministry

Table 5. Strategy Map for Foreign Affairs Ministry

Causal Persuasive Supportive
Direct Audiences and
presenting submissions/
recommendations as
references for Foreign
Affairs Ministry to
push for the necessary
ASEAN policies
Indirect Joint ASEAN Writing
Program

b. Strategy Map for Members of Parliament

Table 6. Strategy Map for Members of Parliament

Causal Persuasive Supportive
Direct Regular meeting
Indirect

c. Strategy Map for National and Regional CSOs

Table 7. Strategy Map for National and Regional CSOs

Causal Persuasive Supportive
Direct National Indonesian Civil Initiate a workshop Participate in the
Society Consolidation for and involved as establishment of
ASEAN Community 2015 resource person for the Asia Democracy
Initiate discussions of the workshop Network (ADN)
CSO Coalition for ASEAN
Post-2015 ASEAN Special
Event

Indirect Participate in Bali

Democracy Forum

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d. Strategy Map for Academicians and the Media

Table 8. Strategy Map for Academicians and the Media

Causal Persuasive Supportive
Direct Media brief on ASEAN Publication of Participate in the
research results on establishment of
ASEAN Asia Democracy
Participate in Network (ADN)
research activities
and formulate
ASEAN policy
recommendations
ASEAN expert
meeting
Indirect Participate in Bali
Democracy Forum

Findings related to Strategy Map:

1. Direct and causal strategies for the Foreign Affairs Ministry and parliament as
direct partners need to be developed as they play a significant role in promoting
the democratization of ASEAN.

2. Direct and causal strategies for the media as a direct partner are designed to
accelerate the dissemination of initiatives and build public understanding on
ASEAN democratization through human rights protection, welfare and social
justice.

24 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

E. Organizational Behavior
Organizational behavior refers to a series of actions undertaken by the organization/
institution in order to (1) stimulate creativity and innovation among program
implementers; (2) identify the best methods for facilitating direct partners; (3)
maintain the organizations position and role. Organizational behavior concerns
how an organization develops into a competent, reliable and sustainable entity. It
also relates to the ways in which the organization operates, efforts to improve the
quality of products or services and to maintain organizational sustainability.

Organizational behavior explains how a program will operate and how it should
be organized in order to achieve its mission. It refers to the behaviors and actions
practiced by the organization and the individuals therein, both formally and
informally, in managing the program and organization in order to become an
effective and efficient organization.

The eight aspects of organizational behavior in OM are as follows:

1. Explore new ideas and fresh opportunities: people in the organization will
continually explore new ideas, opportunities and resources relevant to the
program, and assist in achieving organizational mission;

2. Seek feedback: Apart from frequent communication with direct partners, the
program must also continually obtain feedback from relevant actors, i.e., other
parties with the expertise and knowledge in the sector/activity in which the
organization is involved in;

3. Solicit the support of those with a higher position in the organization:

Approach and deliver presentations to those holding key positions in the
organization in order to gain their support for implementing the program. It is
even better to engage them in activities to the fullest extent as possible to instill
a sense of ownership and commitment to the program;

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4. Test and improve products, services, systems and procedures;

5. Maintain good relations with actors willing to cooperate: A feedback

mechanism is in place to generate input based on previous experiences from
direct partners or parties being served or who are willing to cooperate which
will provide added value to the program;

6. Share knowledge with the public at large: Has an effective strategy for
disseminating program outcomes and lessons learnt, internally and externally,
and through relevant networks;

7. Experiment to develop innovations: Provide the necessary space and

resources to stimulate innovations in regard to program direction, instruments
and methods, and look into possible relations with other parties for broadening
horizons;

8. Turn lessons learnt into a culture/tradition: Treat every program intervention

as an opportunity to learn, by providing the necessary resources and time.

The following table presents aspects in organizational behavior for implementing

the ASEAN Democratization Program:

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Table 9. Organizational Behavior
No ASPECTS IN KEY INITIATIVE/ACTIVITY MEANS OF VERIFICATION
ORGANIZATIONAL
BEHAVIOR
1. Explore fresh ideas Preparatory meeting INFID receives input on institutions
and opportunities recommended for the expert meeting
on 19 September
2. Seek feedback Expert meeting on INFID receives input on the focus
ASEAN Human Rights of policy papers which INFID will
Declaration be preparing
Recruit researchers Expert meeting report on the
Human Rights Declaration
News on activities published
at the SBMI website on 21
September at : http://sbmi.or.id/
infid-gelar-diskusi-deklarasi-
ham-asean/

3. Gain support from Joint program with the Announcement of activities:

those with a higher Foreign Affairs Ministry http://www.kemlu.go.id/
position in the through the ASEAN Pages/InformationSheet.
organization Writing Competition aspx?IDP=79&l=id
Audience with the Document submission to the
ASEAN Directorate Foreign Affairs Ministry
General to submit the
document on Post-2015
ASEAN VISION
4. Test and improve ASEAN Expert Meeting Obtain feedback and input from
products, services, Program evaluation experts on INFIDs draft input
systems and prepared by Daniel Hutagalung
procedures on ASEAN Vision 2025
Program evaluation report
(ongoing)
5. Maintain good Participate in the INFID is involved in the Steering
relations with actors establishment of Asia Committee for forming a new
willing to cooperate Democracy Network alliance named Asia Democracy
Participate in Bali Network (ADN) that serves
Democracy Forum as a CSO forum for building
APF media brief democracy and promoting
human rights in Asia, including
ASEAN.
Press statement

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 27

 No ASPECTS IN KEY INITIATIVE/ACTIVITY MEANS OF VERIFICATION
ORGANIZATIONAL
BEHAVIOR
6. Share knowledge Publish the outcomes SNO Newsletter can be
with the public at of INFIDs work through downloaded at website : http://
large the SNO Newsletter infid.org/pdfdo/1389773722.pdf
Publish the research Research report on
report strengthening human rights in
Resource person in ASEAN
the workshop on the Research report on
post-2015 development Institutionalizing civic
agenda held by AICHR engagement in the ASEAN
Community for upholding
human rights and ensuring
social justice
7. Experiment to National Indonesian Emergence of several civil society
develop innovations Civil Society agendas and pressures on ASEAN
Consolidation for Recommendation for initiating
ASEAN Community 2015 a Forum for the Formulation
Discussion of the APF of a Joint Advocacy Strategy /
CSO Coalition for ASEAN Working Group
Post-2015 ASEAN
Special Event during the
National Civil Society
Meeting on SDGs
8. Turn lessons learnt Monitoring, evaluation and External evaluation though the
into a culture/ reflection developmental evaluation approach
tradition

Findings related to Organizational Behavior:

1. Broadening support from more influential parties in ensuring the

democratization of ASEAN. It is not enough to gain the support of the Foreign
Affairs Ministry and parliament. Efforts should be made to garner the support of
relevant international institutions on the urgency of democratizing ASEAN (e.g.:
UNESCAP, OGP, OECD, etc.)
2. The need for critical studies and reviews on ASEAN democratization to build
the capacity of direct partners and/or multiple parties to create discourses,
develop innovations and strategic initiatives on issues related to human rights,
welfare and social justice in ASEAN member countries.

28 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 Halaman ini sengaja di kosongkan

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 29

CHAPTER III

PROGRAM PERFORMANCE
OVERVIEW

30 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

Evaluating the performance of the ASEAN Democratization Program is based on
five criteria: relevance, effectiveness, efficiency, outcome and sustainability. The
following is the operationalization and indicators of the five criteria:

A. RelevanCE
The relevance criteria is to assess the extent to which program goals, agendas
and activities are consistent with (1) organizational intent (vision, mission, goal,
strategy); (2) ASEAN policy direction; (3) contextual with problems, challenges
and trends in national, regional and international political dynamics.

Assessment covers the following questions: (a) Is the ASEAN Democratization

Program being implemented consistently with the vision, mission, goals,
strategies and ASEAN policy direction?; (b) What are the strategic issues,
problems and needs that this program expects to address?; (c) Can the program
contribute to the improvement of ASEANs performance?; (d) What changes/
improvements are expected from this program?

Respondents view this program as highly relevant, if seen from the context
of developing ASEAN through the three pillars of cooperation, i.e., political
security, economic and social-cultural. Civil society works toward creating
a balance between the three pillars of cooperation. Respondents from CSOs
consider the democratization of ASEAN as an important agenda, while the
Foreign Affairs Ministry is open to discussions and cooperation, despite the
differences in viewpoint between CSOs (democratization) and Foreign Affairs
Ministry (protection of citizens). If the balance between the three pillars of ASEAN
cooperation is regarded as the problem and solution (still unbalanced, thus the
need to ensure balance), respondents see the ASEAN Democratization Program
as a strategic issue. Nevertheless, achieving this goal and its implication on
improving ASEANs performance is a medium-term outcome or may even be a
long-term outcome.

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To maintain relevance, informants and respondents involved in the evaluation
process have suggested the following:

1. Broaden the constituent base at the national level by engaging more national
CSOs from different sectors and accommodating issues that are of their
concern;
2. Broaden the constituent base at the regional level by facilitating the formation
of a CSO Coalition for ASEAN Democratization in ASEAN member states and
building linkages with these coalitions;
3. Disseminate issues facing CSOs at the respective ASEAN member country
regarding ASEAN Democratization;
4. Raise the understanding of CSOs and the public on the implications of ASEAN
policies in the context of human rights protection, welfare and social justice.

B. EFFECTIVENESS

The effectiveness criteria is to assess the extent to which the program, agendas
and activities are implemented accordingly in keeping with the program design
and needs (doing the right things).

Assessing effectiveness is related to the following questions: a) Is the program

design understood by partners and beneficiaries?; b) Have program goals
been achieved, how are achievements identified, and what are the means
of verification?; c) How have partners and beneficiaries participated and
contributed for the success of this program?; d) What changes/improvements
have occurred as an implication of the implementation of this program?

Despite having direct knowledge and showing appreciation to INFIDs

participation in efforts to democratize ASEAN at the regional level, respondents
do not have an in-depth understanding of the program design, the vision on
which the program is based on, expected goals and targets. As such, respondents

32 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

could only provide a general view of these matters.

In general, it can be said that program goals have not been realized, hence the
need to improve the effectiveness of the ASEAN Democratization Program.
Causal factors are as follows: 1) A program design that sets a relatively short time
span for achieving long-term goals (two and a half years); 2) less than optimal
management of the program for the first year prior to the replacement of the
Program Officer; 3) An ASEAN policy-making climate, system and tradition that
does not allow for accelerating efforts to achieve program goals.

On the other hand, as a program initiated to help democratize ASEAN,

its implementation has succeeded in building linkages with various key
stakeholders, one of which is the Foreign Affairs Ministry, and in initiating a
national CSO consolidation forum for CSOs concerned over the ASEAN agenda.

In regard to effectiveness, informants and respondents involved in this

evaluation process have suggested the following:

1. Disseminate the program vision and mission to various parties, specifically to

key partners and INFID members as well as national and regional CSOs.
2. Choose an appropriate role/positioning in the ASEAN democratization
movement;
3. Formulate an inclusive and comprehensive approach with direct partners
by taking into account various factors, such as the political context, key
stakeholders, internal capacity and others.
4. Intensify knowledge sharing among national and regional CSO networks
related to the ASEAN Democratization agenda.

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C. EFFICIENCY
The efficiency criteria is to assess the extent to which the program, agendas and
activities are implemented accordingly in terms of strategic choice, method and
resource allocation. This criteria covers the following questions: a) Do human
resource and implementing partners have the competency to implement the
program?; b) Are the technology, facilities and infrastructure in line with program
needs?; c) Are there sufficient funds for supporting efforts to achieve program
outcomes?; d) Are all agendas and activities under this program implemented in
a timely manner? In general, program implementation is supported by competent
human resources experienced in their respective fields. Nevertheless, it can be said
that most agendas and activities are realized in the second half of the program
implementation period after the replacement of the Program Officer. As a result, the
program implementation structure failed to show a logical flow of phases. Lack of
human resource (headcount) affected the effectiveness of program administration.
Mobilization at the national and regional level requires substantial funding.

In regard to efficiency, informants and respondents involved in this evaluation

process have suggested the following:

1. Develop more effective strategic options;

2. Reformulate the program implementation phases in accordance to expected
targets;
3. Strengthen the program management structure through dedicated staff
specifically for managing the ASEAN Democratization Program.

34 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

D. IMPACT
The impact criteria is to determine indicators of short-term changes (direct
outcome) and medium-term changes (intermediate outcome), both positive and
negative, direct and indirect, generated by the program, agendas and activities.

This criterion covers the following questions: a) How has the program influenced
the mindsets of actors as the program target group? What are the means of
verification?; b) Which agendas and activities that have mostly contributed to
initiating changes at the human resource and/or policy level?; c) How is the
situation different before and after the program?; d) Which changes have led to
outcomes that exceed program expectations?; e) What conditions and factors
have impeded the achievement of this program?

At the initiation stage, the ASEAN Democratization Program has laid the building
blocks for the next phase. The program emphasizes on the importance of
addressing the issue among national and regional CSOs, particularly through the
engagement of INFID in regional fora. Linkages have been established with key
partners, including the government of Indonesia, in this case the Foreign Affairs
Ministry, and AICHR at the ASEAN level. Nevertheless, changes have yet to be seen
at the policy and institutional level that focus on or accommodate viewpoints and
opinions advocated by the program.

Several disabling factors are as follows:

1. The necessary stages have not been identified in terms of short-, medium- and
long-term targets and strategies.
2. ASEAN member countries have diverse political/governance systems
(democratic ASEAN, only when all member countries abide by the principles
of democracy).
3. Less than optimal consolidation of the movement (management of issues and
interests) at the national and regional level.

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 35

E. SUSTAINABILITY
This criteria looks at whether initiatives, programs, agendas and activities can
continue to be implemented, and the possibility of developing and expanding
them in the future. It covers the following questions: a) How committed and willing
are stakeholders in contributing to ensure that the program is followed up?; b)
What is the response and/or contribution of national and regional networks to this
program?; c) What strategies and efforts need to done to ensure the sustainability
of the program?

Given the opinion that this program is highly relevant, respondents believe that
the sustainability of the ASEAN Democratization Program is of absolute necessity.
National and regional CSOs as stakeholders are most likely to show their
commitment to cooperate and contribute by working in concert with INFID. Efforts
needed to ensure the continuity of this program are as follows:

Role strengthening: Only several national and regional CSOs are concerned
over the issue of ASEAN democratization. As an initiator advocating this issue,
INFID needs to assert its role as leader (facilitator) of the ASEAN democratization
movement;

CSO consolidation: Consolidation is done at the national and regional level to

engage as many elements of civil society as possible;

Issue consolidation: The need to determine priority issues and targets based
on dialogues held from the most lower level in order to ensure that real issues
are accommodated within the ASEAN democratization framework (issue-
based);

Urge APF to discuss the three ASEAN pillars and push for ASEAN democratization
through the social-cultural pillar;

36 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

 More comprehensively map out issues;

Intensify media engagement to disseminate ideas and issues;

Build the capacity and understanding of CSOs and the public on ASEAN and its
impact;

Promote CSO engagement with the government (at least with the Foreign
Affairs Ministry) in other ASEAN member countries

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 37

CHAPTER IV

CONCLUSION AND
RECOMMENDATION

38 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

A. CONCLUSION
1. Program Design

Graph 1. Program Design Evaluation

The key priority in improving program design is reconstructing the vision-mission-

goals-targets-program-activities into a more systematic, measurable and realistic
work flow and stages. Reconstruction involves identifying indicators of success for
the program. This is crucial in order to determine the extent to which the program
has been implemented, and as reference for reflection and evaluation for the
purpose of improving program management.

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 39

2. Program Performance

Graph 2. Program Performance Evaluation

Given the significant relevance and sustainability of the ASEAN Democratization

Program, there is an urgent need to improve program performance by increasing
program effectiveness and optimizing program efficiency and impact. The
evaluation process identified several determinants that affect efforts to improve
effectiveness and optimize efficiency and impact, which are as follows: 1) a shift
in targets in the middle of program implementation; 2) absence of dedicated
staff specifically for managing the program; 3) lack of communication with direct
partners which leads to an incomprehensive understanding of the program.

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B. RECOMMENDATION
1. Program Design

a. Reconstruct the vision-mission-goals-targets-program-activities into a

more systematic, measurable and realistic work flow and stages;
b. Comprehensively map out strategic actors and partners by taking into
consideration the political culture and system of the respective country,
as well as its competency, capacity, credibility and constituents;
c. Develop and intensify direct-causal strategies for the Foreign Affairs
Ministry and members of parliament, academicians and the media;
d. Strengthen the wider support and engagement of international institutions
such as UNESCAP, OGP, OECD, etc.

2. Program Performance

a. Increase the understanding of CSOs and the public on the role and urgency
of ASEAN democratization and its implication for mainstreaming human
rights, narrowing gaps and creating justice at the national and regional
level;
b. Build advocacy capacity and capability for democratizing ASEAN through
partnerships with strategic units within the ASEAN organization, relevant
ministries and regional networks;
c. Determine the roles and position of program partners for accelerating the
ASEAN democratization movement;
d. Develop innovative approaches for contextual, inclusive and
comprehensive organizing to ensure more widespread support for the
ASEAN democratization discourse and agenda at the national, regional
and international level;
e. Re-engineer the advocacy movement for the democratization of ASEAN

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 41

 to uphold human rights, narrow gaps, and promote social justice at the
national and regional level;
f. Amplify, build awareness and disseminate products and lessons learnt
from the ASEAN Democratization Program to stakeholders at the national,
regional and international level.

42 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

Appendix
TOR EXTERNAL EVALUATION
ASEAN Democratization Program
Jakarta, September 2015

I. Background
A. Brief Look at INFID

INFID was established in June 1985 as an international forum of NGOs working

on Indonesian development issues related to aid to Indonesia from various
donors. This Forum was initially called the Inter-NGO Conference on IGGI Matters or
INGI. IGGI is a forum for donors providing aid to Indonesia established right after
Indonesia was ruled by the military regime. IGGI stands for Inter-Governmental
Group on Indonesia chaired by the Minister of International Development of the
Netherlands. In 1992 IGGI was dissolved by the government of Indonesia and
hence the GOI requested to the World Bank to establish another Group that later
was called Consultative Group on Indonesia (CGI). INGI was then changed to
INFID. INFID was established as a foundation in the Netherlands since it was not
possible to hold meetings, seminars and conferences about development policies
in Indonesia. The strategy was to borrow democratic processes in other countries
to promote democratic rights of the people in Indonesia towards development
policies supported by foreign aid.

In 2000 INFID officially opened office in Jakarta as a foundation as its legal form.
In 2007, CGI was dissolved by President Susilo Bambang Yudoyono. This put
certain challenges to INFIDs strategies and format of organization. In 2008, the
international and national participants of INFID decided to change the format of
INFID as Perkumpulan or Association. In 2009, INFID members (94 organizations)

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 43

adopted and ratified the statutory act of INFID as a Perkumpulan (membership-
based organization).

As an umbrella organization, INFID members range from human rights

advocacy NGOs, faith-based development CSOs, environmental campaign and
environmental protection services NGOs, capacity building institutes, research
institutes, development services NGOs and NGOs with specific concerns (family
planning, womens NGOs, and NGOs working with people with disabilities) and
health workers associations.

At present there are three programs: 1) reducing poverty and inequality through
CSO participation in national and local development planning and evaluation,
promoting local initiatives in national and international forums and linking
international development issues to national and local development actions),
e.g., G20 issues with national and local development, global trends and national
and local issues; 2) MDGs and Post-2015 Development Agenda by promoting
Post-2015 Development Agenda at the national and local level, translating global
agenda at the national and local level, strengthening CSO participation in the
Post-2015 Development Agenda; 3) democracy and human rights, by influencing
ASEANs democratization process through strategic engagement with the ASEAN
Secretariat and strengthening regional and national CSO engagement in ASEAN,
promoting business and human rights, and human rights cities.

B. Overview of the ASEAN Democratization Program

The ASEAN Democratization Program is a joint project between INFID and ICCO
which commenced in July 2013 and shall end on 31 December 2015. This program
aims to create a more inclusive and participatory ASEAN policy-making process
towards becoming a regional organization increasingly in favor of human rights,
social justice and sustainable development.

44 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

The ASEAN Democratization Program came about following concern over ASEANs
numerous policies on liberalization, particularly market liberalization. There is
fear that such policies may lead to widespread environmental degradation within
ASEAN. Furthermore, many social and economic policies have the potential to
worsen the poverty situation. Despite having signed the ASEAN Human Rights
Declaration in 2012, the Declaration has yet to be realized to its fullest extent. This
is mainly due to ASEANs non-inclusive decision-making process. ASEAN also does
not engage civil society as strategic partners in formulating its policy documents.
In view of this, efforts to push for a more democratic process in ASEAN are now a
pressing need.

This program applies four key approaches: 1) policy research for advocacy, 2)
networks and synergies, 3) voice of Indonesian CSOs, and 4) taking maximum
advantage of INFIDs strategic position. All four approaches are then translated into
a series of activities that include regular meetings, research, workshop and others.

In order to gain insight into the results achieved in implementing the ASEAN
Democratization Program, an external evaluation must be carried out.

II. Purpose

The purpose of an external evaluation in general is to:

1. Assess achievements made in the ASEAN Democratization Program, both in
terms of outcomes and intermediate outcomes, as well as the approaches
adopted.
2. Provide inputs in the form of lessons learned from the ASEAN Democratization
Program for INFID and ICCO.

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 45

The specific purpose of this program is to:
1. Document key activities conducted in order to meet program targets (outcome).
2. Document changes and transformations in ASEAN.
3. Assess program implementation and identify obstacles in achieving program
outcomes.
4. Generate recommendations for INFID and ICCO to improve program
management in the future.
5. Develop a learning mechanism for INFID and ICCO in the future.

III. Key Issues for Evaluation

The scope of evaluation revolves around three core questions:

1. To what extent have program outcomes and intermediate outcomes been
achieved, and how effective are the four approaches based on the work plan
and milestones?
2. What are the context and external factors influencing program implementation?
3. To what extent has the programmatic assumption of INFID been tested
according to the context, and how have INFID members contributed to the
program?

Questions relating to lessons learnt are as follows:

1. What can be learned from the process, and how can the gap between INFID
partners and members be bridged?
2. What kind of role can INFID possibly play at the national/regional level in the
future?

46 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

iV. Evaluation Method
Evaluation shall consist of the following stages and approaches:
1. Recruitment of evaluator candidates
2. Evaluator prepares a detailed and concrete Inception Report/Work Plan for
implementing the evaluation process
3. Overview and analysis of relevant documents, including reports on INFIDs
work implementation
4. Workshops/interviews/discussions with different stakeholders, including staff
members of the Secretariat, INFID networks and members, Board members,
and other stakeholders (government, members of parliament, and ASEAN
Secretariat)
5. Compilation of the evaluation report to be shared with INFID and ICCO in which
comments on the draft report by INFID and ICCO should be included before
finalization of the report.
The evaluation process shall be conducted in a participatory manner to draw as
many opinions and ideas possible from different participants.

V. Reporting

The evaluator shall be responsible for the content of the evaluation report, while
INFID shall be in charge of overseeing the evaluation process. The report will be
available in electronic and hard copy (3 copies). It must include INFIDs profile as
well as the results of workshops, interviews, case studies and desk reviews, with
the necessary enclosures.

The report shall be submitted within two weeks after all data has been validated
with the following structure:
1. Background
a. The background and objectives of the evaluation
b. Evaluation methodology: description of the methodology used in the
evaluation

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 47

2. Findings
3. Analysis of the Findings
4. Recommendation
5. Annexes
Annexes consist of:
a. List of documents being used/referred
b. Respondents that were interviewed
c. Terms of Reference

VI. Budget and Time Frame

Total budget for the program shall amount to IDR 40 million. Evaluation shall be
conducted for four weeks, from the first week of October to end of October 2015.
The final report will be submitted to INFID by 30 October 2015.

VII. Criteria of Evaluator

The set of criteria for evaluators is as follows:

1. Has experience in conducting external evaluation
2. Possess an understanding of civil society in Indonesia and ASEAN
3. Has knowledge on ASEAN, including ASEAN governance
4. Possess an understanding of democracy and human rights

48 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO

COLLABORATION BETWEEN INFID AND ICCO ASEAN DEMOCRATIZATION PROGRAM EVALUATION 49
International NGO Forum
on Indonesian Development (INFID)

Jl. Jatipadang Raya Kav.3 No.105 Pasar Minggu

Jakarta Selatan, 12540
Phone : 021 7819734, 7819735
Email : infid@infid.org
Website : www.infid.org

50 ASEAN DEMOCRATIZATION PROGRAM EVALUATION COLLABORATION BETWEEN INFID AND ICCO