Peace and Conflict Analysis (CA) Peace and Conflict Assessment (PCA)

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1 Division Governance and Democracy PCA Peace and Conflict Analysis (CA) Peace and Conflict-Relatet Relevance Assessment Risk Management Peace and Conflict-Related Impact Monitoring Peace and Conflict Assessment (PCA) A methodological framework for the conflict- and peace-oriented alignment of development programmes

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3 Peace and Conflict Assessment (PCA) A methodological framework for the conflict- and peace-oriented alignment of development programmes Eschborn, 2008

4 Published by: Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH P.O. Box Eschborn, Germany T F E Internet: Division Governance and Democracy Sector Programme Peace and Security Responsible: Gabriele Kruk Author: Manuela Leonhardt, Kai Leonhardt, Christian Strehlein Contact at the German Federal Ministry for Economic Cooperation and Development: Division 210 Editing: Christoph Bleis, Juliane Kolsdorf Layout: Miriam Gamper, dko-design, Essen, Germany Print: PT Druckpartner Engels GmbH, Mönchengladbach, Germany Eschborn, 2008

5 Our Organisation The Deutsche Gesellschaft für Technische Zusammenarbeit (GTZ) GmbH is an international cooperation enterprise for sustainable development with worldwide operations. It provides viable, forward-looking solutions for political, economic, ecological and social development in a globalised world. Working under difficult conditions, GTZ promotes complex reforms and change processes. Its corporate objective is to improve people s living conditions on a sustainable basis. Our Clients GTZ is a federal enterprise based in Eschborn near Frankfurt am Main. It was founded in 1975 as a company under private law. The German Federal Ministry for Economic Cooperation and Development (BMZ) is its major client. The company also operates on behalf of other German ministries, partner-country governments and international clients, such as the European Commission, the United Nations and the World Bank, as well as on behalf of private enterprises. GTZ works on a public-benefit basis. Any surpluses generated are channelled back into its own international cooperation projects for sustainable development. GTZ Worldwide Operations In almost 130 countries of Africa, Asia, Latin America, the Eastern European countries in transition and the New Independent States (NIS), GTZ employs some 9,300 staff; around 8,200 of these are national personnel in partner countries. GTZ maintains its own offices in 67 countries. Some 1,000 people are employed at Head Office in Eschborn near Frankfurt am Main. In addition, around 350 people work for supraregional projects based at various locations within Germany. June 2008

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7 Introduction Peace and Conflict Assessment PCA Element 1a: Element 2: Element 3: Element 4: Introduction Peace and Conflict Analysis (CA) Element 1b: Peacebuilding Needs (PBN) Peace and Conflict- Related Relevance Assessment Risk Management Peace and Conflict- Related Impact Monitoring

8 Introduction List of Acronyms and Abbreviations AKUF Working Group on the Causes of War AURA BMZ CA CPR Network DAC DC DFID DNH ECHA FC FES FriEnt GIGA GTZ HPG KfW NGO O+R OECD PBN PCA PCIA RTC SDC SIDA SSR TC UN UNDP UNHCR USAID VENRO Development-Policy Framework for Contracts and Cooperation German Federal Ministry for Economic Cooperation and Development Peace and Conflict Analysis Conflict Prevention and Post-Conflict Reconstruction Network Development Assistance Committee Development Cooperation Department for International Development (GB) Do No Harm Executive Committee on Humanitarian Affairs (UN) Financial Cooperation Friedrich Ebert Foundation Working Group on Development and Peace German Institute of Global and Area Studies (formerly the German Overseas Institute) Deutsche Gesellschaft für Technische Zusammenarbeit Humanitarian Policy Group Kreditanstalt für Wiederaufbau Non-Governmental Organisation Orientation and Rules (GTZ) Organisation for Economic Cooperation and Development Peacebuilding Needs Peace and Conflict Assessment Peace and Conflict Impact Assessment Responding to Conflict Swiss Agency for Development and Cooperation Swedish International Development Cooperation Agency Security Sector Reform Technical Cooperation United Nations United Nations Development Programme United Nations High Commissioner for Refugees United States Agency for International Development Association of German Development Non-Governmental Organisations

9 Table of Contents 1. Political and Conceptual Framework Conditions Conflict sensitivity the new guiding principle for development cooperation in conflict countries The BMZ Sector Strategy for Crisis Prevention The C marker classification system 12 Introduction 2. Introduction to the PCA Method What is new about PCA? What is PCA at country portfolio level? What is PCA at project/programme level? Practical Implementation of PCA How is PCA implemented at country portfolio level? How is PCA implemented at project/programme level? Conducting a full PCA Selective integration of PCA into the steering instruments of development cooperation ("toolbox principle") 24 Annexes Annex 1: Overview of the Peace and Conflict Assessment 26 Annex 2: Minimum Standards for PCAs in C0, C1 and C2 Projects/Programmes 27 Annex 3: Glossary 33 Annex 4: Bibliography and Further Reading 39 Index of boxes, tables and figures Box 1: What is conflict sensitivity? 10 Box 2: How can conflict sensitivity be achieved? 10 Box 3: The C markers 12 Box 4: Criteria for conflict-sensitive project design 12 Box 5: Country portfolio and PCA 15 Box 6: Implementing a full PCA: areas of application 22 Box 7: Selective integration of PCA into DC steering instruments in the following areas of application: 24 Table 1: Minimum standards for TC and FC projects/programmes (see Annex 2 for detailed description) 17 Table 2: Phases of portfolio adjustment and PCA 20 Table 3: Selective integration of PCA into DC steering instruments 24 Fig. 1: Peace and Conflict Assessment 14 Fig. 2: PCA at country portfolio level 16 Fig. 3: PCA in the implementation phases of a project/programme 18 Fig. 4: Implementation of PCA at country portfolio level 19 Fig. 5: Implementing PCA at project/programme level 21 Fig. 6: Steps in the process of implementing a PCA 23

10 Introduction 1. Political and Conceptual Framework Conditions 1.1. Conflict sensitivity the new guiding principle for development cooperation in conflict countries Conflicts are a key theme of development-policy practice. Development cooperation (DC) promotes change processes that are oriented toward the political goals of poverty alleviation, human rights, good governance and a social market economy (see the development-policy principles of the German Federal Ministry for Economic Cooperation and Development, BMZ). Processes of this kind entail a redistribution of power and resources, which can generate resistance amongst those who lose out from these reforms. Sometimes DC stirs up expectations that it cannot satisfy for everyone, creating competition over access to its resources. Such conflicts in the immediate DC environment may be necessary and unavoidable. Yet they take on a particularly explosive force when they affect overarching social, ethnic or political conflicts in the partner country. This applies in particular to countries where conflicts have already turned violent or are about to do so. When violent conflicts escalate, the civilian population inevitably takes sides. By working with certain groups within society and thus also with parties to the conflict, DC itself becomes an actor in the conflict. A situation of this kind requires development organisations to remain particularly sensitive to the possible impacts of their work on the respective peace or conflict situation. This sensitivity is termed the do no harm -principle (DNH), which has gained international recognition. Box 1: What is conflict sensitivity? "Conflict sensitivity means taking into account the two-way influence that exists between the conflict and measures taken, with the goal of avoiding any negative, conflict-aggravating impacts, and strengthening positive, deescalating and peace-promoting impacts." (BMZ Sector Strategy for Crisis Prevention 2005) This does not mean that DC should avoid supporting change processes. In conflict situations in particular, changes that help achieve BMZ's development-policy objectives are often especially important to help overcome the root causes of conflicts and open the existing institutions to a democratic reconciliation of interests. Conflict sensitivity rather calls for an increased awareness of the conflicting interests that go hand in hand with such changes, and a proactive way of dealing with these. Box 2: How can conflict sensitivity be achieved? The individuals responsible for the implementation and political steering of DC measures and their partners recognise the conflictuality (or the areas of conflict) in the DC context, the potentials for escalation of the conflict, and the possible reciprocal effects of their own (DC) activities with violent conflicts on other levels supraordinate to the level of intervention (e.g. the national level). monitor and reflect on their own behaviour and the role that they have consciously or unconsciously adopted in the conflict, i.e. the impacts of their own work on the conflict context and the consequences of the conflict context for their own work. respond sensitively to the conflict situation, i.e. in such a way as to help prevent violence and build peace, on the basis of a detailed understanding of the causes and basic features of the conflict, and a review of their own options for action and impacts. Source: supplemented after SDC

11 1.2. The BMZ Sector Strategy for Crisis Prevention In 2007 open violent conflicts existed in 17 cooperation countries of German DC, and a heightened or acute need for prevention existed in a further 37 countries. These figures are based on an assessment carried out by the German Institute of Global and Area Studies in Hamburg (GIGA; formerly known as the German Overseas Institute) and BMZ, which is updated annually. This means that roughly half of all German DC cooperation countries display conflict potentials. For these countries, in 2005 BMZ published its "Sector Strategy for Crisis Prevention, Conflict Transformation and Peacebuilding in German Development Cooperation", which made the conflict-sensitive design of development projects/programmes a binding requirement for all implementing organisations of German development cooperation. This sector strategy supplements the German government's Action Plan "Civilian Crisis Prevention, Conflict Resolution and Post-Conflict Peacebuilding" (2004), which was adopted by all ministries, and defines peacebuilding as a cross-cutting issue of German development cooperation. It contains binding development-policy directives for the planning, implementation and steering of German national development cooperation in conflict countries. Introduction The BMZ sector strategy lays down three orientations for peacebuilding in DC: DC plays a part in reducing the structural or root causes of conflicts, and helps prevent them escalating to a full-blown crisis at an early stage. DC promotes mechanisms of peaceful conflict transformation, and supports civil society and state actors in non-violent conflict transformation. DC helps build peace once violent conflicts have been ended. The sector strategy makes the BMZ crisis early warning system the starting point for the conflict-sensitive classification of DC. The analytical basis of this crisis early warning system is formed by an annually updated assessment of conflict potentials carried out in all cooperation countries by GIGA. Using a specially developed list of indicators the countries are analysed and, in close consultation with the BMZ country divisions, are each assigned using a traffic-light colour coding system to one of the categories "low need for prevention" (countries shaded green), "heightened need for prevention" (countries shaded yellow) or "acute need for prevention and post-conflict" (countries shaded red) on an overview graphic. Information on the classification of a specific country and underlying country analysis is available on request from the responsible BMZ country division. While for countries with a "low need for prevention" (the "green countries") a conflict-sensitive design of DC activities remains desirable and voluntary, the sector strategy stipulates that DC programmes in all countries with a "heightened" or "acute need for prevention" (the "yellow and red countries") must be designed on a conflict-sensitive basis. This applies both at the level of the overall country portfolio (e.g. definition of priority areas and priority area strategies), and at the level of the individual projects/programmes of the country concerned. At both levels it is necessary to establish a) to what extent there is a need to adjust existing measures to make them more conflict-sensitive, and b) whether and if so how conflict transformation and peacebuilding can be supported through additional targeted measures. To assess the conflict-sensitivity of German DC activities in conflict countries, and where necessary make appropriate adjustments, the BMZ sector strategy prescribes a specific methodology: the Peace and Conflict Assessment (PCA). This includes the following steps: 1) peace and conflict analysis and assessment of peacebuilding needs (PBN), 2) peace and conflict-related relevance assessment of an existing or planned portfolio, 3) conflict-sensitive risk management for DC measures, and 4) peace and conflict-related impact monitoring. Depending on the context, a PCA can be carried out at country level and/or at project/programme level. At country level the result of a PCA is the review (and adjustment) of the definition of priority areas, and/or of the strategies of existing priority areas. At project/programme level the conduct of a PCA is documented by the assignment of a conflict marker (C marker see below). 11

12 Introduction 1.3. The C marker classification system By analogy with other classification systems of the Organisation for Economic Cooperation and Development (OECD), the BMZ sector strategy classifies all projects of Technical and Financial Cooperation (TC/ FC) implemented in countries with a "heightened or acute need for prevention" (i.e. the "yellow and red countries") into one of the following three categories (see box 3). These classifications are documented in the offers and progress review reports submitted to the BMZ by the implementing organisations. Box 3: The C markers The C markers reflect the strategic and conflict-sensitive design of DC measures, and are assigned to all projects/programmes in conflict or post-conflict countries with a heightened or acute need for prevention as per the BMZ crisis early warning system. C2: Crisis prevention, conflict transformation or peacebuilding are an integral component of the overall objective of the project/programme, i.e. are crucial to its implementation. This can be tested by answering the question: "Would the project/programme have been implemented at all without this development-policy objective?" C1: Crisis prevention, conflict transformation or peacebuilding are an important part of the project/ programme concept, but are not in themselves crucial to its implementation. They are reflected in one of the indicators at the level of the overall objective, or at the very least in the phase objective/component objective and their indicators. C0: Crisis prevention, conflict transformation or peacebuilding are not an explicit objective of the project/programme. Since the project/programme takes place in a conflict-prone and highrisk environment, however, it is planned and implemented on a conflict-sensitive basis. Corresponding preparation and continuous monitoring will seek to ensure as far as possible that the measure does not inadvertently exacerbate the conflict, but rather strengthens those results that help de-escalate the conflict and build peace. Source: Lorenz, GTZ, AURA Guideline Supplement 2005 A project can thus only be classified as C2 or C1 if and when peacebuilding is expressly designated in the project documents as a primary or secondary objective, or as indicator. For the three classifications (C2, C1 and C0), different levels of PCA intensity are required. A PCA with all four steps forms the basis for classification as C2 or C1. For a project to be classified as C0, at minimum a DNH analysis should be carried out, and possible negative unintended impacts should be identified and subsequently be monitored within the scope of impact monitoring. The BMZ sector strategy also describes the general requirements that BMZ places on the conflict-sensitive design of development projects/programmes in countries with a heightened or acute need for crisis prevention. These apply especially to C0 projects/programmes. Box 4: Criteria for conflict-sensitive project design Taking into account the conflict situation when analysing the context and defining the core problems. Taking into account the analysis of the parties to the conflict when defining target groups, mediators and political executing agencies. 12

13 Taking into account the recommendations of the PCA when designing promotion components and methodical procedure of the project/programme. Identification of the geographical project area in relation to the region directly or indirectly affected by the conflict. Involvement of Peace and Conflict Impact Assessments and consideration of any necessary adjustments in the course of the project to the implementation plan, the assessment of the expected impacts and risks, and the budget Incorporation of conflict-related indicators into monitoring and evaluation. Source: BMZ Sector Strategy for Peacebuilding 2005 Introduction For countries with a "heightened or acute need for prevention" this does not imply conversely that the introduction of the C marker classification system now requires all development interventions in conflict countries to become "peace projects". In the case of C0 and C1 projects/programmes the aim is rather to identify and utilise the existing potentials for peacebuilding in the course of project work in the given sectors (e.g. sustainable economic development, youth promotion, education, water etc.). To this end it is often necessary and appropriate to make only gradual adjustments to the existing or planned project design. For an environmental project/programme this can mean e.g. not only supporting the resolution of resourcebased conflicts on a one-off basis, but also helping build capacities for conflict management within the responsible institutions. In this way a model for peaceful conflict transformation can arise that also impacts other social spheres. The relevance assessment (see Guideline 2) conducted within the scope of the PCA can identify such potentials. Unintended impacts of development interventions that exacerbate a conflict can also sometimes though not always be avoided through relatively simple measures such as greater transparency on the part of the project and an improved communication strategy (e.g. publicising the criteria applied by project actors in their own actions: With whom do we do what, how, why...?). Dealing with the pronounced dynamics of conflicts poses a challenge in this context. The conflict-sensitive design of measures is therefore a continuous process that should be integrated into the existing management and steering processes. Special requirements do apply, however, to explicit peacebuilding projects/programmes (C2) and to country portfolios in cooperation countries for which peacebuilding is a designated DC priority area (which is currently the case in Guatemala, Colombia, Senegal and Sri Lanka). These projects must be clearly identifiable as part of a proactive strategy for peacebuilding based on a peace and conflict analysis (CA) and clear, conflictsensitive goals, and must have a conflict-sensitive project design. 2. Introduction to the PCA Method The Peace and Conflict Assessment method was developed by the political scientist Thania Paffenholz in collaboration with Luc Reychler of the University of Louvain (Paffenholz 2005). PCA attempts to place the methods for conflict-sensitive planning and steering of development interventions available hitherto within a standardised framework that is appropriate to the established practices of DC contract and cooperation management. In this way the DC instruments already used such as analyses of executing organisations or the project environment, and impact monitoring are supplemented by a conflict component (CA and the peace and conflict-related impact monitoring), and more closely interlinked, which should make projects more conceptually coherent in terms of conflict-sensitivity. This facilitates the planning and steering of conflictsensitive measures. 13

14 Introduction The following graphic (fig. 1) provides an overview of the four methodological steps of PCA: Fig. 1: Peace and Conflict Assessment Element 1 Element 2 Element 3 Element 4 a) Peace and conflict analysis and b) Peacebuilding needs Peace and conflict-related relevance assessment Risk management Peace and conflict-related impact monitoring Source: based on Paffenholz What is new about PCA? PCA builds on the experiences of peacebuilding and development organisations that have been utilising methods such as the CA, DNH and peace and conflict-related impact monitoring in the planning and steering of development interventions in conflict situations for a number of years. PCA combines these already well established methods and adds to them a number of innovative elements: Through the concept of peacebuilding needs (PBN), PCA calls for the clear formulation of what are considered from DC perspective to be the changes needed to transform a conflict situation (see Guideline 1b for further details). This promotes a higher degree of transparency on the part of DC with respect to its own objectives, and at the same time allows an improved strategic orientation of DC, both at the political level and at the level of individual projects/programmes. The relevance assessment, an instrument originally used in evaluation, is a helpful tool to assess strategies and development interventions that are not geared primarily toward peacebuilding as well as to continually review peace and conflict-related DC strategies, and C2 and C1 projects/programmes, against the background of the respective conflict dynamics (see Guideline 2 for further details). The relevance assessment creates links between the objectives and activities of the project/programme on the one hand, and the peacebuilding needs on the other, and identifies how the development intervention's contribution to peacebuilding can be increased. Thereby the link to peacebuilding is no longer defined primarily in terms of the designated content of the measure (e.g. training in conflict transformation, dialogue promotion), but rather in terms of the relationship to specific factors for peace and for conflict (e.g. conflict over natural resources, political participation) in the respective context. One important step forward made by PCA is the incorporation of risk management, and especially the security analysis, into the planning and implementation of projects/programmes in conflict situations (see Guideline 3 for further details). PCA thus satisfies the demand laid down in the BMZ sector strategy that the safety of all actors must always take precedence over the implementation of individual measures. The major significance that PCA attaches to the peace and conflict-related impact monitoring is consistent with the current emphasis of DC on results-based management (see Guideline 4), which makes it easier to integrate PCA into the standard DC steering instruments (e.g. Development-Policy Framework for Contracts and Cooperation / AURA offer and appraisal report). 14

15 PCA is a logical sequence of closely linked elements. This involves a risk of conceptualising PCA as a linear or path-dependent process in which the results of the initial CA would largely determine the DC measures identified at the end. To avoid this effect, PCA users should consciously run through different options for analysis and action and incorporate learning loops, on the basis of which they can regularly review their conclusions in the light of their growing body of experiential knowledge. Introduction In principle a PCA can be conducted at both country level (analysis and evaluation of the entire country portfolio and priority area strategies) and at the level of an individual project/programme (analysis and evaluation of the programme portfolio or sector environment). The level at and intensity with which a PCA is conducted will depend at the country level on the political priorities set by BMZ, and at the project/programme level on the prominence of the theme at the level of objectives (C2 or C1), as well as on issues of feasibility and acceptance by the partner side. 2.2 What is PCA at country portfolio level? At country level PCA supports the conflict-sensitive design and steering of the entire DC country portfolio, lead-managed by BMZ. In countries where peacebuilding is an overarching theme and/or a priority area in its own right, a full PCA should be carried out to review and where appropriate adjust the current project portfolio. This will include a sound CA, the relevance assessment and the integration of peace and conflict-related issues into development-policy context monitoring. The latter supplements the monitoring of indicators as indicated in the priority area strategy paper for peace promotion at country level. In conflict and post-conflict countries where peace promotion is a cross-cutting issue, standard country level monitoring of context and results should also include issues of the peace and conflict-related impact monitoring. Box 5: Country portfolio and PCA Peacebuilding is a full PCA for portfolio adjustment and priority area continuous portfolio steering at priority area level (e.g. within the scope of government negotiations) Peacebuilding is a standard monitoring of context and results should also cross-cutting issue incorporate peace and conflict-related impact monitoring (PCA element 4) depending on security situation, risk management and security analysis (PCA element 3) CA and relevance assessment desirable (PCA elements 1 and 2) 15

16 Introduction The following graphic (fig. 2) shows the key questions to be addressed by a full PCA at country level: Fig. 2: PCA at country portfolio level Continuous portfolio steering 1. Peace and conflict analysis and peacebuilding needs Which conflicts constrain national development and what are their causes? Which peacebuilding vision does DC aim for, and what needs to change in order to achieve it? 2. Peace- and conflictrelated relevance assessment How relevant is the current DC portfolio (definition of priority areas and priority area strategies) to positively influencing the conflict dynamics/the peace process? Do the projects/programmes correspond to the peacebuilding needs? Are synergies successfully achieved between the individual measures and with the international community? 3. Conflict-related risk management Which political risks and security problems caused by political conflicts in the country do DC projects/programmes face? How can development cooperation respond to them? 4. Peace and conflictrelated impact monitoring Which positive results for peace is DC generating in the country? How can these be further increased? Which negative results for peace is DC generating in the country? How can these be avoided (DNH)? Documents Country concept, priority area strategy paper (either for peacebuilding or for other sectors), priority area strategy paper monitoring documents, progress reports 2.3 What is PCA at project/programme level? At project/programme level, PCA supports the conflict-sensitive design of projects and programmes of German DC. Depending on the C marker classification, different requirements apply. BMZ, KfW and GTZ have laid down the following methodological minimum standards for projects/ programmes classified as C2, C1 and C0 respectively: 16

17 Table 1: Minimum standards for TC and FC projects/programmes (see Annex 2 for detailed description) Peace and conflict analysis Peace and conflictrelated relevance assessment Risk management Peace and conflictrelated impact monitoring Introduction C2 Develop national PBN. More in-depth and project/ programme-specific PBN for region of intervention. Establish whether the planned or existing design makes a direct and relevant contribution to the national PBN, and if appropriate develop options for action to ensure relevance. Ensure continuous monitoring of the conflict context to ensure safety of staff and risk management within the scope of strategies and projects/ programmes. Orientation toward peacebuilding objectives develop peace- and conflict-related indicators Potential unintended negative impacts must also be assessed in C2 projects. C1 Develop national PBN. Identify relevant sectoral PBN and project/ programme-specific PBN for priority area and region of intervention. Establish whether the planned or existing design makes a contribution toward the sector-specific PBN, and if appropriate develop options for action to ensure classification as C1. Ensure continuous monitoring of the conflict context to ensure safety of staff and risk management within the scope of strategies and projects/ programmes. Incorporate peacerelated aspects into impact monitoring. In the case of peacebuilding sub-component develop corresponding indicators. Other components as with C0 (see below). C0 Address the conflict themes relevant to the project/ programme in the course of the preparatory mission (dividers/ connectors) and incorporate these into the project design. Not needed Security analysis only required with respect to staff safety. To identify unintended impacts, conduct regular impact monitoring in the form of a DNH check. This can be done briefly in the form of a DNH check. Where a PCA has already been carried out at country level and national peacebuilding needs have been described within the scope of the brief politico-economic analysis, the recommendations of the PCA serve as the starting point for further adjustment of the individual development interventions. Projects/programmes can also refer to the conflict and security analysis at country level, although these usually have to be supplemented by more in-depth analysis for the respective project context. Where no country-level PCA has taken place, a sector- and project/programme-specific peace and conflict analysis is necessary for a full PCA. 17

18 Introduction The issues addressed by the PCA change according to the implementation phase of a project/programme. The following graphic (fig. 3) provides an overview of the key issues of conflict-sensitivity in the course of a project. Fig. 3: PCA in the implementation phases of a project/programme Project planning Project implementation Project evaluation 1. Peace and conflict analysis and peacebuilding needs What are the causes of the conflicts, which peacebuilding vision does DC aim for and what can be changed in the sector to help achieve this? How are the conflicts developing, what does this mean for DC peacebuilding objectives and what new action does this require? How did the conflicts develop, what did this mean for DC peacebuilding objectives and what new action did this require? 2. Peace and conflict-related relevance assessment How can the project/ programme be designed such that it makes a positive contribution toward peacebuilding? Does the project meet the current peacebuilding needs? How can it adjust to them? Did the project/ programme identify the peacebuilding needs and adjust its measures accordingly? 3. Risk management Which possible risks do the existing conflicts pose for the project/ programme? How can these be avoided? Which current risks do the existing conflicts pose for the project/ programme? How can it respond to them? Did the project identify conflictrelated risks and respond appropriately to them? 4. Peace and conflict-related impact monitoring Which positive results can be expected from the project/programme (results hypotheses, indicators)? Which negative results (monitoring areas)? How can these be avoided (DNH)? Which positive results is the project/ programme showing and how can these be further boosted? Which negative results are evident and how can the project/ programme reduce them (DNH)? Did the project/ programme identify and boost its positive impact? Did the project/ programme identify its negative impacts on the conflict and take appropriate counter-measures (DNH)? Documents AURA offer / appraisal report Monitoring of the environment/sector Impact monitoring Progress report Final report Evaluation report 18

19 3. Practical Implementation of PCA 3.1. How is PCA implemented at country portfolio level? Introduction Responsibility for the decision to give a DC portfolio a peacebuilding orientation rests with the BMZ, which is able to draw on corresponding information from German and international actors. When circumstances in a conflict country so dictate, BMZ supported by the country team initiates the survey and review of the entire DC portfolio with respect to its peacebuilding orientation. In such cases it is the task of the implementing organisations to provide professional and logistical support for this review. Within the scope of their advisory role, however, they may also initiate a review of the peacebuilding impacts of the project portfolios entrusted to them and e.g. if there is an increased risk of a violent escalation of a conflict submit proposals for adjustment of the project portfolio to BMZ. In both cases, PCA provides the methodological framework for the review process. Depending on the context, responsibility for conducting the PCA rests with the BMZ country division or the responsible country desks of the implementing organisations (e.g. GTZ Country Director). The responsible unit usually delegates the extensive survey and evaluation of data at country level to a team of external consultants. All concerned actors such as the unit commissioning the study, the country teams of the implementing organisations and the partner should, however, be informed of the objectives of the PCA and involved in all the key steps of the assessment in order to ensure ownership of its results and recommendations. The following graphic (fig. 4) shows the roles and responsibilities of BMZ and the implementing organisations in a PCA initiated by BMZ: Fig. 4: Implementation of PCA at country portfolio level Portfolio adjustment and steering Responsibility for PCA BMZ country division initiates and evaluates PCA defines the strategic orientation of DC with respect to peacebuilding Country desk of implementing organisation (e.g. country director) supports the implementation of the PCA integrates PCA into the mix of instruments for portfolio steering (e.g. monitoring of context / priority area strategy paper) may in consultation with BMZ adjust country portfolio In countries where the topic is of great political significance or where peacebuilding is a sectoral priority area, the results of the PCA at country level form the basis for adjustment of the DC portfolio and the development of conflict-sensitive steering instruments such as context monitoring. The individual elements of PCA can be used selectively to support the individual phases of portfolio adjustment. 19

20 Introduction Table 2: Phases of portfolio adjustment and PCA Phase Task PCA 1. Definition of the current position 2. Awarenessraising and training 3. Strategic development Strategic DC-related CA Survey of current German and international DC portfolios Identification of starting points for a stronger contribution toward peacebuilding Awareness-raising of staff and partners by involving them in the definition of the current position Staff Trainings Clarification of the status of peacebuilding (priority area or cross-cutting issue) Definition of the peacebuilding objectives of DC, and development of corresponding strategies Element 1: CA and assessment of peacebuilding needs Element 2: peace and conflictrelated relevance assessment Elements 1 and 2: peacebuilding needs and options for DC action Participatory, inclusive implementation of PCA Where appropriate, training in PCA Element 2: options for DC action Element 3: risk management 4. Formalisation Treatment of the theme in government negotiations, minuting of details, allocation of funds Adjustment of existing / preparation of a new priority area strategy paper and other relevant strategy papers Possibly design and approval of new development interventions with a peacebuilding focus 5. Implementation Planning workshop to integrate peacebuilding into the current country portfolio Regular self-evaluation and external evaluation of the project/programme with respect to peacebuilding Creation of a system to monitor the conflict context and the impacts of DC on the conflict situation Results of elements 1-4 PCA at project/programme level Elements 1-3 Element 2: peace and conflictrelated relevance assessment Element 4: peace and conflictrelated impact monitoring Element 1: CA Element 3: risk management Element 4: peace and conflictrelated impact monitoring Conflict-sensitive quality management (staff task forces, professional in-process consultancy, human resources development) Security management Element 3: risk management Source: Phases and tasks of portfolio adjustment, adapted after Scherg

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