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MonitoringandEvaluationat AMMF1 MONITORING, EVALUATION ANDADAPTIVEMANAGEMENT IN THE ARAUCARIAS DELALTOMALLECOMODELFORESTOFCHILE By ROBFRIBERG B.S.F,Universityof British Columbia,1990 Athesis submittedinpartial fulfillment of therequirements forthe degreeof MASTER OFARTS in ENVIRONMENT AND MANAGEMENT Weaccept this thesis as conforming totherequiredstandard ………………………………………. Dr. LenoreNewman,MEMProgram Head School ofEnvironment andSustainability ……………………………………….. Dr.Glenn Brown,AssociateFaculty,MEM Program Royal Roads University ……………………………………….. Dr.TonyBoydell,Director School ofEnvironment andSustainability ROYALROADS UNIVERSITY April,2010 ©RobFriberg,2010 MonitoringandEvaluationat AMMF2 Abstract Monitoringandevaluation(M&E)is animportant management tool within regional sustainabilityinitiatives. This paperexplores howM&Ecanbemost effectively appliedtohelptheAraucarias del AltoMallecoModel Forest (AMMF) promote communityandnatural resourcesustainability,andhowadaptivemanagement can support theachievement ofthese goals. The current monitoringandevaluationprogram at AMMFis comprehensiveandresults based, correspondingtothedesired outcomes and impacts outlinedinthestrategicplan. It genuinelyseeks communityfeedback,but is overlycomplex andnot well implementedtosupport theeffectiveness of AMMF programs. Opportunities forimprovement totheprogram include adherencetoindicator designprinciples, betterintegrationofM&Ewithinmodel forest operations, feedback loops, clarityofobjectives, andnarrowingthefocus toareas whicharerelevant to management decisions andcontinual improvement.Adaptivemanagement cansupport theinnovationfocus ofAMMFandprovide greaterdepthtotheexistingrepertoireof model forest planningtools. MonitoringandEvaluationat AMMF3 TableofContents Abstract...............................................................................................................................2 List of Figures.....................................................................................................................5 List ofTables......................................................................................................................5 Acknowledgements.............................................................................................................6 Introduction.........................................................................................................................7 TheResearch LocationandResearch Questions..............................................................10 TheResearch Location.............................................................................................10 TheResearchQuestions............................................................................................12 LiteratureReview..............................................................................................................14 VariedPurposes andApproaches toMonitoringandEvaluation.............................14 Results-basedManagement forSustainableDevelopment Projects.........................18 TheSystems andExperimental Focus of AdaptiveManagement............................20 Challenges withtheM&EAspects ofResults-basedandAdaptiveManagement...23 OtherApproaches toEffectiveness Measurement M&E..........................................32 Principles forEffective ApplicationofM&E...........................................................33 Methods.............................................................................................................................35 Internal Document Review.......................................................................................36 Personal Observations and Log................................................................................37 Semi-structured Interviews.......................................................................................37 GroupDevelopment ofConceptual Models.............................................................40 Results andDiscussion: TheMonitoringand EvaluationProgram..................................41 MonitoringandEvaluationat AMMF4 Document ReviewResults andDiscussion...............................................................41 Personal Observations Results andDiscussion.........................................................58 Semi-Structured Interviews Results andDiscussion................................................62 Synthesis oftheM&E InquiryResults.....................................................................68 Results andDiscussion: AdaptiveManagement...............................................................75 Document ReviewResults andDiscussion...............................................................75 Small WorkingGroupResults andDiscussion.........................................................76 Synthesis oftheAdaptiveManagement InquiryResults..........................................82 MajorConclusions andRecommendations......................................................................84 Appendix A.......................................................................................................................98 Appendix B.......................................................................................................................99 Appendix C.....................................................................................................................100 Appendix D.....................................................................................................................102 Appendix E.....................................................................................................................104 MonitoringandEvaluationat AMMF5 List of Figures Figure1……………………………….………………………………………………….10 Figure2……………………………….………………………………………………….11 Figure3……………………………….………………………………………………….17 Figure4…………….…………………………………………………………………….20 Figure5……………….………………………………………………………………….21 Figure6……………….………………………………………………………………….45 Figure7……………….………………………………………………………………….48 Figure8……………….………………………………………………………………….79 Figure9……………….………………………………………………………………….80 Figure10…………………………………………………………………………………81 List ofTables Table1……………………….………………………………………………..…………35 Table2……………………….…………………………………………………………..42 Table3……………………….…………………………………………………………..52 Table4……………………….…………………………………………………………..69 MonitoringandEvaluationat AMMF6 Acknowledgements This thesis project wouldnot havebeenpossible without thesupport of WashingtonAlvarado, General ManageroftheAraucarias del AltoMallecoModel Forest (AMMF)ofChile.Washington’s readiness toopenAMMFoperations tothe scrutinyoftheresearchprocess,andhis unwaveringenthusiasm forexploringnew approaches madetheproject amemorableandtrulyworthwhilelearningprocess from start tofinish. ThehelpofMaría Inés Bustos, model forest anthropologist,was crucial for the development oftheinterviewquestions, theinterviewprotocol andtheinterviewing process itself. Ialso wish tothankall ofthepeople whogenerouslygavetheirtimefor theinterviews, andthe AMMFstaffmembers whoparticipatedintheResilience Assessment workshop in Manzanar.This workshopwas madepossiblewithfundingfrom theCUSOVolunteerPartnershipFund. GlennBrown,mythesis supervisor,was endlesslypatient withprovidinghis perspectives andinsights,frequentlyoverlongSkype calls betweenChileandCanada, andwhat amountedtocountless hours reviewingmynumerous drafts as thethesis slowly evolved.Finally,tofriends andfamily, especiallyKarla,forpatientlyenduringthemany hours, evenings andweekends that werededicatedtothecompletionofthis project. MonitoringandEvaluationat AMMF7 Introduction Monitoringandevaluation(M&E)has becomean increasinglyimportant tool withinglobal efforts towardachievingenvironmental,economicandsocial sustainability (Mrosek, Balsillie&Schleifenbaum,2006; Natural Resources Canada[NRCan],2000). At national andinternational scales, sustainabilitycriteria andindicators forM&Eare important tools fordefining,monitoringandreportingonecological,economicandsocial trends, trackingprogress towards goals, andinfluencingpolicyandpractices (Montreal Process,1998; NRCan,2000; UnitedNations, 2000,2008).At regional and sub-regional scales M&Eis important forassessingthesustainabilityoflocal practices, andcanbe an important tool toassist withmanagement planning(Centerfor International Forestry Research[CIFOR],1999; Montaño,Arce & Louman,2006; NRCan,2000). Monitoringandevaluationas atool forlearningandcontinual improvement has beenincreasinglyviewed as keytothesuccess of conservationprojects and the sustainablemanagement ofnatural resources (Meffe,Nielsen,Knight, &Schenborn, 2002; Stem,Margoluis, Salafsky, & Brown,2005).Continual improvement approaches to M&Eincludeperformancemanagement frameworks (Behn,2003)designedtomaximize theeffectiveness ofprojects orprograms. Results-basedmanagement (Swiss,2005)is onesuchperformancemanagement approachcommonlyusedin government andnon- governmental organizations. Monitoringandevaluationprograms that use feedbackto promotelearningand continual improvement are also coretothe experimentationand systems-basedapproachtoenvironmental management called adaptivemanagement (BiodiversitySupport Program [BSP],2001). MonitoringandEvaluationat AMMF8 Despitetheavailabilityofthesemanagement tools thesuccess of conservation efforts remains vulnerabletohoweffectivelytheyareapplied (Schreiber, Bearlin,Nicol, &Todd,2004).Managers commonlydonot have thecapacitytoeffectivelymonitor progress and evaluatesuccess at landscape andregional scales (Failing& Gregory,2003; Sayer,Campbell,Petheram,Aldrich,Perez,Endamana,et al.,2007; Stem,Margoluis, Salafsky& Brown,2005).Duetothecomplexityofsocio-ecological factors associated withconservationprojects, Margoluis, Stem,Salafsky&Brown(2009)emphasizethat project planningandevaluationis wrought withchallenges. Monitoringandevaluationis promotedas animportant planningandmanagement tool withinthe International Model Forest NetworkbasedinOttawa,Canada.Model forests are geographicallydefinedlandscapes that rangefrom several thousandtoseveral millionhectares insize.Theyuseaparticipative governanceframework,local collaboration,international networking,innovationbasedapproaches, and local capacity buildingas strategies toimprovethesustainabilityofforested ecosystems andtheir associatedcommunities worldwide(IMFN,2008).Canadaintroducedthe model forest concept at the1992 UnitedNations conferenceon Environment andDevelopment and therearenow approximately50model forests locatedinNorth,Central andSouth America,Europe,Russia,AsiaandAfrica. Canadianmodel forests haveplayed animportant roleinthedevelopment of criteria andindicators for sustainableforest management (NRCan,2000).Thecontinual improvement focus ofM&Eis promotedbythe IMFNas atool foreffectiveprogram planningandmanagement withinindividual model forests. Guidanceis availableto MonitoringandEvaluationat AMMF9 model forests forthe applicationoftheresults-basedmanagement approach (IMFN, 2004,2007)tomonitoringand evaluatingtheimpacts ofmodel forest programs. InJuneof2007 Iapproachedtheregional networkofmodel forests for Latin America,theCaribbean andSpain(Ibero-AmericanModel Forest Network) about collaboratingonathesis researchproject relatedtoadaptivemanagement. Weconcurred onthevalueofexploringopportunities tobenefit from adaptivemanagement inmodel forests. Laterthat yeartheAraucarias del AltoMallecoModel Forest (AMMF)inChile expressedinterest inhavingtheresearch conductedat theirsiteinnorthern Patagonia. General ManagerWashingtonAlvaradowas preparingtoundertakearesults-based monitoringandevaluationprocess toassess theimpacts ofthe2005-2008 strategicplan, thegoals ofwhichweretoimprovesocio-ecological sustainabilityintheregion.Dueto theimportanceofM&Etothesuccess andcontinual improvement ofmodel forest impacts weagreedtodirect theresearchtoward maximizingtheeffectiveness ofthe results-basedM&Eprogram.Thefeatures andpotential applications ofadaptive management wouldalso beexplored. MonitoringandEvaluationat AMMF10 TheResearch LocationandResearch Questions TheResearchLocation TheAraucarias del Alto MallecoModel Forest (AMMF)is locatedintheNinth RegionofChile(seeFigure1). It is amountainous regionborderingArgentinatotheeast andtheRioBlanco (WhiteRiver)basintothewest.Themodel forest area encompasses approximately400,000hectares offorest,rangeland,farms, parks, national protected areas, andthemunicipalities of LonquimayandCuracautín.Thenorthboundaryis markedbythe2865meterhigh LonquimayVolcano,whichlast eruptedin 1988.Tothe souththemodel forest is boundedbythe3125m LlaimaVolcanowhichhas beenerupting periodicallysinceJanuaryof2008.Thepopulationwithintheareaofthe model forest, includingmunicipalities andoutlyingrural communities is approximately27,000. Figure1.Araucarias del AltoMallecoModel Forest LocationinChile Note.FromStrategicPlan2005-2008(p.8),bytheAraucariasdelAltoMallecoModelForest,Curacautín,Chile. Reprintedwithpermission.

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Monitoring and evaluation (M&E) is an important management tool within . Results-based Management for Sustainable Development Projects. project planning and evaluation is wrought with challenges. Monitoring and Evaluation Handbook for Model Forests (IMFN 2004), the Framework.
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