Monitoring and Evaluation at AMMF 1 MONITORING, EVALUATION AND ADAPTIVE ...

105 Pages·2010·1.06 MB·English

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
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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
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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.
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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).
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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
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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.
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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.