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CARE International

PARTNERSHIPS FOR EQUITABLE RESOURCE AND FOREST MANAGEMENT (PERFORM) Draft Monitoring and Evaluation Plan (1st January 2009 – 31st December 2014)

Document Revision History

Version Issue Date Reason for update Author(s)

Version 1 Oliver Eleeza, Elvis Kuudaar Version 2 24/08/09 Technical, copy edit Tom Barton Version 3

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Care International Phone (233-31) 32190, 30306 P.O. Box TD 163, Fax: (233-31) 20120 Takoradi, W/R, Ghana Email: [email protected], [email protected] Table of Contents

Table of Contents...... i Executive summary – PERFORM M&E plan...... i Programme component background...... 1 Logic for PERFORM component...... 3 M&E planning...... 3 Monitoring, evaluation & reporting system...... 4 Summary...... 4 Monitoring arrangements...... 4 Participatory methodologies...... 4 Most Significant Change stories...... 5 Evaluation arrangements...... 5 Baseline...... 5 Reviews/Reflective sessions...... 5 Mid-term evaluation...... 6 Final evaluation...... 6 Monitoring risks, assumptions and unintended outcomes...... 7 Risks...... 7 Assumptions...... 8 Unintended Outcomes...... 8 Feedback and learning events and fora...... 8 Levels of Learning...... 8 Critical Reflection Processes and Events-Information Sharing...... 10 Monitoring and Reporting Framework...... 12 Performance measurement plan (PMP)...... 12 Performance Indicator Reference Sheets (PIRs)...... 12 Performance Data Collection Forms...... 12 Performance Indicator Tracking Tables (PITT)...... 12 Progress reporting...... 13 Monthly Reports...... 14 Quarterly project monitoring tools (PMTs)...... 14 Report Delivery Schedules...... 15 PERFORM’s Vulnerability and Capacity Analysis (VCA)...... 16 Critical Factors that guide PERFORM’s VCA...... 16 Basic steps in PERFORM’s Vulnerability and Capacity Assessment...... 16 Tools for assessing vulnerability...... 17 Management information system...... 17 M&E quality control systems...... 18 Elements of PERFORM Tracking System...... 20 1. Monitoring, Evaluation and Reporting Matrix/Performance Monitoring Plan...... 20 2. Performance Indicator Tracking Table...... 24 3. M&E work plan matrix...... 26 4. M&E activity time table...... 27 5. RACI Analysis (R=Responsible, A=Accountable, C=Consulted, I=Informed)...... 28 6. Template for assessment of activities...... 29 7. Template for assessment of risks and negative outcomes...... 30 Acronyms...... 31

PERFORM Monitoring, Reporting and Evaluationi Plan Executive summary – PERFORM M&E plan

The activities of the PERFORM programme are diverse and extensive. As such, it was critical to ensure the development of a Monitoring and Evaluation (M&E) system that works for multiple levels (community to national, internal and with partners) and is capable of tracking progress on multiple themes (capacity building, advocacy, behaviour change, agricultural extension, agro forestry, etc.).

The system aims to be user friendly and use-driven, i.e., generating information that can be useful to stakeholders of various kinds at all levels of the system. This operational plan for M&E provides the conceptual and above all, practical basis for planning, monitoring and evaluation within the project.

The first version of this plan was finalized during the inception period (first half of 2009 calendar year) together with partners, stakeholders and beneficiaries. During that period, project staff and partners identified and agreed on essential indicators and strategies for M&E outlined in this plan. Subsequently, the project will regularly review and evaluate the performance of different monitoring methods at most every six months and try to correct the problems and remove bottle necks. The M&E plan therefore remains a ‘living document’ to be continually be updated. (See Revision History on cover page)

The M&E plan includes an information matrix detailing the data to be collected, how, when and by whom, as well as a plan for data quality, analysis, reporting and dissemination of the information that will be generated. The M&E plan also includes a work plan matrix, Performance indicator tracking tables and M&E timelines. In preparing the plan, attention was given to ways to assess impact, e.g., clarifying what will be included in the component baseline/end line studies and evaluations, and how to track process achievements, e.g., with targets, milestones, and reviews.

PERFORM Monitoring, Reporting and Evaluationi Plan Programme component background

CARE has developed and successfully tested CBFM models and practices to great success in the past years. With partners, this component will enhance these models, continue to implement and slowly expand them, and—once the enhance models are in place—scale them up across the Western Region. CARE will also use these pilots as evidence to facilitate the development of a policy that devolves forest resource management authority in the off-reserve areas to District Assemblies and communities with legal backing. Communities with whom CARE has been working in CBFM will immediately be able to take advantage of the new policy, but new communities will require awareness creation to excite them into action. This component provides capacity building in simple forest management techniques, required in all communities.

Goal: Livelihoods of the poor and marginalised improved through the promotion of community- based forest management (CBFM)

Objectives Objective 1: Equitable and sustainable CBFM models, including land, tree and forest tenure agreements, implemented in 4 districts in the Western Region by 2010 Objective 2: Communities, District Assemblies (DAs), and the Forest Service Division (FSD) have competencies and are implementing equitable and sustainable CBFM at all levels improved by 2013 Objective 3: Government develops and adopts a national policy framework for equitable and sustainable CBFM by 2011 Objective 4: Scale-up strategies for equitable and sustainable CBFM models being implemented in additional communities in the Western Region and shared nationally and internationally by 2013

PERFORM implementation is in two phases: the first phase will be from 2009 to 2010 where land tenure processes developed in the previous component in 20 communities will be implemented and validated, thus concluding that process and providing land users with long term security of tenure by way of local title deeds. Within the same period, the component will begin advocacy activities for the development of CBFM policy with legal backing. It is expected that a CBFM policy with legal backing should come into force by the beginning of 2011. From 2011 to 2014, the component will upscale activities into 80 new communities, taking advantage of the presence of Forest Watch Ghana (FWG) members in the High Forest Zone (HFZ) in seven other regions of the country.

Direct beneficiaries  PERFORM is being implemented in 20 communities in four districts (Wassa West, Sefwi-Wiawso, Sefwi-Juaboso and Wassa Amenfi East) in the Western Region of Ghana in the first 2 years and scaled up to 80 new communities outside Western Region from the 3rd year of implementation.  Over 30 NGOs and civil society networks will have increased capacities in forest sector governance issues and community based natural resource management (CBNRM)  24 District Assemblies will have their capacities built to develop and enforce resource management regulations within the national policy and legal framework as well as develop byelaws for community level resource management regulations and benefit sharing schemes.

Indirect beneficiaries  Approximately 4 million individuals (i.e., 25% of the population of Ghana living in forest dependent communities) will experience improved livelihoods due to increased biodiversity on their farmlands and increased access to natural resources and their benefits.  Ministry of Lands, Forestry and Mines (MLFM), has expressed interest in promoting community forest management and will be a lead stakeholder in the CBFM policy development process.  The staff of the Forestry Commission (FC) responsible for forest resource management and regulation will benefit from capacity building of the policy implementation.

PERFORM Monitoring, Reporting and Evaluation1 Plan  Staff of Ministry of Food and Agriculture (MoFA) will build capacity on the revised policy and legal backing to enable them support farmers with sustainable land use management practices and farm–forest integration into current cocoa farming practices.  Members of the Parliamentary Select Committee on Lands and Forestry have oversight responsibility over the MLFM and will build their capacities to enable them to support and defend the policy development process and legal backing and fulfil their oversight responsibility over the MLFM with regard to policy implementation.

Implementation strategies Experiences and lessons learnt across other projects in the Western Region will inform project implementation strategies while building and implementing synergies across the Forest and Natural Resource Programme. For example, the role of Community Organization Development and Institutional Strengthening (CODIS) in ensuring Traditional Authorities’ transparency and accountability to communities on forest resources benefit is key to CBFM. This component will engage jointly with other CARE projects in the Forest and Natural Resources Programme where beneficiary communities overlap to improve efficiency and impact.

The component will begin implementing scaling-up strategies from the third year of project implementation. During the first two years, CBFM models and CBLA systems and processes will continue to be implemented in 20 communities. Learning from implementation of the models will be shared with FWG, WERENGO and at other platforms. It is expected that this will generate interest and the desire by FWG and WERENGO members and members of other networks to implement CBFM in their constituencies.

Advocacy is crucial for uptake of component methodologies and the preservation of shifts in power relations (state-citizen, male-female, citizen-traditional authority, settler-indigene, etc.) nurtured in the implementation of this component. CARE will not have a direct role in advocacy. Instead, PERFORM and CIVIC will support, strengthen and work with coalitions, networks and NGOs advocating for the natural resource rights and concerns of poor and marginalised forest-dependent communities and groups.

The component will be implemented through a combination of partnerships with local NGOs, collaboration with networks, coalitions and public sector institutions like the DAs, FC, MoFA and other civil society institutions like the Traditional Council.

The PERFORM component, which is funded by DANIDA through CARE Denmark, is working on (forest sector advocacy) in forest and natural resource sectors. The preliminary work for the component, including needs assessment and project design were done in 2009. Implementation is due to start (has started) on 1st January 2009 and the current phase of the component will be terminating in 2014.

PERFORM Monitoring, Reporting and Evaluation2 Plan Logic for PERFORM component

Cause & Effect Logic in the Problem & Project Hierarchy Results of Problem AnalysisHypothesis (read from bottom upward)Project HierarchyProblem The principal strategies of the project include: learning strategy, Scaling-up strategy, Advocacy strategy, Partnership and civil society strengthening, Empowerment, Gender, Disaster risk reduction,Increase Rights-based poverty inapproach, forest fringe Reducing communities vulnerabilityExpected to HIV/AIDS, Outcome Quality assurance and accountability, Sustainability and exit/transition strategies, and SynergyReduce. The poverty target in population(s) the forest fringe is/are communities forest dependant communities because they are the worst affected in their livelihoods by non pro-poor forest policies. The project is (or will be) operational in 4 districts of the Western RegionThen this of outcome Ghana canin thehappen firstImpact 2 years Goal and will be up-scaled in the other high forest zones of Ghana.By 2014,Current improved regions livelihoods of the project of the are poor shown & marginalised on the accompanying in forest-fringe map. communities Direct Causes Denial of income for forest-dependent communities from forest resources (scan and insert map here, with project areas located on it) Denial of forest-dependent communities access to forest resources [if the project has a conceptual model, this is a good place to show it Ifand this give change a very happens brief description] Change in Condition Community participation in decision making on forest & NRM, benefit sharing etc Strong CS holding government accountable Then thisM&E effect can happenplanningEffect objective Targeted communities engaged in creating & managing their own forest resources with equitable benefit sharing This M&E plan wasCivil prepared society during & civil the society project networks inception effectively phase in engaged 2009, and in forest proposes sector activities advocacy for for the poor, period marginalised 2009 to 2014. & forest During dependent the preparation Behavioural of theCause M&E plan, the staff of the project reached a number of critical decisions and identified essential strategies for M&E in the project. The main debates and Deforestation If this change happens decisions included: feasibility, responsibility, frequency, indicators, etc., etc. Change in Behaviour [what were the key issues/decisions? who wereTransparency, the main participants accountability in the& participatory planning?] forest sector governance Then this effect can happenEffect objective The main references used in preparing the M&E plan were: Civil society actively involved in VPA/FLEGT Indirect Causes  ______et al: ______Project Monitoring and Evaluation Workshop Report 19__ Weak implementation of Forest & Wildlife Policy  ______et al: ______Project Document 19__ Corruption in the forest sector  ______et al: ______Project needs assessment, situation analysis, baseline survey report, etc. 19___ Lack of involvement/T. Barton; How participation Are We Doing? in decision-making Guidelines for Monitoring and Evaluation. CARE-Uganda, 1997. Weak civil society unable to advocate for the rights of forest-dependent communities & hold duty bearers accountableIf this change happens Change in Environment

Different forms/models of community management of forest resources

Then this change can happenEffect objective Civil Society has capacity & knowledge in forest policies & laws PERFORM Monitoring, Reporting and Evaluation Plan 3 Organisational development Advocacy Opportunities for linking with climate change & international advocacyBase Cause Government control over forest resources is inequitable & unsustainable Poor laws & contradictory legislationIf this change happens Intervention Government responds to advocacy for devolution of forest-resource management rights to communitiesOutput Advocacy & implementation of policy & law on Community-Based Forest Management CBFM policy framework backed Cause & Effect Logic in the Problem & Project Hierarchy Results of Problem AnalysisHypothesis (read from bottom upward)Project HierarchyProblem Increase poverty in forest fringe communitiesExpected Outcome Reduce poverty in the forest fringe communities Then this outcome can happenImpact Goal By 2014, improved livelihoods of the poor & marginalised in forest-fringe communitiesDirect Causes Denial of income for forest-dependent communities from forest resources Denial of forest-dependent communities access to forest resources If this change happens Change in Condition Community participation in decision making on forest & NRM, benefit sharing etc Strong CS holding government accountable Then this effect can happenEffect objective Targeted communities engaged in creating & managing their own forest resources with equitable benefit sharing Civil society & civil society networks effectively engaged in forest sector advocacy for poor, marginalised & forest dependent Behavioural Cause Deforestation If this change happens Change in Behaviour Transparency, accountability & participatory forest sector governance Then this effect can happenEffect objective Civil society actively involved in VPA/FLEGT Indirect Causes Weak implementation of Forest & Wildlife Policy Corruption in the forest sector Lack of involvement/ participation in decision-making Weak civil society unable to advocate for the rights of forest-dependent communities & hold duty bearers accountableIf this change happens Change in Environment

Different forms/models of community management of forest resources

Then this change can happenEffect objective Civil Society has capacity & knowledge in forest policies & laws Organisational development Advocacy Opportunities for linking with climate change & international advocacyBase Cause Government control over forest resources is inequitable & unsustainable Poor laws & contradictory legislationIf this change happens Intervention Government responds to advocacy for devolution of forest-resource management rights to communitiesOutput Advocacy & implementation of policy & law on Community-Based Forest Management CBFM policy framework backed

Monitoring, evaluation & reporting system Summary

The activities of the PERFORM programme are diverse and extensive. As such, it was critical to ensure the development of a Monitoring and Evaluation (M&E) system that works for multiple levels (community to national, internal and with partners) and is capable of tracking progress on multiple themes (capacity building, advocacy, behaviour change, agricultural extension, agro forestry, etc.).

The system aims to be user friendly and use-driven, i.e., generating information that can be useful to stakeholders of various kinds at all levels of the system. This operational plan for M&E provides the conceptual and above all, practical basis for planning, monitoring and evaluation within the project.

The first version of this plan was finalized during the inception period (first half of 2009 calendar year) together with partners, stakeholders and beneficiaries. During that period, project staff and partners identified and agreed on essential indicators and strategies for M&E outlined in this plan. Subsequently, the project will regularly review and evaluate the performance of different monitoring methods at most every six months and try to correct the problems and remove bottle necks. The M&E plan therefore remains a ‘living document’ to be continually be updated. (See Revision History on cover page)

The M&E plan includes an information matrix detailing the data to be collected, how, when and by whom, as well as a plan for data quality, analysis, reporting and dissemination of the information that will be generated. The M&E plan also includes a work plan matrix, Performance indicator tracking tables and M&E timelines. In preparing the plan, attention was given to ways to assess impact, e.g., clarifying what will be included in the component baseline/end line studies and evaluations, and how to track process achievements, e.g., with targets, milestones, and reviews. Monitoring arrangements

Monitoring of a component is understood as the process of regular information gathering on the project implementation and is a key component of successful implementation. The Monitoring and Evaluation Officer will coordinate monitoring activities. The M&E Officer in conjunction with the component team (including partners, DAs and Community representatives) developed reporting formats and assign monitoring responsibilities to staff and partners, set-up the project’s management information and data collection system and track progress based on the defined impact and annual monitoring indicators. PERFORM records will provide the necessary data to measure progress of project interventions on a monthly, quarterly and annual basis. Actual progress will then be compared with targets established in the Indicator Performance Tracking table.

The Forest and Natural Resources Programme’s monitoring system will integrate data collection, analysis and reporting to enhance learning within the programme and confirm whether the project- induced changes are resulting in anticipated benefits, and whether there are unanticipated changes resulting in adverse effects that require prompt mitigation. To ensure the achievement of component objectives, the Forest and Natural Resources Programme team may revise work plans monthly/quarterly based on monitoring information to take on board emerging issues.

Participatory methodologies Community durbars / meetings / workshops, CBO meetings and Traditional Council meetings will serve as opportunities for communities to report on impact of component implementation through the use of appropriately designed instruments that do not require extensive literacy. Using simple, yet sensitive, tabulation systems, the project will train community associations to monitor the implementation of activities. This activity will form a crucial link in the participatory development process, since it will allow communities to assess and reflect on or challenge the degree of progress towards the goals set in the initial participatory action plan and design at component inception. Community representatives will aggregate data sets monthly and project personnel will integrate them quarterly into the general M&E system.

PERFORM Monitoring, Reporting and Evaluation4 Plan Most Significant Change stories The most significant change (MSC) technique is a form of participatory monitoring and evaluation. Essentially, the process involves the collection of significant change stories emanating from the field level, and the systematic selection of the most significant of these stories by panels of designated stakeholders or staff. The ‘story’ approach focus on who did what, when and why – and the reasons why the event was important. Partners and component facilitator will submit these stories monthly, which will be shared with CARE GoG and Denmark. It is expected that community level feedback will be provided by the partners during reviews to promote learning and sharing. The MSC guideline and reporting formats is attached. Evaluation arrangements Baseline The purpose of a baseline survey is to establish the prevailing situation at the start of component implementation as a basis for measuring and comparing changes and impact that has been made as a result of component implementation. It is also to ensure that information obtained serves as the basis of the component’s M&E system and helps identify conditions and benchmarks of progress towards the achievement of objectives.

PERFORM will conduct a baseline study during the inception phase. The baseline study will document natural resource base, land and tree tenure, existing CBFM systems, advocacy efforts, transparency and accountability of duty bearers and socio-economic conditions of the communities. Data collected for the baseline study will support the indicators and will serve as a reference for annual, mid-term and end of project impact assessment. As a matter of importance, data collected throughout the component will be disaggregated into men and women, boys and girls as the case may be and where possible by vulnerability; community and household level]

A team of local external consultant will conduct the baseline. It will involve participatory/peer review processes with partners, community members and Project Management team. It is an important learning opportunity for staff, partners and community members. There will be an endline study for comparison and to inform the final evaluation

The TOR for the consultants will be developed by the Project Manager with support of the M&E working Group and reviewed by PC/Operations Manager.

Reviews/reflective sessions The timing for reviews and evaluations will be finalised during the development of the M&E plan in the inception phase. There will likely be annual, midterm and end of component reviews. Additionally, monthly work-plan reviews will provide opportunities to address implementation issues at the activity level through action/research/learning cycles. Half-yearly stakeholder review meetings have also been suggested to provide opportunities for capturing unintended outcomes.

Monthly review meetings Monthly planning and review meetings of the component team (CARE and partners) will provide the platform for joint review of the previous month’s activities, taking note of shortfalls, challenges and areas for improvement to inform planning of the next month’s activities. Information from the monthly meetings will feed into individual team members’ monthly work plans. The monthly review will be done in project implementation districts on a rotational basis to afford DAs and other government staff members (MOFA, FSD, and Department of Community Development etc) the opportunity to be part of the review.

Quarterly partnership reviews The monthly review meetings may also serve as quarterly partnership reviews to assess partnership process, fulfilment of roles and responsibilities, lessons learnt, challenges emerging and how the challenges are to be addressed. The output of this will be a report, which will feed into the half yearly component review.

PERFORM Monitoring, Reporting and Evaluation5 Plan Half-yearly community reviews PERFORM foresees half-yearly community review meetings involving major community level stakeholders, partners and DA representatives to discuss impact of project implementation at the community level and whether communities are receiving appropriate response from the DAs with regard to their community action plans. This meeting will also serve as an opportunity to share Most Significant Change Stories collected from the communities. Knowing that there will be a minimum of 20 project communities, from the sixth month of project implementation, the community review will become a monthly activity and will be structured in such a way as to ensure that every community has this platform at least once in six months. This meeting would generate a report to feed into the PMT and Component Annual Report.

Half-yearly component reviews On a half-yearly basis, the M&E Officer may support the component team to organize reviews of the component’s performance with major component stakeholders, such as partners, community representatives and collaborators in the Western Region, members of the ANR Portfolio and selected members of the Advisory Board interested in the Forest and Natural Resources Programme. The review will identify lessons for PERFORM and make concrete recommendations on how these can be incorporated into component’s next plans. The review is also an opportunity to share the component’s activities with other stakeholders and get them to contribute ideas to reshaping the component. Information on the component provided during the review will enable stakeholders and potential partners identify areas for collaboration and partnership. Importantly, this review seeks to assess progress in component implementation with respect to:  Objectives and purpose  Strategies employed (for example: RBA, institutional development, linkages, advocacy, networking, partnerships)  M&E systems, efficiency, effectiveness and sustainability of processes used  Linkages and synergy  Contribution to the Forest and Natural Resources Programme and ANR Portfolio goals

The outcomes of these reviews will:  Provide information on impact being made. It is expected that feedback on component output compared with projections will provide clearer understanding on why the interventions are or are not achieving intended results. Component staff will then use this information to improve the performance or effectiveness of the interventions through revision of work plans, staff training and technical assistance needs.  Feed into the half-yearly component donor report, the component’s annual plan, and reviews of the Forest and Natural Resources Programme and ANR Portfolio.

One of the 6-month component reviews may be expanded to serve as the annual review of the component and will also evaluate relevance of prevailing component purpose and objectives and the new direction/ focus of the component, if any.

Mid-term evaluation The purpose of the midterm review is to provide a formal, analytical and comprehensive update on the progress and performance of the project. It is to enable an independent assessment of extent of component implementation midway through the component to provide information on whether component implementation is on track with respect to achievement of objectives and purpose and relevance of strategies being used. It will provide recommendations for making progress. A team of local external consultant will assess both partners and CARE. It will also involve participatory/peer review processes for learning

The TOR for the consultants will be developed by the Project Manager with support of the M&E working Group to be reviewed by the PC/Operations Manager

Final evaluation The end line survey and final evaluation will assess the degree of achievement of component objectives against the log frame with respect to:  Concrete results, nature of benefits, impact and long term effects of the component on the poor and marginalise, as well as ownership and sustainability of processes PERFORM Monitoring, Reporting and Evaluation6 Plan  Extent to which the component caused changes in livelihood conditions at the beneficiary level  Effectiveness of partnerships and other strategies  Factors which enhanced or hampered component implementation  Lessons for use in future CARE projects, with recommendations and other options  A combined team of local and external consultants will undertake the final evaluation. Monitoring risks, assumptions and unintended outcomes

As part of annual review processes, PERFORM will distribute a questionnaire to solicit information about issues on risks, assumptions and unintended outcome to staff and partners before the annual review, A descriptive synthesis of the issues will be presented at the meeting. PERFORM will use the meeting to interpret, consider implications, and what decisions to make for the coming year.

Risks Mining: Expanding surface mining activities are disrupting farming and encroaching on forests, rivers and other natural resources—becoming an imminent threat to the communities and forests. The expansion of mining activities within the region is also a threat to the implementation of CBFM models that aim to create forest resources in the off-reserve area. Commitment of the government of Ghana to comply with environmental permit regulations and procedures would empower communities to be part of the decision-making processes on mining and could thus reduce the threat. So far, CARE has stayed out of engaging with mining companies for obvious reasons, one of which is to avoid being labelled as doing public relations for mining companies.

The component team will gain understanding of the mineral and mining laws to be able to support communities’ awareness to advocate on mining issues. The component management will collaborate with Wassa Association of Communities Affected by Mining (WACAM) operating in the Western Region and the National Coalition on Mining (NCOM) to lead the advocacy on mining.

For now, CARE aims to learn from CARE’s experience in facilitating FWG to become a vibrant and dynamic NGO voice in the forest sector. CARE will play the role of supporting and facilitating the meetings of coalitions/networks to keep them alive to enable discussions and implementation of advocacy action plans and building technical capacity for advocacy. PERFORM will collaborate with CIVIC (and other relevant initiatives) to support networks and advocacy initiatives. The component will facilitate engagement with key senior officials in the mining companies to discuss their awareness of the impact of mining activities on communities’ livelihoods and plans for addressing the negative impacts.

Climate change: PERFORM is mindful of the risk that climate change will negatively effect and impact the livelihoods of direct beneficiaries, and project outputs. Thus, PERFORM is mainstreaming climate change and disaster risk reduction (DRR). Parts of Western Region experienced coastal flooding and inland flooding along the banks of the Tano River in 2007. Climate change is also changing agriculture and forest use patterns across the country, which may result in increasing migration into Western Region to access farmland, resulting in increasing population pressure on forest reserves for agricultural lands (Western Region produces over 50% of Ghana’s cocoa exports) increasing pressure on social services. Currently, many settler farmers live in hamlets in the forest, remote from the urban communities and with no access to social services (health, school, potable water). The component will join efforts with other NGOs in the region to discuss and draw the attention of regional and district coordinating councils to the impact of climate change-induced disasters and possible risk reduction measures.

Lack of transparency by partners: There is the risk of partners’ advocacy efforts not being sufficiently transparent and mutually accountable, which could potentially create tensions. There will be the need for partners to jointly agree on advocacy issues, strategies, messages, “dos” and “do nots” for effective advocacy. CARE’s past experience in partnership shows that some local NGO partners create dependency on “donor” and agreed visions come to a halt when donor funding dries up, thereby jeopardising sustainability strategies. Jointly with CIVIC, PERFORM will discuss how to enable partner organisations’ live their dreams and grow to be strong and viable organisations.

PERFORM Monitoring, Reporting and Evaluation7 Plan Turnover in government offices: There are risks associated with personnel turnover in the DAs and of officials being transferred half way through component implementation. The component will make conscious efforts to ensure that there are processes in place to ensure the building of institutional memory. The project will also develop training capacity in local NGO partners respected by the DAs to provide capacity support for new DA members.

Oil: Oil recently found off the coast of the Western Region poses a number of potential negative consequences for poor people in Western Region. For example, poor people may be adversely affected by a possible increase in the cost of living, key stakeholders (Government, DAs, TAs, farmers, etc.) may divert economic commitments from CBFM into oil-related businesses, or there may be an influx of people from various locations into Western Region, including sex workers and the associated proliferation of HIV/AIDS and sexually transmitted diseases. PERFORM will promote advocacy efforts to establish a vibrant CS voice in the oil sector by building on the FWG experience. The component will also seek more information on oil-sector issues in order to create community awareness and increased engagement with duty bearers.

Assumptions Commitment of Government of Ghana to participatory forest resources management and the Voluntary Partnership Agreement (VPA) for Forest Law Enforcement Governance and Trade (FLEGT) will be essential to the implementation of the project. The government of Ghana, through the MLFM, has demonstrated commitment by signing the VPA. CS now has the responsibility to enhance the participatory approach to VPA implementation and maintain government’s commitment by promoting dialogues for addressing emerging challenges.

The absence of widespread conflict is important for sustainable forest resource management practices. There are already NR-related tensions in the Western Region around mining and access to forestlands for cocoa farming. Farmers, in search of land for farming cocoa, have encroached into forest reserves in the Western Region—creating tension between landowners, FSD officials and communities. The assumption is that these tensions would not degenerate into full-scale conflict. The Development Institute, a local NGO, is undertaking a study on forest resource-related conflict management in the Gwira Banso Stool. Outputs from this study will be used to build capacities of local NGO partners in conflict management.

Unintended outcomes PERFORM will use one or more of the following to track unintended outcomes:  impact pathways,  most significant change stories  evidence of change approach.

The motive is to identify positive or negative outcomes that were unplanned or unexpected-as seen by impact/target populations, partners, staff or any other stakeholders. Once identified, the team (partners, staff or any other stakeholders) will consider whether any remedial/mitigating action is needed, or whether and how to capitalize on any positive changes. Feedback and learning events and fora Levels of learning When there are low levels of complexity, single-loop learning often will be enough to stay on track. Simple problems can be solved using processes that:  focus on the parts of a problem in isolation,  rely heavily on what has worked in the past or elsewhere (“best practices”), and  are open to solutions proposed by leaders or experts.

When the levels of complexity in our work and the issues we are working with are high, it becomes more critical for us to be able to also use double- and triple-loop learning to:  succeed in new contexts,  make learning an integral activity, and

PERFORM Monitoring, Reporting and Evaluation8 Plan  ultimately to achieve results.

As we focus on lasting change in the community, we are dealing with increasingly high levels of three types of complexity where success only comes through using processes that:  focus on working with all the parts as a single system,  accept that solutions emerge as situations unfold, and  involve the concerned people in developing the solutions.

Context Assumptions Actions Results

Single-Loop Learning Are we doing things right?

Double-Loop Learning

Are we doing the right things?

Triple-Loop Learning

How do we decide what is right?

Through learning and documentation during the six-month inception phase, component team meetings, annual reviews, and other learning and sharing events, PERFORM will:  Be flexible: The component will employ a flexible, learning approach overall, but particularly in advocacy.  Consider and mitigate risks: The component will update its assumptions and risks annually and develop contingency or mitigation plans for identified risks.  Be sensitive to unintended outcomes: The mid-term review and final evaluations, as well as annual reviews and other M&E activities will be designed to capture unintended outcomes, both positive and negative. These outcomes will influence design and implementation.  Identify innovations: The CBFM models, including CBLA are innovations, of themselves. CARE will use its relations with partners and other stakeholders in the area to stay abreast of innovations and integrate them into the component to improve impact on the poor and marginalised. Specifically, this component will use study and exchange visits, farmer-to- farmer sharing. These will be undertaken as part of component implementation. The use of the “Most Significant Change” Stories will be applied as one tool (among others, e.g., community mapping) for community based participatory M&E.

PERFORM Monitoring, Reporting and Evaluation9 Plan Critical reflection processes and events-information sharing

Critical Purpose & Description Whom to involve Timing reflection Process or Events Participatory Update the situation analysis, revise problem/visions, adjust objective Reps of intended primary Three day workshop at review of project hierarchy & assumptions stakeholders, staff of inception strategy partner organization, all project staff, facilitator Development of Asses different information needs, take stock of who is already doing what, Reps of intended primary Four or five full day M&E plan with agree on priority information areas, refine questions/indicators, decide on stakeholders, staff of meetings during the stakeholders methods, agree on responsibilities partner organization, all first 3 months of the project staff, facilitator project Presentation of Discuss & validate findings Reps of intended primary As & when necessary reports/ findings stakeholders, staff of and/or possible (surveys etc) partner organization, all project staff, facilitator Quarterly Discuss key success & problems MMT One day meeting every Progress reviews three month by MMT Quarterly Discuss key success & problems, re strategize Attention will be given to Reps of intended primary One day meeting every Progress reviews context (assumption) issues & unintended/unexpected outcomes (positive or stakeholders, staff of three month by stakeholders negative) partner organization, all project staff, facilitator Monthly Progress Discuss key success & problems, re strategize Reps of intended primary One day meeting every reviews by stakeholders, staff of month Project/Program partner organization, all staff project staff, facilitator Monthly Progress Discuss key success & problems, re strategize Reps of intended primary One day meeting every reviews by stakeholders, staff of month program partner organization, all beneficiaries project staff, facilitator Periodic Peer To learn from other projects within the program & provide feedback. This is Project Managers During quarterly & Review of reports important in terms of ensuring minimum quality as well as promoting annual report learning & continuous improvement in quality. preparation Field Visits Firsthand look at & information about what is happening in the field, Field staff, PM, M&E etc As & when necessary informal charts about how activities are being implemented and/or possible PERFORM Monitoring, Reporting and Evaluation Plan 10 Critical Purpose & Description Whom to involve Timing reflection Process or Events Annual Project Summary of key successes & problems, ideas for changing project Reps of intended primary Once a year review activities/outputs & assumptions, review of implications for the project log stakeholders, staff of frame, identification of lessons learnt about project implementation, M&E partner organization, all system adjustment project staff, facilitator Attention will be given to context (assumption) issues & unintended/unexpected outcomes (positive or negative). Periodic review Focused discussion about the strategy & operations of key components to Key stakeholders of the As & when necessary workshops of key adjust the objective hierarchy, solve problems & identify lessons learnt project component, and/or possible project intended primary components stakeholders, implementing partners, staff Preparation for Explain the mission, agree on what the project & stakeholders would like to Field staff, PM, M&E etc As & when necessary supervision get out of the mission, identify who needs to prepare what before the and/or possible missions mission, organize the logistics Baseline Establish the prevailing situation at the start of component implementation A team of local external At project inception, as a basis for measuring & comparing changes & impact that has been consultant, partners, within the first six made as a result of component implementation. It is also to ensure that community members & months information obtained serves as the basis of the component’s M&E system & Project Management team helps identify conditions & benchmarks of progress towards the & district institutions achievement of objectives. Midterm Provide a formal, analytical & comprehensive update on the progress & A team of local external Midway the project performance of the project. It is to enable an independent assessment of consultant, partners, period. In the fourth extent of component implementation midway through the component to community members & quarter of the the provide information on whether component implementation is on track with Project Management team second year of project respect to achievement of objectives & purpose & relevance of strategies & district institutions implementation being used. It will provide recommendations for making progress. End line/ex-post Particularly at the point of scaling up. Also to provide information for Partners, community In the fourth quarter of comparison with baseline & to inform the final evaluation members & Project fourth year Management team & district institutions Final evaluation Assess A team of international & After the fourth fourth  Concrete results, nature of benefits, impact & long term effects of the local external consultants, & last year of component on the poor & marginalise, as well as ownership & partners, community implementation sustainability of processes members & Project

PERFORM Monitoring, Reporting and Evaluation Plan 11 Critical Purpose & Description Whom to involve Timing reflection Process or Events  Extent to which component caused changes in livelihood conditions at Management team & beneficiary level district institutions  Effectiveness of partnerships & other strategies  Factors which enhanced or hampered component implementation  Lessons for use in future CARE projects, with recommendations & other options

PERFORM Monitoring, Reporting and Evaluation Plan 12 Monitoring and reporting framework

PERFORM performance will be tracked on regular and ongoing basis using performance indicators designed to yield data which can be transformed into information that will support the of DANIDA and CARE to monitor progress and make decisions with regards to making adjustments in program approaches and/or defining need for further analysis. The monitoring and reporting system consist of a number of tools which work together to ensure accuracy and timeliness of data collection and monitoring of progress against targets. These tools are listed and discussed briefly in the following paragraphs.

Performance measurement plan (PMP) The monitoring plan will include a PMP, to be completed during the inception period with component beneficiaries and partners. The PMP covers the following areas: the component goal, the objectives, indicators, indicator definitions, target population, the methods and frequency of data collection, the sources of data, and who will collect and analyze the data. The Performance Measurement Plan will meet three requirements:  Allow component staff and partners to assess progress made toward achieving objectives in each activity, and assess these findings to decide to continue, revise, or replicate specific activities;  Guide potential donors, DAs, MLFM and CARE to assess the performance of the component and the impact on the lives of forest-dependent Ghanaians, forest resource development and the extent to which the component has supported the implementation of the revised national forest policy in an equitable and sustainable manner;  Guide CARE in assessing the extent to which the component contribute to its development goal and objectives; and on the basis of the findings, justify CARE’s resource use as well as inform future programme development.

Performance Indicator Reference Sheets (PIRs) The Performance Indicator Reference Sheet (PIRS) supports in-depth characterization and description of each performance indicator. There is one sheet prepared for each agreed upon Performance indicator. The PIRS sets forth all relevant information that defines and supports the collection of data and is accessible to any implementing partner. While at first glance it may appear that the PIRS makes the PMP redundant, that is not the case. The PIRS provides a critical snapshot of all data related to a given indicator. The PMP facilitates thinking and reporting on the activities which are needed to support indicators which are critical to the achievement of results. The PIRS supports considered thinking about indicator worthiness. The PIRS will be developed after inception workshop where CARE with her partners and stakeholders agree on indicators

Performance Data Collection Forms Most performance monitoring indicator data will be collected at the activity level. The bulk of the of performance data collection and tracking responsibility falls on implementing partners, under the direct oversight and guidance of CARE. Data collection forms have designed to match various implementation milestones. These forms have been reviewed with a cross section of partners and stakeholders. These have been put together as an attachment

1. General Cross-cutting forms-Profiles key beneficiaries, partners and institutions 2. Intervention tracking forms Events – Fresh trainings – Video shows – Reviews – Refreshers – Education (monthly, Input Support and Durbars quarterly, yearly) monitoring – Exhibitions – Meetings etc Open Activities – Forums Trainings and adoption – Open education Cross learning visits monitoring

Performance Indicator Tracking Tables (PITT) Goals, Objectives were defined for PERFORM, based on the needs which triggered the whole project and its expected effects as evidenced by the FOREST final evaluation report. Targets for PERFORM PERFORM Monitoring, Reporting and Evaluation13 Plan will be set based on the outcome of baseline to gather adequate evidence for realistic targets. In setting targets, partners, and beneficiaries will be involved to arrive at changes they anticipate/desire in their particular context. These will apply to all target statements, whether expressed in this plan as separate discrete targets for outputs, effects or impacts, or embedded in objective and goal statements. The targets are then used as guidelines and benchmarks for performance.

Quarterly, there will be Performance measurement and feedback to those involved project implementation and delivery. Achievements will be evaluated, crucial for both implementation of corrective actions and learning. Targets review forms a key component of this process. Key stakeholders are involved.

The M&E working group will create data collection and analysis tools for assessing whether the target has been met looking analytically at what is happening with the indicator (and therefore, the core problem and project strategy/hypothesis) as well as looking for/at negative and unexpected outcomes.

The Performance Indicator Tracking Table (PITT) as the reporting output of the PMP and the PIRS will be used for tracking progress on indicators and targets. It represents a quarterly statement of progress against targets. As part of planning activities, each partner will set performance targets against the overall targets facilitated by PERFORM. Performance will then be monitored against these targets, and the PITT will be prepared quarterly and attached to each quarterly progress report. It will be prepared at the level of implementing partners and forwarded to CARE, where a composite PERFORM PITT will be prepared and submitted to CARE/Denmark each quarter. In reporting quarterly on these indicators, significant deviations of plus or minus ten percent from the targets be submitted accompanied by a brief explanation prepared by the Executive Director of the of the partner organization responsible. The PITT is attached to the manual Progress reporting

PERFORM’s reporting system aligns with CARE Denmark’s reporting guidelines (Nov. 2008).  PERFORM will contribute documentation for the annual Programme Progress Report (PPR) to CARE Denmark. At component level, the PPR will summarize progress towards fulfilling component objectives and producing the planned results. The report will include an overview of implementation of all the components that make up the programme, including any issues and challenges that encountered during the year. PERFORM will also include information on partnerships, which will reflect on the status and development of partnerships with local civil society partners. The PPR will also include a summary of review and evaluation processes conducted in the reporting year and any follow up activities to earlier reviews and evaluations. Finally, the PPR will summarize discussions and recommendations from the latest Annual Programme Review meeting with partners and other stakeholders to the programme.  PERFORM will participate, or lead as necessary, annual partnership review meetings that provide a space for discussion of partnership issues that go beyond day-to-day implementation issues and develop action points for further development of the partnership relationship.  PERFORM will contribute to the Forest and Natural Resource Programme’s Programme Annual Results and Rolling Plan (PARRP) report. The PARRP will contribute to the dual purpose of providing CARE Denmark with quantitative monitoring information on programmes and as the basis for annual mandatory reporting to DANIDA  PERFORM will deliver annual quantitative measurements of achievements against previously defined target values for the year on nine indicators in the following general result areas:1 1) People directly supported by the 6) Advocacy programme 7) Gender equality mainstreaming 2) People indirectly affected by the 8) HIV/AIDS mainstreaming programme 9) Climate change adaptation and 3) Livelihood improvements disaster risk reduction (DRR) 4) Natural resources governance mainstreaming 5) Capacity building  PERFORM will develop M&E systems or work plans that define annual goals for each of the nine key indicators above. The goals will ideally be defined in a ‘rolling plan’ that covers four years,

1

PERFORM Monitoring, Reporting and Evaluation14 Plan starting with the current year and updated annually. The rolling plan is a DANIDA requirement and forms a part of the PARRP.  PERFORM will also conduct a robust baseline analysis that defines indicator values at the outset and allows for better assessment of achievements. Baseline figures can also be entered in the PARRP.  PERFORM will present results are presented as cumulative figures of achievements to date from the beginning of the activity. This means adding all new results (e.g., women supported to form groups in the reporting year), but not subtracting those who are no longer supported.  As a matter of principle, results will be disaggregated by sex – unless the indicator is already gender specific.

Reporting tools will be decided upon during the inception phase. Tentatively, PERFORM is discussing the following reporting:

Monthly Reports Partners and component facilitator will submit monthly reports showing:  Key activities carried out within the period in relation to monthly work plan.  Reasons for any major deviations, challenges, key lessons learnt and progress made in relation to objectives.  Unexpected and significant events,  MSC stories.  The Component coordinator will compile and summarize these reports into monthly Component Implementation reports, which will also feed into the quarterly Project Monitoring Tool (PMT) reports.

Quarterly project monitoring tools (PMTs) The component team may produce quarterly component implementation reports focusing on significant changes and impact during the period in relation to the CARE’s strategic themes. The PMTs would be accompanied by key “Most Significant Change” stories documented during the period. As part of CARE GOG’s learning by sharing process, the PMTs will be shared throughout the ANR Portfolio.

PERFORM Monitoring, Reporting and Evaluation15 Plan Report delivery schedules

Partner Component Project Program CARE / CARE Denmark Report type Executive Project Officer Manager/M&E Officer Facilitator level Coordinator level / Stakeholders Director level level

Monthly 25th of the month 27th of the month 30th of the 4th of the ensuing month 7th of the ensuing 10th of the ensuing report, MSCs under review under review month under month month review

Monthly 30th of the 2nd of the ensuing month 4th of the ensuing Review month under month session report review

Quarterly 25th of the last 27th of the last 30th of the last 4th of the ensuing month 7th of the ensuing 10th of the ensuing Progress month of the month of the month of the of the last month of the month the last month month of the last month report, PITT quarter under quarter under quarter under quarter under review of the quarter under of the quarter under review review review review review

Quarterly 30th of the last 4th of the ensuing month 7th of the ensuing Review month of the of the last month of the month the last month session quarter under quarter under review of the quarter under report, MSCs review review

Semi annual 30th of the last 4th of the ensuing month 7th of the ensuing review session month of the of the last month of the month the last month report half year under half year under review of the half year under review review

Annual report, 25th of the last 27th of the last 30th of the last 4th of the ensuing month 7th of the ensuing 14th of the ensuing PITT month of the month of the month of the of the last month of the month the last month month the last month of year under year under year under year under review of the year under the year under review review review review review

Annual review 30th of the last 4th of the ensuing month 7th of the ensuing session month of the of the last month of the month the last month report, MSCs year under year under review of the year under

PERFORM Monitoring, Reporting and Evaluation Plan 16 review review

PERFORM Monitoring, Reporting and Evaluation Plan 17 PERFORM’s Vulnerability and Capacity Analysis (VCA)

Vulnerability is the potential to suffer harm or loss, related to the capacity to anticipate a hazard, cope with it, resist it and recover from its impact. Both vulnerability and its antithesis, resilience, are determined by physical, environmental, social, economic, political, cultural and institutional factors.

Vulnerability forms an integral part of PERFORMS analysis and reviews especially in the area of Gender, HIV/AIDS and Disaster Risk Reduction. PERFORM assesses vulnerability at two levels; community and household. The main purpose is of PERFORM’s VCA is to provide analytical data to support project planning decisions, particularly in ensuring that risks to vulnerable people are reduced as a result of the project.

The VCA will principally be used as:  A diagnostic tool to understand problems and their underlying causes.  A planning tool to prioritize and sequence actions and inputs.  A risk assessment tool to help assess specific risks.  A tool for empowering and mobilizing vulnerable communities.

This assessment will be a key component of PERFORM’s baseline design and periodically in the continuum of project implementation. VCA findings will feed into broader risk analysis. At each decision-making stage in the project planning and implementation process, VCA findings would be referred to and the impact of those decisions on vulnerability considered. Analyses would be transparent and available to all those who produce and use the information. These will include: Community members, TAs, DAs, FSD, OASL, Partners, NADMO, CARE staff etc

Ideally, VCA would be an ongoing process during the project cycle, because vulnerability is itself dynamic. Follow-up VCAs can assess changes resulting from the project and external factors that might require subsequent modifications to project design and delivery. The VCA can also be a tool for monitoring and evaluation, by identifying changes in baseline conditions. It will also be useful to evaluate the VCA process itself and use those lessons in subsequent assessments.

Critical factors that guide PERFORM’s VCA  Maintaining a holistic view to create a comprehensive and coherent analysis.  Vulnerabilities are always assessed alongside capacities.  VCA uses a mix of methods and tools, fitted to the project’s scope and purpose and adapted to local conditions.  The approach taken must be manageable, bearing vulnerability’s complex nature in mind.  Analysis would not be over-elaborate but geared to decisions about interventions based on identification of those components of vulnerability that are most relevant to the project and that the project is capable of addressing.  Project teams should possess skills for collecting and analyzing different types of data (including facilitation skills for participatory assessment). This will be facilitated by ANR Plus  Participation of vulnerable people is an essential part of the process.  Because vulnerability is not simple, and the data will be diverse, PERFORM and its partners will have to put some effort into reaching a consensus on priorities regarding how to proceed.  Carrying out a VCA can raise expectations that PERFOM will intervene to solve all the problems identified. This is rarely possible. It is therefore important to discuss the project’s purpose and likely outcomes with Partners community members and district stakeholders at the outset.

Basic steps in PERFORM’s Vulnerability and Capacity Assessment 1. Select a framework for analysis to establish clear and shared understanding of what is to be analysed, and the role of the VCA 2. Select unit/level of analysis to facilitate planning the scope and focus of the VCA and selection of the methodology; Household, Community or District 3. Identify stakeholders to provide expert knowledge and ensure ownership of findings

PERFORM Monitoring, Reporting and Evaluation18 Plan 4. Select approach for data collection and analysis appropriate to the scale, scope and purpose of the VCA 5. Collect data using a series of data-gathering methods to build up evidence 6. Analyze data in order to link different dimensions of vulnerability to present a full picture and reveal cause–effect linkages 7. Decision-making and action: feed findings into risk assessment and project design and make appropriate modifications to reduce vulnerability

Tools for assessing vulnerability The tools used for participatory data gathering rely heavily on PRA techniques. The effectiveness and relevance of the tools will differ according to the local context and hazard. These tools include the following.

Methods Application to vulnerability Secondary data collection and Contextual information on a variety of issues including review population characteristics, (official reports, economic external shocks and stresses (e.g., rainfall and temperature surveys, census data, household trends), surveys and other official health (morbidity and mortality), previous disasters’ impact statistics, research, early warning systems, reports by other agencies, etc.) Geospatial data (e.g., maps, Identify physical and environmental features (including satellite hazards), land use, images, social mapping, transect other resources and infrastructure, location of populations and walks) vulnerable sub-groups Environmental checklists Questions to gain information about environmental conditions and concerns, revealing the relationship between vulnerable people and their environment (e.g., what role do environmental resources play in resilience? How do environmental hazards, degradation and changes affect communities?) Sample surveys Quantitative data on dimensions of vulnerability (e.g., education, employment, health, nutritional status, household economies) Interviews (individuals, Information from different perspectives (among communities, households, other local community groups, key stakeholders, external experts) on events and trends that informants), cause stress, focus groups differential vulnerability and the effectiveness of adaptive behaviour Individual and household case Data on different experiences of vulnerability and abilities to studies; withstand oral history environmental hazards and other shocks Timelines Historical occurrence and profiles of longer-term events or trends (e.g., floods, droughts, epidemics, environmental trends and cycles) Seasonal calendars Describe seasonal events and trends, identifying vulnerability context, livelihood assets and strategies (e.g., rainfall, food levels at different times of year, crop planting and harvesting schedules, food prices, changes in health status) Preference, matrix and wealth Reveal vulnerability of different groups’ assets to shocks and ranking stresses,

PERFORM Monitoring, Reporting and Evaluation19 Plan and strategies against this Problem tree Identifies problems and their causes, and indicates possible solutions Venn diagrams and other Social capital, relations between groups, institutional and policy institutional environment appraisal/mapping methods Scenarios simulations Explore possible future outcomes and model social– environmental interactions over time

Management information system

Management Information System (MIS) converts data from internal and external sources into Information and communicate that information, in an appropriate form, to managers at all levels, in all functions to enable them to make timely and effective decisions for planning, directing and controlling the activities for which they are responsible.

The PERFORM Monitoring and reporting system includes a data storage and retrieval system which will support transformation of data into communication materials for various target audience.

The Sub-Office M&E Officer will liaise with the M&E Task Team and ANR-PLUS to set up an off the shelf package that caters for the information needs of the project. The Sub-Office M&E Officer with support from the M&E Working Group will train all implementation team members on the use of this system.

The CARE team will be trained on how to store and manage the data, but with different levels of access. The formats that will be developed and used for data collection by the partners will conform to this package to facilitate easy data analysis and management.

The output of statistical analysis will include charts and tables of frequencies, percentages, as the case may demand. As a matter of principle, outputs of statistical analysis will be disaggregated into men and women, boys and girls as the case may demand. For easy comparisons, presentation of gender statistics will be juxtaposed in both charts and tables for quick and easy comparison. These will be presented in the various reports with interpretations and implications drawn. The MIS will be the main source of quantitative data for report preparation at all level of CARE. However, it is important to note that quantitative data will not be the only source of information for reporting. There will be a lot of qualitative analysis with community, partners and district and Regional stakeholders. M&E quality control systems

 A documented plan is critical for keeping track of activities and resources. This Operational plan for M&E provides the conceptual and above all, practical basis for planning, monitoring and evaluation within the project  Standardized M&E information: PERFORM with partners developed outlines and rules about registering and using information-Who gets what information and in what form. This was critical to be able to analyse project actions using information that had been collected and analysed by diverse actors at various levels applying a variety of methods through different intervention models.  The project will regularly review and evaluate the performance of different monitoring methods and try to correct the problems and remove bottle necks. Further the plan will continually be updated to accommodate changing information needs, skill level and context as well as refinements in project strategies and activities  Just as the project requires continual adaptation, the M&E system will also be adjusted regularly and improved as the project evolves and experiences develop. PERFORM, keeping in view the demand driven approach of the program and the flexibility embedded in the implementation arrangements , the M&E system approach will also be flexible in that it will respond to emerging

PERFORM Monitoring, Reporting and Evaluation20 Plan requirements for feedback and information of users by designing its outputs as the vision of stakeholders broadens  PERFORM will employ the Design and Monitoring and Evaluation Capacity Assessment Tool (CAT) as a standard criteria for assessing the quality of M&E system. Results from the CAT will subsequently inform update of the M&E plan. Assessment will be conducted every six months with the support of ANR plus and M&E working group. Among other things the CAT assesses 1. Utility-Serve the practical information needs of intended users 2. Feasibility-Methods, sequences, timing and processing procedures proposed are realistic, prudent and cost effective 3. Propriety-The M&E activities will be conducted legally, ethical and with due regard for the welfare of those affected by the results 4. Accuracy-The M&E outputs will reveal and convey technically adequate information  Data Quality processes: PERFORM will establish relevant crosscheck mechanisms to ensure that data collected from the field and reported are accurate. Field officers responsible for data collection will be trained on the data collection methodologies outlined in the M&E plan to improve their efficiency and effectiveness in data collection. Where surveys are carried out to collect data on impact indicators, standard statistical sampling procedures will be used to ensure that samples selected are representative of the target population. There will also be close supervision of field data collection process. The M&E officer will verify and cross check raw data from the field submitted by field officers. Data entry personnel will also be trained in appropriate computer software to minimise errors. There will be random re-entry of selected records to verify the quality of the data entered. There will also be regular updates of data on project indicators. This will ensure that data reported on at any given time adequately reflect the picture on the ground.  The M&E system will also consider strategies to ensure that data is useful and used at the level where it is collected. When this happens, the people doing the data collection will actually care about the quality of the data. This may require some capacity building and support for local analysis and reflection to be facilitated by ANR plus.

PERFORM Monitoring, Reporting and Evaluation21 Plan Elements of PERFORM Tracking System 1. Monitoring, Evaluation and Reporting Matrix/Performance Monitoring Plan

Indicator Use/Application Type of info (short Data Required Sources of Methods of Who to Freq. explanation of information data gathering collect, of indicator) analyse data reporti ng Program Goal: Sustainable Forest resource management in Ghana contributes to poverty reduction % of men & Household Control is achieved Control matrix, Analysis of Community Control & Access Partners, M&E Annual women change – effects, when one determines level of control members & key Matrix, CBLA Officer, household who possibly impacts the use informants, CBNRM agreements, Community have control Change in human constitutions, rules Land register members over land & conditions & regulations, timber in the off minutes of CBNRM reserve areas in meetings, CBLA the HFZ agreements, Land register, etc Forest cover in Natural resource Difference about Satellite imagery Satellite imagery Satellite Partners, M&E Annual the off-reserve changes – density of tree age imagery, Officer, areas in the impacts Measures of trees, type of Observation HFZ, change of tree status/conditions Institutional Benefit comes when Enterprises engaged in, Community Focus group Partners, M&E Annual % of men & impact – if this is men & women are source of raw materials for members & key discussions, Officer, women implementation engaged in IGAs from enterprise informants, CBNRM Interviews, Community benefiting from by community forest resources constitutions, rules Observation members Natural groups or & regulations Resource Based institutions meetings, CBLA Enterprises Household effects agreements, Land – if this refers to register etc behaviour change by individual farmers/ households Component Purpose # of districts Institutional districts, Analysis of NRM guideline, Review NRM DA, Community, Annual with NRM change – effects; equitability of NRM guideline guideline Traditional guidelines low level impacts district level stakeholders, Council, M&E PERFORM Monitoring, Reporting and Evaluation Plan 22 Indicator Use/Application Type of info (short Data Required Sources of Methods of Who to Freq. explanation of information data gathering collect, of indicator) analyse data reporti ng (system change) community, Criteria for Officer, Partner Measure of ‘equitable & sustainable’ Facilitator enabling guidelines, environment Household asset Household Assets acquired & usage Community Focus group Partners, M&E Annual index change – effects, members discussions, Officer, possibly impacts Interviews, Community Change in human Observation members conditions Objective 1: Equitable & sustainable CBFM models, including land, tree & forest tenure agreements, implemented in 4 districts in the Western Region by 2010 # of Institutional Num. of target Type of CBFMs, Quality of Community Focus group Partners, M&E Annual communities change– effects communities that CBFM model, vulnerability members & key discussions, Officer, implementing Measure of collectively agreed to status of communities informants, CBNRM Interviews, Community CBFM models community & put necessary CBFM constitutions, rules Observation members household structures in place & & regulations, & behaviour implement. Includes minutes of CBNRM CBNRM constitutions, structure rules & regulations, meetings, CBLA CBNRM meetings & agreements, Land minutes, CBLA Land register etc register etc # of CBOs or Institutional CBOs or CBO CBOs or CBO Networks, CBOs & CBO Review CBOs & Partners, M&E Quarterl CBO Networks change – effects. networks are Linkage to service support, Network reports, CBO Network Officer, y responsive to Measure of social responsive when they Advocacy networks & market, Community reports, Focus Community gender issues in relations & take up advocacy in Number of women Group members, CBOs CBFM enabling equity of access & participating & benefiting discussions & & CBO networks environment control of Land & from gender issues addressed key informant forest resources by CBO or CBO networks, interview, Analysis of quality of responsiveness to gender issue # of Institutional CBLA includes Community level agreements Community level Review Partners, M&E Annual communities change – effects community level on land, tree, forest tenure, agreements on Community level Officer, implementing Measure of social agreements on land, CBNRM decision making land, tree, forest agreements on Community Community relations & tree, forest tenure, structure with constitution, tenure, CBNRM land, tree, forest members, CBOs, Based Land enabling CBNRM decision frequency of meetings land decision making tenure, CBNRM OASL, Survey Administration environment making structure with register. Analysis of the level structure, decision making Dep’t,

PERFORM Monitoring, Reporting and Evaluation Plan 23 Indicator Use/Application Type of info (short Data Required Sources of Methods of Who to Freq. explanation of information data gathering collect, of indicator) analyse data reporti ng (CBLA) system constitution, land of involvement of women & constitution, land structure, Customary land register. ethnic minorities register, minutes constitution, land secretariat, FSD, register, Traditional minutes, FGDs, Council, DA KI interviews % of men & Institutional Community based land Community Land Review Partners, M&E Annuall women change – effects, agreements register Community Land Officer, y with land & Household register, FGDs, Community tree titles changes – effects Key Informant members, CBOs, (disaggregated & low impacts. Interviews OASL, Survey by community, Measure of Dep’t, sex, & community Customary land marginalised behaviour, secretariat, FSD, group to extent behaviour of Traditional possible) landowners, or Council, DA behaviour of tenants Measure of equitability by the disaggregation Objective 2: Government develops & adopts a national policy framework for equitable & sustainable CBFM by 2011 % of farm Household A farm family owns Gender of household head, community Based Review Partners, M&E Annuall families change – effects; forest resources when Tree species on farm forest, Land agreement, community Officer, y creating their Measure of there is a signed community Based Land Land register, FSD Based Land Community own forest human condition, community Based agreement register agreement, Land members, CBOs, resources social relations if Land agreement & a register, FSD OASL, Survey (disaggregate it depends on registration done with register, FGDs, Dep’t, by female-HoH) changes in intra- FSD covering planted Key Informant Customary land household gender tree resources Interview secretariat, FSD, or power relations Traditional Council, DA % of forest- Institutional CBNRM structures Representatives speak for the CBNRM structures, Key informant Partners, M&E Annual dependent change – lower should be able to community on this issue & Revised Forest & interview FGDs Officer, communities level effects know their rights on their gender – the chief, the Wild Life Policy Community aware of Measure of land & tree tenure unit committee, etc., Issues in members, CBOs, Revised Forest enabling the policy highlighted FSD, Traditional & Wildlife Policy environment Council, DA

PERFORM Monitoring, Reporting and Evaluation Plan 24 Indicator Use/Application Type of info (short Data Required Sources of Methods of Who to Freq. explanation of information data gathering collect, of indicator) analyse data reporti ng Objective 3: Scale-up strategies for equitable & sustainable CBFM models being implemented in additional communities in the Western Region & shared nationally & internationally by 2013 # of CSO/NGOs Institutional Type of CBFM, Analysis of CSOs/NGOs reports, Key informant Partners, M&E Annual taking up & change – effects quality & completeness of interview FGDs, Officer, implementing Measure of adoption/use Observation Community CBFM in their enabling Inclination of CSO/NGO( Care members, (non-CARE, non- environment Partner, Constituent of FWG, CSOs/NGOs, FWG) non-constituent of FWG & no OASL, Survey communities partnership with CARE Dep’t, Customary land secretariat, FSD, Trad. Council, DA # of Institutional CBFM includes Type of CBFM, Analysis of Community level Review Partners, M&E Annual communities change – community level quality & completeness of agreements on Community level Officer, outside project community agreements on land, adoption/use, community land, tree, forest agreements on Community beneficiary Measure of tree, forest tenure, vulnerability status, tenure, CBNRM land, tree, forest members, CBOs, communities enabling CBNRM decision Community level agreements decision making tenure, CBNRM OASL, Survey taking up CBFM environment making structure with on land, tree, forest tenure, structure, decision making Dep’t, by 2013 behaviour constitution, land CBNRM decision making constitution, land structure, Customary land Measure of register. structure with constitution, register, minutes constitution, land secretariat, FSD, spread of Disaggregate into frequency of meetings land register, Traditional innovation members of FWG register. Analysis of the level minutes, FGDs, Council, DA of involvement of women & Key Informant ethnic minorities, Community interviews inclination: FWG member(Outside CARE partners Objective 4: Communities, District Assemblies (DAs), & the Forest Service Division (FSD) have competencies & are implementing equitable & sustainable CBFM at all levels improved by 2013 % of DA Institutional DA members are Designation of DA member, CBNRM decision Review CBNRM Partners, M&E Annual members change – effects ‘engaging’ if there is Gender of DA staff, making structures, decision making Officer, engaging with Measure of information flow of communities engaged, DA members, structure, , FGDs, Community their enabling decisions at DA sitting community vulnerability Community Key Informant members, CBOs, constituents on environment & a each time & DA status, Issues discussed with members, TA interviews OASL, Survey CBFM issues measure of social member sends the community, Frequency of Dep’t, relations concerns of engagement, response of Customary land

PERFORM Monitoring, Reporting and Evaluation Plan 25 Indicator Use/Application Type of info (short Data Required Sources of Methods of Who to Freq. explanation of information data gathering collect, of indicator) analyse data reporti ng community members community, agreements secretariat, FSD, for DA discussions reached & changes that had Traditional taken place, plans for next Council, DA engagements % of Institutional Communities are said Representatives who speak Representatives Review CBNRM Partners, M&E Annual communities change – effects to be engaging district for the community on this who speak for the decisions taking Officer, reporting Measure of social stakeholders when issue & their gender – the community on this by community, Community engagement relations representatives chief, the unit committee, etc, issue & their FGDs, Key members, CBOs, with May be a approach district staff Designation of FSD/MOFA/DA gender – the chief, Informant OASL, Survey FSD/MOFA/DA measure of to discuss issues staff engaged & their gender, the unit committee, interviews Dep’t, staff on CBFM enabling about rights & community vulnerability etc, Minutes of Customary land environment benefits in CBFM status, Issues discussed with CBRM structure, secretariat, FSD, community, Frequency of Designation of Traditional engagement, response of FSD / MOFA / DA Council, DA community, agreements staff engaged reached & changes that had taken place, plans for next engagements

PERFORM Monitoring, Reporting and Evaluation Plan 26 2. Performance Indicator Tracking Table

Fiscal Year: Quarter Baseli First Quarter Second Quarter Third Quarter Fourth Quarter Project ne Targe % Targe % Targe % Targe % Actual Actual Actual Actual Elements/Indicators value t Diff. t Diff. t Diff. t Diff. Goal % of men & women household who have control over land & timber in off reserve areas in the HFZ Forest cover in the off- reserve areas in the HFZ, % of men & women benefiting from Natural Resource Based Enterprises Purpose # of districts with NRM guidelines Household asset index Objective 1 # of communities implementing CBFM models # of CBOs or CBO Networks responding to gender issues in CBFM # of communities implementing Community Based Land Administration (CBLA) system % of men & women with land & tree titles (disaggregated by PERFORM Monitoring, Reporting and Evaluation Plan 27 Fiscal Year: Quarter Baseli First Quarter Second Quarter Third Quarter Fourth Quarter Project ne Targe % Targe % Targe % Targe % Actual Actual Actual Actual Elements/Indicators value t Diff. t Diff. t Diff. t Diff. community, sex, & marginalised group to extent possible) Objective 2 % of farm families creating their own forest resources (disaggregate by female- HoH) % of forest-dependent communities aware of Revised Forest & Wildlife Policy Objective 3 # of CSO/NGOs taking up & implementing CBFM in their (non-CARE, non-FWG) communities # of communities outside project beneficiary communities taking up CBFM by 2013 Objective 4 % of DA members engaging with their constituents on CBFM issues % of communities reporting engagement with FSD/MOFA/DA staff on CBFM

PERFORM Monitoring, Reporting and Evaluation Plan 28 3. M&E work plan matrix

When activity Who leads? (Who is When Specific activity (what is Who participates? For whom? General & Specific activity occurs? responsible for reported? assessed or being done) (data collect, analysis) (Report to..) (schedule) reporting?) (schedule)

MONITORING  Objectives Impacts, fundamental changes Annual Project staff, Stakeholders PM Annual PC PM Social, political, economic, Monthly Facilitator Monthly PC  Context, risks & environment Project Staff including partners Annual PM Annual assumptions Negative outcomes Response of target population Quarterly PC Annual PM, M&E Officer, ODF PM  Effects to project outputs Annual  Outputs, including Monthly Project products achieved Field facilitators, PM, M&E Field Facilitator Monthly PM institutional & organisational issues Distribution & delivery Monthly Field Facilitators, PM, M&E Field facilitator Monthly PM  Activities (physical) Actual versus planned Project Manager, ODF, PC, Resources; use versus budget Monthly Accountant Monthly FC  Inputs (financial) Accountant, Administrator EVALUATION Indicators for impacts, effects, CARE At start-up Consultant Consultant July,2008  Baseline context, assumptions CARE/DENMARK Financial, physical, outputs, PM, Project Officer, Partners, M&E Officer CARE effects, context, Annual  Quarterly Review Quarterly PMC, PSC, stakeholders assumptions Financial, physical, outputs, PM, Project Officer, Partners, CF, M&E Officer CARE effects, context, Annual  Annual Review Annual PMC, PSC, stakeholders assumptions Organisation structure, design Progress – physical, financial Consultant, PM, M&E Officer, Consultant ASAP after CARE Achievements – Outputs, After 1 ½ Years  Mid-term evaluation Project Officer, PSC study CARE/DENMARK effects Context, risks, assumptions As above, plus impacts, Within 6-9 months Consultant, PM, PC, M&E Officer, Consultant Prior to CARE, sustainability  Final evaluation of end of project Component Manager, DMC, PSC phase out CARE/DENMARK Possibly cost-benefit OTHER  Gender & Vulnerability 

PERFORM Monitoring, Reporting and Evaluation Plan 29 4. M&E activity time table

General and specific activity Yr 1 Yr 2 Yr 3 Yr 4 Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr Qtr 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 MONITORING  Objectives  Context, risks and assumptions  Effects  Outputs, including institutional and organisational issues  Activities (physical)  Inputs (financial)

EVALUATION  Baseline  Monthly review  Quarterly review  Semi-Annual review  Annual review  Mid-term evaluation  Final evaluation

OTHER  Special studies  Training on M&E  Training on report writing

Note: Objectives, context, risk, assumptions, and effects would all be part of the mid-term and final evaluations as well as the annual monitoring/review. PERFORM Monitoring, Reporting and Evaluation Plan 30

PERFORM Monitoring, Reporting and Evaluation Plan 31 5. RACI Analysis (R=Responsible, A=Accountable, C=Consulted, I=Informed)

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s r o i P t R m C s D i N o D A C People, partnerships & planning Human resource capacity for progr M&E R R R A R I R I C I I I I I I Partnership interface – 2way info to plan, coord & R R R R A C R I I C I I I I C manage M&E system Programme M&E plan R R R R R C A I I C C C I I C M&E workplan – roles, responsibilities, timing C R R R R R A R I R I I I I C Advocacy, communications & culture for programme R R R A R R R I I R I I C C C M&E Collect, capture & verify Routine programme monitoring I C A R R R I I R C C R Surveys (baseline, endline) I C A R R I I R C C I I I Programme data base I A R R R I I C I I I Support supervision of M&E processes C R R R R A I I R Data quality assurance I I C R R A I I R Programme evaluation (mid-term, final) C C A R R R I I R C C I Research agenda (for operations research, action I C C A R R I I R C C I I research studies) M&E system review (e.g., annual) I I R R R A I I R C C I I I Use for decision making Data/information dissemination R R A R R R I I R R Information/evidence use R A R R R R R I I R R By major strategic element of M&E system Data needed strategy - Select, review & refine indicators IC IC I C R R A I I R R R IC R R Data collection strategy – sampling, data sources, tools, IC I I C R R A I I R R R I I I processes Data management strategy – data entry, cleaning, IC C R R R R A I I R R R RC RC RC

PERFORM Monitoring, Reporting and Evaluation Plan 32 validation Information production – data analysis (data  IC IC CR R A A CR I I R IC IC IC RC RC information), reporting Information use strategy – dissemination, IC C R A R R C I I R I I I I I communication, advocacy Knowledge mgmt strategy – institutional memory, data IC C A R R R RC R I R R R I I I base, web page Accountability strategy – performance tracking of M&E IC C R R R R A I I R R R R R R Learning strat – Reflect, critical thinking, lessons learnt, R A R R R C R I I C C C C C C capacity bldg Review strategy - M&E feedback, editing R R R R R C A I C R R R C C C Coordination strat – budget for DM&E, M&E calendar, R C R A R C C I C C C C C C C progr log frame

PERFORM Monitoring, Reporting and Evaluation Plan 33 6. Template for assessment of activities

Quarterly physical activities accomplishment report Item Major components and Unit of This quarter Fiscal year to date Remar no. activities measure Pla Accomplishment in this % Annual Accomplishment up to end of % ks n quarter plan this report

PERFORM Monitoring, Reporting and Evaluation Plan 34 7. Template for assessment of risks and negative outcomes

Problems encountered Levels of problems/concerns Problems Solutions Decisions made (what, Actions taken encountered recommended when) (what, when) Community Level District level Project level (including partners) Policy and higher level (including donor, country office, headquarters, etc.

PERFORM Monitoring, Reporting and Evaluation Plan 35 Acronyms

ANR...... Agriculture and Natural Resources CBFM...... Community-Based Forest Management CBLA...... Community-Based Land Administration CBNRM...... Community-Based Natural Resources Management CBO...... Community-Based Organizations CS...... Civil Society CSO...... Civil Society Organization DA...... District Assembly DFF...... District Forest Forum FNR...... Forest and Natural Resources FOREST...... Forest Livelihoods and Rights for Sustainable Forest Resources Management FSD...... Forestry Services Division FWG...... Forest Watch Ghana FWP...... Forest and Wildlife Policy HFZ...... High Forest Zone HIV/AIDS ...... Human Immune-Deficiency Virus/Acquired Immuno-Deficiency Syndrome M&E...... Monitoring and Evaluation MDGs...... Millennium Development Goals MIS...... Monitoring and Information Systems MLFM...... Ministry of Lands Forestry and Mines MoFA...... Ministry of Food and Agriculture MSC...... Most Significant Change MTDP...... Medium-Term Development Plan (District Assembly-level) NR...... Natural Resources NTFPs...... Non-Timber Forest Products OASL...... Office of the Administrator of Stool Lands PERFORM...... Partnerships for Equitable Resource and Forest Management PMP...... Performance Measurement Plan PMT...... Project Monitoring Tool WACAM...... Wassa Association of Communities affected by Mining WERENGO...... Western Regional Networks of Non-Governmental Organizations

PERFORM Monitoring, Reporting and Evaluation36 Plan

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