USAID/PERU PRO-BOSQUES MONITORING, EVALUATION, AND LEARNING PLAN
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PHOTO CREDIT: Left: CIFOR; Center: Tetra Tech; Right: Yale University
USAID/PERU PRO-BOSQUES
MONITORING, EVALUATION, AND
LEARNING PLAN
JANUARY 2019, REVISED MARCH 2019
This publication was produced for review by the United States Agency for
International Development. It was prepared by Tetra Tech.
This publication was produced for review by the United States Agency for International Development by Tetra Tech, through USAID Contract No. 72052718C00002 This report was prepared by: Tetra Tech 159 Bank Street, Suite 300 Burlington, Vermont 05401 USA Telephone: (802) 495-0282 Fax: (802) 658-4247 Email: international.development@tetratech.com Tetra Tech Contacts: Dr. Hector Cisneros, Chief of Party Email: Hector.Cisneros@ProBosquesPeru.org Jason Girard, Project Manager Telephone: (802) 495-0591 Email: Jason.Girard@tetratech.com
USAID/PERU PRO-BOSQUES MONITORING, EVALUATION, AND LEARNING PLAN JANUARY 2019, REVISED MARCH 2019 DISCLAIMER This monitoring, evaluation, and learning plan is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this plan are the sole responsibility of Tetra Tech and do not necessarily reflect the views of USAID or the United States Government.
TABLE OF CONTENTS
TABLE OF CONTENTS .............................................................................................................................. I
ACRONYMS AND ABBREVIATIONS ...................................................................................................... II
EXECUTIVE SUMMARY ............................................................................................................................ 1
1.0 USAID PRO-BOSQUES THEORY OF CHANGE .......................................................................... 2
2.0 LOGICAL MODEL ............................................................................................................................ 4
3.0 REPORTING ROLES AND RESPONSIBILITIES ........................................................................... 9
4.0 INTERNAL EVALUATION AND ASSESSMENT PLAN ............................................................ 11
4.1 INSTITUTIONAL CAPACITY ASSESSMENT ..................................................................................................................... 12
4.1.1 Phase I. Carry out institutional capacity diagnostic tool .............................................................. 12
4.1.2 Phase II. Implement improvement plans ........................................................................................... 13
4.1.3 Phase III. Measurement and adjustment ........................................................................................... 13
4.2 INDIGENOUS EMPOWERMENT INDEX .......................................................................................................................... 13
4.3 FOREST ENTERPRISES COMPETITIVENESS INDEX.................................................................................................. 14
4.4 GHG BASELINE AND ASSESSMENT ............................................................................................................................... 14
4.5 BASELINE REPORT ON LEGAL TIMBER SUPPLY IN PERU ............................................................................................ 14
4.6 MID-TERM LEARNING ASSESSMENT .............................................................................................................................. 15
5.0 DATA COLLECTION TOOLS/ INSTRUMENTS ........................................................................ 16
5.1 DATA COLLECTION ....................................................................................................................................................... 16
5.1.1 Data Collection Methodologies .......................................................................................................... 16
5.1.2 Tools for Data Collection .................................................................................................................... 17
6.0 DATA MANAGEMENT PLAN ...................................................................................................... 19
6.1 DATA QUALITY ASSURANCE ........................................................................................................................................ 19
6.2 DATA STORAGE .............................................................................................................................................................. 20
6.3 DATA SECURITY.............................................................................................................................................................. 21
7.0 LEARNING AND ADAPTIVE MANAGEMENT .......................................................................... 22
7.1 CONCEPT ........................................................................................................................................................................ 22
7.2 LEARNING QUESTIONS .................................................................................................................................................. 24
7.3 SHARING AND DISSEMINATION .................................................................................................................................... 25
8.0 INDICATOR TRACKING TABLE ................................................................................................. 27
9.0 MEL TASKS AND TIMELINE ........................................................................................................ 29
10.0 CHANGE LOG ................................................................................................................................ 30
ANNEX 1: INDICATORS RESULTS SHEETS ....................................................................................... 31
ANNEX 1I: PRO-BOSQUES SITUATION MODEL ............................................................................... 59
ANNEX III: PRO-BOSQUES RESULTS CHAINS .................................................................................. 60
USAID/PERU PRO-BOSQUES: MEL PLAN i
ACRONYMS AND ABBREVIATIONS
ARA Regional Environment Authority
ADEX Peruvian Association of Exporters
BAU Business as Usual
ccGAP Climate Change Gender Action Plan
CDC Community Development Coordinator
CFM Community Forest Management
CITE Center for Technological Innovation
CLA Collaborating, Learning, and Adapting
COP Chief of Party
CoP Community of Practice
CVC Community Control and Oversight Committee
DCA Development Credit Authority
DCOP Deputy Chief of Party
DQA Data Quality Assessment
FAB Forest and Biology Office
FOCAS Functional Organizational Capacity Assessment
FORESTS USAID/Peru-funded U.S. Forest Service Activity
FSC Forest Stewardship Council
FY Fiscal Year
GDA Global Development Authority
GHG Greenhouse Gas
GoP Government of Peru
GTF Forest Transportation Guides
IEI Indigenous Empowerment Index
IO Indigenous Organization
ISL Institutional Strengthening Lead
IT Information Technology
LGBTI Lesbian, Gay, Bisexual, Transgender, and Intersex
LOA Life of Activity
LTP Legal Trade Platform
M&E Monitoring and Evaluation
MC-SNIFFS Control Module of the National Forest and Wildlife Management Information
System
MEF Ministry of Economy and Finance
MEL Monitoring, Evaluation, and Learning
MINAGRI Ministry of Agriculture
MINAM Ministry of Environment
GTM-NDC Grupo de Trabajo Multisectorial de naturaleza temporal encargado de generar
información técnica para orientar la implementación de las Contribuciones
Nacionalmente Determinadas
MINCUL Ministry of Culture
NTFP Non-Forest Timber Product
OSINFOR Forestry and Wildlife Resource Oversight Agency
PIACI Pueblos Indígenas en Aislamiento o en Contacto Inicial
USAID/PERU PRO-BOSQUES: MEL PLAN ii
PIM Presupuesto Institucional Modificado
PIP Public Investment Project
PIRS Performance Indicator Reference Sheet
PRO-BOSQUES USAID/Peru Securing a Sustainable, Inclusive, and Profitable Forest Sector
Program
PRODES USAID/Peru ProDecentralization Project
PRODUCE Ministry of Production
RC Results Chain
SERFOR Peruvian Forest and Wildlife Service
SERFOR-CAF Programa de Desarrollo Forestal Sostenible, Inclusivo y Competitivo en la Amazonía
Peruana
SFM Sustainable Forest Management
SNIFFS National Forest and Wildlife Management Information System
STTA Short-Term Technical Assistance
SUNARP Superintendencia Nacional de los Registros Públicos
TBD To Be Determined
TC Training Coordinator
TOC Theory of Change
USAID United States Agency for International Development
USFS United States Forest Service
USG United States Government
USAID/PERU PRO-BOSQUES: MEL PLAN iii
EXECUTIVE SUMMARY
The USAID/Peru Securing a Sustainable, Inclusive, and Profitable Forest Sector Program (Pro-Bosques)
Monitoring, Evaluation, and Learning (MEL) Plan is a performance management tool built to report
performance and benchmark progress to USAID, engage Government of Peru (GoP) partners (Peruvian
Forest and Wildlife Service [SERFOR], Forestry and Wildlife Resource Oversight Agency [OSINFOR],
Ministry of Economy and Finance [MEF], sub-national governments, among others) in transparent data
exchange and shared responsibilities for performance monitoring, and create robust and interactive
communities of practice (CoPs) for continual learning and knowledge dissemination among all
stakeholders. Driven by a deliberate collaborative learning approach that will serve as a driver of
sustainability and knowledge generation, the performance and monitoring systems used at the national,
regional, and local levels provide useful information to adapt and improve evidenced-based strategies
leading to a Peruvian forest sector that is legal, profitable, sustainable, and inclusive.
The overall goal of Pro-Bosques is to provide the pillars for sustainability, legality, inclusivity, and
profitability that are necessary to support Peru’s forest sector. Pro-Bosques supports the strengthening
of Peru’s forest sector, focusing on strengthening forest governance through forest control and
monitoring tools, promoting private sector engagement through sustainable forest management and
improved business practices, and fostering market inclusiveness by supporting the participation of forest-
dependent communities in the forest sector.
This MEL Plan builds on successful MEL approaches from Tetra Tech’s landscape portfolio. The Activity
will establish baselines on greenhouse gas (GHG) emissions, institutional capacities for the Control
Module of the National Forest and Wildlife Management Information System (MC-SNIFFS), indigenous
empowerment and enterprise competitiveness. A CoP will be established for learning around the MC-
SNIFFS implementation in Amazon regions and learning questions linked to our Theories of Change
(TOCs) will generate evidence and data to guide strategies and adaptive management.
PURPOSE OF THE ACTIVITY MONITORING, EVALUATION, AND LEARNING PLAN
To support learning, adaptive management, and consistency
with USAID’s Automated Directive System 201, this MEL Plan INTEGRATED APPROACHES
provides standards and guidelines for monitoring, evaluating, TO MEL
and communicating USAID/Peru Pro-Bosques’ progress • Build sustainable local, regional, and
toward achievement of Activity results and objectives. The national systems
MEL Plan has a fourfold purpose: 1) present the Activity’s • Maximize Peruvian resources and
TOC; 2) define output- and objective-level performance capacity
indicators to align with the TOC; 3) outline our performance • Promote progressive gender and
and data management strategy (including roles and indigenous strategies
responsibilities) for data collection, validation, analysis, and • Improve landscape governance
archival; and 4) promote collaborative learning, evaluation, and • Provide input and results to USAID
Amazon Vision and Amazonia
knowledge management. The plan concludes with an outline of
Verde
anticipated monitoring and evaluation (M&E) tasks and
timeline. Performance Indicator Reference Sheets (PIRS) are in Annex I.
Consistent with Tetra Tech’s commitment to the principles of collaborating, learning, and adapting
(CLA), the MEL Plan is a living document that the Activity team will review annually and update as
necessary to reflect changes in objectives and operating context.
USAID PRO-BOSQUES: MEL PLAN 1
1.0 USAID PRO-BOSQUES THEORY OF
CHANGE
Pro-Bosques used a participatory process following the Open Standards of the Conservation Measures
Partnership to update a situation model on the forestry sector in Peru with an emphasis on issues
related to forest conversion and illegal logging. Participants in the three-day workshop (December 11-
13, 2018) included USAID/Peru and Washington, Pro-Bosques staff and partners (ProPurus, Centro para
el Desarrollo del Indígena Amazónico [CEDIA], HiB-LatinoAmerica), US Forest Service (USFS) staff in the
FORESTS Project, and SERFOR. USAID/Guatemala and the Measuring Impact 2 program of the
USAID/Forest and Biodiversity (FAB) office provided facilitation support. The updated situation model
can be found in Annex II.
For Pro-Bosques, Tetra Tech has followed the Conservation Measures Partnership methodology for
participatory building of TOCs, starting with updating a four-year-old situation model of the Peru
forestry sector (Annex II). From there, we developed a TOC for each component of Pro-Bosques with
USAID Peru and Washington, USAID Measuring Impact project, USFS, SERFOR and Pro-Bosques staff.
The resulting TOC and results chains (RC) (see Section 1 and Annex III) serves as the foundation
strategy for Pro-Bosques, which will be reviewed and updated annually for adaptive management. The
overview RC (Figure 1.1) combines the three TOCs and provides a summary of key results and explicit
objectives for the biodiversity and sustainable landscape funds in Pro-Bosques.
Key results, assumptions, and learning questions were developed along with outcome statements and
indicators for selected results. These are represented in our performance indicator table (Section 8) and
learning section (Section 7).
At a high level, the USAID Peru Pro-Bosques Activity is guided by the following TOC:
IF forest sector monitoring and enforcement are strengthened, especially through the National
Forest and Wildlife Management Information System (SNIFFS), community oversight and
monitoring within indigenous territories, and government agencies responsible for enforcing the
forestry law are able to effectively carry out forest governance responsibilities;
AND IF the private sector engages in the forestry sector through increased efficiency in the use
and transformation of forest resources, technical assistance is made available to forest producers
in Loreto and Ucayali to connect them to domestic and international markets improving
sustainability and profitability of forest activities in response to market incentives for legal wood,
and effective partnerships along the forest product supply chain are created;
AND IF indigenous communities, through life plan development, technical and political support,
and access to financial resources are able to engage in and benefit from forest management
activities;
THEN there will be less illegal logging, forest conversion, reduced GHG emissions, and high
biodiversity value areas will be more sustainably managed, human well-being will improve, and key
species, habitats, and targeted ecosystems will be conserved.
USAID/PERU PRO-BOSQUES: MEL PLAN 2Figure 1.1. Overview Results Chain for Pro-Bosques
USAID/PERU PRO-BOSQUES: MEL PLAN 32.0 LOGICAL MODEL
Below is the Results Framework for Pro-Bosques (Table 2.1) with tasks, outcomes and related indicators. The RCs for each component are in
Annex III.
Table 2.1. Pro-Bosques Results Framework
Objectives, Tasks, Sub-tasks, Expected Outcomes and Indicators
TASKS / SUB TASKS EXPECTED OUTCOMES INDICATORS
GOAL: to provide the pillars for sustainability, legality, inclusivity, and profitability that are necessary to support Peru’s forest sector
CONTEXT INDICATOR
Number of hectares deforested in Pro-Bosques
intervention area in Loreto and Ucayali
1. Number of hectares of biologically significant
areas under improved natural resource
management as result of USG assistance.
[EG.10.2-2]
2. Greenhouse gas (GHG) emissions, estimated in
metric tons of CO2 equivalent, reduced,
sequestered, or avoided through sustainable
landscapes activities supported by USG assistance.
[EG 13-6]
3. Amount of investment mobilized (in USD) for
sustainable landscapes as supported by USG
assistance. [EG.13-4]
OBJECTIVE 1: Strengthen monitoring and enforcement in the forest sector to increase legal timber for international and domestic use
Task 1.1. Assist GoP forest agencies and users to improve forest governance at national level through support to the National Forest and
Wildlife Management Information System (SNIFFS).
By Year 3, 100% of existing management
documents from “Forestry Title Holders” (Títulos 4. Number of Forestry Title Holders that emitted
Sub-task 1.1.1: Technical assistance to SERFOR
Habilitantes) are registered in MC-SNIFFS. GTFs through MC-SNIFFS
and other national and regional Peruvian
By Year 4, 100% MC-SNIFFS’ users in Amazon
authorities will be provided to fully implement and
regions trained. 5. Number of institutions with improved capacity
operate MC-SNIFFS focusing on all Amazon
By Year 5, 100% of primary Forest Transportation to address sustainable landscapes issues as
regions in Peru.
Guide (GTF) in Amazon regions is emitted through supported by USG assistance [EG. 13-2]
the MC-SNIFFS.
USAID/PERU PRO-BOSQUES: MEL PLAN 4TASKS / SUB TASKS EXPECTED OUTCOMES INDICATORS
Sub-task 1.1.2: Technical assistance provided to By Year 3, at least, two other modules of the
SERFOR to conceptualize and assess the design SNIFFS designed and with implementation plans by
and implement other SNIFFS modules. SERFOR.
Task 1.2. Assist indigenous organizations scale up, expand, and operationalize community monitoring and oversight within indigenous
territories.
Sub-task 1.2.1: Collaboration with the two national
and at least six sub-national indigenous
organizations (IO) to improve the network of
“Community Control and Oversight” in the Peruvian By Year 5, 100% of targeted regional and local
Amazon to be recognized by the forest authorities of Loreto and Ucayali include budget in
Public investment to support CVC activities will
authorities. their annual planning to implement ‘community
be counted under indicator #3.
Sub-task 1.2.2: Collaborate with GoP agencies (i.e., control and oversight’ activities in coordination with
OSINFOR, SERFOR, MINCUL, ARA, etc.), and the selected sub-national IO.
the two national and at least six sub-national IO to
support “community control and oversight” activities
at national and sub-national levels.
Sub-task 1.2.3: Jointly with the selected national By Year 4, at least 12 indigenous communities in
and sub-national IO, support the design of an Loreto and Ucayali are organized and implementing Number of indigenous communities implementing
organizational structure and supporting ‘community control and oversight’ activities, formally CVC activities linked to public authorities and
management documents for national and regional recognized by forest authorities. supported by local IO will be counted under
“community control and oversight” activities in indicator #10
Loreto and Ucayali.
Sub-task 1.2.4: Institutionalize, enhance, and secure By Year 2, a Training Program for ‘community 6. Number of people trained in sustainable
sustainability of the training program for control and oversight’ is in place and being landscapes supported by USG assistance.
‘community monitoring and oversight’, considering implemented. [EG13-1]
technical and organizational needs.
Task 1.3. Provide technical assistance to national and sub-national government entities to effectively carry out forest governance
responsibilities.
Sub-task 1.3.1: Design and implement a training By Year 3, SERFOR and targeted regional and local 6. Number of people trained in sustainable
program jointly with the Amazon regional and forest authorities of Loreto and Ucayali are landscapes supported by USG assistance.
local governments to improve their capacities to implementing a training program for their employees [EG13-1]
access and manage public funding to effectively as well as a tool for monitoring forest governance
carry out forest governance. capacities and implementation of duties, to improve
their capacities to access and manage public funding
to meet needs of forest governance.
Sub-task 1.3.2: Partner with the Ministry of By Year 3, SERFOR, regional and targeted local Amount of public investment for the MC-SNIFFS
Economy and Finance (MEF) to access public funds authorities of Loreto and Ucayali secure financial implementation and forest support will be
to improve forest governance, including the full counted under indicator #3
USAID/PERU PRO-BOSQUES: MEL PLAN 5TASKS / SUB TASKS EXPECTED OUTCOMES INDICATORS
operation of the MC-SNIFFS nationally and the resources for the fully implementation of the MC-
permanent operation of the “community control SNIFFS in Amazon regions.
and oversight.”
OBJECTIVE 2: Private Sector Engagement in Forest Sector Activities through the increase of efficiency in the use and transformation of
forest resources in order to reduce deforestation rates and illegal logging
Task 2.1. Provide technical assistance to forest titleholders and forest sawmills in Loreto and Ucayali to increase sustainability, legality,
inclusivity and profitability in the forest sector.
Sub-task 2.1.1: Technical assistance to forest By Year 5, 100% of selected ‘Forestry Title 7. Number of forestry enterprises, in target areas,
titleholders to promote sustainable and inclusive Holders’ in the regions of Loreto and Ucayali follow that demonstrate competitiveness.
forest management. sustainable practices related to the technical and
administrative aspects of the forest management and
business to reduce harvesting impact to the forest.
Sub-task 2.1.2: Support improved management of By Year 5, At least, 30% of existing timber sawmills
at least 30% existing timber sawmills in Loreto and in Loreto and Ucayali are applying better
Ucayali to enhance environmental, economic and management practices to raise competitiveness.
social conditions and raise competitiveness.
Sub-task 2.1.3: Collaborate with GoP institutions See details in indicator #3
such as CITE Madera and CITE Forestal to
promote use of technological innovation by forest
concessions and sawmills.
Sub-task 2.1.4: Provide technical assistance to at By Year 4, At least four (04) local municipalities are Counted under indicator #1 and included in
least four (04) local authorities and communities managing Local Forests. project report narrative.
(2 in Loreto and 2 in Ucayali) to officially establish
and manage “Local Forests,” per the Forestry
Regulations, securing public funds for
sustainability.
Task 2.2. Provide technical assistance to forest timber enterprises in Loreto and Ucayali to identify and connect to domestic and
international markets to secure the sustainability and profitability of forest activities.
Sub-task 2.2.1: Identify and connect to formal and By Year 5, At least 30% of all Concessions of PPF 8. Volume of legal wood available to the market.
permanent domestic and international markets. and Private Lands existing in Loreto and Ucayali
regions produce legal and sustainable timber
products.
Sub-task 2.2.2: Stimulate sufficient domestic and By Year 4, at least four (04) public entities include 9. Number of Peruvian agencies that successfully
international demand for legal wood. criteria to use legal wood in public procurements incorporate requirements to purchase legal
under law. timber in their procurement processes.
USAID/PERU PRO-BOSQUES: MEL PLAN 6TASKS / SUB TASKS EXPECTED OUTCOMES INDICATORS
Sub-task 2.2.3: Collaborate with private and By Year 4, financial mechanisms are in place to
financial sectors to increase resources available to support sustainable and profitable forest enterprises.
achieve long-term sustainability of forest sector
through various tools including but not limited to
USAID’s Global Development Alliance (GDA) and
Development Credit Authority (DCA). This could
include possible technical assistance to stimulate
investment in the forestry and sustainable forest
management sectors. Amount of new private investments related to
forest management, production, innovation and
Sub-task 2.2.4: Promote the use of existing tax By Year 5, researches related to forestry are
benefits such as 30309 Law that stimulates conducted by private sector in collaboration with value added will be counted under indicator #3.
scientific research, technological development & GoP entities.
innovation through tax incentives. Collaborate
with GoP institutions, CITE MADERA, and
voluntary forest companies to identify and use
existing mechanisms to spur innovation,
sustainability, efficiency, and further investments in
the sector.
OBJECTIVE 3: Strengthen indigenous communities’ rights and resources through sustainable forest management
Task 3.1. Provide technical assistance to promote community forest management (CFM) activities through the development and
implementation of community Life Plans in priority regions
Sub-task 3.1.1: Support targeted indigenous
communities in resolving land use conflicts
regarding boundary issues among their territories
By Year 4, 100% of targeted communities are
and other land use holders, as an important step 10. Percent change in Indigenous Empowerment
implementing CFM activities included in their Life
to develop/update and implement their Life Plans. Index.
Plans.
Sub-task 3.1.2: Support targeted indigenous
communities to identify CFM opportunities as part
of their Life Plans.
Sub-task 3.1.3: Institutional and technical capacity By Year 3, 100% of targeted communities have the Number of life plans implemented will be counted
building of all local indigenous organizations support of their local representation (indigenous under indicator #10
representatives of targeted communities to organization, federation, etc.)
support the Life Plan development process and
the implementation of CFM activities.
Sub-task 3.1.4: Promote the use of Life Plans as a By Year 5, 100% of Life Plans and CFM activities of Amount of funds from subnational public entities
key input for regional and local government targeted communities are incorporated in regional committed to support CFM activities in their
planning. and local governments’ annual planning and budgeting planning and budgeting will be counted under
to secure their sustainability. indicator #3
USAID/PERU PRO-BOSQUES: MEL PLAN 7TASKS / SUB TASKS EXPECTED OUTCOMES INDICATORS
Task 3.2. Provide technical assistance to the targeted communities to facilitate access to financial services to support timber and NTFP
activities in priority regions.
Sub-task 3.2.1: Technical assistance to indigenous
communities and their federations to carry out
CFM-based value chains identified and prioritized
in their Life Plans to achieve sustainability.
Sub-task 3.2.2: Engage private sector and financial 11. Number of people receiving livelihood co-
By Year 5, 100% of targeted CFM business
institutions to invest in all targeted communities benefits (monetary or non-monetary) associated
initiatives have secured a financial mechanism or
to create CFM-based value chains to promote with the implementation of USG sustainable
access to credit for the sustainability of the business.
sustainability and profitability. landscapes activities. (EG.13-5)
Sub-task 3.2.3: Technical assistance to indigenous
communities to promote access to financial
mechanisms from financial institutions for CFM
investments.
Task 3.3. Ensure equal gender participation and decision making in resource management and CFM investments
Sub-task 3.3.1: Support the implementation -within
all tasks under this contract- of the Peru Climate
Change Gender Action Plan (ccGAP), developed
by the Ministries of Environment, and Women and
By Year 5, 100% of targeted CFM business 12. Percent of vulnerable people in USG-assisted
Vulnerable Populations.
initiatives have increased the participation and programs designed to increase access to
Sub-task 3.3.2: Life Plan guidelines include guidance
decision-making from women in all sections of the productive economic resources (assets, credit,
on incorporating and how to integrate messages
production and commercial chain income or employment)
and interventions with gender equality, and LGBTI
issues particularly related to development plans,
Life Plans, territorial planning, consultation
processes and others.
USAID/PERU PRO-BOSQUES: MEL PLAN 83.0 REPORTING ROLES AND
RESPONSIBILITIES
Pro-Bosques monitoring activities focus on the compliance and achievement of established activities and
products as well as higher-level indicators. Performance monitoring data will provide feedback loops to
inform the Activity team, partners, and other stakeholders on Activity progress and provide
opportunities for learning.
The responsibility for monitoring is assigned to all the members of the Activity team: technical staff,
component leads and our partners, working in close collaboration with the MEL Specialist. (See Table
3.1 for details on roles.)
The MEL Specialist is responsible for organizing the MEL system, conceptualizing the data collection
process, designing data collection instruments, carrying out secondary data quality control, analyzing
data, and preparing internal and external reports (quarterly, annual reports) and other information
requirements.
The MEL Specialist will train the Activity team and partners on the MEL plan, familiarizing them with the
performance indicators, learning and adapting activities, and indicator definition and documentation
requirements. Training will be ongoing to ensure data is collected and documented correctly and
consistently. Frequent field visits to identify problems and make continuous improvements in the data
collection process will ensure data quality and consistency. See also Section 6.1 on Data Quality
Assurance.
The technical team will collect the data and supporting documents in the field, using data collection tools
designed by the MEL Specialist, for the performance indicators. For the “number of people trained”
indicator, the MEL Specialist will work with the Training Coordinator to obtain the related information
and supporting documents. The Training Coordinator will also input relevant data into USAID TraiNet.
In the regions, the Office Assistants will provide data input.
The leaders of components and regional directors will be responsible to review data before sending it to
the Lima Office. They will ensure data quality and accuracy as well as the relevance of supporting
documentation. In some cases, our short-term consultants may support data collection, consistent with
the appropriate frequency and standard methodology for consistency.
The Chief of Party (COP) has final responsibility for the MEL reports, communication with USAID, and
implementation of the MEL plan. Home office MEL support is available, as needed, for specialized
assistance on MEL systems and best practices, and/or specialized training for the MEL Specialist. As part
of Tetra Tech policy, a home office MEL Specialist will conduct two internal data quality assessments
(DQAs) during the life of the Activity (LOA) to ensure compliance with USAID standards. The
Communications Specialist will use monitoring data to produce high quality communication materials.
USAID/PERU PRO-BOSQUES: MEL PLAN 9Table 3.1. USAID Pro-Bosques Reporting Mechanisms
Roles and Data collection Data analysis Data reporting Data
Responsibilities visualization
& sharing
USAID Review data
reported
COP Review data analysis Include analyzed Share
data in quarterly and communication
final reports materials and
Activity
information to
reflect progress
DCOP - Review data Share quarterly Lead pause and
analysis update on Activity reflect sessions
- Review technical progress
information of
communication
materials
MEL Specialist - Develop MEL - Data validation Prepare internal and - Create tables and
instruments and quality external report for dashboards for
- Design and develop assurance whole project and performance
data collection - Conduct data other stakeholders indicator
tools (Databases & analysis progress
Reporting Systems) - Share the Activity
- Training about MEL progress results
system and data to whole Activity
collecting to staff team
and partners
- Monitor Activity
team-related MEL
activities
- Conduct review
and update of MEL
plan, if needed
Components - Supervise national Data validation and Send data via online
leads & and regional data quality assurance system to Lima
Regional collection office
directors - Ensure data is
documented
Technical staff - Field data
collection
- Data entry &
validation
Consultants - Field data Report the data
collection collected on field to
- Report to M&E components lead
Manager and regional
directors
Communication Prepare
Specialist communication
materials to
disseminate results
USAID/PERU PRO-BOSQUES: MEL PLAN 104.0 INTERNAL EVALUATION AND
ASSESSMENT PLAN
A mid-term learning assessment will allow us to reflect and test the Activity Theory of Change
developed, is a preparation for the mid-term evaluation, identifying concepts or documents to clarify
approaches, map synergies among partners, and/or compile data on progress to date.
Findings from mid-term evaluations are critical to understand and incorporate learnings into annual
planning and strategy sessions to improve Activity Objectives.
Below is a brief description of each baseline, the tentative schedule, the key question learning and the
internal evaluations that Pro-Bosques will conduct.
Table 4.1. Internal Evaluation and Assessment Plan
Tentative
Type Purpose Key Question
Schedule
Are roles in MC-SNIFFS clear among GoP
To identify capacity agencies?
Institutional
building and How the MC-SNIFFS modules or processes
Capacity
institutional will be integrated in a single information
Assessment for
strengthening needs FY19, Q4 system?
MC-SNIFFS
for the successful
(FOCAS What are training needs?
implementation of
methodology) How can MC-SNIFFS training become
MC-SNIFFS
institutionalized?
To identify strengths
What are key social, economic, and
and weakness for
Indigenous environmental considerations for each
each community
Empowerment community in considering forest management?
engaged with Pro- FY19, Q2-3
Assessment and What are capacity-building needs related to
Bosques and track
Index governance, gender inclusion, and overlapping
improvement over
land claims?
time
To identify current Does machinery and technology need update?
Forestry competitiveness Are personal adequately trained? How can
Enterprise situation of forest As enterprises productivity, yield, value and markets be
Competitiveness enterprises and track are selected increased? Which are the key factors to
Index its performance by enhance access to credit and financial
Pro-Bosques impact resources of forest enterprises?
To establish a What is the deforestation trend (business as
baseline on GHG usual [BAU])?
emissions in the
GHG Baseline Where are the deforestation hot spots? How
selected landscapes FY19, Q4
and Assessment can forest degradation be best monitored?
and identify
deforestation hot What strategies are needed to reduce
spots. emissions?
What is the estimated mix of legal vs non-legal
Baseline Report To estimate legal timber production in each Amazon region?
on Legal Timber timber supply FY19, Q4
Supply in Peru available in Peru Is it possible to identify “legal” wood in the
marketplace?
USAID/PERU PRO-BOSQUES: MEL PLAN 11Tentative
Type Purpose Key Question
Schedule
What are challenges that buyers face in trying
to source “legal” wood?
Has Pro-Bosques contributed to the reduction
To review Activity of deforestation and degradation in priority
TOC, assess risks landscapes?
Mid-Term
and assumptions, and Does engagement with indigenous peoples in
Learning FY21, Q2
make mid-course the development and implementation of life
Assessment
corrections if plans help achieve conservation goals?
needed. Are the priority landscapes providing lessons
for scaling results?
4.1 INSTITUTIONAL CAPACITY ASSESSMENT
4.1.1 PHASE I. CARRY OUT INSTITUTIONAL CAPACITY DIAGNOSTIC TOOL
In its flagship project in Peru, through ProDecentralization (PRODES), Tetra Tech worked over the past
15 years as a prime contractor to improve the ability of regional Peruvian governments to implement
their missions. PRODES III proved the effectiveness of Tetra Tech’s institutional strengthening
methodologies; in 2016, the GoP institutionalized Tetra Tech’s FOCAS tool to measure and build the
organizational capacity of government units. PRODES introduced new laws, regulations, and
requirements for disaster risk reduction planning; better strategies and tools for managing local socio-
environmental conflicts around extractive industries and natural resource use; and guidelines for local
governments to improve the efficiency of municipal services delivery, by adapting them to the diverse
needs of Peru’s 47 different ethnic groups. Continued use of the FOCAS tool meets GoP requirements
and should become more familiar across government agencies, and especially for regional governments.
The systematic and comprehensive capacity-building methodology was founded on the proven
approaches developed and refined by Tetra Tech under USAID’s three phases of PRODES in Peru and
adopted by Peru’s Decentralization Secretary. FOCAS will be used to support national, regional, and
local government capacity-building efforts across the three Objectives under Sub-Tasks 1.1.1, 1.2.2,
1.3.1, 2.1.4, and 3.1.4.
In Year 1, Tetra Tech will apply FOCAS to targeted local and regional forest governance stakeholders in
Loreto and Ucayali. Capacity-building and technical assistance efforts will be guided by the diagnostic.
Institutional Capacity Index (FOCAS): The seven step FOCAS tool will develop an institutional capacity
index as part of Step 6, outlined below.
FOCAS Phase I Seven-Step Tool to Improve Decentralized Forest Governance
1. Establish lead diagnostic teams by selecting and training diagnostic teams consisting of regional
and local government technical, managerial, and operational authorities.
2. Define the relevant issues facing forest title holders and timber traders, and the critical public
services required for addressing them using existing social, economic, and environmental
information from forest zoning and planning processes.
3. Identify competencies of the involved forest government entities and their main functions such
as planning and supervision and control, and general activities or mechanisms proposed for
USAID/PERU PRO-BOSQUES: MEL PLAN 12implementing them. The latter will include gender considerations if they are not already captured
within existing functions.
4. Specify diagnostic components by identifying the required installed and functional capacities.
Installed personnel capacities include knowledge and understanding of the relevant legislation around
MC-SNIFFS and other GoP programs on forest sector formalization and legalization and traceability.
5. Collect and systematize evidence through primary and secondary research to verify, support,
and/or complete measurements conducted under step 4. The team will organize the evidence in a
simple and accessible internal database.
6. Develop institutional capacity indices. The team leads will present the evidence collected
under the previous step along with preliminary institutional capacity indices to the teams for their
collective agreement.
7. Report formulation and improvement plan summarizing the findings of the diagnostic and
proposing recommendations for improvements where required. Recommendations will include
strategies and specific actions for strengthening institutional capacities, including training and
technical assistance needs. The team will present the report to the relevant government authorities
for their approval.
4.1.2 PHASE II. IMPLEMENT IMPROVEMENT PLANS
After completion of the improvement plans under Phase I, Tetra Tech will provide technical assistance
and training to government authorities to support their implementation. By Year 3, we will assist local
offices to submit a package of public investment projects (PIPs) for national and sub-national forest
agencies in Loreto and Ucayali for approval to invierte.pe, to ensure the sustainability of forest
governance and industry.
4.1.3 PHASE III. MEASUREMENT AND ADJUSTMENT
In addition to monitoring improvement plan implementation, Tetra Tech will work with local and
regional government diagnostic teams to review progress formally toward institutional capacity
strengthening. We will provide technical assistance to facilitate the application of the FOCAS tool
annually and make the resulting adjustments to the improvement plans. To promote the scaling up of
local forests, by the end of the Activity, the Institutional Strengthening Lead (ISL) will develop a report
on the process and results to establish and manage local forests by targeted municipalities.
4.2 INDIGENOUS EMPOWERMENT INDEX
Pro-Bosques will carry out a rapid assessment to finalize the selection of target Activity communities,
and sign Conservation and Livelihood Agreements with them that outline the roles and responsibilities
of each party. Within the priority landscapes, key selection criteria will be communities that have the
greatest potential for receiving economic benefits from CFM, and consequently motivation and
resources for community control and monitoring activities. The indigenous empowerment index (IEI)
will be developed in Q2-3 based on these early assessments and will use quantitative information on
each selected indigenous community’s rights and resources and their ability to sustainably manage their
lands. It will potentially include social, economic, and environmental indicators as well as gender
inclusion, conflict resolution processes, progress in life plan development and implementation, better
knowledge and implementation for CFM activities, and access to financing or government programs.
Illustrative variables include: land rights agreements, recognized list of beneficiaries, functioning
communal assembly with publicly registered communal statute, ability to honor agreements, presence of
USAID/PERU PRO-BOSQUES: MEL PLAN 13productive resources (timber and non-timber), political will to develop and implement life plans. Once
baselines are established for selected communities, the index for each community will be updated in
Year 3 and Year 5 to measure mid-term and final “empowerment” progress.
4.3 FORESTRY ENTERPRISES COMPETITIVENESS INDEX
The enterprise competitiveness index will include the following dimensions productivity, profitability and
sustainability. Related of this dimensions, Pro-Bosques will define the criteria that allow define the
enterprises competitiveness throughout the value chain (legal, economic, financial, commercial, among
others).
The preliminary assessment and resulting index score help to define basic investment needs for each
forest enterprise, and its tracking during Pro-Bosques period intervention. Additionally, this index will
permit benchmark on all enterprises of entire forest sector.
Baselines will be done on a rolling basis as Pro-Bosques selects participating enterprises and each
selected enterprise will be followed over the LOA.
4.4 GHG BASELINE AND ASSESSMENT
Pro-Bosques will calculate GHG baseline and targets using the USAID “Agriculture, Forestry, and Other
Land-Use” (AFOLU) Carbon Calculator using the hectares under indicator 1.0 (under improved
management). The targets will include selected forest concessions, indigenous reserves, local forests and
private forest land under forest management. We would apply the forest protection calculator to
reserved land within these units and the forest management calculator to those forest areas under
active harvest management.
For our GHG baseline and assessment, we will document and share the shape files used in our
calculations, the defaults used in the AFOLU calculator and list the predicted annual reductions provided
by the calculator.
The hectares considered will include:
a) Hectares of forest concessions with Pro-Bosques technical assistance.
b) Hectares of communal territory will be counted that implement the following strategies: Life
plans for local development management, CVC activities to protect territorial security,
conservation and CFM activities, by Pro-Bosques intervention in Loreto and Ucayali regions.
4.5 BASELINE REPORT ON LEGAL TIMBER SUPPLY IN PERU
Through this study, Pro-Bosques will quantify and characterize the supply chains of legal timber
produced in the Peruvian Amazon (Loreto, Madre de Dios, Ucayali, Junín, Pasco, Huánuco, Amazonas
and San Martin regions).
Pro-Bosques will determine, characterize and analyze the supply and the demand of wood in the
different supply chains identifying volumes, species, source of origin/production (enabling title),
geographical location, type of products, main actors involved.
USFS is also working on a similar task. Both projects will coordinate closely to ensure synergy and
complementarity related to legal timber supply. The baseline will be useful in convincing public-sector
USAID/PERU PRO-BOSQUES: MEL PLAN 14entities to emit procurements specifying “legal1” wood and will shed light on gaps in knowledge for
buyers seeking “legal” wood. The baseline report will be completed by the end of Year 1.
4.6 MID-TERM LEARNING ASSESSMENT
A mid-term learning assessment, informed by our annual ‘Pause and Reflect’ TOC mini workshops, will
allow the Activity team to reflect and test the TOC with USAID, SERFOR, USFS, and other partners.
These sessions offer a safe space to revisit assumptions and discuss what is working well and where
progress might be stalled requiring new approaches, changes in tactics, or overall adjustments. The mid-
term learning assessment is useful preparation for a mid-term evaluation, identifying concepts or
documents to clarify approaches, map synergies among partners or components, and/or compile data on
progress to date. Findings from mid-term evaluations are critical to understand and incorporate into
annual planning and strategy sessions to improve Activity Objectives.
1
“Legal” is in quotes as it is a difficult term to define for forestry. Generally, it is taken to mean that forestry management plans and
harvesting permits have been carried out according to the law. However, legality can get into issues on whether a business is up to date on
paying taxes, is treating its work force according to all local and national laws or a myriad of other legal issues related to managing a
business. The term will need to be clearly defined prior to conducting the baseline.
USAID/PERU PRO-BOSQUES: MEL PLAN 155.0 DATA COLLECTION TOOLS/
INSTRUMENTS
The MEL Specialist, with technical staff support, will design the data collection tools. The technical staff
will collect the data, then enter the data in the online information system. The component leads, and
regional directors provide first level review of the data and associated documentation. Then the MEL
Specialist will review data consistency and determine when data will be counted toward the results.
5.1 DATA COLLECTION
5.1.1 DATA COLLECTION METHODOLOGIES
Data that will be considered for Activity indicators can be from primary or secondary sources. Primary
data represent the lowest level of data entry in the MEL system and are a direct result of the execution
of the project in the field by partners and counterparts in charge of implementation.
In other cases, the data will be obtained from an existing source, such as reports from official data
generating institutions, forest sector companies, or specific study reports. The information obtained will
be georeferenced to allow geographic analysis of the project's activities.
In general, the performance data will be collected and reported by the technical staff, partners or in
some cases, consultants will provide in their reports. For all data providers, the MEL Specialist will
provide training about PIRS, indicator definition and disaggregation, the required documentation, data
quality control techniques and how to upload data in the online information system.
We will use the monitoring data to identify trends and patterns, adapt strategies, and inform decisions
for project management.
For the performance indicator “institutional capacity index”, Pro-Bosques will use the organization
capacity tool (FOCAS) to measure the improvement in the MC-SNIFFS capacity. This tool is uses self-
evaluation, which is verified by the technical staff and then shared with stakeholders to maintain
transparency and build trust in the capacity building process. Once a baseline is established, annual
updates will measure progress.
The data collection instruments will be carefully designed to capture data and back up documentation
for verification will be required. Each PIRS will outline the required documentation.
Table 5.1. Establishing Baselines for Selected Indicators
Baseline studies will be conducted for some identified indicators that allow us to have a starting point regarding
the selected indicator. In some cases, the estimation of the baseline is not considered applicable because they are
products derived from the project's action. See below.
N° Indicator Baseline
CONTEXT INDICATOR Based on MINAM GEOBOSQUES platform
Number of hectares deforested in Pro-Bosques
intervention area in Loreto and Ucayali
1 Number of hectares of biologically significant areas Pro-Bosques will define the forest concessions and
under improved natural resource management as indigenous communities that will benefit with its
result of USG assistance. [EG.10.2-2] technical assistance.
USAID/PERU PRO-BOSQUES: MEL PLAN 16N° Indicator Baseline
2 Greenhouse gas (GHG) emissions, estimated in metric We will estimate this indicator based on hectares
tons of CO2 equivalent, reduced, sequestered, or counted in indicator #1, using AFOLU calculator
avoided through sustainable landscapes activities
supported by USG assistance
3 Amount of investment mobilized (in USD) for This indicator will not have a baseline because it
sustainable landscapes as supported by USG assistance will directly result from Pro-Bosques interventions
[EG.13-4]
4 Number of Forestry Title Holders that emitted GTFs MC-SNIFFS platform is not implemented yet.
through MC-SNIFFS
5 Number of institutions with improved capacity to Based on FOCAS tool and focused in MC-SNIFFS
address sustainable landscapes issues as supported by
USG assistance [EG. 13-2]
6 Number of people trained in sustainable landscapes This indicator will not have a baseline because it
supported by USG assistance [EG 13-1] will directly result from Pro-Bosques interventions
7 Number of forestry enterprises, in target areas, that Based on Forestry Enterprise Competitiveness
demonstrate competitiveness. Index methodology
8 Volume of legal wood available to the market Report on legal timber in Peru will develop the
baseline
9 Number of Peruvian agencies that successfully This indicator will not have a baseline because it
incorporate requirements to purchase legal timber in will directly result from Pro-Bosques
their procurement processes interventions. However, if any targeted agencies
for procurement reform already have
requirements for legal timber, that will be noted.
10 Percent change in Indigenous Empowerment Index Based on Indigenous Empowerment Index
methodology
11 Number of people receiving livelihood co-benefits Pro-Bosques will carry out a rapid situational
(monetary or non-monetary) associated with the diagnosis about the activities that people develop
implementation of USG sustainable landscapes in the intervention areas
activities [EG.13-5]
12 Percent of vulnerable people in USG-assisted This indicator will not have a baseline because it
programs designed to increase access to productive will directly result from Pro-Bosques
economic resources (assets, credit, income or interventions.
employment)
5.1.2 TOOLS FOR DATA COLLECTION
The Activity will use an online information system for store the primary data and supporting documents;
it will be used as the only official data source.
The system shall contemplate processes of data verification, data quality and approval at different levels;
of the technical staff, the component leaders and regional directors. Once the data was reviewed by
them, the MEL Specialist will review the consistency and give the approval for the data entered to be
considered as achievements of the indicators. Likewise, this tool should allow exporting data to make
more detailed analyzes.
With the information system, the reporting process will be facilitated following the required standards,
as well as the access to information derived from the indicators. The system will contain Activity
profiles, goals projections, expected outcomes and specific modules for the collection of the
achievements, as well as modules of reports of the different indicators.
USAID/PERU PRO-BOSQUES: MEL PLAN 17The MEL plan, specifically the PIRS, will serve as the main input to guide the design of the information
system. The information system will support data quality control using validation rules and consistency
and approval routines.
Table 5.2. Data Collection Tools
N° Indicator Data collection tool
CONTEXT INDICATOR MINAM reports (GEOBOSQUES
Number of hectares deforested in Pro-Bosques intervention area web platform)
in Loreto and Ucayali
1 Number of hectares of biologically significant areas under improved Project staff reports
natural resource management as result of USG assistance.
[EG.10.2-2]
2 Greenhouse gas (GHG) emissions, estimated in metric tons of CO2 Based on AFOLU calculator
equivalent, reduced, sequestered, or avoided through sustainable
landscapes activities supported by USG assistance
3 Amount of investment mobilized (in USD) for sustainable Project staff reports
landscapes as supported by USG assistance [EG.13-4]
4 Number of Forestry Title Holders that emitted GTFs through MC- MC- SNIFFS web platform, project
SNIFFS staff reports
5 Number of institutions with improved capacity to address Based on FOCAS tool focused in
sustainable landscapes issues as supported by USG assistance [EG. MC-SNIFFS
13-2]
6 Number of people trained in sustainable landscapes supported by Attendance sheet of training events
USG assistance [EG 13-1]
7 Number of forestry enterprises, in target areas, that demonstrate Forestry Enterprise
competitiveness. Competitiveness Index reports,
project staff reports
8 Volume of legal wood available to the market Information Peruvian agencies
(SERFOR, OSINFOR, SUNAT,
MINAM and others), by local
governments, international
organizations and NGOs
9 Number of Peruvian agencies that successfully incorporate Official reports of Peruvian agencies,
requirements to purchase legal timber in their procurement project staff reports
processes
10 Percent change in Indigenous Empowerment Index Indigenous Empowerment Index
reports, project staff reports
11 Number of people receiving livelihood co-benefits (monetary or Pro-Bosques records and reports,
non-monetary) associated with the implementation of USG communal life plans under
sustainable landscapes activities [EG.13-5] implementation
12 Percent of vulnerable people in USG-assisted programs designed to Project staff reports
increase access to productive economic resources (assets, credit,
income or employment)
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