Template for submission of Proposed Project M_E Plan - IFC Home by runout

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									                                                                                          Implementation Procedures Manual


BACP Monitoring and Evaluation (M&E) Plan Template
Purpose
To help project applicants develop a Monitoring and Evaluation plan that utilizes standard BACP indicators, as appropriate, to measure successful performance towards the grantee's proposed goals and
objectives. When properly completed, reviewed, and approved, this M&E Plan willl assist the grantee and BACP monitor the i) quality and effectiveness of project implementation, ii) consistency in delivery, and
iii) progress towards BACP's goals and objectives.

Instructions
Complete the M&E Plan, using the standard BACP outputs, outcomes and indicators (see Worksheet 2) that correspond to your proposed grant activities. Please note that your project should contribute to and
track a wide range of standard BACP indicators. Projects that incorporate a great number of standard BACP indicators and aim at achieving high indicator targets will be given priority. Use the example in
Worksheet 3 for additional guidance. We recommend to fill out the columns in the following order:
1) Outputs – This refers to a product or service that results directly from a project activity, e.g., training events held, reports produced, strategic plans developed, studies completed, publications produced. See
the list of standard outputs in Worksheet 2 (column B), and copy and paste the outputs that apply to your project. Only one output should be referenced per row. Every output listed here should be a direct result
of one of the project activities stated in your Grant Application Form (Annex A, Section II, Question 1).
2) Outcomes – This refers to a change, benefit, learning or other effect that happen as a result of the use of an output, e.g. change in knowledge, skills, behavior, productivity or performance. See the list of
standard outcomes in Worksheet 2 (column B) and copy and paste the outcomes that apply to your project. Only one outcome should be referenced per row. Every outcome listed here should be related to one
of the project activities stated in your Grant Application Form (Annex A, Section II, Question 1).
3) Indicators – This refers to a single, quantitative or qualitative measure that is used to demonstrate change, and details the extent to which project results (i.e., outputs and outcomes) are being achieved.
See the list of standard indicators in Worksheet 2 (column C) and copy and paste the indicators that apply to your project. Only one indicator should be referenced per row. Note that projects that incorporate a
great number of standard BACP indicators will be given priority.
4) BACP Component – Indicate here to which BACP component (1 to 4) the indicator will contribute.
5) Unit of Measurement – This refers to the unit which is used to measure the indicator (e.g., number, %, hectare, tons, etc.). Use the standard units given in Worksheet 2 (column E).
6) Means of Verification – This refers to the proposed source or method used to gather information on the state of the proposed indicator. Worksheet 2 (column F) gives some examples of possible sources,
but please provide more project-specific detail (e.g. topic of the workshop, preliminary title of the report or publication, type of media (newspaper, radio, TV, etc.).
7) Baseline – This refers to the condition or performance of an indicator prior to treatment or project intervention. Include here the value of the indicator before the start of the project.
8) Target – Include here the desired goal to be reached at the end of the project. Note that projects that aim at achieving the highest targets will be given priority.
9) Responsible person – Include here the name of the person that is responsible for collecting the information necessary for monitoring this particular indicator.
10) Data collection frequency – Indicate here how often the information will be collected.
11) Critial Assumptions - This refers to a general condition under which the development hypothesis or strategy for achieving a result (output or outcome) will hold true. Critical assumptions are outside the
control or influence of BACP and its partners, but may affect the achievement of results, e.g. the level of world prices, or the approval process of a governance body. Critical assumptions can be determined by
asking “What conditions should exist in addition to my objectives in order to achieve the result?”. They are factors that grantees should anticipate, try to influence, and develop contingency plans for in case
things go wrong.
12) Project Activity - Refer back to Section II, Question 1 of the Application (Annex A), where you defined and enumerated your project objectives and activities. Copy from this section the activity associated
with each indicator. You do not need to copy into this spreadsheet the contextual information provided for each activity in Section II. If activities are too cumbersome (ie. too many discrete activities discribed
together), please refine your activity list in Section II and disaggregate as necessary. Clear, concise, discrete activities will facilitate a more managable M&E system. Please not that each indicator has to be
associated with an activity - but some of your acitivites may not contribute to any of the standard BACP indicators.
                                                                                       Implementation Procedures Manual


13) Project Objective Number - Refer back to Section II, Question 1 of the Grant Application (Annex A), where you defined and enumerated your project objectives and activities. Fill in here the number of the
Objective that is associated with each activity that you identified in step 12.
14) Start date / End date - The start and end dates should represent the period of performance for each discrete activity. Start dates should not occur prior to grant signing and end dates should reflect the
completion of the output/outcome associated with that activity. See below for information related to Outputs and Outcomes.
                                                                         Implementation Procedures Manual

                                               Unit of                                                             Data       Critical               Project
                   Outputs and                Measure-    Means of                                Responsible   collection   Assumptio   Project    Objective
BACP Component      Outcomes     Indicators     ment     Verification   Baseline       Target       Person      frequency       ns       Activity   Number      Start Date   End Date
                 Outputs




                 Outcomes
Implementation Procedures Manual
Standard BACP Outputs, Outcomes, and Indicators
The tables below lists the standard BACP outputs, outcomes, and indicators that applicants are required to use for monitoring and evaluating their projects, to ensure that project activities contribute to BACP's goals and objectives.
Outputs: Outputs are products or services that result directly from project activities, such as training events held, reports produced, strategic plans developed, studies completed, publications produced.
They are the basic "building stones" required to achieve BACP outcomes. Outputs also serve as the basis for defining the contractual deliverables that will trigger payment of the different grant tranches.
Outputs can be used to track progress towards any of the four BACP components.
Outcomes: Outcomes are changes, benefits, learning or other effects that happen as a result of the use of an output, e.g. changes in knowledge, skills, behavior, productivity or performance.
For each BACP component, there are specific outcomes that BACP is looking to achieve.


                                                                                                              Outputs
  BACP Component                            Outputs                                 Output indicators                                              Description                              Unit    Means of Verification       ID
                           Reports completed                        Reports (assessments, surveys, manuals) completed Count feasibility studies, sector or market studies, diagnostic No.          Project progress reports     1
                                                                                                                      assessments, thematical reviews, management and strategy
                                                                                                                      implementation plans, operations manuals, and toolkits; do
                                                                                                                      not count progress and M&E reports.
                           Training events conducted                Workshops, training events, seminars, conferences,      Count workshops, training events, seminars, conferences,      No.      Project progress reports     2
                                                                    etc. conducted                                          etc., held with significant contributions from BACP. Do not
                                                                                                                            include advisory services events, stakeholder consultations
                                                                                                                            and meetings of project partners.
                           People trained                           Participants in workshops, training events, seminars,   Use headcounts or sign-in sheets to estimate. This number No.          Project progress reports     3
                                                                    conferences etc.                                        is a unique count of trainees (e.g., if a person attends 3
                                                                                                                            different training events, the count is “3”). Include individuals
                                                                                                                            trained by project-trained NGOs or training
                                                                                                                            partners/consultants/ entities.
                                                                    Meetings with policy leaders, industry actors,          Count advisory events, stakeholder consultations and other No.         Project progress reports     4
Output indicators can Meetings held                                 government representatives, financial institutes,       meetings run by the PMU, M&E Unit or BACP grantees and
 contribute to any of                                               stakeholders etc.                                       partners; do not count training events and conferences.

     the 4 BACP       Media appearances                             Media appearances                                       Number of times the project or project-related content is      No.     Project progress reports     5
                                                                                                                            mentioned in the media (TV, radio, press). Only press
    Components                                                                                                              releases carried by the media should be counted. If the same
                                                                                                                            article appears in five newspapers, count five. Do not include
                                                                                                                            brief quotes, announcements, brief mentions of project staff
                                                                                                                            or activities, or media appearances that discuss project-
                                                                                                                            relevant issues without mentioning the project itself.
                           Policies or standards proposed for       Procedures, policies, regulations or standards          Number of improvements, additions or eliminations           No.        Project progress reports,    6
                           improvement, addition or elimination     proposed for improvement, addition or elimination       recommended by the project. Although recommendations                   published policy documents
                                                                                                                            may be presented as a set, count each procedure, policy,
                                                                                                                            practice or standard individually. BMPs and P&C are counted
                                                                                                                            as standard.
                           Project materials disseminated           Copies of project materials (reports, publications,     Number of times a publication produced by the project has   No.        Project progress reports     7
                                                                    manuals etc.) distributed or downloaded (incl.          been distributed or downloaded. Proxy for the extent of the
                                                                    presentations)                                          project’s knowledge dissemination (though one cannot
                                                                                                                            deduce how this knowledge affected the reader or website’s
                                                                                                                            visitor).
                                                                                                            Outcomes
  BACP Component                            Outcomes                              Outcome indicators                                               Description                              Unit    Means of Verification       ID
                          Policy-related barriers to the adoption of   Procedures, policies or regulations that were          Number of improvements, additions or eliminations for which No.       Project progress reports       11
1 - Support Activities biodiversity-friendly management practices improved, added or eliminated                               there is of concrete evidence of implementation/ adoption.
    for an Enabling    in the targeted commodity sectors and                                                                  Although improvements or additions may be presented as a
                       countries are removed or in an obvious                                                                 set, each procedure, policy or regulation is counted
     Environment
                          process of being removed                                                                            individually. Do not include P&C and certification standards.
                                                                       Entities (producers, mills, companies) that            “Recommended changes” refers to sustainable management No.            Project progress reports, RT   12
                                                                       implemented recommended changes                        practices and BMPs as defined by roundtables, certification           reports, company
                                                                                                                              schemes or as a result of BACP project activities (e.g.,              documentation
                                                                                                                              standards or P&C, adoption of land management plans,
                                                                                                                              etc.). "Implementation" means that there is evidence of
                                                                                                                              implementation/adoption or a formal commitment to do so.
                                                                       Entities (producers, mills, companies) obtaining     This is a subset of the previous indicator, and only applies to   No.   Project progress reports, RT   13
                                                                       certification due to BACP support                    those commodities where certification systems are already in            reports
                          Alternative production methods are                                                                place (e.g., RSPO, organic, or others). Achievement of this
                          implemented that have a proven positive                                                           indicator may sometimes be obtained after individual projects
                          impact on biodiversity and significant                                                            have already ended.
                          potential for development and replication,   Area of land that is managed sustainably             “Sustainably managed land" refers to land that is used            Ha    Project progress reports, RT   14
                          both at the farm and landscape level                                                              productively while maintaining or improving its environmental,          reports, company
                                                                                                                            social, and economic characteristics and qualities according            documentation, land
                                                                                                                            to standards and BMPs as defined by roundtables,                        management plans, remote
                                                                                                                            certification schemes or as a result of BACP project                    sensing
                                                                                                                            activities.
                                                                       Land area certified due to BACP support              This is a subset of the previous indicator, and only applies to   Ha    Project progress reports, RT   15
 2 - Support Better                                                                                                         those commodities where certification systems are already in            reports, remote sensing
     Production                                                                                                             place (e.g., RSPO, organic, or others). Achievement of this
                                                                                                                            indicator may sometimes be obtained after individual projects
                                                                                                                            have already ended.
                                                                       Area of land managed sustainably through replication “Sustainably managed land" refers to land that is used            Ha    Mid-term evaluation and        28
                                                                                                                            productively while maintaining or improving its environmental,          program final evaluation,
                                                                                                                            social, and economic characteristics and qualities according            remote sensing
                                                                                                                            to standards and BMPs as defined by roundtables,
                                                                                                                            certification schemes or as a result of BACP project
                                                                                                                            activities. "Through replication" means as a result of the
                                                                                                                            demonstration effect of BACP (i.e. without directly receiving
                                                                                                                            BACP funding). Data may be collected through anecdotes
                          Change in land management practices
                                                                                                                            and/or an external evaluation (midterm or final).

                                                                       Trends in use of selected agrochemicals as proxy for This indicator is project-specific and depends on the           mg/l    Project progress reports       29
                                                                       reduced degradation and pollution of soil and water  biodiversity studies conducted by BACP projects. At the end
                                                                       resources                                            of phase 1, project results will be used to evaluate if any
                                                                                                                            indicator can serve as best proxy indicator for each
                                                                                                                            commodity. This may include concentrations of certain
                                                                                                                            agrochemicals, nitrogen deposition or sediments.
                                                                       Standards that were added or improved to incorporate This refers to individual P&C, indicators or other standards    No.     Project progress reports, RT   16
                                                                       biodiversity concerns                                (of existing or new certification or verification systems) that         reports
                                                                                                                            have been modified, adopted, or approved by roundtables or
                          Buyers and other value-chain participants                                                         similar multi-stakeholder initiatives to reduce negative
                          of the targeted commodities integrate                                                             impacts of commodity production on biodiversity.
                          biodiversity criteria in the value-chain


3 - Support Increased
Demand for Products
  with More Positive
Biodiversity Impacts
                         Buyers and other value-chain participants
                         of the targeted commodities integrate
                         biodiversity criteria in the value-chain     Trade volume of certified or verified commodity          This refers to the volume produced adhering to biodiversity- Mio t         RT reports, trade statistics     17
                                                                      products                                                 friendly production practices and standards. Achievement of
                                                                                                                               this indicator may sometimes be obtained after individual
3 - Support Increased                                                                                                          projects have already ended.
Demand for Products                                                   Existence and evidence of use of verification or         For this indicator to be true it requires that standards or P&C Yes/No     Project progress reports, RT     30
  with More Positive                                                  certification systems that incorporate biodiversity      were added or improved to incorporate biodiversity concerns.               documentation
Biodiversity Impacts                                                  targets
                                                                      Global share of companies buying certified or verified   This refers to the share of global trade represented by        %           RT documentation                 31
                                                                      commodities                                              companies that buy certified or verified commodities.
                         Evidence of market transformation                                                                     Achievement of this indicator may sometimes be obtained
                                                                                                                               after individual projects have already ended.
                                                                      Global share of producers engaged in commodity           This refers to the share of global trade represented by        %           RT documentation                 32
                                                                      certification or verification systems                    producers that are engaged in certification or verification
                                                                                                                               systems. Achievement of this indicator may sometimes be
                                                                                                                               obtained after individual projects have already ended.
                                                                      New business models or new financial products or         This refers to biodiversity-friendly business models and       No.         Project progress reports, FI     18
  4 - Encourage the                                                   services developed                                       financial products or services made available to the actors in             and company reports
                         Biodiversity-friendly business models and                                                             the targeted commodities and countries (e.g. banks or
   Development of                                                                                                              traders that include biodiversity issues in credit selection
                         financial products and services are
Financial Services to    available to the actors in the targeted                                                               criteria) . Include PES schemes, and REDD mechanisms.
Support Biodiversity     commodities and countries                    Entities (financial institutes, traders) making          This refers to the number of Financial Institutes (FI) or       No.        Project progress reports, FI     19
 Friendly Practices                                                   biodiversity-friendly business models or financial       commodity traders that adopt biodiversity-friendly financial               and company reports
                                                                      products and services available                          products
                                                                      Peer-reviewed documents and publications assessing       This refers to documents and publications that have             No.        Project and program              22
                                                                      the impact of land use practices, BMPs or P&C on         undergone a peer-review process.                                           progress reports
                                                                      biodiversity, and documenting good practices on how
                                                                      to monitor them.
                                                                      Regional- or global-level M&E systems or models          This refers to regional- or global-level M&E procedures,    No.            Mid-term evaluation and          20
                         The positive impact on biodiversity of the   developed                                                systems or models to assess the impact of certification                    program final evaluation
                         use of verification or certification systems is                                                       schemes on biodiversity conservation
                         proven                                          Field- or farm-level M&E procedures, systems or       This refers to field- or farm-level M&E procedures, systems No.            Project progress reports         21
                                                                         models developed                                      or models to assess the impact of management practices on
                                                                                                                               biodiversity conservation
                                                                      Existence and evidence of use of information sharing     This refers to the adoption of knowledge sharing tools and  Yes/No         M&E progress reports, RT         33
                                                                      and M&E mechanisms to promote and verify                 M&E mechanisms by RT and other industry associations                       documentation
                                                                      sustainable commodity production
                                                                      Area of land set aside for biodiversity conservation     This refers to land that is not used productively, i.e. natural Ha         RT reports, company              23
                                                                                                                               habitat (e.g., HCV areas), or land taken out of production for             documentation, land
                                                                                                                               conservation purposes (e.g., riparian buffer zones)                        management plans, remote
 These indicators                                                                                                                                                                                         sensing
 contribute to the                                                    HCV area under protection                                This refers to land that has been identified as HCV area, and Ha           Project progress reports, land   24
                                                                                                                               is covered by land management plans                                        management plans, remote
overall BACP goals,
                                                                                                                                                                                                          sensing
  and not to any                                                      Connectivity / fragmentation of natural habitat          This indicator is project-specific and aims at measuring        Index      Project reports, remote          25
  specific BACP                                                                                                                demonstrable improvements in terms of increased                            sensing
                    Reduction of threats to global biodiversity
    Component                                                                                                                  connectivity / reduced fragmentation of non-productive land.

                                                                      Rate of deforestation                                    This indicator is project-specific and refers to the annual rate % or      Project reports, remote          26
                                                                                                                               of deforestation.                                                ha/year   sensing
     and not to any
     specific BACP
                           Reduction of threats to global biodiversity
      Component



                                                                           Trends in abundance and distribution of selected         This indicator is project-specific and depends on the           No.   Project progress reports         27
                                                                           species                                                  biodiversity studies conducted by BACP projects. At the end
                                                                                                                                    of phase 1, project results will be used to evaluate if any
                                                                                                                                    indicator species can serve as best proxy indicator for each
                                                                                                                                    commodity.
                                                                           Smallscale producers benefiting directly or indirectly   This refers to the number of smallscale producers and           No.   Project progress reports         34
                                                                           from BACP                                                communities influenced by BACP, either directly as project
                                                                                                                                    partners, or indirectly through awareness-raising or capacity-
                                                                                                                                    building activities
                           Improved livelihoods
                                                                           People with improved livelihoods                         Estimated number of individuals who earn a better livelihood No.      Project progress reports,        35
                                                                                                                                    due to: entry into the formal labor force, higher wages, and/or       company documentation
                                                                                                                                    access to new markets as a direct or indirect result of the
                                                                                                                                    project


Definitions
Sustainably managed land   Refers to land that is used productively                                                                                                                                        The indicators highlighted in
                           while maintaining or improving its                                                                                                                                              blue may or may not contain
                           environmental, social, and economic                                                                                                                                             a spatial component. Spatial
                           characteristics and qualities according to                                                                                                                                     information can be visualized
                           standards and BMPs as defined by                                                                                                                                                 via GIS in the Online M&E
                           roundtables, certification schemes or as a                                                                                                                                                 System.
                           result of BACP project activities.
Recommended changes        Refers to sustainable management
                           practices and BMPs as defined by
                           roundtables, certification schemes or as a
                           result of BACP project activities (e.g.,
                           standards or P&C, adoption of land
                           management plans, etc.).

Implementation             There needs to be evidence of
                           implementation/adoption or a formal
                           commitment to do so.
Through replication        As a result of the demonstration effect of
                           BACP (i.e. without directly receiving BACP
                           funding). Data may be collected through
                           anecdotes and/or an external evaluation
                           (midterm or final).
Positive impacts           Refers ot positive impacts compared to the
                           baseline, i.e. compared to non-compliant
                           plantations.
Peer-reviewed              Definition according to the Specifications of
                           the Higher Education Research Data
                           Collection (HERDC):
                           http://www.innovation.gov.au/ScienceAndR
                                                                                                                        Implementation Procedures Manual



Example of a BACP Project M&E Plan
                                                                           Unit of                                                                                               Data                                            Project
  BACP                                                                    Measure-                                                                            Responsible     collection        Critical           Project      Objective
Component     Outputs and Outcomes                   Indicators             ment     Means of Verification       Baseline               Target                  Person        frequency       Assumptions          Activity     Number      Start Date End Date
            Outputs
                                                Meetings with policy    No.          Meeting minutes of             0           3 per district (12 total)   Anton Abbott    Quarterly      District governments                              February    April 2010
                                                leaders, industry                    consultations held with                                                                               are open to                                        2010
                                                actors, government                   key stakeholders to                                                                                   biodiversity dialogue
            Meetings held                       representatives,                     support inclusion of HCV                                                                                                         1a
                                                financial institutes,                areas within district
                                                stakeholders etc.                    spatial plan
    1                                           Procedures, policies, No.            Parliamentary decree on        0           1 per district (4 total)    Bill Benson     Annual         District governments                     1        January    August 2010
                                                regulations or                       spatial plan and                                                                                      take action and                                    2010
            Policies or standards proposed      standards proposed                   ministerial approval of                                                                               decide to change the
            for improvement, addition or        for improvement,                     forest function change                                                                                regulations as             1b
            elimination                         addition or elimination                                                                                                                    proposed



                                                Workshops, training     No.          3-day workshops for            0                      20               Chriss Cross    Quarterly      Producers                                        May 2010    September
                                                events, seminars,                    smallholders for training                                                                             understand that                                                2010
                                                conferences, etc.                    in management practices                                                                               BMPs will also
            Training events conducted           conducted                            (BMPs) that have a                                                                                    increase productivity      3a
                                                                                     proven positive impact on                                                                             andprofitability
                                                                                     biodiversity
    2                                                                                                                                                                                                                               3
                                                Participants in         No.          Participant lists of           0                     500               Dan Devos       Quarterly      Producers                                        May 2010    September
                                                workshops, training                  smallholder workshops                                                                                 understand that                                                2010
                                                events, seminars,                                                                                                                          BMPs will also
            People trained                      conferences etc.                                                                                                                           increase productivity      3b
                                                                                                                                                                                           andprofitability


                                                Meetings with policy    No.          Meeting minutes of             0                      8                Edward Elder    Quarterly      Certified palm oil is                             January     May 2011
                                                leaders, industry                    consultations held with 4                                                                             available in                                       2011
                                                actors, government                   key palm oil buyers to                                                                                sufficiently great
    3       Meetings held                       representatives,                     convince them to                                                                                      volumes in the             4a            4
                                                financial institutes,                purchase 100% RSPO                                                                                    market
                                                stakeholders etc.                    certified palm oil


            Outcomes
            Policy-related barriers to the      Procedures, policies No.             District spatial plans         0                1 per district         Frank Farmer    Annual         There are incentives                              February   December
            adoption of biodiversity-friendly   or regulations that                  converted into decrees/                                                                               to the district                                    2010        2010
            management practices in the         were improved, added                 parlamentary acts for                                                                                 government to take
            targeted commodity sectors and      or eliminated                        forest redesignation and                                                                              action
    1       countries are removed or in an                                           protection                                                                                                                    1a-c, 2a+b      1, 2
            obvious process of being
            removed


            Alternative production methods      Entities (producers,   No.           Survey conducted among         0             500 smallholders          George Gealy    Annual         BMPs increase                                     October      October
            are implemented that have a         mills, companies) that               producers involved in                                                                                 productivity and                                   2010         2010
            proven positive impact on           implemented                          project activities                                                                                    profitability, and
    2       biodiversity and significant        recommended                                                                                                                                producers receive TA       3c            3
            potential for development and       changes                                                                                                                                    to operationalize the
            replication, both at the farm and                                                                                                                                              BMPs
            landscape level
                                                                                                       Implementation Procedures Manual


    Buyers and other value-chain          Trade volume of       Mio t   Assess trade volumes of    0                 1.5        Henry Hamilton   Annual   Traders and other                  May 2011   June 2011
    participants of the targeted          certified commodity           four companies using the                                                          buyers see benefits
    commodities integrate                 products                      roundtable tracking                                                               in purchasing
3   biodiversity criteria in the value-                                 system                                                                            biodiversity-friendly   4a-c   4
    chain                                                                                                                                                 commodities

								
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