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A Manual on Monitoring and Evaluation for Alternative Development Projects Contents List of Contents Foreword Preface Introductory Session Module 1 Module 2 : : Conceptual Framework for Alternative Development Designing and Implementing the Alternative Development Project Monitoring Designing and Implementing Alternative Development Project Evaluation People’s Participation: How do we go about it? Data Analysis, Interpretation and Presentation Instruments Field Testing for Monitoring & Evaluation Tools and Methods: Gaining Practical Experiences Programme of Training List of Participants Page 1 3 5 9 29 Module 3 Module 4 Module 5 Module 6 : : : : 41 57 73 89 Appendix I Appendix II : : 117 121 Foreword It’s about Leadership Alternative development is about development, for sure. But it is first about “Alternative”. Alternative means change. It is impossible to hope that people involved in illicit crop production willingly engage in an alternative venture, to be supported by their ignorance on market conditions, by their lack of food security, public health and often widespread illiteracy. That is why leadership plays a fundamental role in providing a cornerstone for rural commitment to alternative livelihoods. More often than not, leadership is about a strong group of village leaders, who wish to guide their people in pilot alternative income generating activities and have the technical know how to be credible and effective. And there training becomes the real engine of successful alternative development ventures. The Regional Centre for East Asia and the Pacific is glad to share our know-how and good practices in this field. Sandro Calvani UNODC Representative Regional Centre for East Asia and the Pacific 1 Preface Monitoring and evaluation can be effective tools to enhance the quality of project planning and management. Monitoring helps project managers and staff to understand whether the projects are progressing on schedule and to ensure that project inputs, activities, outputs and external factors are proceeding as planned. Evaluation can be a tool to help planners and managers assess to what extent the projects have achieved the objectives set forth in the project documents. This manual intends to provide some basic information and practical guidelines on project monitoring and evaluation in order to enhance better understanding on project monitoring and evaluation. All modules in this manual were used for the regional training on Monitoring and Evaluation for Alternative Development Projects and have been revised and simplified for distribution to interested project planners, managers and field staff. It is hoped that the manual will serve as their reference to acquire better understanding on project monitoring and evaluation and to obtain some practical guideline on the design and implementation of project monitoring and evaluation. We also hope that the manual will enhance the capacity of the planners and managers to understand both qualitative and quantitative approaches to project evaluation and to be able to discuss with project evaluators on the needs and requirements for their project evaluation and to fully comprehend the results of the evaluation from both qualitative and quantitative methods. I would like to thank the team of resource persons from Chiang Mai University for their contributions to the regional training and the development of this manual. Sanong Chinnanon Coordinator for Alternative Development Cooperation 3 Contents List of Contents Foreword Preface Introductory Session Module 1 Module 2 : : Conceptual Framework for Alternative Development Designing and Implementing the Alternative Development Project Monitoring Designing and Implementing Alternative Development Project Evaluation People’s Participation: How do we go about it? Data Analysis, Interpretation and Presentation Instruments Field Testing for Monitoring & Evaluation Tools and Methods: Gaining Practical Experiences Programme of Training List of Participants Page 1 3 5 9 29 Module 3 Module 4 Module 5 Module 6 : : : : 41 57 73 89 Appendix I Appendix II : : 117 121 INTRODUCTORY SESSION* 1. INTRODUCTION “Golden Triangle” continues to be the main source of global opium production. Its potential capacity for the world supply is estimated at 1,237 tons of raw opium, equivalent to 76% of total world production. This also means approximately that a total of 123,000 ha of critical mountain land is required for opium cultivation in Southeast Asia. The current efforts with Alternative Development (AD) strategy have been implemented throughout the region with national government and international community. In support to the on-going AD Projects, the United Nations Office on Drugs and Crime (UNODC) Regional Centre in cooperation with the Australian Government has supported sub-regional activity on Alternative Development Cooperation in East Asia (C96) since the year 2000. As part of the present work plan, a regional training on Project Monitoring and Evaluation (M & E) has been readily endorsed by the Project Coordination Committee to strengthen national capacity with support to AD personnel and Project staff. The need for Project M & E training was expressed at the annual meeting of the Project Coordination Committee (PCC) for Alternative Development Cooperation in East Asia in Luang Prabang on 11 March 2002. In response to the need, Regional Centre for East Asia and the Pacific, led by Dr. Sanong Chinnanon, has initiated the training project document for working with host institutes in Thailand. The International Centre (IC) of Chiang Mai University has agreed to serve as host institute and academic staffs from the University has formed up an interdisciplinary team to assist the training. The training workshop has been designed for implementation between 11-16 November 2002, in Chiang Mai province of northern Thailand. 2. PROJECT OBJECTIVES The objective of the Regional Training Workshop is to provide some basic knowledge and gain a better understanding as well as practical skills for project managers and staff from Alternative Development (AD) Projects. Participants have been recruited from the member countries of the Southeast Asia Sub-region where Alternative Development Strategy is being utilized to prevent and eliminate the cultivation of illicit drug crops. This Training Workshop is expected to enable * Luechai Chulasai, International Center (IC), Chiangmai University, Chiang Mai 5 participants to plan and implement monitoring and evaluation tasks as part of project management and implementation. 3. WORKSHOP STRUCTURE, DESIGN AND TRAINING PROCESS This Regional Training Workshop is organized into 5 training modules: Module 1: Module 2: Module 3: Module 4: Module 5: Module 6: Overview and Conceptual Framework for Alternative Development Design and Implementation of Alternative Development Project Monitoring Design and Implementation of Alternative Development Project Evaluation People’s Participation in Alternative Development Project Monitoring and Evaluation Data Analysis, Interpretation and Presentation Field Testing for Monitoring and Evaluation Tools and Methods: Gaining Practical Experiences In short, the Training Workshop consists of 3 major components to include conceptual framework of alternative development, the basic principle of project monitoring and evaluation with specific reference to development and drug control projects and the design and implementation of monitoring and evaluation. The overall training process may be illustrated in a flow diagram as shown in Figure 1. 6 Conceptual Framework on Alternative Development (AD) Increase Understanding in Monitoring and Evaluation For AD Projects Increase Capacity for the Monitoring and Evaluation for AD Projects Tools and Methods for Monitoring and Evaluation Field Test: Data collection and data analysis Group Presentation, Report Write up And Communicating Results FIGURE 1. The Design and Process of the Training Workshop on Monitoring and Evaluation for Alternative Development (AD) Projects. Tools and methods for project monitoring and evaluation will be introduced and discussed with examples from countries in the region. Resource persons have already prepared training modules and materials for presentation to encourage small group discussion among the participants. In addition, a field training session will be arranged in a Hmong village in Mae Rim district of Chiang Mai province. The outcome of the above activity would enable participants to plan for data collection, carry out analysis as well as reporting. Participants are expected to bring with them their Project Document for review and exchange view and experience in implementation of AD Projects in their own countries. Following short presentation on the conceptual framework, monitoring and evaluation approaches, including field tools and methods. The Training Workshop has been designed to encourage group dynamic with intensive small group discussion and interdisciplinary teamwork. Resource persons will be organized to assist the participants, group discussion, data collection, analysis and reporting. 7 4. VENUE OF THE TRAINING WORKSHOP The International Center (IC) of Chiang Mai University offers the venue for the workshop with lodging facility for workshop participants. The Centre is within proximity to the Health Center, a standard swimming pool at the Rincome Amari Hotel and diversity of dining places. It is a walking distance to one of the major shopping mall, Kad Suan Kaew. 5. PARTICPANTS AND RESOURCE PERSONS About 30 project managers and key personnel in charge of monitoring and evaluation of AD Projects in Laos, Myanmar, Thailand, Vietnam and Yunnan in China are expected to participate in the training. An interdisciplinary team from Chiang Mai University and Regional Office in Bangkok will be formed as a resource person team for the training and fieldwork. Relevant implementing agencies for Highland Development Projects in the area will be invited to provide project briefing, field assistance and other necessity to facilitate the participants. 8 MODULE 1: CONCEPTUAL FRAMEWORK FOR ALTERNATIVE DEVELOPMENT PROJECTS * 1.1 SCOPE OF THE MODULE This training module describes the conceptual framework for alternative development projects on the basis of alternative development (AD) paradigm. The holistic concept of AD is introduced and discussed in relation to the historical development and evolution of the concept. Extension of the concept to project implementation, monitoring and evaluation is also described with the linkage to the national context. Overall conceptual framework for alternative development is presented and discussed. A case of Ky Son Project in Vietnam is chosen as an example of AD project in the region to illustrate the application of AD concepts and conceptual framework for project implementation during 1996-2000. 1.2 LEARNING OBJECTIVES At the end of the discussion, participants in the training workshop are expected to (1) (2) (3) (4) gain a better understanding of AD principles and concepts; learn about the diversity and complexity of AD Projects; have capacity to conceptualize the analytical framework for monitoring and evaluation of AD projects in their own country; and be able to effectively apply AD concepts for project monitoring and evaluation in diverse biophysical, social and cultural setting. 1.3 INTRODUCTION Alternative development (AD) is a recent development paradigm and the term was, perhaps, introduced by UNODC in the middle of 1990s. The root of the AD concept may be dated back to late 1940s when the Chinese Government had successfully eliminated the cultivation of illicit opium poppy in the major growing area such as in the southwestern part of the Mainland China, i.e., Yunnan province (McCoy 1972 and Rerkasem 2000). It was not until the early of 1970s that the idea * Presented by Kanok Rerkasem, Chiang Mai University, Chiang Mai, Thailand 9 of crop substitution has come up in the development scene to suppress opium production in one of the World export of opium, the Golden Triangle (White 1972). At that time, the cash crop commodity approach was dominated in AD projects, the upper part of northern Thailand in particular. Through over 30 years of lessons and experience, the idea of alternative development has begun to emerge in the late 1990s and this has been used as the basis for intervention of UNODC projects, other national and external supported projects to suppress or eradicated opium production in the country. This training module is organized to provide some basic concepts and discuss conceptual framework for monitoring and evaluation of AD projects in the region. Lessons and experiences have been drawn from past development efforts in the region. It is, then, followed by a review of major approaches to AD and example of application AD in Ky Son Project of Vietnam. 1.4 THE MEANING OF ALTERNATIVE DEVELOPMENT (AD) In the past, Alternative Development means different thing to different people in the field of illicit crops and drug control programmes. Much of experiences are carried out in the field within the different local and national contexts, and the conditions have led to a unified concept of Alternative Development (AD) in the transition period to 1990s. It is now possible to talk about a common meaning of AD with a definition that has been now endorsed by the United Nations General Assembly at its twentieth special session in June 1998. The United Nations General Assembly Special Session (UNGASS) defined Alternative Development (AD) as “….. a process to prevent and eliminate the illicit cultivation of plants containing narcotic drugs and psychotropic substances through specifically designed rural development measures and the context of sustained national economic growth and sustainable development efforts in countries taking action against drugs, recognizing the particular socio-cultural characteristics of the target communities and groups, within the framework of a comprehensive and permanent solution to the problem of illicit drugs” For practical purposes, AD is the process through which prevention, reduction and elimination of illicit cultivation of drug crops are achieved by specifically designed rural development measures that are aimed at providing lawful, economically viable and sustainable means of income as well as an improved livelihood to rural communities (Boonwaat 2001). The definition contains elements of the campaign against drugs, the various aspects of social and economic development on sustainable basis and the most important element, the 10 participation by local people. Therefore, AD may be considered as a national tool for drug control and specific development in national framework with active people participation. 1.4.1 Basic Principles Underlying Alternative Development Concept The most significant outcome of UN General Assembly Special Session in June 1998 is the endorsement of action plan on International Cooperation of the Eradication of Illicit Crops and Alternative Development. The plan stresses the importance of integration between AD programme and law enforcement measures. To elaborate this further, UNODC (2001) raises 3 points relating AD concept to policy implication as follows: (1) (2) the need to achieve socio-economic pacification and stabilization of areas affected by the domination and violence of drug traffickers, the need for expediency, in order to proceed with the eradication of illicit crops cultivation and reduction of drug supply, in offering real subsistence alternatives, as in most cases farmers’ livelihood strategies depend on illicit crop production, and the necessity of ensuring collaboration between consuming and producing countries in addressing the drug problem in a balance and coordinated approach. (3) The first point is clearly shown to be the major difficulties in AD. It refers to the need for simultaneously balancing in a complementary fashion, drug control and pacification objectives on the one hand and economic development and social stabilization objectives, on the other. The second point is, perhaps, the keystone of AD activities, connotes the principle of “necessary compensation” to help small farmers find and adopt alternative means of subsistence as well as economic and social development. The third point is the basis of the “share responsibility” principle, where AD activities presuppose to be co-financed by the drug-producing and drug-consuming countries. 1.4.2 Contents and Objectives of Alternative Development At national level, two interrelated objectives are guiding AD intervention. The main objectives to which AD activities contribute, are (a) to reduce the supply of raw materials for drug production, and (b) to consolidate a licit economy, allowing regions to return to the mainstream economic and social development of the country. At the project level, AD objectives have become more specific and limited, and related to various strategic components. T o much lesser or greater extent in all AD projects, these components include: 11 (1) (2) (3) (4) (5) (6) Income substitution (economic and productive strategy); Establishment of conditions of peace and legality (political strategy); Strengthening farmers’ organizations (organizational strategy); Improving quality of life of the people involved (social strategy); Dissemination of sustainable development models (environmental strategy); and Empowering community in the fight against drug (social strategy). 1.4.3 Operational Framework for Project Monitoring and Evaluation As the nature AD project is a process development approach, monitoring and evaluation of AD projects would require the understanding of the process being going on. The operational framework based on some of the above strategies may be hypothetically developed for AD arguments as shown in Figure 1. Introduction of AD activity would be expected to reduce opium poppy growing area significantly. Further reduction may involve law enforcement in order to keep eradication strategy continues with national policy. With cash crop promotion to replace opium poppy cultivation, unplanned demand of land for cash crops may increase rapidly. Increasing demand of good land for commercial agriculture could potentially result in land use conflicts with the community, between community and between lowland and upland communities. Intensive use of sloping land without proper soil and water conservation may lead to severe land degradation at local and watershed scale, threatening ecosystem sustainability. Rapid reduction of opium poppy may have both positive and negative income to farming households. Without people participation, the rapid reduction would have negative impact on local households and their food security (Figure 2). If this happens, social sustainability of the former opium poppy growing households is under threatening. The overall result may jeopardize AD efforts. Cultural erosion is another aspect that has often been raised in AD projects. Increased income may push the former opium addicts in the community to shift from opium to other drugs. In the case of northern Thailand, for example, official records have shown drastic increase in the number of drug users with heroin at the beginning of opium eradication to methamphetamine and others. 12 1.5 APPROACHES TO ALTERNATIVE DEVELOPMENT As already mentioned earlier, AD may be traced back to as far as the late 1940s, and the evolution of AD approach stems from the idea of crop substitution in 1970s to integrated highland development in 1980s to community-based approach in 1990s. As lessons and experiences build up, the complexity of AD approach increases through AD interventions for the past over 30 years. 1.5.1 Crop Substitution Approach (1970s) In early 1970s, UN started Crop Substitution Programme in northern Thailand as a target area to eradicate opium poppy cultivation in the Golden Triangle, one of the major opium production areas in the world. The approach was based on the identification of potential cash crops for the biophysical advantages of the opium growing area, e.g., high altitude with favourable temperature to a wide range of subtropical to temperate annual and perennial crops, fruit trees and vegetables. Production technology is often packaged with the most potential crops from opium growers. Apart from the monitoring and evaluation of the potential cash crops, opium survey has been the major tool for project monitoring and evaluation. Law enforcement is often lagged behind the development of alternative crops to ensure sustainable reduction of opium poppy area. The success of crop substitution programme and law enforcement in the region varies widely between country to country (Table 1). The earlier projects with dominant crop substitution approach may take as long as 30 to 50 years. In contrast, recent AD projects in the region may take as short as 6 years, i.e., Vietnam. Rapid reduction of opium growing area in remote area with poor marketing structure may have negative impact on household food security. 13 AD Activities & Law Enforcement Measures (+) Land Use Intensity (Unplanned expansion of cash crops) (+) (-) (-) Cultural Value (-) Opium Poppy Growing Area (-) (+) (-) Conflict in Land Use (+) (+/-) Socio-economic Value (-) Household Income FIGURE 1: Sustainable challenge of AD Projects and Interrelationship between Project Strategies. 14 Figure 2: Hypothetical impact of opium poppy eradication and alternative development in contrasting situations; (a) gradual eradication of opium poppy and (b) rapid eradication 15 TABLE 1: Opium growing area and AD experiences in Southeast Asia sub-region Country/Target Area China (Yunnan province) Thailand (Northern Thailand) Myanmar Laos (Northern part) Vietnam (Highlands) Source: Rerkasem (2000) Opium Growing Area in 2000 (ha) 0 1,486 130,300 27,000 600 Years of AD Experience >50 (1949) >30 (1969) 20 (1980) 12 (1989) 6 (1993) The hybrid between deve lopment and law enforcement is often referred to as a “ carrot and stick ”* approach in AD projects. This approach could have negative impact to people participation and community empowerment, and the results of alternative development could turn out to be a failure (Gilbert and Rerkasem 2002 and Armenta et. al. 2002). Although the crop substitution has been used since the early stage of international campaign against drugs, it remains one of the major components of AD project with respect to eradication and income generation objectives. In northern Thailand, the Royal Project is the pioneer in development and promotion of crop substitution to opium poppy. The Project was initiated in 1969 with strong financial and research supports. Up to present, the Project has achieved its opium eradication objective with successful introductions of the wide range of “new” cash crops, temperate fruit trees and vegetables, and high value cut flowers for crop substitution programme. The Project contains strong marketing component integrated with production. It has successfully developed large-scale marketing structure connected to private sectors and its own outlets throughout the country. Marketing is one of the major weaknesses in crop substitution program. Many projects have failed after termination period. With reduction of external support to alternative development in Thailand, the Royal Project has become the major development agency for former opium growing communities in the country. The Project has recently integrated into the mainstream development of national policy with financial support from government. There are several extension projects under 35 development centres in former opium growing area of Chiang Mai, Chiang Rai, Lamphun, Mae Hong Son and Phrayao provinces (Figure 3). This covers a total area of 1982 sq.km 2 in 257 villages with population of almost 100,000 people in the Project. * A concept combined a promised reward with a threatened penalty. 16 1.5.2 Integrated Rural Development Approach (1980s) The approach was introduced and built on the experiences and lessons learned from crop substitution programmes in 1970s (e.g., Jinawat 2001, Renard 2001 and Kampe and Iamprapai 2002). The integrated rural development approach with a label of “Highland Development Project (HDP)” was implemented to meet the basic needs of target population. There were a large number of externally assisted projects during this period. These HDP Projects employed area approach for planing and intervention based on the First Masterplan for Highland Development in Opium Producing Areas: 1985-91 (ONCB 1985). The overall target areas for opium eradication were mapped out for the intervention of HDP projects (Figure 4). The overall goal of the First Masterplan was to cover about 60 % of total opium growing area in the country. A monitoring system of opium growing area was set up with satellite images and ground check. With coordination at all levels in government structure, access to government support and services improved greatly in the remote hill areas. Education and health services have developed successful model for interventions, e.g., the Hill Area Education Model and the Community Health Programme with extensive health centres and volunteer workers for the hill tribes. Infrastructure development was provided to improve rural life, communication and transportation of agricultural produces e.g., feeder roads, small-scale irrigation and domestic water supply. Monitoring and evaluation of AD project in the context of rural development project has to be seen in multidimensional nature 1.5.3 The Emergence of Participatory Approach in Alternative Development Projects (1990s) Although participatory approach was gradually adopted, it was not until 1990s when projects began to see the importance of people’s participation on pr oject achievement. Without active people’s participation little would be accomplished. The participatory approach was increasingly significant where community began to encounter conflict in use and management of natural resources. In areas where production pressure on land is increasing rapidly due to demand for various uses including conservation, the social problem leading to conflicts in land use would be inevitable and the problem may be detected at different scales depending upon the severity of the problem and biophysical limitation. The conflicts may be occurring at local scale within the community, between communities at local level or between lowland and upland communities at watershed level. The problem of land use conflicts is becoming to be fairly 17 common with the region (Rerkasem, 2002). Resolution to the conflicts could be found in the process of participatory land use planning and community-based watershed management (e.g., TG -HDP 1998). Similarly, the increasing demand on drugs in certain areas, e.g., heroin and ATS, the introduction of Community-Based Drug Abuse Control (CB-DAC) would offer alternative measure for control and prevention the drug problem in the community. FIGURE 3: Map of the Royal Project Development Centers in northern Thailand. Source: Royal Project Document 18 19 For Thailand in 1997 for example, the Cabinet authorized the ONCB to apply CB-DAC measures in 1,145 villages that had been identified as having severe drug addiction problem (Kampe and Iamprapai, 2002) 1.5.4 Alternative Development (2000s) From lessons and past experiences of UN-intervention and campaign against illicit opium poppy cultivation in the region, the integrated strategies of alternative development and the parallel law enforcement have been suggested for project implementation in the year of 2000. Although the linkages b etween drugs and development is not new but the efforts have been addressed to the supply problem with the dominated crop substitution approach. The framework for alternative development is then the combination of supply reduction, demand reduction and law enforcement strategy. AD approach is becoming more holistic with broader perspective (Berg 1998). The success in alternative development depends upon the national framework for AD, conditions in intervention, support and cost effectiveness. Conditions for development in a given country or area need to be taken into account and alternative development has to be linked to other development issues and activities. In area where narcotic drugs are produced, governments have little control or their political will to interfere is of limited. In such the area, local counterpart institutions are often lacking. It may be doubtful whether alternative development is feasible under this condition. Forced eradication of opium poppy cultivation may be in conflict with development. The inclusion of demand reduction in alternative development is to address the problems of local drug use. Alternative development is not just merely rural development but sustainable human development. In summary, comprehensive assessment of past experiences and lessons in alternative development in Asia (Berg 1998) has shown that 4 alternative development, where carried out in a meaningful way and supported by governments with political will to control drugs, it can be expected that AD would contribute significantly to a reduction in opium poppy cultivation; 4 alternative development, when measured against the quantity of opium reduced, could be costly and time consuming; 4 alternative development, when measured against its contribution to opium poppy reduction and to overall rural development, has been rather successful and cost effective. 20 1.6 CONCEPTUAL FRAMEWORK OF ALTERNATIVE DEVELOPMENT On a whole, a conceptual framework for alternative development may include: First, development as sustainable human development; 4 focus on people priority and their basic needs, 4 ensuring ecological, but also social and cultural sustainability, 4 participation in and equitable access of people to economic, social, cultural and political processes that af fect their lives, 4 the need for good governance, that is governance which include participatory, transparent, accountable, effective and equitable, and that promotes the rule of law and human rights, Second, development as a tool for drug control; 4 alternative development for supply reduction, 4 demand reduction, 4 law enforcement, Third, drug control as a tool for development; 4 measurable impact on basic needs and human priority, 4 measurable impact on social, economic and ecological sustainability, 4 measurable impact on participation and equitability, 4 measurable impact on good governance. The interrelationships between the above strategies may be summarized in Figure 5. 1.7 KY SON PROJECT: A CASE EXAMPLE OF AD 1.7.1 Site Description Ky Son is one of the early UN-projects in the region where AD principles and concepts have been used to design and implement the Project in 1996-2000. The Project was officially inaugurated in May 1996 with a total of US$3.8 million from UNODC and VND 5.0 billion from the Government of Vietnam. The Committee for Ethnic Minorities and Mountainous Areas (CEMMA), which is directly attached to the National Policy Decision, represents Project counterpart. 21 Ky Son is a remote district in Truong Son highlands of Vietnam. It locates at the end of highway no. 7A and shares the border with Xieng Khouang province of Laos. The total area is estimated at <200 000 ha but only a maximum of 15 % is suitable for cultivation. It is not surprising that the natural forest and land resources are degrading at rapid rates. FIGURE 5: Conceptual framework for AD Projects in Southeast Asia. Source: Berg (1998) 22 EXPOSURE to New ideas and Experiences IMPLEMENT participatory of Project Activities MONITORING, EVALUATION, REVIEW and Expansion of Activities DIALOGUE with approach TRAINING and EDUCATION for Capacity building FIGURE 6: Project’s implementation strategy, monitoring and evaluation with active local Participation: the Ky Son Modality. Source: Boonwaat (2001) With the existing poor infrastructure and road network for transportation, the area is one of the remote highlands in the country. The advantage of biophysical setting has made Ky Son as one of the major opium poppy growing area in the region. Opium poppy survey in 1993 showed that planted area of opium was as high as 2,800 ha. After the intervention of the Project, growing area of opium dropped sharply to insignificant level at 98.5 ha in 1997. Complete eradication was obtained after the second year of project implementation. 1.7.2 Project Objectives Apart from alternative development objectives, the Ky Son Project was designed to strengthen national capacity to bring about the significant socioeconomic changes, enabling smallholders to eliminate illicit cultivation of opium poppy and drug abuse. The Project was, then, serving as a model for opium poppy growing areas in Vietnam. Replicability is also essential to Project objectives. 23 1.7.3 Project Activities and Monitoring At the outset of implementation, the Project has been able to conceptualize the overall framework for management, implementation, monitoring and evaluation (Figure 6). The Project employs active local participation to ensure sustainable development over the long run. The local participation is the core approach and it is applied to the Project at all stages of project cycle. The application of the approach is iterative process with active participation of Project beneficiar ies, other stakeholders including local district officers The full scale of Project review, monitoring and evaluation took place after the actual implementation of specific activity. The implementation strategy of the Project was designed as a development process with 4 major elements as follows. (1) (2) Exposure that enables smallholders to have access to new ideas and successful experiences. Dialogue which enables smallholders to exchange their ideas or experiences based on their own and new enrichment from exposure. This process allows smallholders’ decisions to solve their own priorities. This requires participatory needs assessment and needs prioritization. In the process, community work plan might be developed to address local priorities. The linkage b etween community and district work plans could be matched to eliminate duplication and encourage the compliments. Training was offered to increase local capacity building in achieving work plans. Implementation was selective with key smallholders in the key communes to illustrate positive results for future large-scale extension phase. (3) (4) Project monitoring, evaluation and review were carried out at all stages in the process in order to ensure effective implementation of Project activities. The identified activity was, then, started with some selected numbers of smallholders in strategic communities for demonstration of Project activity. For economic development activity, the Project has been able to implement and offer diverse options for alternative income and household food security to opium poppy. These options include 4 4 4 4 Improved upland rice for self-sufficiency Improved paddy systems with HYV and supplement water supply Development of legume for sustainable agriculture and food supplement Improved cassava for improved feeds and high yielding with stress tolerant 24 4 Improved maize for livestocks 4 Improved potato for income generation 4 Introduction of industrial crops, e.g., Arabica coffee, improved tea and other annual or perennials 4 Improved fruit trees and ve getables for home gardens 4 Development of alternative agroforests for household requirement and sustainable practice 4 Development of social forests for community management, utilization and environmental conservation 4 Introduction of honey bees for alternative income generation 4 Livestock breed improvement 4 Livestock feed improvement 4 Livestock disease control and prevention system 4 Improved marketing 4 Handicraft for alternative income The above Project activity is highly diverse with elements of subsistence, combination crops and livestock, income generation alternatives from agriculture or non-agriculture, natural resource management and so on. The success could be evaluated with community participation at all levels, i.e., individuals, households, community, district offices and so on. Project invited some 14 national institutions and NGOs to provide technical assistance and monitor demonstration activity. In the iterative process of Project monitoring and evaluation, further expansion of Project activity could occur independently without Project support, e.g., farmers-to-farmers mechanism, contractual systems of producers and consumers and so on. Nevertheless, preparation of support for further expansion of Project activity will have to be available with strategic planning and implementation. Project also employed heavy input from external consultants at all stages of Project cycle. External assistance was part of Project design and implementation. Ky Son Project also established active coordination and collaboration with national law enforcement agencies. The balance between alternative development and law enforcement for eradication has been kept between the Project and coordinating agencies with regular review and evaluation. 1.8 CONCLUSIONS This traini ng module outlines the conceptual framework for Alternative Development projects. It is based on the continuing process in developing Alternative Development (AD) paradigm. AD is a holistic concept and development approach. It differs from other development approaches, e.g., community 25 development or rural development paradigms. It has gone through a long process of over 30 years with lessons learned, experiences gained and future challenges. In this development process, the conceptual framework of AD shifted from merely a crop substitution programme to integrated rural development programme to complex alternative development programme. Apart from the distinction of AD project as drugs and drug control nature, AD addressed socially and economically sustainable human development with benign environmental setting. The Project is a vehicle for national and international policy to campaign against drugs and crime. Overall conceptual framework for alternative development is presented and discussed. A case of Ky Son Project in Vietnam is chosen as an example of AD project in the region to illustrate the application of AD concepts and conceptual framework for project implementation during 1996-2000. 26 1.9 REFERENCES Armenta, A., Jelsma, M., Blickman, T., Montanes, V. and Vargas, R. 2002. A failure balance alternative development and eradication. Drugs & Conflict Debate Paper No. 4. 12 p. (http:www.tni.org) Berg, C. 1998. Drugs and Development in Asia. A background and discussion paper. Division 4500, Rural Development/Drugs and Development Programme, GTZ. 74 p. Boonwaat, L. 2001. An overview of alternative development and illicit crop eradication policies,strategies and actions in the region. In: Proceedings of a regional seminar on Alternative Development: Sharing Good Practices Facing Common Problems. Pp.129-148. Bangkok: UNODC-Regional Centre for Asia and the Pacific. Gibert, R. and Rerkasem, K. 2002. Community empowerment in alternative development: prerequisite for success or mutually exclusive concepts? Official Website of the International Conference on the Role of Alternative Development in Drug Control and Development Cooperation. 7-12 January 2002. Feldafing, Munich, Germany 16 p. (http: www.UNODC.org) Jinawat, P. 2001. Thailand country paper. In: Proceedings of a regional seminar on Alternative Development: Sharing Good Practices Facing Common Problems. Pp.63-72. Bangkok: UNODC-Regional Centre for Asia and the Pacific. Kampe, K. and Iamprapai, P. 2002. Assessment of experience with alternative development in the Thai Highlands: 30 years of evlolution. ? Official Website of the International Conference on the Role of Alternative Development in Drug Control and Development Cooperation. 7-12 January 2002. Feldafing, Munich, Germany 13 p. (http: www.UNODC.org) McCoy, A. M. 1972. The Politics of Heroin in Southeast Asia. Singapore: Harper and Row Publishers.472 p. ONCB 1983. A Masterplan for Opium Poppy Cultivating regions of Thailand. Bangkok: Office of Narcotics Control Board and the United Nations Fund for Drug Abuse Control. Renard, R. 2001. Opium Reduction in Thailand 1970-2000. A Thirty-Year Journey. Chiang Mai: Silkworm Book for UNODC Regional Centre for East Asia and the Pacific. Rerkasem, K. 2000. Regional perspectives on alternative development (AD). Paper prepared for UNODC seminar on Cooperation for Alternative SocioEconomic Development to Replace Opium Poppy Cultivation . 22-23 March 2000. Hanoi, Vietnam. 7 p. 27 Rerkasem, K. 2002. Land use in Greater Mekong sub-region. In: M. Kaosa-ard and J. Dore (eds) Social Challenges for the Mekong Region. Chiang Mai: SRI Publication. (In Preparation) Royal Project 1993. Basic data for 35 Royal Project Development Centres. Chiang Mai: the Royal Project. TG-HDP 1998. Community-based natural resource experiences. A proceedings of international workshop. Chiang Mai: Thai-German Highland Development Programme. UN/ODCCP 2001. Alternative development in the Andean area: the UNODC experience. New York:ODCCP Study on Drug and Crime Guidelines. 76 p. Vogel, P. and Boonwaat, L. 2001. Ky Son alternative development project in Vietnam. In: Proceedings of a regional seminar on Alternative Development: Sharing Good Practices Facing Common Problems. Pp. 123-128. Bangkok: UNODC-Regional Centre for Asia and the Pacific. White, P. T. 1985. The poppy – for good and evil. National Geographic Magazine 167 (2): 143-190. 28 MODULE 2 : DESIGNING AND IMPLEMENTING THE ALTERNATIVE DEVELOPMNT PROJECT MONITORING* 2.1 SCOPE OF THE MODULE This training module defines designing, implementing and gives reasons for carrying out the alternative development (AD) project monitoring. The design elements of monitoring system are also discussed. The principles and guidelines of an efficient and effective monitoring system are presented in relation to the AD project monitoring. Key concepts and content are applied as a continuation of the group activities. At the end of this module, self-evaluation questions are provided to assess the trainee’s learned knowledge, skills and competencies based on the learning objective stated. 2.2 LEARNING OBJECTIVES After completing this module 2, t he participants shall be able to: 1) Gain more understanding about the conceptual framework and basic principle of the AD project monitoring 2) Design and apply the effective project monitoring system under various setting such as diversion of biophysical, social and culture environment 3) List a set of guidelines of key process and strategies for an effective monitoring system in line with their respective AD project documents 2.3 INTRODUCTION Project is a set of planned undertaking that is designed to achieve a specific objective with given resources and within a specific time period. The objective of the project is the explicit and/or implicit of aims or goals. The resources are project inputs without regard to technical, financial or human resources. The project time frame is the time period that AD project started and ended, therefore it is not an on-going activity or a routine work. Meanwhile the program is a group of projects that will lead to the achievement of a * Presented by Satiean Sriboonruang and Chaiwat Roongruengsee, Chiang Mai University Chiang Mai, Thailand 29 broader scope of some policy results such as the elimination or alleviation of existing problems. Progress reporting is necessary for all AD projects because it provides information for all stakeholders on the status of projects. Therefore, it is necessary to monitor the project implementation in order to report what is happening in the project. Information from monitoring results is reported to decision-makers for the necessary actions. These monitoring concepts have been applied extensively in the development work and form an essential part of the project planning and management. Project logical framework analysis facilitates the monitoring of projects by establishing linkages between the immediate objectives, outputs, activities and inputs of the project more clearly in a logical manner as sho wn in figure 2.1 GOAL OBJECTIVE OUTPUT ACTIVITIES INPUTS OBJECTIVE OUTPUT ACTIVITIES INPUTS Figure 2.1: Logical relation between inputs, activities, outputs, objectives and project goal 2.4 PROJECT CYCLE The terms used for the stage explanation of project cycle might vary considerably. But in his module, it will divide the stages of project cycle into six stages, namely project identification, project formulation, project appraisal, project approval, project implementation and project evaluation (figure 2.2). But for the new concept of the World Bank for project cycle, it divides the 30 stages of project cycle into four stages, namely project listening, project piloting, project demonstration and project mainstreaming. However, for more intuitively, the project cycle also divides into various stages according to the time frame of project namely, pre-project, project life and post project (figure 2.4). The project is usually started from a broad idea and then later on it develops to be the first proposal. After it becomes the first proposal, it is debated, analyzed and further detailed. The project formulation may take time and sometimes incorporates a structural pre-investment study. Therefore, after passing the stages of project pre-feasibility study, project feasibility study and project appraisal, the project implementation stage will follow after the proposal is approved. Within the project implementation stage, the objectives, resources and the project time frame may change, but at the end of project some reflections about its outcome and impacts will be revealed. Figure 2.2: Conventional project cycle Figure 2.3: New project cycle of the World Bank 31 Negotiation/Agreement/ Approval/Contracting Appraisal Feasibility study Pre-feasibility Implementation Review Completion Evaluation Monitoring Project Identification Pre-project Project Life Post-project Figure 2.4: Details of conventional project cycle 2.5 UNDERSTANDING AND SETTING UP MONITORING AND EVALUATION SYSTEM There used to be negative perceptions on monitoring and evaluation system such as cumbersome, a waste of valuable time among the professionals who work with the social services and development project/programs involving the project monitoring and evaluation. However, presently, these professionals including practitioners become enthusiastic supporters of the system because of the following reasons. Firstly, they understand that the main purpose of monitoring and evaluation (M&E) is the project improvement. Secondly, the recognition that M&E can be tailored to fit the specific needs of a project and its budget. And thirdly, they have a better understanding and mastery of the actual M&E processes. Generally and in principle, the M&E can offer the following circumstances and/or situation: ü Monitoring assesses the quality, quantity and timeliness of the project input ü Monitoring identifies operational constraints to project effectiveness thus helping planners and project managers improve implementation ü Monitoring determines if a process or service, e.g. food fortification or illicit drug control is meeting national or some other accepted standards ü Monitoring provides information to improve project targets ü Evaluation helps to identify effects that are attributable to the project ü Monitoring and evaluation meet donor accountability requirements 32 ü Monitoring and evaluation serve as a vehicle to increase community participation ü Monitoring and evaluation inform decision-making on the future of a project The body of social science known as evaluation research is the systematic collection of information on the design, implementation and the effect of projects on the targeted populations (Rossi and Freeman, 1993). Ideally, the system and its process are divided into an ongoing monitoring system and periodic evaluation with the some special studies designed to answer some specific questions about the project. Monitoring is different from evaluation. M&E have different objectives but are related. Therefore, they require different design and implementation. 2.6 MONITORING DEFINITIONS During the project implementation stage, it is necessary to monitor its development and progress. Monitoring is a planning and management tool which provides the project management with regular and continuous feedback that can be used to make decisions, manage the project more successfully and plan for better project activities in the future. Monitoring is a crucial part of the project management that will be carried out to observe the progress of the project implementation and to ensure that inputs, activities, outputs and external factors (such as the project assumptions) are proceeding according to the plan. Moreover, monitoring is also a tool to identify problems, which may occur during project implementation so that corrective measure could be taken before the project is affected adversely. Most funding agencies require some form of progress report that indicate or demonstrate the project achievements throughout the project life and at the termination of project. Good monitoring will also allow the project to be effectively evaluated, therefore it is a continuous process and periodic surveillance (for both observation and vigilance) of the project implementation. Monitoring is concerned primarily with ongoing data collection and review of the AD project implementation on a regular basis throughout the life of project. The monitoring system can b e used to assess the following AD project’s indicators: ü the quality of project inputs and services, the timeliness of service delivery ü the extent that project activities reach the targeted individuals and communities ü the acceptability and actual use of the AD project services 33 ü the cost involved in implementing the project/program ü the extent to which actual implementation of AD project coincides with the AD project implementation plan ü the overall progress, development and barriers of project implementation which are important input for the AD project supervision. Monitoring data are often entered into the management information system (MIS) which, in turn provides information in an easy-to-use format to keep track of the AD project activities, budget and personnel. Information generated by the project monitoring system provides valuable clues where problems are occurring, why operation are succeeding or faltering and which specific aspects of the AD project need to be adjusted in order to improve targeting, coverage and implementation. Moreover, since the monitoring information is collected and reviewed at regular intervals, area of concern can be addressed as they arise and collective measures can be instituted, thus improving the chances for the AD project success. However, one important characteristic of the AD project monitoring is that, in a well-functioning project, most data and information are already collected for the programmatic purposes so that establishing a monitoring system should not impose an additional burden. In an AD project for reduction of illicit drug crop cultivation, this would include ongoing reduction monitoring data, as well as, information on activities involving drug control dimension, income generation dimension, social and cultural dimension and environmental dimension. Another example, such as the integrated communitybased nutrition project, the necessary data would include growth monitoring data, information on activity attendance, supplement, distribution and clinic referrals. While the monitoring information is used primarily for management decisions, it is also important to provide contextual information for evaluation. Project monitoring clearly serves the interests of project/program funders, project manager and their staff and all the project beneficiaries, all of whom benefit from the improvement of project operations. However, some fears may cause resistance to project monitoring and evaluation. Project managers and staffs might fear of losing their jobs. Beneficiaries might be also anxious of losing their benefit when the funders find the negative impact from the monitoring and evaluation. Overcoming such resistance in monitoring is not always possible. However, experiences suggest that resistance can be reduced if the stakeholders of a project are involved in planning the monitoring process and reviewing the monitoring data. Since monitoring data are essential to effective AD project management, all projects should have a monitoring system in place. 34 2.7 REASONS FOR PROJECT MONOTORING AND USEFULNESS OF PROGRESS REPORTS There are various reasons that make the monitoring activities important and the progress report necessary. The monitoring is a crucial part of the project management as it is carried out to observe the progress of the project implementation in order to ensure if inputs, activities, outputs and project assumptions are proceeding according to the plan and if they are progressing forwards achieving the project objective. Monitoring is also a tool to identify problems that may occur during the project implementation, therefore the corrective measures could be taken before the project is affected adversely. Moreover, as a result of the monitoring, the progress reports provide a major information i nput to the project reviews. 2.8 PRINCIPLES AND GUIDELINE FOR MONITORING As part of the project management, monitoring of inputs, activities and outputs should be implemented for the whole duration of the project. Assumptions that were made within the project logical framework should be monitored to ascertain their effect on the achievement of the stated outputs and objectives. The work plan indicates which activities are ongoing and should be monitored for the project progress. The monitoring plan should set measurable indicators of inputs, the activities and outputs to be used as milestones or performance standard for monitoring. The example of measurable indicators of inputs in the case of AD project is the number of farmers receiving knowledge, the number of farmers using good seed, the distributed amount of fertilizer and pesticide and the amount the good seeds planted. The example of measurable indicators in the case of AD project activities are the number of training courses conducted, the number of farmers trained and the number of farmers who have access to the agricultural inputs delivered. The example of measurable indicators for outputs of the AD project is the number of farmers using high yield variety (HYV), the number of farmers using high and more productive techniques and the number of farmers reducing illicit drug crop cultivation (see figure 2.5). 35 OUTPUTS (Number of farmers using HYV and reducing illicit drug crop cultivation) ACTIVITIES (Training and agricultural input delivery) INPUTS (Knowledge, good seed, fertilizer, Pesticide and etc) Figure 2.5: An example of inputs, activities and outputs of the AD project A system of the self-monitoring such as a self-monitoring format of an annual work plan and the management information system (MIS) is needed and more desirable. The most important aspect is the early problem identification so that the corrective measures or actions can be taken at the good and appropriate time before the problems become too serious. Table 2.2 indicates the example of self-monitoring format of an annual work plan for the AD project. General guidelines for the project monitoring is, as it concerns with project management, it deals mainly with three aspects of the project over which it has control namely, input-activities-outputs as show in figure 2.6. Assumptions in the project logical framework should be also monitored to ascertain their effect on the achievement of the stated outputs and objectives. Assumptions could be an event, a condition or a decision which is necessary for project success, but which is largely or completely beyond the control of project management. However, the table 2.1 also indicates the guideline and some example of framework for the AD project monitoring and evaluation in term of inputs, outputs, outcomes, impacts and benefits. The project logical framework and in particular the work plan indicate which activities are ongoing and should be monitored in progress. Monitoring is carried out at different levels. Monitoring information at the field level is regularly submitted to the project manager and all stakeholders for their considerations. Regular meeting of staff concerned with the project implementation is often the best means of monitoring at the field level and linking to higher management level such as steering committee. The results of 36 written monitoring reports have to be balanced with the provision of sufficient information to project staff level, manager and steering committee levels, but should not take too much extra time from project implementations. All project staff should be involved in the monitoring process. Be sufficient to achieve the Will under given GOALS Assumption about the context Assumption about the context Assumption about the context Assumption; precondition OBJECTIVE Be sufficient to contribute the Will under given OUTPUTS Be sufficient to produce the Will under given ACTIVITIES; process Be sufficient to perform the Will under given INPUT; Resources Figure 2.6: Monitoring projects and their assumptions Table 2.1: An example of framework for the AD project monitoring and evaluation in term of inputs, outputs, outcomes, impacts and benefits Outputs Assumptions The Expectations delivery regarding the of goods ways these and goods and services services will be used by the target population Outcomes Changes in behavior and practices Links to the provision of goods and services to impact Impacts Drugs status measures Effects resulting directly from project outputs or indirectly through outcomes Benefits Broader effects Effects resulting from achievement of impacts, usually in combination with other factors Inputs Assumptions Resources Expectations used to regarding support the the primary effectiveness activities of and quality the project of the project inputs 37 2.9 CONTENT AND EXAMPLE OF CASE STUDY Examples for the monitoring process and strategies will be drawn from the presentation and discussion of the country participants and their AD project documents. Table 2.2: An example of an annual work plan in monitoring form Responsible Body Progress (what has been achieved?) /Results *(Have any problems occurred?) Action to be taken** (what action will be taken to overcome the problem) Output/Expected Outcome/Major Activities/Activities Output (as stated in the project log frame), Expected Outcome/Indicators/Ma jor Activities/ Activities Lead Support Timing …………………… …………………… …………………… *Progress/results: what ha been achieved? Have any problem occurred? **Action to be taken: What action will be taken to overcome the problem? 2.10 SELF-EVALUATION QUESTION AND EXERCISES A) After completing Module 2, please answer the following questions: What are the objectives of monitoring? What are the conceptual frame work of the project monitoring? What are the differences between reach and impact? What are the differences between monitoring and evaluation? What are the general principles of monitoring? How often is monitoring carried out? What is monitoring? What items have to be monitored? What are the steps for setting up the project monitoring system? What are the frequent problems in tracking intermediate indicators? What are other issues emerged in tracking outcomes and impacts? Who should conduct project monitoring? 38 - Who will monitor the project, outsider or insider? What are weaknesses and strengths in using the outsider or insider monitor? Why do we need for the effective monitoring? What are the components of project monitoring design? Who did monitoring for specific items? How was project reporting done-formally or informally? What are the quantitative and qualitative components of monitoring? What are the differences between project inputs, outputs, outcome and impacts? What are the differences between final indicators and intermediate indicators of the project? Who is supposed to read the project reports? Do they read them? If not, why not? B) Identify indicators according to the types that are relevant to the AD project (Using the conceptual framework as mentioned in module 1 as a guideline) Goal: …………………………………………………………………………… Impact Final indicators Effects on dimensions of well-being (……….) Outcomes Access to, use of and satisfaction with services (……………………………………………… ………………………………………………..) Good service generated (………………………………………………) Financial and physical indicators of resources provided (…………………………………….) Outputs Intermediate indicators Inputs C) Identify key considerations for the following questions in the AD project monitoring Questions to be asked What are the objectives of the project? How well are the target groups identified and reached? How to use the indicators? Key Considerations 39 2.11 REFERENCES Abbot, J. and Guijt, I., 1998, Changing Views on Change: Participatory Approaches to Monitoring the Environment. SARL Discussion Paper 2, London: IIED Adamchak, Susan, Band, Katherine, et. Al. 2000., A Guide to monitoring and Evaluation Adolescent Reproductive Health Programs: Tool Series 5, Washington. DC: Benus, J. and L. Orr , 2000., Study of Alternative Quantitative Evaluation Methodologies. Working Paper. ABT Associates, Washington D.C.. Provides an overview of the importance of conducting evaluations, evaluation techniques and who should conduct evaluations. Casley, Dennis J. and Krishna Kumar,1987., Project Monitoring and Evaluation in Agriculture. Washington, D.C.: World Bank. Dar, A. and Z. Tzannatos ,1999., Active Labor Market Programs: A Review of the Evidence from Evaluations. Social Protection: a discussion paper No. 9901. Provides a brief overview of ALMPs and e valuation techniques and presents cross-country evidence on the impacts of different ALMPs. Estrella, M. and Gaventa, J., 1998., Who counts reality? Participatory Monitoring and Evaluation: a literature review, IDS Working Paper No 70, Brighton: IDS IIED, 1998, Special Issue on Participatory Monitoring and Evaluation. PLA Notes 31, London: IIED NEF, 1998, Communities Count, A step by step guide to Community Sustainability Indicators, London: NEF Operations Evaluation Department, World Bank, 1995., Monitoring and Evaluation Plans in Staff Appraisal Reports in fiscal year 1995. Report No. 15222, December 1995. UNAIDS, WHO, 2000., National AIDS Programs: A Guide to Monitoring and Evaluation, Chapel Hill, N.C: Carolina Population Center. UNODC, Training on Monitoring and Evaluation for AD project, Training Document. 40 MODULE 3 : DESIGNING AND IMPLEMENTING ALTERNATIVE DEVELOPMENT PROJECT EVALUATION* 3.1 SCOPE OF THE MODULE Similar to module 2, this training module defines designing, implementing and gives reasons for caring out the alternative development (AD) project evaluation. The design elements of project evaluation system are discussed. The principles and guidelines of an efficient and effective evaluation system are presented in relation to the AD project. Key concepts and content units are applied as a continuation of the group activities. At the end of this module, self-evaluation questions are provided to assess the trainee’s learned knowledge, skills and competencies based on the learning objective stated. 3.2 LEARNING OBJECTIVES After completing module 3, the workshop participants shall be able to: 1) Gain more understanding about conceptual framework and basic principle of the AD project evaluation 2) Design and apply the effective project evaluation system under various setting such as diversion of biophysical, social and cultural environments 3) List a set of guidelines and strategies for an effective evaluation system in line with the AD project 3.3 INTRODUCTION Effective project management and implementation would ensure that necessary information on the status of the project is provided to the stakeholders. For AD projects, various kinds of reports could be considered. They include the inception report, the interim report, the project termination report and the project impact evaluation report. In addition to monitoring, it is essential to carry out project evaluation to assess the extent of project development towards achieving the specified objectives. Information obtained from evaluation process will be reported to the project manager and higher * Presented by Satiean Sriboonruang, Faculty of Economics, Chiang Mai University, Chiang Mai, Thailand 41 level of policy decision-makers for the important and necessary corrective actions. These concepts of project evaluation have been applied extensively in development work and form an essential part of project planning and management. Logical framework of project analysis facilitates the evaluation of all AD projects by establishing linkages between the goals, immediate objectives, outputs, activities and inputs of a project more clearly in a logical manner as shown in figure 2.1 of the module 2. 3.4 OBJECTIVE OF EVALUATION Evaluation in project operations is carried out for at least 3 purposes as follows : First it provides information for decision-making on any improvements needed for project management and implementation. Second it assesses the results of the project/program to demonstrate to what extent the project/program has achieved its objectives. Third it serves as a mean to empower the communities and other project stakeholders of the AD projects. The flows of information are central to evaluation process and constitute an empowerment agenda that includes transparency (availability and access to information), accountability (use and application of information) and inclusion/participation (where communities are given control over decisionmaking) including decisions on the appropriate criteria and indicators to judge the performance of service provision For a flexible and responsive AD project, evaluation needs to be more than just a reporting mechanism, but it serves as a management tool and as a means of advancing the project goals for accountability, transparency and partnership. The evaluation systems should incorporate both statistical data and feedback from the participatory assessments. Moreover, the evaluations should be done continuously through every phase of the project such as inception, interim and termination or completion periods. Systematic evaluation of project/program processes and outcomes are particularly important where project/programs are being scaled up. Evaluation systems also supply the necessary information and feedback so that potential bottlenecks or problems are identified and overcome early before becoming constraints to project expansion and replication. 3.5 EVALUATION DEFINITIONS Evaluation is a field of applied science that seeks to understand how successful the projects are and to what extent they fulfill the objectives. The 42 information collected during mid-term evaluation will also allow the project manager to make informed decision concerning a project’s wo rth and provide the opportunity to capitalize on project strengths. In addition, the feedback process that occurs during evaluation will allow the project manager to finetune the project and make it more effective. Project evaluation process is a one-time systematic and independent examination of AD project. Project evaluation is conducted in order to determine the achievement level of its objectives, its efficiency, its cost effectiveness and impact on the project sustainability. The project evaluation should indicate whether the existing AD project is and/or has the problems that was originally identified and formed the basis of the project. The evaluation measures and analyses the performance of the AD project to find out their effects and impacts on d irect target beneficiaries. Moreover, it also tries to quantify the expected changes against the achieved changes, which are defined by project objectives and goals. An evaluation will allow documenting what happened in the AD project, telling which strategies worked best in the project and assessing the short-term and the long-term outcomes of the project. Evaluating and improving a project takes effort. It takes discipline, wisdom, persistence and critical mind. At times, this process may seem slow and time consuming. Project improvement and better services are the results of the thoughtful collaboration between funders and service providers on an appropriate strategy for evaluating accountability. Thus it would take time. The end result of the hard work will yield a stronger and more effective AD project. Project evaluation helps decision-makers to be responsible for planning, designing, and implementing projects/programs. It allows the decision makers to understand whether resources were well spent, the planned outcomes were achieved and procedures were followed. The three functions of evaluation are firstly, to distill lessons learned for future operations and disseminate them internally and externally, secondly, to ensure accountability for the use of resources to improve development effectiveness and thirdly, to follow up on evaluation recommendations to sustain project benefits. In brief, project evaluation seeks to measure the project effects; i.e. whether and to what extent the AD project’s inputs and their services are improving the quality of life of the target groups. Evaluations also provide information on the changes in behavior and conditions of targeted communities and individuals (Rossi and Freeman, 1993) by assessing the effectiveness of the AD project in attaining its originally stated intermediate and overall objectives. Evaluation may also reveal unexpected 43 findings of positive and negative effects and impacts which can be used to alter and improve the AD project design and implementation. Generally, following an initial baseline survey, one or two midterm evaluations take place in the mid stage up to the late stage of an AD project. An end point or a terminal evaluation is conducted upon the AD project completion or at the end of the funding cycle. Ideally, there should be an efficient ongoing monitoring system in place from the starting point of the AD project. If such monitoring system indicates that implementation is proceeding reasonably well, the formal evaluation can be limited to verification of the monitoring system and provision of information on the outcomes and impacts of AD project. In the absence of a reliable and comprehensive monitoring system, however, at the ending point, the AD project evaluation would have to include an explicit assessment of the project implementation process to determine the extent to which the target population actually reached and the service was delivered. Without this information, any absence of positive impacts will leave the question unanswered whether the problems were structural defect or faulty implementation. Similarly, even positive results cannot be attributed to the project/program interventions when information about the process is absent. 3.6 THE DIFFERENCE BETWEEN MONITORING AND EVALUATION Even though the monitoring and evaluation are complementary, they have two distinct processes. Monitoring follows a management model with a focus on improving day-to-day project operation. Evaluation uses a research model to assess the extent to which project objectives have been met or surpassed. However, monitoring and evaluation are most effective as interwoven activities. They can provide information that will help decisionmakers to choose an appropriate course of actions for the future of project or on direction of the future projects. Depending on the M&E findings, decisionmakers may decide to do the following activities. Firstly, they can continue the project, either as it is currently implemented or revised. Secondly, they can expand the project by increasing the implementing area and target population. Thirdly, they can replicate the project in a new setting and/or to curtail the project and reallocate resource elsewhere. In some cases, evaluation or much more accurately assessment is tacked on to the end of the AD projects to examine project implementation and their impacts. The evaluation process in this circumstance is rarely capable of evaluating project’s impacts and is likely to create resentment among stakeholders. By contrast, M&E should be built into the project during the 44 designing stage. Project planning should always include the development of M&E systems. By incorporating M&E from the beginning, project staff and manager will be providing themselves with thorough and ongoing feedback system that will allow them to make timely management decisions without waiting for the results of an evaluation. At the same time, early planning means that a valid baseline survey should be conducted to gather information on preproject conditions. This will enhance the credibility of the findings of the terminal evaluation. Initiating an evaluation after the project is under way makes it more difficult to attribute changes in behavior or condition to the project or quantify the magnitude of the change. Both monitoring system and evaluation are most useful if they are incorporated into the AD project from its inception. There are 3 options for restructuring M&E responsibilities; firstly contracting external monitoring and evaluation personnel, secondly having a mix of external and internal project personnel, and thirdly relying on the project personnel alone. Table 1 shows the role of M&E throughout the life cycle of a project. In general the more external the process becomes, the more objective it is likely to be. At the same time wholly external evaluation are often out of touch with the project realities and with ongoing monitoring process. Wholly internal process will assure full familiarity with the context and its nuances, but are often considered inadequately objective by decisionmakers and other observers. Additionally, the in-house option may not have all of the expertise necessary for systematic evaluation process. Therefore decision about the internal/external balance in an evaluation will vary from project to project. For large and expensive project, it may well be worth contracting with an external institution that would be actively involved in evaluation related to the activities throughout the project life cycle. For medium-sized project, it may not be necessary to have an external institution involved, therefore the quality checks on monitoring data would be carried out by M&E staff and special studies would be contracted out or conducted internally. For smaller projects, an external evaluator who is a single individual with M&E expertise would be present at the beginning of the project to advise on the M&E system as a whole. However, the external evaluator would then rejoin internal M&E personnel at the conclusion of the project. Whenever an external entity or individual is utilized, care should be taken to provide clear terms of reference and necessary documentation. Moreover, regardless of which M&E staff restructuring is employed, relevant training of those responsible for M&E operation is essential to ensure quality data collection, analysis and interpretation and effective action. 45 Table 3.1: Role of M&E throughout the project life cycle Project stage Implementation phase (M) q Descriptions Focus is on Planning or redesign phase (M&E) q The design of the project and how it will improve the lives of particular population group who involving with the reduction of illicit drug crop cultivation, including with drug control, income generation, social and cultural and environmental dimensions q Project coverage, delivery, costs, intermediate outcomes and other management concerns Late Implementation or Post project phase (E) q Determining the intermediate outcomes and more substantial impacts of the project on people’s lives. Types of questions to be answered by M&E q q Are the goals, objectives and activities appropriate in light of the project’s context? Are the project inputs and activities including training and materials like ly to achieve these objectives? Will the project’s monitoring and evaluation system produce the information needed for critical decisionmaking? q Are the specific inputs and services reaching the targeted population and on time? Are inputs the desired quality? q What, if any, are the outcomes and/or impacts of the project on the targeted populations? Have the originally started objectives and goals been met by the project? q q q Are inputs being well used by the population? q What other effects (intended or unintended) did the project have on local communities, project staff, or government policies? 46 q Are the criteria used for targeting appropriately? q Types of questions to be answered by M&E q q Do actual project activities correspond with those spelled out in project design or implementation plan? Where are the project costs, and do they correspond to the budget plan? If not, what components of the project are over and under budget? Is there evidence of short-term and intermediate outcomes that will produce long-term impacts? Source: A guidebook for the nutrition project management in developing countries, The World Bank, 1999 3.7 CONCEPTUAL FRAMEWORK FOR PROJECT EVALUATION The evaluation of the AD project is actually intended to be both formative and summative. Such evaluation should provide the project managers with useful information for their decision-making that will improve the outcomes of the project. The evaluation process should also provide the project stakeholders, participants and individuals who are interested in the projects with some useful information to determine whether the project was worthwhile for the resources, or whether it should be expanded in the subsequent phase, perhaps with credit or loan financing. The evaluation of the impact of project will be both quantitative and qualitative . 3.7.1 Quantitative Component The quantitative component will use inputs, process and output indicators. Input indicators will include amounts and costs of invested resources (e.g. The number of farmers who are trained per year in each village or area, and the number of effective farmers who access to alternative HYV cash crop), 47 types of activities financed in training, monitoring and fund raising (e.g. The number of villages, linking areas, and farmers who are trained in each area). Process indicators will likely include the number of collaboratives AD project pursued by the target area or village in each region, the number of collaborative school-to-school projects pursued by schools in each area, the volume of knowledge exchange, the number of workshop, and etc. Output indicators will focus on the outcomes of opium and illicit drugs such as the area of opium cultivation and drugs abuse reduction. Taking an educational project as an example, the indicators will include the standardized test results in reading, writing and mathematics skills, such as the final examination pass rates and scores, the number of students who took the examination, the number of repetition to take examination, and the dropout rates. However, it is generally accepted that these indicators are extremely difficult to correlate directly to the project inputs. Output indicators are also intended to over time address the impacts of production and harvesting technology upon the productivity of alternative HYV cash crops so as to permit the initial crude cost-benefit estimates. This may be assessed through proxy tracer studies which provide similar outcomes as those developed under AD project. 3.7.2 Qualitative Component The qualitative component will also use input, process and output indicators for evaluation. The input indicators will include numerous variables such as the following indicators: The initial farmer’s motivation to participate with the AD project, the numbers of farmers who participated with a training program provided by the AD project, the farmer’s impression on a training program, quality of production material and/or inputs that are delivered to farmers by the AD project, the farmer’s socio-economic and their demographic characteristics (e.g. family size, size of farmland and location, farm type and the assessment level to agricultural inputs and training program). Process indicators might include answered variables obtained from the following questions such as frequency and duration of utilization of the provided agricultural information and related technology; quality of inputs covered in using new technology, difficulties encountered by farmers including frequency and duration of collaboration with other farmers within and outside their own village, types of activities performed in the field, organizational 48 conditions of farmer group, contributing factors of success in participation, the changes in pedagogical processes due to introducing alternative HYV cash crops to villagers in each area. Qualitative output indicators may include farmers' satisfaction, ability to transform marketing information and to represent it dynamically, farmers' ability and willingness to share resources and work collaboratively. The evaluation component will also be country-specific and comparative in design, so that each country's information responds to national evaluation needs and can be synthesized to assess global program impact. It will also be multiyear or longitudinal, so that the cumulative effects of the program can be tracked over time and gradual adoption/integration of on-farm technology into the village can be measured. Finally, the evaluation component should serve to build local capacity to evaluate on-farm technology initiatives. Wherever possible, local evaluators will be used; if necessary, they will be paired with evaluators from the same region and/or world-class evaluators. Meanwhile, reach and impact is beyond the outcomes, an evaluation must also address the issues of reach and impacts. Reach comprises the number and the type of beneficiaries (actual/potential; direct/indirect; positive/negative; urban/rural; male/female). Impact covers the consequences of participating in the project (actual/potential; intended/unintended; direct/indirect; immediate and longterm) 3.8 TYPES OF EVALUATION There are 4 major types of evaluation, namely 1) the inception evaluation, 2) the interim or midterm evaluation, 3) terminal or completion evaluation and 4) post project or impact evaluation. The inception evaluation is conducted after the starting of the first year of project implementation. It helps to review the first period of the project progress. The interim or midterm evaluation is done at the mid-way of the project period. This exercise helps to review the progress in term of what are being achieved with regard to expected effects, therefore on the basis of reviews the corrective measures are taken. Terminal or completion evaluation is generally done at the end of project period and it is usually taken to indicate what has been achieved by the project funding sources. 49 Post or impact evaluation is done a few years after the completion of the project implementation. This evaluation exercise will be conducted after such AD project became a routine or regular work that is about 2-3 years after the project termination in order to evaluate the extent to which the project has contributed in achieving the broader national development objectives. Therefore, this latter evaluation also refers to as the impact evaluation of the AD project. 3.9 GUIDELINES FOR PROJECT EVALUATION As evaluation is concerned with the effects or the immediate objectives and goals, it is not taken so regularly or frequently as monitoring. Obviously, one of the objectives to be evaluated is the achievement of higher productivity. May be, after some of the farmers have received training and delivery of production inputs such as good seed, fertilizer and pesticide. In this case, there is a need to evaluate the effects of that output such as to what extent does the productivity of those farmers increase? Is the increase in productivity as much as expected? If not why? Can corrective actions be identified? And can adjustments be made to project implementation? Once the above -mentioned information are available and the expectation of evaluator are not being achieved, then it is needed to investigate the reasons for it, whether any external conditions constraints the effect. The purpose of on-going evaluation such as inception and interim is to identify any problems, which constrain the effects and try to solve them. The project management itself conducts this type of on-going evaluation. The midterm evaluation is more systematic and is conducted by the external evaluator. This also permits the project management to make mid-course corrections in the way the project implemented. ACTIONS Reporting & Recommendation Monitoring Evaluation Figure 3.1: Relation between M&E, reporting and Action 50 The terminal or completion and post or impact project evaluation makes an analysis of the impact of the AD project with regards to the achievement of its objectives and goals. Although, the same as in monitoring, an evaluation is also based on quantitative and qualitative data, the analysis is more in-depth and requires good interpretation of what the data shows. Reporting the results of evaluation exercises to the appropriate persons or organizations is necessary so that appropriate and timely actions on the recommendations will be taken. Moreover, such evaluation results will be useful to acknowledge and give credit to the project patrons and participants and to keep public informed about what happening on the AD project (figure 3.1) 3.10 GUIDELINES ON PROJECT EVALUATION AND REPORTING The primary substantive and technical responsibility for evaluation rests with the executing agency. When the funding agency does not execute the project, then it has a role of managerial overview. Among the procedures to monitor project, tripartite reviews are especially important. All the parties involved in the project implementation attend this type of project review or evaluation. The tripartite review is a formal, periodic mechanism to review the progress made by the project in order to take decisions for the future, try to determine the responsibility for implementing those decisions and to set related deadlines. An agenda should be prepared by the project management and approved by all parties prior to the meeting. A typical outline for project evaluation includes the following items such as the progress report made by the project staff towards the achieving project objectives; the project concept and design that considered as a continuing relevance to the AD project and any possible adjustment; the operational issues; the project work plan until the next review or evaluation; the recommendations and decisions for example such that the identifying actions required; the parties responsible and the project time frame for implementation and the need for project re-evaluation, if applicable. A project performance evaluation report is prepared by the AD project management in accordance with the time frame indicated in the AD project document, which is usually once a year. The report describes the achievement records and major issues faced by the project. It also includes the achievement of the implementation of the work plan. This performance evaluation report is used as a basis of the discussion in tripartite reviews and may make recommendations for discussion at review meetings. 51 Usually, the UNODC required the AD project progress reports normally in the middle and at the end of each calendar year. The reports summarize the status of the project implementation, the progress towards achievement of its objectives and goals, the problems encountered and any actions taken to address them. A tripartite meeting is a mechanism to review the progress of the projects implementation. The annual review activity is done through the study of the AD project reports, contacts with project staff and their counterparts and analysis of fund and resource disbursement patterns. Criteria and procedures for the AD project evaluation are set forth in a project/program advisory note on an evaluation policy and their procedures. The figure 3.2 explains positions of project monitoring, evaluation and reporting in context of the UNODC project cycle. Project execution and implementation Project monitoring Project progress reports Terminal and financial report Annual reviews (Tripartite review) Terminal/ post project evaluation Midterm evaluation reviews Figure 3.2 Project implementation, monitoring, evaluation and reporting 3.11 CONTENT AND EXAMPLE OF CASE STUDY Examples for the evaluation process and strategies will be drawn from the presentation and d iscussion of country participant and their AD project documents 3.12 SELF-EVALUATION QUESTION AND EXERCISES A) Please answer the following questions after going through Module 4 of the Training Manual: 52 - What are the objectives of e valuation? What are the conceptual frame work for the project evaluation? What are the differences between reach and impact? What are the differences between monitoring and evaluation? What are the general principles of e valuation? How often was an evaluation carried out? What is evaluated? What items have to be evaluated? What are the steps for setting up the project evaluation system? What are the frequent problems in tracking intermediate indicators? What are the other issues emerged in tracking outcomes and impacts? Who should conduct the project evaluation? Who will be the project evaluators -outsiders or insiders? What are weaknesses and strengths in using the outsider or insider evaluator? Why do we need to have effective evaluations? What are the five components of evaluation design? Who does the evaluation for specific items? How is the project evaluation reporting done -formally or informally? What are the quantitative and qualitative components of evaluation? What are the differences between project inputs, outputs, outcome and impacts? What are the differences between final indicators and intermediate indicators of projects? What are the main types of evaluation? What is the participatory approach of project evaluation? Why are we interested in participatory approach for project evaluation? What are the differences between the conventional project evaluation and participatory approach of project evaluation? How to assess the impacts in evaluation? Who were supposed to read the project evaluation reports? Did they read them? If not, why not? If you were to conduct an evaluation 3 years after the completion of project, what would you be looking for and evaluating? B) Identify the project objectives, expected output, indicators, outcome and activities that are relevant to the AD project Project objectives Expected output Intermediary indicators Outcome/ Impact indicators Monitoring and evaluation activities 53 3.13 REFERENCES Adamchak, Susan, Band, Katherine, et. Al. 2000., A Guide to monitoring and Evaluation Adolescent Reproductive Health Programs: Tool Series 5, Washington. DC: Baker, J. 2000., Evaluating the Impact of Development Projects on Poverty: A Handbook for Practitioners. A World Bank Publication. Aimed at providing policymakers and project managers with the tools needed to evaluate project impacts. Provides extensive case studies of a wide range of evaluations. Bertrand, Jane T., Magani, Robert J, Knowles., and James,1994., Handbook of Indicators for Family Planning Programe Evaluation, Chapel Hill, NC: The Evaluation Project. Bertrand, Jane T., Magani, Robert J, Rutenberg., and Naomi, 1996., Evaluating Family Planning Programs, with Adaptations for Reproductive Health, Chapel Hill, NC: The Evaluation Project. Boruch, Robert F., 1997., Randomized Experiments for Planning and Evaluation, Newbury Park, CA: Sage Publication. Casley, Dennis J. and Krishna Kumar,1987., Project Monitoring and Evaluation in Agriculture. Washington, D.C.: World Bank. Estrella, M. and Gaventa, J., 1998., Who counts reality? Participatory Monitoring and Evaluation: a literature review', IDS Working Paper No 70, Brighton: IDS Grossman, Jean Baldwin. 1994. “Evaluating Social Policies: Principles and U.S. Experience.” The World Bank Research Observer 9(2): 159-80. Grubb, W. and P. Ryan, 2000., The Roles of Evaluation for Vocational Education and Training. ILO, Geneva. Focused on vocational training but provides an overview of evaluation techniques and methodologies. Heckman, James J., Jeffrey Smith, and Christopher Taber. 1998. “Accounting for Dropouts in Evaluations of Social Programs.” The Review of Economics and Statistics . 80 (1): 1-14. IIED, 1998, Special Issue on Participatory Monitoring and Evaluation. PLA Notes 31, London: IIED Meyer, Bruce D..1995. “Natural and Quasi-Experiments in Economics.” Journal of Business and Economic Statistics 13(2): 151-161. NEF, 1998., Communities Count, A step by step guide to Community Sustainability Indicators, London: NEF O' Leary, C., A. Nesporova and A. Samorodov, 2001., Manual on Evaluation of Labor Market Policies in Transition Economies. International Labor Office. Discusses various labor market programs in transition countries, evaluation methodology and how to use evaluation results. Operations Evaluation Department, World Bank,1994., Building Evaluation Capacity, Lessons & Practices No. 4, November. 54 Partton, Michael Quinn, 1990., Qualitative Evaluation and Research Methods, Newbury Park, CA: Sage Publication. Partton, Michael Quinn, 1987., How to Use Qualitative Methods in Evaluation, Newbury Park, CA: Sage Publication. Rossi P.H. and Freeman H.E. 1993., Evaluation: A Systematic Approach. Newbury Park: Sage Publication. Sartorius, Rolf H., 1991., The Logical Framework Approach to Project Design and Management.An Evaluation Practice. Vol 12, No2, Page 139-147. Schmid, G., J. O' Reilly and K. Schomann .1996., International Handbook of Labor Market Policy and Evaluation. Edward Elgar Books. UNAIDS, WHO, 2000., National AIDS Programs: A Guide to Monitoring and Evaluation, Chapel Hill, N.C: Carolina Population Center. UNODC, Training on Monitoring and Evaluation for AD project, Training Document. 55 MODULE 4: PEOPLE’S PARTICIPATION: HOW DO WE GO ABOUT IT? * 4.1 SCOPE OF THE MODULE: The scopes of this module are 1. To indicate the importance of “People’s Participation ” in AD Projects 2. To provide the overview of past lessons and experiences with Participation Approaches 3. To give some specific guidelines for the conduct of Participatory Appraisal for Monitoring and Evaluation of AD Projects 4.2 LEARNING OBJECTIVES The learning objectives are: 1. To improve the monitoring and evaluation of AD Projects using People’s Participation approaches 2. To increase professional capacity of AD Project Managers and Key Project Personnel in charge of monitoring and evaluation with practical implications for carrying out their tasks in their own Projects with the incorpo ration and integration of People’s Participation in all stages of project cycles 4.3 INTRODUCTION People’s participation has a long historical account in a wide range of development projects. Both national and international agencies have had much effort to involve people in some respect of planning and implementation. Community participation may be viewed as a means to increase project efficiency. If people and community are involved, they are likely to agree with and support the new development project or services. People and community participation aims to initiate mobilization for collective action, empowerment and institution building. Many of the development projects have been able to show that “participation” is one of the critical components of success in irrigation, livestock, water resource and * Kanok Rerkasem and Warapong Boonma, CMUPNlab, Faculty of Agriculture, Chiang Mai University, Chiang Mai, Thailand 57 agricultural projects (Pretty 1995). This might be the main reason that the term “people’s participation” is part of the normal language of many development agencies, NGOs, government offices, the banks and so on. 4.4 TYPES OF PARTICIPATION There are several ways that people and organizations interpret and use the term, people’s participation. These have been more or less resolved to 7 clear types of participation (Table 1). They range from the extreme passive to selfmobilization participation. In passive participation people are involved with activities only by being told what is going to happen, while in self-mobilization participation, people take initiatives independently of external institutions. The terms of participation from this typology should not be simply accepted without appropriate qualification. If the objective of the project is sustainable development, nothing less than functional participation will suffice. People’s participation is considered as an instrument of project development. People are involved in different stages of project cycle in many different ways. For irrigation projects, people’s participation could be obviously illustrated as the most significant factors contributing to project effectiveness, maintenance of water systems and economic return (Cernea 1985). Table 1: Typology of participation: how people participate in alternative development projects. Typology Passive participation Participation in information giving Characteristics of each type People participate in activities by being told what is going to happen or has already happened. It is unilateral announcement by an administration or project management without listening to people’s responses. The information being shared belongs only to external AD projects. People participate in activities by answering questions posed by extractive researchers, using questionnaire surveys or similar approaches. People do not have the opportunity to influence on proceedings, as the findings are neither shared nor checked for accuracy. 58 Typology Participation by consultation Participation for material incentives Functional participation Interactive participation Self-mobilization Characteristics of each type People participate in activities by being consulted and external AD agents listen to people’s views. These external agents define both problems and solutions, and may modify them in the light of people’s responses. Such a consultative process does not concede any share decision making and professionals do not have obligation to follow the views of the people. People participate by providing resources, for example labour for road construction, in return for food, cash or other material incentives. Much on-farm R&D falls in this category, as farmers provide the fields but are not involved in experimentation or on-farm testing or other learning processes. It is very common to see this called participation, yet people have no stake in prolonging activities when the incentives end. People participate by forming groups to meet predetermined objectives related to AD projects, which can involve the development or promotion of externally initiated organization. Such involvement is quite rare at early stages of project cycles or planning, it often appears after major decisions have been made. These institutions tend to be dependent on external agents, initiators or facilitators, but may become self-dependent later on. Welcome to the three day Orientation to Monitoring and Evaluation course offered. 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