BCNet
    Appendix C: Guidelines for Measuring Interventions (X Factors)

We will collect data for the following factors:

Each of the following pages provides the instructions as to how data will be collected to assess these factors.

Linked Enterprises

LE1. Degree of Enterprise Linkage with Biodiversity

Basic Description: The dependence of the enterprise on biodiversity.

Sub-Hypothesis: The more dependent the enterprise on the maintenance of habitats and in-situ processes, the more likely conservation will occur.

Definitions:
Linkage = The dependence of the enterprise on the maintenance of target habitats. This term is tied to the original BCN question of "If the biodiversity of the site was damaged, what would the consequences be to the enterprise?"

Variables, Method, and Coding:
This factor will be assessed on a qualitative using key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = Enterprise is completely unlinked -- shoe factory
1 = Enterprise has only limited links -- coffee plantation
2
3 = Enterprise linked to one resource in managed landscape -- agroforestry crop such as okari nuts
4
5 = Enterprise linked to one resource grown in wild or managed habitats -- trochus, rattan
6
7 = Enterprise linked to one resource that needs wild habitat -- rhino tourism, Brazil nuts
8
9 = Enterprise completely linked to habitat -- coral reef tourism

Timing: Needs to be collected only one time.

Data Availability: All projects should have information in their records.

Ease, Importance, and Resources Needed: Very easy, medium importance, no additional resources needed = Medium Priority.

Intermediate Products: Can be used as part of BCN/CIFOR work on linking conservation and income generating activities.


LE2. Enterprise Ownership

Basic Description: The level of ownership in the enterprise by local stakeholders.

Sub-Hypothesis: Conservation will increase with an increase in the level of ownership by the local stakeholders.

Definitions:
Ownership = Equity ownership in the enterprise which creates legal rights to a stream of cash flows over the life of the enterprise. Typically takes the form of shares of stock or formal or informal investments in the enterprise which give rights to share in profits generated by the enterprise.

Local Stakeholders = Residents with a vested interest in the biodiversity of the site.

Variables, Methods, and Coding: If formal equity exists, this factor will be calculated as a percentage

Enterprise Ownership (%) = Local Stakeholder Equity in Enterprise
Total Equity in Enterprise		 * 100

Local Stakeholder Equity in Enterprise will be assessed by calculating the number of shares held by residents of the community or number of people with formal or informal ownership.

Total Equity in Enterprise will be assessed by calculating the total number of share in the enterprise or the total number of people with formal or informal ownership.

It will also be particularly important for this factor to capture in the qualitative section of the database a description of the ownership structure of the enterprise.

If no formal equity exists, this factor will be calculated as a ranking. Possible rankings include:

0 = Community has no ownership -- All control held by outsiders
1
2 = Community members with minimal ownership
3
4 = Community members with limited ownership
5
6 = Community members with extensive ownership
7
8
9 = Community has complete ownership

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: All projects should have this information in their enterprise records.

Ease, Importance, and Resources Needed: Very easy, very important, no additional resources needed = High Priority

Intermediate Products:


LE3. Enterprise Management

Basic Description: Control over and/or participation in decision making on enterprise-related activities by the local community.

Sub-Hypothesis: The greater the level of control over and/or participation in decision-making by local stakeholders, the more likely conservation will occur.

Definitions:
Enterprise Management = Final decision-making power over key items including 1) Constitution of the management board/committee, 2) Hiring/Firing decisions, 3) Expansion of enterprise activities/geographic coverage, and 4) Distribution of profits.

Variables, Method, and Coding: This factor will be assessed on a qualitative scale using project documentation describing major enterprise decisions and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = Community has no presence -- All decisions made by outsiders
1
2 = Community members consulted by outside managers
3
4 = Community members with power to hire and fire outside managers and participate in meetings
5
6 = Community members with most decision making powers and with strong participation
7
8
9 = Community has complete presence -- Community members make all decisions

It will also be particularly important for this factor to capture in the qualitative section of the database a description of the management structure of the enterprise.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Not readily available.

Ease, Importance, and Resources Needed: Moderately easy, very important, some additional resources may be needed = High Priority.

Intermediate Products: "Stories" of community stakeholders making enterprise-related decisions which result in "positive" or "negative" outcomes.


LE4. Enterprise Profitability and Sustainability

Basic Description: The net amount of money being made by all enterprises at the site.

Sub-Hypothesis: Conservation will increase with an increase in enterprise profitability. Alternatively, conservation will occur if the enterprise shows a positive profit.

Definitions:
Total revenues = Money from sale of enterprise products or services.

Variable costs = Costs of producing products and services that change with quantity produced.

Fixed costs = Costs of producing products and services that do not change with quantity produced.

Enterprise profit = Total revenues less total expenses.

Variables, Method, and Coding: Using profit and loss spreadsheets, record revenues and fixed and variable costs for each enterprise at the site. Revenues and expenses must be limited to those borne by the core enterprise -- not including project expenses. If there are multiple enterprises at the site, calculate the profit for each and then add them to get the total.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: All enterprises should have these records. In some instances, PO may have to work with enterprise managers to extract relevant data.

Ease, Importance, and Resources Needed: High priority, very labor intensive, ?? hire consultant or intern to develop P&L statements for all groups.

Intermediate Products: Analysis of P&L statements could make an interesting paper for both enterprise development journals and donors.


LE5. Market Demand

Basic Description: The degree of demand for the product or service produced by the enterprise.

Sub-Hypothesis: Conservation will increase with demand for the product to a point, but then higher demand may lead to overexploitation of the product and degredation of the ecosystem.

Definitions:
Market Demand = The amount of the product or service that consumers in the market desire.

Variables, Method, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = No established markets exist for products/services.
1
2 = Limited demand exists -- often local.
3
4 = Some demand exists.
5
6 = Markets are fairly established.
7
8
9 = Markets established for a long time. High and constant demand for the product.

It will also be particularly important for this factor to capture in the qualitative section of the database a description of the marketing system and the level of competition facing the enterprise.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Most projects should have this information in their enterprise records.

Ease, Importance, Resources Needed: Relatively easy; moderate importance; no additional resources needed = Medium Priority.

Intermediate Products and Audiences: Paper outlining importance of market demand.

Generation of Benefits

GB1. Scale of Cash Benefits (Absolute)

Basic Description: The amount of cash benefit received by the average enterprise participant at the project site standardized across countries.

Sub-Hypothesis: Conservation will increase with an increase in the scale of benefits received.

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured on an annual basis.

Enterprise Participants Receiving Cash Benefits = Stakeholders from the defined project site receiving cash benefits from the enterprise over the defined life of the project.

Purchasing Parity Power Index (PPP) = A standardized measure of the purchasing power of a local currency relative to a defined basket of goods and services.

Variables, Methods, and Coding:
The factor will be calculated as a ratio:

Abs. Scale of Cash Benefits ($) = (Average Benefit Received) (US$/Local Currency)
PPP for Country

Average Benefit Received will be assessed by inspection of project records and, if these do not exist, through key informant interviews with project staff. Note that household based data will have to be converted to average amounts per individual.

Currency Conversion Rate will be obtained from official listings on the day of final analysis.

PPP for Country will be obtained by consulting the World Bank listings for each country. Field staff do not have to collect this number.

The final ratio will be recorded in the database along with the component variables.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Most projects should have benefit information in their records, although averages per individual may have to be calculated. Currency conversion rates and the PPP are available on line from the World Bank.

Ease, Importance, and Resources Needed: Relatively easy, moderately important, no additional resources needed = Medium Priority

Intermediate Products: Bar charts presented to communities, reports to other grantees.


GB2. Scale of Cash Benefits (Relative)

Basic Description: The amount of cash benefit received by the average participant in the enterprise at the project site relative to average household income at the site.

Sub-Hypothesis: Conservation will increase with an increase in the scale of benefits received.

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured on an annual basis.

Enterprise Participants Receiving Cash Benefits = Individuals (>12 years old) from the defined project site receiving cash benefits from the enterprise over the defined life of the project.

Average Household Income = An estimate of the average household income over the life of the project (the same time span for which cash benefits are measured).

Variables, Methods, and Coding: The factor will be calculated as a percentage.

Rel. Scale of Cash Benefits (%) = Average Benefit Recieved
Average Cash Income		 * 100

Average Benefit Received will be assessed by inspection of project records and, if these do not exist, through key informant interviews with project staff.

Average Total Income will be obtained from either household surveys conducted by project teams or from key informant interviews. It can also be calculated from the daily wage rate, from estimates of total expenditure, or from published figures -- several of these techniques can be used to triangulate estimates.

The final ratio will be recorded in the database along with the component variables. Note that for this factor, the two variables can be recorded using either households or individuals as the basis as long as it is done the same for both variables.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Most projects should have benefit information in their records, although averages per individual may have to be calculated. Many of the sites should have some estimate of average total income. For sites that don't, a rough estimate can be calculated using key informant interviews.

Ease, Importance, and Resources Needed: Somewhat difficult, very important, no additional resources needed = High Priority

Intermediate Products: Bar charts presented to communities. Reports to other grantees.


GB3. Variability in Cash Benefits

Basic Description: The variation in the amount of cash benefit received by the stakeholders at the project site.

Sub-Hypothesis: Conservation will decrease with an increase in the variance of benefits received.

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured on an annual basis.

Stakeholders Receiving Cash Benefits = Individuals from the defined project site receiving cash benefits from the enterprise over the defined life of the project.

Variables, Methods, and Coding:
The factor will be calculated as:

Standard Deviation in Benefit Received will be calculated from data on the amount of benefit received by all individuals. These data will be collected through inspection of project records and, if these do not exist, through key informant interviews with project staff. Note that household based data will have to be converted to amounts per individual. The standard deviation that is calculated will be recorded in the database.

If individual data cannot be collected, this factor will be calculated as a ranking. Possible rankings include:

0 = Benefits are greatly variable
1
2 = Benefits with some variance
3
4 = Benefits with limited variance, due to differing participation
5
6 = Benefits with minimal variance
7
8
9 = Benefits are distributed completely equally

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only -- may be zero initially for many sites.

Data Availability: Most projects should have benefit information in their records, although the standard deviation may have to be calculated.

Ease, Importance, and Resources Needed: Relatively easy, moderately important, no additional resources needed = Medium Priority

Intermediate Products: Bar charts presented to communities. Reports to other grantees.


GB4. Distribution of Cash Benefits

Basic Description: The degree to which benefits from the enterprise are distributed among the stakeholders in the community.

Sub-Hypothesis: Conservation will increase (either proportionately or in a step-function once a minimum threshold has been passed) with an increase in benefit distribution.

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured on an annual basis.

Stakeholders Receiving Cash Benefits = Individuals receiving cash benefits from the enterprise.

Total Stakeholders in the Community = Residents with a vested interest in the biodiversity of the site.

Variables, Methods, and Coding: The factor will be calculated as a percentage:

Benefit Distribution (%) = Stakeholders Receiving Cash Benefits
Total Number of Stakeholders		 * 100

Stakeholders Receiving Cash Benefits will be assessed by inspection of project records and, if these do not exist, through key informant interviews with project staff.

Total Number of Stakeholders will be assessed by inspection of project records and if these do not exist, through key informant interviews with project staff.

The final percentage will be recorded in the database. Note that for this factor, the stakeholders receiving cash benefits and the total number of stakeholders in the community can be recorded using either households or individuals as the basis as long as it is done the same for both variables.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only - may be zero initially for many sites

Data Availability: Most projects should have this information in their records.

Ease, Importance, and Resources Needed: Relatively easy, very important, no additional resources needed = High Priority

Intermediate Products: Pie charts presented to communities.


GB5. Non-Cash Benefits

Basic Description: Non-monetary benefits received by stakeholders from the enterprise.

Sub-Hypothesis: Conservation will increase with an increase in the non-cash benefits received.

Definitions:
Non-Cash Benefits = These include, but are not limited to:

  1. Community projects funded by the enterprise such as health care centers, church buildings, roads,
  2. Social benefits such as better social organization, higher self-esteem,
  3. Environmental benefits such as erosion control, watershed protection, and
  4. Aesthetic benefits such as preservation of spiritually important places and species, recreation.

Note that this category does not include benefits provided by the project unless they are directly related to the enterprise as well. These benefits will be assessed on an annual basis.

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = No non-cash benefits
1
2 = Limited benefits
3
4 = Some benefits
5
6 = Many benefits
7
8
9 = Extensive benefits

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Most projects should have fairly good information about non-cash benefits.

Ease, Importance, and Resources Needed: Relatively easy, moderately important, no additional resources needed = Medium Priority

Intermediate Products and Audience: None.


GB6. Timing of Benefits

Basic Description: The interval between the start date of the enterprise and the date when community stake holders receive their first benefits (cash or non-cash).

Sub-Hypothesis: Conservation will increase with an decrease in the time that the first benefit is received.

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured cumulatively over the life of the project. In this case, benefits will exclude loans and wages paid from project funds to develop the enterprise infrastructure.

Variables, Methods, and Coding: The factor will be calculated as

Timing of Benefits (months) = Month of First Benefit -- Month of Enterprise Start

Month of First Benefit will be assessed by inspection of project records.

Month of Enterprise Start will be assessed by inspection of project records.

The final value will be recorded in the database.

Timing: Only needs to be collected once.

Data Availability: All projects should have this information in their records. Ease, Importance, and Resources Needed: Very easy, very important, no additional resources needed = High Priority

Intermediate Products and Audience: None.


GB7. Frequency of Benefits

Basic Description: The timing of payments from the enterprise.

Sub-Hypothesis: Conservation will increase with an increase in the frequency of payments (although there could be an interactive effect with the magnitude of the benefits).

Definitions:
Cash Benefits = Money received from the core enterprise(s) such as wages, dividends, or payments for services and products supplied to the enterprise measured in local currency. Benefits will be measured cumulatively over the life of the project. In this case, benefits will exclude loans and wages paid from project funds to develop the enterprise infrastructure.

Variables, Methods, and Coding: The factor will be assessed by inspection of project records.

Frequency of Benefits (months) = Months / Year in which Benefits Received

Month / Year in which Benefits Received will be calculated by recording the number of months in a calendar year in which benefits are received.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: All projects should have this information in their records.

Ease, Importance, and Resources Needed: Very easy, very important, no additional resources needed = High Priority

Intermediate Products and Audience: None.

Community of Stakeholders

CS1. Existence and Strength of Stakeholder Group

Basic Description: The existence and importance of groups with a vested interest in the biodiversity of the project site.

Sub-Hypothesis: The presence of a strong stakeholder group in the community increases the likelihood of conservation.

Definitions:
Stakeholder Group = Organization (formal or informal) with a defined structure that is related to natural resource management in the project site. There can be more than one group at a site.

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = No stakeholder group exists
1
2 = Group is newly formed or very disorganized
3
4 = Group meets only sporadically and takes minimal action
5
6 = Group meets occasionally and takes some action
7
8
9 = Group meets regularly and has a history of taking effective action

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Should be obtainable from key informant interviews. Ease, Importance, and Resources Needed: Moderately easy, very important, no additional resources needed = High Priority

Intermediate Products: Case study on stakeholder groups.


CS2. Representativeness of Stakeholder Group

Basic Description: The extent to which different sectors of the local community are represented in stakeholder group(s).

Sub-Hypothesis: The greater the representation of women/different age groups/groups of varying socioeconomic status in the stakeholder group(s), the greater the likelihood of conservation

Definitions:
Representativeness = Degree to which group(s) mirror the different sectors of society including gender, age, ethnicity/caste, and wealth status.

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = Group contains one or two people only
1
2 = Group contains members of one sector of society only
3
4 = Group contains members of two or three sectors
5
6 = Group contains members of many sectors
7
8
9 = Group is composed of representatives of all major sectors

Data Availability: Not necessarily available; will have to interview project staff and perhaps community members.

Ease, Importance, and Resources Needed: Not easy, of moderate importance, may require additional resources = Medium or Low Priority

Intermediate Products: Case study of stakeholder groups.


CS3. Leadership in Stakeholder Group

Basic Description: The extent and quality of leadership within the stakeholder group.

Sub-Hypothesis: Greater strength and quality of leadership within the stakeholder group will lead to conservation.

Definitions:
Strong leadership = One or more individuals who take responsibility and action, and have unusual influence over others.

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = No leadership
1
2 = Weak leaders who turn over rapidly
3
4 = Ineffective leaders
5
6 = Reasonably strong leader
7
8
9 = Very strong leader

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Needs to be collected.

Ease, Importance, and Resources Needed: Moderately easy, Very important, will not require additional resources = High Priority

Intermediate Products and Audience: Leadership case study?


CS4. Resource Governance

Basic Description: The extent to which local communities have control over the biological resources used in and by the enterprise.

Sub-Hypothesis: If there is greater control of natural resources by the local community at the site, then conservation is more likely to occur.

Definitions:
Resource governance = Control over the use and allocation of resources.

Resource tenure = Ownership of resources (Governance is broader than tenure).

Local community = Residents of the project site

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = Community has no control -- All control held by outsiders
1
2 = Community members with limited access to some resources (often illegal)
3
4 = Community members with limited access to most resources
5
6 = Community members with access to most resources
7
8
9 = Community has complete control -formal legal tenure and actual use rights

Efforts should also be made to describe the resource governance system in some detail.

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Not currently available.

Ease, Importance, and Resources Needed: Very easy, very important, ties to Owen Lynch study = High Priority.

Intermediate Products and Audience:


CS5. Community Policing

Basic Description: The presence and strength of community enforcement of governance rights and other rules and regulations governing resource use.

Sub-Hypothesis: High levels of community-led policing will increase the likelihood of conservation.

Definitions:
Community led policing = community recognition and application of rules and regulations (whether traditional or government linked) related to management of natural resources.

Variables, Methods, and Coding: This factor will be assessed on a qualitative scale using project documentation and key informant interviews. Assessments can be recorded separately for 1) Project Staff, 2) Selected Community Members, and 3) BCN Program Officers. Possible rankings include:

0 = No policing exists
1
2 = Limited policing occurs in response to a few violations
3
4 = Weak responses to some violations
5
6 = Moderate action taken in response to most violations
7
8
9 = Group takes strong action against all potential violations

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Needs to be collected.

Ease, Importance, and Resources Needed: Moderately easy, Very important, will not require additional resources = High Priority

Intermediate Products and Audience: Directly relevant to adaptive management


CS6. Community Participation in Project and Monitoring

Basic Description: The extent and importance of participation by the local population/community in the project and monitoring efforts (outside of the enterprise).

Sub-Hypothesis: Greater participation in the project will lead to greater conservation impact.

Definitions:
Participation = Engagement in project activities including planning and implementing activities and collecting and analyzing data.

Variables, Methods, and Coding: This factor will be calculated as a percentage

Project Participation (%) = Local Stakeholders Participating in Project
Total Number of Stakeholders.		 * 100

Local Stakeholders Participating in Project = Residents of the site substantially (> 1 time) engaged in project implementation and monitoring activities (outside the enterprise).

Timing: Ideally needs to be collected at start, middle, and end of project period, but at a minimum, can be collected for end of project only.

Data Availability: Most projects should have fairly good information about non-cash benefits.

Ease, Importance, and Resources Needed: Relatively easy, moderately important, no additional resources needed = Medium Priority

Intermediate Products: None.


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