TERMS OF REFERENCE FOR DEVELOPING A GUIDE FOR INTEGRATION OF CLIMATE CHANGE ADAPTATION 1.0 INTRODUCTION ForumCC the Tanzanian Civil Society Forum on Climate Change - is an association of civil society organizations who are committed to work on climate change in their own programmes as well as through advocacy. It was initiated in October 2008 and formalized in early 2013. The Forum s membership comprise of more than 75 organizations and 15 individual associate members. The purpose of the Forum is to ensure effective and informed engagement of Civil Society Organizations in Tanzania on Climate Change issues for the benefit of the environment and people in poverty who are affected. It is therefore established to provide leadership and coordination, lobbying and advocate for accountable climate actions, information sharing and climate change policy engagement in particular with the government of Tanzania around its policies, positions and national implementation of responses to Climate Change. With funding from the Rosa Luxemburg Stiftung (RLS), ForumCC is implementing a project namely; Responsible Actions and Financing for Climate Change (RAFIC) II in Tanzania for a period of twelve months. The project seeks to integrate climate change into plans and budget and advocate for transparency and mobilization of climate change finance for effective adaptation in Tanzania 2.0 BACKGROUND AND RATIONALE Under first phase of Responsible Actions and Financing for Climate Change (RAFIC) project funded by Rosa Luxemburg Stiftung (RLS); FORUMCC conducted a study on climate finance tracking focusing on assessing if the expenditures in the agriculture and livestock sectors were commensurate with the problem posed by climate change. It also looked at the level of transparency in delivery of the finances in Tanzania for the period 2009-2014 at both national and local levels. At national level, two sector ministries - the agriculture and livestock sectors were assessed and at the local level, two districts, Kongwa and Kilosa, were covered as case studies. 1
The study discovered that Climate-relevant budget expenditures were relatively minute part of the Agriculture and Livestock sector budgets, especially for the livestock sector, however the trend was on the rise in both sectors. Aggregated at the national level, climate change related expenditures accounts for only 4-6% of the budget. The study also showed that domestically financed climaterelated activities take the opposite trend having fallen marginally in real terms since 2009/10. Further, climate change-relevant budget expenditures for both sectors were of low relevance ; meaning that the spending were not really addressing climate vulnerability issues, hence weakly contributing to sector resilience. This was because of limited articulation of mitigation and adaptation interventions in the sector budgets and it was attributed by inadequate knowledge and awareness on climate change issues among policy and decision makers, including the planners and budget officers. As a result; climate change has not been at the centre of planning and budgeting processes. The same effect trickles down to LGAs particularly because local planning is guided by central government priorities, which emphasize spending on social services, thus minimal funding for climate change-relevant activities, with little scope for reflecting local priorities. In this context; there is a need to influence and engage the government at both local and national levels to ensure that climate sensitive sectors take a holistic approach to addressing climate change starting from problem analysis level; designing, planning, budgeting, and monitoring processes of Agriculture and Livestock; Water and Irrigation sectors. Therefore, ForumCC sees the opportunity to influence planning and budget processes to incorporate climate change issues. ForumCC will start with two climate sensitive sectors; Ministry of Agriculture and Livestock; and Ministry of Water and Irrigation. At local level; Kilosa district will be engaged as a case study for mainstreaming. To achieve this; a Guide for Integration of Climate Change Adaptation will be developed. The Guide will be used mainly by CSOs as a tool to influence climate change integration at all levels. 2
3.0 THE OBJECTIVES OF THE ASSIGNMENT The main objective of the assignment is to integrate climate change in the national planning and budgeting processes (Climate Proofing). In order to achieve this objective, below is a set of specific objectives, which are: i. To develop a tool which will guide CSOs to influence mainstreaming of climate change adaptation in plans and budgets of two sectors: Agriculture and Livestock; and Water and irrigation sectors; ii. To provide practical, step-by-step guidance on how governments and other key actors can mainstream climate change adaptation into planning and budgets as part of broader coping efforts. 4.0 SCOPE OF THE ASSIGNMENT The assignment will involve modifying and tailoring existing mainstreaming/integration toolkits. The already identified guides are those developed by UNEP and UNDP (2011) 1, OECD (2009) 2 and CARE International (2010) 3. The guide will focus at two levels: At sector level and at Local Government level (LGAs). The guide will cover two sectors; namely Water and Irrigation; and Agriculture and Livestock for both Ministries and districts plans and budgets. 5.0 AUDIENCE AND USE OF FINDINGS Non-governmental institutions (including NGOs, CBOs, faith based organizations, students, academia, political parties, farmers, pastoralists, youth and women groups, the public and local communities, and the media) and development actors in the environment, development and poverty reduction fields. To influence mainstreaming of climate change adaptation in plans and budgets of two sectors: Agriculture and Livestock; and Water and irrigation sectors. i. Decision makers (both elected and appointed) and Office bearers - those with mandate to make decisions, plan and practice (these include Ministries responsible for Agriculture, Livestock Water, Irrigation; RALG; finance and planning bodies, Climate change and 1 Mainstreaming Climate Change Adaptation into Development Planning: A Guide for Practitioners - www.unpei.org 2 Policy Guidance on Integrating Climate Change Adaptation into Development Co-operation 3 Toolkit for Integrating Climate Change Adaptation into Development Projects Digital Toolkit Version 1.0 3
ii. environment bodies, Planners, budget officers and LGAs, Parliamentarians, Councillors, WEO, VEOs, Village Chairperson and others in climate sensitive MDAs.) Development partners and interest groups 6.0 KEY QUESTIONS 1. Why a climate change adaptation mainstreaming guideline? 2 How do I use the Guide? 3. What are the climate change concepts? 4. Climate change and poverty: What s the Link? 5. What are climate change impacts by sector? 6. What does mainstreaming climate change adaptation mean? 7. Why should we mainstream climate change adaptation? 8. What are the risks involved, Climate Vulnerability and Capacity? 9. What are the adaptation measures? 10. How stakeholders are involved? 11. What are the gender dimensions in the mainstreaming? 12. What are the adaptation implementation options? 13. What are the entry (CSOs and other advocates) points for mainstreaming? 13. How to follow up the progress? 8.0 METHODOLOGY The consultant shall propose appropriate methodology and tools to meet the objectives of the assignment. 9.0 KEY TASKS OF THE ASSIGNMENTS i. Review, modify, tailor the already identified guides developed by UNEP and UNDP (2011) 4, OECD (2009) 5 and CARE International (2010) 6 and develop a practical mainstreaming/integration tool; 4 Mainstreaming Climate Change Adaptation into Development Planning: A Guide for Practitioners - www.unpei.org. 5 Policy Guidance on Integrating Climate Change Adaptation into Development Co-operation 6 Toolkit for Integrating Climate Change Adaptation into Development Projects Digital Toolkit Version 1.0 4
ii. Identify options for new or existing activities that will increase the sustainability of the plans or selected programmes/projects e.g. ASDP II, DADPs in the context of climate change, and the impact of the project on the adaptive capacity of target populations and the ecosystems on which these populations depend for their livelihoods; iii. Undertake interviews with key stakeholders for their inputs, particularly the Ministry of Agriculture, Livestock and Fisheries Development; Ministry of Water and Irrigation; Kilosa district Council; iv. Develop a draft report and tool; v. Prepare a preliminary report presentation during stakeholders consultation workshop for inputs; vi. Conduct stakeholders consultation sessions at both national and district levels; vii. Incorporate stakeholders inputs and finalize the tool including sharing the draft to ForumCC for comments and feedback; viii. Produce and present final report and tool in soft and hard copies to ForumCC. 10.0 EXPECTED RESEARCH OUTPUTS The following outputs are expected from the consultant: i. Work plan for the Assignment; ii. Proposed methodological approach; iii. Final Report; iv. Synthesized final Tool (Both hard and soft copies). 11.0 STYLE AND LENGTH OF GUIDELINE i. The report is to be published in reputable sources; ii. The report should be factual (reliable and credible sources) and accessible to an educated reader, and document meticulously all used sources; iii. The report should not exceed 30 pages. 12.0 BUDGET AND CONSULTING DAYS i. The consultant will submit a proposed budget; ii. This Assignment has a 25 Consulting days (All inclusive) 5
13.0 TIMETABLE OUTPUTS DATE DUE 1. Work plan for the Assignment By 13 th July 2. Proposed methodological approach By 18 th July 3. Draft Report and Tool By 29 th July 4. Consultations (national and local level) By 8 th August 4 Synthesized final Tool (Both hard and soft copies) By 10 th August 14.0 ASSIGNMENT MANAGEMENT i. The consultant shall work closely with ForumCC s Programme Director based in Dar es Salaam; ii. ForumCC s Programme Officer shall be the technical contact person and will be responsible for the overall management of the assignment; iii. ForumCC shall provide all logistical requirements (including transportation and accommodation for field work) as per the work-plan to be submitted by the consultant and approved by ForumCC. 15.0 QUALIFICATIONS AND EXPERIENCE REQUIRED The proposed team members should have at least the below qualifications: Post university degree in relevant field for the lead consultant in case of a team (Climate Change, Environment or natural resources specialists); Knowledge on Local Government planning and budgeting processes; Proven track record (not less than 5 years) of conducting studies and analytical work relevant to mainstreaming cross cutting issues into plans and budgets; Excellent research skills including proficiency in using quantitative and qualitative data analysis packages; Excellent reporting and good interpersonal skills; Proven records of commitments to deadline and quality work; Clear understanding of climate change concepts will be an added advantage. 6
Interested consultants should submit the following: Application letter; Curriculum Vitae; Three copies of samples of similar work by the applicant; Technical proposal presenting the methodology in line with the ToRs, proposing team and their qualifications and suggesting the structure of the final report; Total budget inclusive of all costs except transport during the field work. Applications should be sent by email to: admin@forumcc.org by COB Wednesday, 6 th July 2016, 5.00pm. 7
16. FORUMCC RESEARCH GUIDELINES These guidelines contain relevant information and research standards which all researchers should comply with in order to manage risk. Avoiding Libel in Research ForumCC does not entertain libel in our research materials that are published: in any country; on the Internet. What is libel? The publication of any statement that harms the reputation of another. Who can claim for libel? Any organization or individual. Government might be excluded; although in some countries the rules are wider and libel is used aggressively by governments to silence opposition. ForumCC policy is that allegations that can impact on staff security need to be cleared with the ForumCC management. What defences are there? The truth of the allegation is a defence, but only if it can be proved. The below explains the kind of proof that would be needed. There may also be a defence of privilege, even if we cannot prove the allegation, but in order to succeed in this defence we need to show we have exercised due diligence. The below also sets out what due diligence researchers are required to take. What evidence is required? The evidence required varies depending on whether: 1) The information is primary research, i.e. the allegation is being directly made based on its own information, in which case you must hold the evidence; or 2) The information comes from secondary sources, i.e. the allegation is based on another organisation s research, e.g. a newspaper, in which case you need to be able to demonstrate that all reasonable efforts to establish the truth of the allegation have been made. 8
1) Primary Research Researchers must wherever possible provide evidence that could be relied upon in court. If that is not possible, they should indicate why it is not possible and what efforts have been made. For example: Documents Where possible, documents or copies of documents should be provided, together with the research report that they support. For example, a copy of a fax/email/letter or official communication giving information, can we identify who has sent it? Interviews If the allegation has come out of information given in an interview, the researcher must provide either the original interview notes, voice or video record, or a copy of these, or a note of the interview made as soon as possible after the event. The notes must be dated and signed by the interviewer. Use of Secondary Sources Where the researcher relies on secondary sources, whether newspaper articles, published or unpublished works, or document found on the Internet, the researcher must provide sufficient details of the secondary source to enable ForumCC to obtain a copy. In the case of a published book, this should include the name of the author and publisher, and if possible the ISBN number. In the case of a magazine article, the same information is required but with an ISSN number. In the case of an unpublished work, the researcher must either provide a copy of the work (this is preferable) or the means by which ForumCC can obtain one. Internet Sources Where the source is on the Internet, the researcher must provide a copy of the downloaded page, which must be dated. This is particularly important as web pages can be taken down easily and without notice. Allegations of Criminal Offences If the researcher has included information in their report that a criminal offence has been committed, you should draw it to the project manager s attention. In some cases you or your organization may choose to refer the issue to the relevant authorities, e.g. money laundering, or 9
breach of Customs & Excise rules. If you are going to use the allegation in a publication, evidence is particularly important. Names of Companies When a company is named in a report, provide details of the company s full name and registration where possible, so that the wrong company is not identify by mistake. On one occasion the publication of a report was halted because the wrong initials had been used to identify a company, and another company with the same initials claimed that its reputation suffered by the false reference. 2) Secondary Sources In order to obtain the privilege defence, ForumCC needs evidence of the due diligence of the researcher in checking the secondary sources. Accordingly: 1. Where the source is more than one year old, the researcher must check whether the information is still valid, and confirm this has been done; 2. Where the source is a newspaper article, the researcher should email or telephone the newspaper to check whether the subject made any complaint and, if so, whether the newspaper published a retraction or correction. The researcher must provide a copy of any such exchange with the newspaper and, if it is in a telephone call, a dated and signed note of the conversation. These steps are essential to obtain the privilege defence. However, if the allegation has been repeated in several national newspapers, and is an undisputed matter of public record, this is not required. Names of Individuals If an individual is identified, further identifying information should be given where possible, e.g. address, occupation, workplace. Why? Because in one of the most famous libel cases a newspaper reported the name of a man jailed for bigamy. Unfortunately, there were two men with the same name living in the same town. The innocent one won libel damages against the newspaper. Further Advice If you have concerns or queries about avoiding libel or a potentially libellous allegation in ForumCC s research, please contact admin@forumcc.org for further advice. 10
17. GUIDELINES FOR UNDERTAKING RESEARCH WITH ETHICS Any research must follow ethical principles and particular care must be taken when it involves people as participants or is likely to impact directly upon them. This section sets out minimum ethical standards required in all commissioned research. When context-specific and/or more detailed guidance is provided, researchers must adhere to the relevant protocols and demonstrate that they have done so. The three principles of research ethics: Respect: The researcher must recognize the capacity and rights of all individuals to make their own choices and decisions, and their right to be treated with dignity; Beneficence: The researcher s primary goal must be to improve the lives of participants and protect their physical, mental and social well-being; Justice: The researcher must ensure that the benefits for participants are at least as great as the risks. Putting the Principles into Practice These principles need to be reflected in each stage of research including: designing research; selecting participants; gaining their consent; conducting the research; and using the research findings. 1. Designing Research The research must be designed to reduce risks for participants and increase their possible benefits from its outcome; The research must be designed especially to protect vulnerable groups for example, children or women in farmers or pastoralist communities; Questions for surveys and interviews should be respectful and phrased in culturallyappropriate language; 2. Selecting Participants Participants should only be involved in research that has potentially some benefit for them; No individual or group of participants should face more risks than benefits from participating. If the research has a higher risk than benefit for participants, then it should be redesigned to reduce those risks. 11
3. Gaining the consent of participants Researchers must gain informed and voluntary consent before conducting research with participants. This means that the participants must: have the relevant information about what the research is; understand it, including the possible risks and benefits to themselves; be free to choose whether or not to participate, without inducement; give their consent, either written or verbal; have the right to withdraw from the research at any time. The depth of this consent-taking process will depend on the topic of research and the extent to which it could impact on the participants lives. If research involves children (as defined by national law, or as those under 18) then their parents or guardians must also give consent. It is best to get their written consent, in (the rare) case of disputes later. Special care must be taken when seeking consent from vulnerable groups. Researchers must ensure that no participants are forced to take part, for example by their employer, their parents, or by village elders. 4. Conducting the Research Researchers should be qualified and/or trained for the task. They need to have good selfawareness and strong listening skills; Research should be conducted in places that are socially comfortable for the participant and where they are able to speak freely; If the participant has incurred direct financial costs for participating then they can be reimbursed, but they should not be paid to participate; The participants must be able to contact the researchers, either directly or through local partners; If a participant reports any serious adverse effects as a result of participating such as losing their job, or being physically abused then this must be reported to the Programme Manager by the researcher. 12
5. Using the research findings Participants in research should be told how the research findings are likely to be used (for example as part of a campaign). They must then be asked, and must be free to choose, whether or not: they can be quoted in materials; their real name can be used in materials; their photographic image and/or film of them (if taken) can be used in materials. Their choices must be clearly recorded and always kept with their testimony and/or the relevant media. If it is agreed that all or any part of a participant s testimony should be confidential then that commitment must be clearly recorded and respected. If the testimony is to be made anonymous, or used with a false name, make sure that any other identifying details are also changed. Additional Resources on Research Ethics The standards in this guideline are based on the materials produced by Oxfam International for its Research guidelines. See: http://policy-practice.oxfam.org.uk/publications/terms-of-reference-forresearch-template-253035 Further Advice If you have concerns or queries about particular ethical issues in ForumCC s research, please contact admin@forumcc.org for further advice. 13
18. GUIDELINES FOR DOCUMENTATION OF RESEARCH In order to use the research findings in publications and campaigns, you should provide full information and documentation of the sources used so that these can be substantiated. The final report(s) must provide endnote references for all specific facts and statistics used. The report(s) must also include a bibliography of the major references used. Primary sources must be used wherever possible over secondary sources. For example, the researcher should reference a statistic to its original report, not where it is cited second-hand by a newspaper or website. If people have been interviewed in the course of the research, the interview notes should be submitted, signed and dated. If quantitative analysis has been done as part of the research, the raw data should be provided, and all steps of calculations shown, in relevant software. If Internet sources have been used, a printed out page from the website showing the cited facts and the date the page was viewed should be included with the documentation. It is important to have documented proof of the content, since web pages are often updated or removed. 14