Background

Strengthening the Governance of Climate Change Finance to Benefit the Poor and Vulnerable in Asia and the Pacific (2012-2016) is a regional project implemented by UNDP and supported by Government of Sweden. It aims to strengthen fiscal policies and budgeting processes to ensure that responding to climate change is at the center of public investment planning in countries of Asia and the Pacific. It aims, over the course of its three year timeframe, to increase the quantity and quality of climate related expenditures managed at the country level, and improve the delivery of climate change finance to reach the poor and vulnerable.

Working regionally with focused action in four pilot countries, Bangladesh, Indonesia, Thailand, and Cambodia, the project aims to identify and support innovation in the area of linking climate policy and public finance. The project contributes to the replication of best practice across the four countries and a broader sharing of lessons learnt across the Asia-Pacific region. Finally, the project uses regional networks to strengthen international discussion over the channeling of climate finance to the country level. Specific outputs are as follows:

• Output 1: Fiscal policies are formulated and institutions are strengthened to facilitate the delivery of climate change finance to the poor in countries of Asia and the Pacific (ENABLING PLANNING AND BUDGETING);
• Output 2: Government budgets delivering more climate change programs that reach the poor and vulnerable (ENABLING DELIVERY);
• Output 3: Capacities of regional institutions strengthened to provide products, services and skills that better meet the climate finance needs of Asia and the Pacific (SHARING).

The project document provisions for the MTR: An independent mid-term evaluation and review will be jointly organized by SIDA and UNDP at the end of the 18th month. The performance of the program will be assessed against the indicators presented in the logical framework. It should also be noted that this project is being implemented in conjunction with a DFID-supported project that similarly features a regional component as well as support to other selected countries in the region. The MTR will seek to promote synergies between the two projects.

Against this backdrop, this Terms of Reference outlines the objectives, approach, and expected results of the Mid-Term Review (MTR), as well as the specific scope of work for the MTR Team Lead.

Objective of the Assignment

The Mid-Term Review (MTR) offers the opportunity to identify potential project design problems, assess progress towards the achievement of objectives, identify and document lessons learned, and make recommendations regarding specific actions that might be taken to improve the project implementation and approach. The MTR is expected to serve as a means of validating or filling the gaps in the initial assessment of relevance, effectiveness and efficiency obtained from monitoring, and to allow course correction as necessary. To this end, the MTR will serve to:

• Strengthen the management and monitoring functions of the project;
• Enhance the likelihood of achievement of the project objectives through analyzing project strengths and weaknesses and suggesting measures for improvement;
• Contribute to organizational and development learning;
• Enable informed decision-making;
• Assess the sustainability of the project’s interventions;
• Create the basis of replication of successful project results achieved so far.

In addition, and of particular importance, the MTR process will create a forum for dialogue and focused consideration, among the project’s partners and stakeholders, of the progress made thus far on achieving the objectives, but also on the overall approach to project implementation. This recognizes the value of utilization-focused reviews, highlighted in SIDA’s evaluation guidelines, which emphasizes stakeholder participation and ownership in the conduct of program reviews.

Duties and Responsibilities

This section on Scope of Work is organized in two parts:

• General scope of work of the Mid-Term Review process;
• Specific scope of work for the MTR Team Lead Consultant (one of two consultants who will be hired to conduct the MTR).

Scope of Work for the Mid-Term Review Process

The MTR will cover a number of aspects of the project. These will include the following: relevance of the project, quality of project design, efficiency of implementation, effectiveness to date, partnership strategy, and potential sustainability of project interventions. It will look at the achievements of the project with respect to the relevance of its objectives and the attainability of its outputs. The MTR will consider the project design, including whether the assumptions and risks remain valid, noting external factors beyond the control of the project that have affected it negatively or positively to date.

The MTR will consider the challenges and achievements of the project since its inception. In particular, it should focus on the following aspects. In all areas of the review, there should be an emphasis on considering the project’s approach to ensuring climate change finance reaches the poor and vulnerable:

The MTR should review the project’s conceptual design and relevance, and whether the outcomes, indicators, targets, risks and assumptions that were agreed upon are still relevant, with attention to:

• Whether the project responds to development priorities at the regional and national level;
• Whether the project is promoting ownership and meeting the needs of stakeholders.

The MTR should review the efficiency of project implementation, with attention to:

• Whether the project is efficient in planning, organizing, and controlling the delivery of project interventions in a cost-effective manner;
• Whether there is efficiency in the coordination and communication processes between stakeholders and partners of the project.

The MTR should review the effectiveness of the approach used to produce the project results:

• Whether the management structure of the project, the distribution of responsibilities, and coordination mechanisms are appropriate for the achievement of project objectives;
• Whether there is a sound partnership strategy and synergies with other similar projects; identify opportunities for stronger substantive partnerships for the remainder of the project duration.

The MTR should review the potential sustainability - the extent to which, based on the project’s strategy, the benefits of the project will continue after it has come to an end, including:

• Whether the project is making a contribution to capacity development;
• Whether the project has the potential to be replicated based on implementation progress so far, and whether any steps are being taken by the project to do so; whether there are specific good practices that can be replicated and what has made them successful.

Given that this is a Mid-Term Review, the emphasis will be on identifying lessons learnt, with a view to adjusting the project design and implementation accordingly. The MTR will therefore make recommendations for the way forward, based on progress thus far.

 Findings and lessons learned:

• Outline, as logically and objectively as possible, findings and conclusions, with an emphasis on findings related to the project’s approach to incorporating poverty and gender issues;
• Highlight the major problems, shortcomings, and weaknesses in order of importance.

Recommendations:

• Present recommendations for corrective actions; recommendations should be objective, realistic, practical, understandable and forward looking;
• Link the recommendations logically to the findings;
• Recommend a realistic duration for implementation of remaining project activities;
• Suggest new project activities for the remaining part of project implementation, as well as perspectives on a second phase of the project.

MTR Methodology and Approach

Considerations for the MTR approach are outlined below; however it should be noted that the MTR team (two international consultants) is responsible for revising the approach as necessary. The final approach proposed by the MTR team should take into account the data sources and tools that will likely yield the most reliable and valid information. The final decision about the specific design and methods for the MTR should emerge from consultations among UNDP and Government of Sweden, the MTR Advisory Group (see below), the MTR team, and key stakeholders about what is appropriate and feasible to meet the MTR objectives and answer the review questions, given limitations of budget, time and extant data.

A key aspect of the MTR approach will be the convening of an MTR Advisory Group, which will be asked to provide inputs on the design of the MTR, the objectives, as well as the findings and deliverables. The final composition of the Advisory Group will be decided during the preparation phase but is likely to include representatives from:

• UNDP;
• Government of Sweden;
• DFID;
• Government of Cambodia;
• Civil Society.

 The MTR may be undertaken using a combination of techniques and data sources, including:

• Desk review of all relevant project documentation;
• Consultations and interviews with stakeholders and partners, including at the planned regional workshop on Climate Responsive Budgeting [5-7 November, in Bangkok];
• Questionnaires;
• Other methods as appropriate and feasible.

All relevant documentation will be made available by UNDP and Government of Sweden. Similarly, the MTR team will be provided with contact information and introductions to key stakeholders and partners. The MTR team will be able to conduct some interviews in person. However, much of the data collection will need to take place virtually- through telephone, online questionnaires, email, and other methods.

Scope of Work of the Mid-Term Review Lead Consultant

The MTR will be conducted by a team of two international consultants:

• Consultant 1: MTR Team Lead/M&E Specialist/Climate Change Specialist;
• Consultant 2: MTR Team Member/Governance and PFM Specialist.

Overall responsibilities lie with the MTR Team Lead, who will provide guidance and leadership on conducting the MTR and on preparing/revising the deliverables. The MTR Team Lead will have expertise in results-based evaluation methodologies. S/He will also serve as the Climate Change expert, providing the technical expertise and leading on that specific area and drafting relevant parts of the MTR report.

Specific responsibilities of the MTR Team Lead include:

• Leading the documentation review and framing of MTR questions;
• Leading the MTR team in planning and execution of the assignment;
• Managing the division of labor and supervising the work of the other consultant [MTR Team Member];
• Incorporating the use of best practice with respect to M&E and results-based evaluation methodologies;
• Leading interviews and consultations, as well as any debriefings to the stakeholders/partners.
• Leading the drafting and finalization/quality control of the inception report and the MTR report.

 Expected Outputs and Deliverables

 The final products for this assignment are as follows:

• Inception report (by 15th October, 2014): The inception report should be prepared by the MTR team before going into the full-fledged MTR exercise. It should detail the reviewers’ understanding of what is being reviewed and why, showing how each area of inquiry will be answered by way of: proposed methods; proposed sources of data; and data collection procedures. This information should be provided through the preparation of an MTR Matrix;
• The inception report should include a proposed schedule of tasks, activities and deliverables, building on what has been provisionally proposed in this ToR. The inception report should provide UNDP/Government of Sweden and the MTR team with an opportunity to verify that they share the same understanding about the MTR and clarify any misunderstandings at the outset;
• Draft MTR report (by 17th November, 2014): UNDP and Government of Sweden will review the draft MTR report to ensure that it meets the required quality standards and covers all agreed components and contents of the MTR. Detailed comments and feedback on the draft report will be provided to the MTR team, and discussions may be held to provide clarifications as necessary. The draft report will also be shared with stakeholders and other partners, including DFID, for additional feedback and inputs;
• Final MTR report (by 5th December, 2014): The final report will be produced by the MTR team based on feedback received on the draft report. The final report will be shared with stakeholders and other partners.

Contract Duration:

1 October - 5 December 2014 with maximum of 20 working days spent on the following activities:

Briefings to MTR team                

• Estimated Working Days: 1 day;
• Timeframe for Activity: First week of October;
• By Whom: UNDP and Sweden.

Desk review of resources and documents              

• Estimated Working Days: 2 days
• Timeframe for Activity: Second week of October
• By Whom: MTR Team

Preparation and submission of inception report              

• Estimated Working Days: 1 day
• Timeframe for Activity: By 15th October
• By Whom: MTR Team

Comments on inception report              

• Estimated Working Days: N/A
• Timeframe for Activity: Within one week of submission
• By Whom: UNDP and Sweden; MTR Advisory Group

Data collection: interviews with stakeholders and partners and discussions at regional CRB workshop (5-7 November)              

• Estimated Working Days: 10 days;
• Timeframe for Activity: During second half of October and early November;
• By Whom: MTR Team.

Validation of preliminary findings with stakeholders through circulation of initial findings for comments, and other types of feedback mechanisms                

• Estimated Working Days: 1 day;
• Timeframe for Activity: By mid-November;
• By Whom: MTR Team;

Preparation and submission of draft MTR report

• Estimated Working Days: 3 days;
• Timeframe for Activity: By 17th November;
• By Whom: MTR Team.

Comments on draft report

• Estimated Working Days: N/A
• Timeframe for Activity: Within one week of submission
• By Whom: UNDP and Sweden; MTR Advisory Group

Preparation and submission of final MTR report

• Estimated Working Days: 2 days;
• Timeframe for Activity: By 5th December;
• By Whom: MTR Team.

Duty Station:

Home-based with travel to Thailand is required to hold consultations during the Climate Responsive Budgeting Workshop on 5-7 November.

Provision of Monitoring and Progress Controls:

The Consultant will work under the supervision of the UNDP APRC Governance and Development Effectiveness Advisor, who will consult closely with Government of Sweden counterparts, as well as seek inputs from DFID counterparts. UNDP and Government of Sweden will also have the role of convening an MTR Advisory Group and of coordinating interaction with the Advisory Group, including sharing of MTR deliverables and organizing discussions with the Group.

Although UNDP is administratively responsible for the Mid-Term Review, UNDP shall not interfere with analysis and reporting, except where requested and at opportunities for comments/feedback. UNDP will share the final version of the MTR report with the national stakeholder agencies and all partners of the project.

Competencies

Functional competencies:

• Strong interpersonal skills;
• Sstrong communication and diplomatic skills;
• Ability to lead a team;
• Openness to change and ability to receive and integrate feedback;
• Strong analytical, reporting and writing abilities;
• Excellent speaking and presentation skills.

Corporate competencies:

• Displays cultural, gender, religion, race, nationality and age sensitivity and adaptability;
• Highest standards of integrity, discretion and loyalty.

Required Skills and Experience

Educational Qualifications:

• Master’s degree in development studies, environmental science, environmental economics, or other relevant field;
• Academic/professional background in M&E, statistics, RBM, or program management is an asset.

Professional Experience:

• At least 10 years of relevant work experience in areas of climate change and environmental policy;
• At least 5 years of proven experience in conducting review/evaluation of development programs/projects in areas of climate change or environmental management;
• Experience with result-based management, evaluation methodologies and program/project monitoring approaches, including gender and poverty-sensitive evaluations;
• Experience leading review/evaluation teams required;
• Project review/evaluation experience within the UN System considered an asset;
• Experience working in Asia is preferred.

Language requirements

• Excellent spoken and written English language skills required;
• Knowledge of languages of the program countries an asset, but not required.

Documents to be included when submitting proposal:

Interested individual consultant must submit the following documents/information to demonstrate your qualifications:

• Cover Letter: Brief motivation letter explaining why the applicant thinks is an outstanding candidate for the job;
• Financial proposal: indicating lump sum professional fee in USD;
• Personal CV and/or signed P.11: including past experience in similar projects and the name and contact details of 3 references.

Financial Proposal:

Consultant must send a financial proposal based on Lump Sum approach. The total amount quoted shall be all-inclusive and include all costs components required to perform the deliverables identified in the TOR, including professional fee, travel costs, living allowance (if any work is to be done outside the IC´s duty station) and any other applicable cost to be incurred by the IC in completing the assignment. The contract price will fixed output-based price regardless of extension of the herein specified duration. Payments will be done upon completion of the deliverables/outputs and as per below percentages:

• Deliverable 1 on submission of MTR inception report: 20% of total contract amount;
• Deliverable 2 on submission of draft MTR report: 30% of total contract amount;
• Deliverable 3 on acceptance of final MTR report: 50% of total contract amount.

In general, UNDP shall not accept travel costs exceeding those of an economy class ticket. Should the IC wish to travel on a higher class he/she should do so using their own resources.

In the event of unforeseeable travel not anticipated in this TOR, payment of travel costs including tickets, lodging and terminal expenses should be agreed upon, between the respective business unit and the Individual Consultant, prior to travel and will be reimbursed.

Evaluation:

The award of the contract will be made to the individual consultant whose offer has been evaluated and determined as:

Responsive/compliant/acceptable;
Having received the highest score out of a pre-determined set of weighted technical and financial criteria specific to the solicitation.

Technical Criteria weight; 70%:

• Experience related to services: 50 points;
• Expertise & Availability: 50 points.

Financial Criteria weight; 30%.

Only candidates obtaining a minimum of 350 technical points would be considered for the Financial Evaluation.