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Terms of Reference

E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact


Evaluation (AIE) of IKI project „Transformative Pathways“

Terms of Reference

for the

Accompanying Impact Evaluation (AIE) of the IKI project

Transformative Pathways:

Indigenous peoples and local communities leading and scaling up conservation and
sustainable use of biodiversity

(project number: 20_IV_108_Global_A_IPLCs for Biodiversity)

ZUG | ToR I
Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

CONTENT

Content ............................................................................................................................................. II
Abbreviations ................................................................................................................................... III
1. Background and general requirements ........................................................................ 1
1.1. The international climate initiative (IKI) ..............................................................................1
1.2. IKI evaluations ....................................................................................................................1
1.3. Quality standards ................................................................................................................2
1.4. Management arrangements and quality control .................................................................2
1.5. Technical offer ....................................................................................................................3
1.6. Confidentiality .....................................................................................................................4
2. Accompanying Impact Evaluation (AIE) of Transformative Pathways: Indigenous
peoples and local communities leading and scaling up conservation and
sustainable use of biodiversity ...................................................................................... 5
2.1. Evaluation background and purpose ..................................................................................5
2.2. Evaluation question ............................................................................................................7
2.3. Evaluation approach and methodology ..............................................................................8
2.4. Tendered services to be implemented .............................................................................10
2.5. Reporting and quality assurance ......................................................................................11
2.6. Timetable and deliverables...............................................................................................12
2.7. Evaluation team ................................................................................................................12
2.8. Contract duration ..............................................................................................................14
2.9. Budget...............................................................................................................................15
2.10. Sources of information ......................................................................................................16

ZUG | ToR II
Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

ABBREVIATIONS

AIE Accompanying Impact Evaluation


BMU Federal Ministry for the Environment, Nature Conservation and Nuclear
Safety
(Bundesministeriums für Umwelt, Naturschutz und nukleare Sicherheit)
BRKG Bundesreisekostengesetz
CBD Convention on Biological Diversity
CSO Civil Society Organisation
DeGEval German Evaluation Society
(Gesellschaft für Evaluation e.V.)
GIZ German Corporation for International Cooperation GmbH
(Deutsche Gesellschaft für Internationale Zusammenarbeit GmbH)

IKI International Climate Initiative


(Internationale Klimaschutzinitiative)
IPLC Indigenous People and Local Communities
M&E Monitoring & Evaluation
NGO Non-Governmental Organisation
OECD-DAC Development Assistance Committee of the Organisation for Economic
Cooperation and Development
ToC Theory of Change
ToR Terms of Reference
ZUG Zukunft – Umwelt – Gesellschaft (ZUG) gGmbH

ZUG | ToR III


Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

1. BACKGROUND AND GENERAL REQUIREMENTS

1.1. The international climate initiative (IKI)


Since 2008, the International Climate Initiative (IKI) of the Federal Ministry for the Environment,
Nature Conservation and Nuclear Safety (BMU) is financing climate and biodiversity projects in
developing and emerging as well as in transition countries. The IKI is an important component of
German climate and biodiversity financing and (financial) commitments under the respective UN
conventions, i.e. the Framework Convention on Climate Change (UNFCCC) and the Convention
on Biological Diversity (CBD). It focuses on climate protection, adaptation to the impacts of
climate change and the protection of biodiversity, which lead to positive side effects, in particular
the improvement of living conditions in the partner countries.

The IKI aims to promote high-quality projects that support the achievement of climate protection
and biodiversity goals. It supports projects in four funding areas:
I. Mitigating greenhouse gas emissions;
II. Adapting to the impacts of climate change;
III. Conserving natural carbon sinks with a focus on reducing emissions from deforestation
and forest degradation (REDD+); and
IV. Conserving biological diversity.

Since 2008 to 2019, IKI approved more than 730 climate and biodiversity projects with a total
funding volume of EUR 3.9 billion in more than 60 countries.1 The individual IKI project funding
volumes ranges from well under EUR 1 million to project budgets in the double-digit million-euro
range. In the past, most projects had a budget of up to EUR 5 million. Since a programme
redesign in 2017, which resulted in a focus on strategic, long-term and multi-country projects, the
majority of projects have a volume of approximately EUR 15 million. Funding for international
climate and biodiversity protection has grown steadily since the programme was launched.

The IKI Secretariat supports the BMU in the implementation of the IKI. The IKI Secretariat is
operated by the BMU’s project management company “Zukunft - Umwelt – Gesellschaft” (ZUG)
gGmbH. The projects are carried out by a wide variety of implementing organisations: the
German Corporation for International Cooperation GmbH (GIZ), KfW Development Bank (KfW),
multilateral organisations, development banks, non-governmental organisations, research
institutes, foundations and private sector companies.

1.2. IKI evaluations


The redesign of the IKI programme in 2017 has also led to a revision of the evaluation system.
The purpose of evaluations in this new system is to facilitate learning, increase accountability and
to contribute to better decision-making among all involved stakeholders.

In order to meet these goals, the following instruments on the level of individual IKI projects are
used: By default, each new large IKI project is examined through a mid-term evaluation focusing

1
BMU. (2019). Project Portfolio - Internationale Klimaschutzinitiative (IKI). Retrieved June 26, 2020, from
https://www.international-climate-initiative.com/en/about-the-iki/iki-funding-instrument.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

on IKI standard criteria2 as well as project-specific learning questions on the one hand, and a final
review assessing the project’s impact/effectiveness and sustainability on the other hand. In
addition, selected IKI projects of particular political relevance, scaling potential and
methodological suitability will be subject to an accompanying impact evaluation (AIE).

The AIEs seek to gather evidence on the impact trajectory of IKI projects by means of high quality
scientific methods throughout and, if necessary, beyond the project timeline. Therefore, the AIE
evaluation teams will accompany selected projects starting in the project’s preparation phase,
when the Theory of Change will be elaborated, and collect data on (expected) impacts at several
points before, during and after conducted activities. The findings will then be considered for both
steering the project as well as strategic programme planning and adaptation at IKI more broadly.

Hence, the main users of the AIEs are both technical and management divisions at BMU, the IKI
Secretariat at ZUG, the implementing organisations and implementing partners. Other users are
political partners, the interested public and expert communities.

These Terms of Reference (ToR) contain the first pilot for this new IKI evaluation instrument: AIE
of the project Transformative Pathways: Indigenous peoples and local communities leading and
scaling up conservation and sustainable use of biodiversity under IKI funding area IV (conserving
biological diversity).

1.3. Quality standards


The evaluation follows the standards of DeGEval - Evaluation Society (Gesellschaft für
Evaluation e.V.): usefulness, feasibility, fairness and accuracy, as well as the quality standards of
the Organisation for Economic Co-operation and Development's Development Assistance
Committee (OECD-DAC).

The usefulness of the evaluation shall be ensured by taking into account the interests of the
users, in particular BMU and implementing organisations and partners, as well as the usability
and availability of the relevant information.

Triangulation should take place at three levels and throughout the evaluation process, meaning
the researchers' views, data types and sources as well as methods.

1.4. Management arrangements and quality control


Commissioned by BMU, the M&E team of the IKI secretariat at ZUG will manage the AIEs,
engage in quality assurance and facilitate subsequent knowledge management. The contracted
evaluation team(s) will be scientifically independent of BMU and ZUG and their independence will
be safeguarded throughout the evaluation.

A steering group, composed of representatives of BMU and ZUG will accompany the evaluation
process. It comments on the evaluation design and on the evaluation’s draft theory of change
(ToC) to be provided in the inception report. It provides feedback to the contractor on their
preliminary findings and on the draft evaluation reports. The steering group meetings will offer a

2 The IKI standard criteria are derived from the OECD-DAC criteria and include relevance; effectiveness; impact &
sustainability; planning, steering and coherence, safeguards and IKI standard indicators.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

forum for discussions with and advice to the evaluation team. The project lead of the evaluated
project may be invited to participate in steering group meetings as an observer. The contractor
ensures that the steering group, in particular ZUG, is constantly informed about the status of the
work and is provided with timely and comprehensive information about decisions required for the
provision of services. The personnel offered at the time of acceptance of the bid must be
employed and personnel changes require the consent of the contracting authority.

The contractor must submit a draft and a final version of the inception report, interim reports after
each major data collection point and the final report to the BMU and ZUG, the contents of which
have to be presented in the respective steering group meetings. The final report must be provided
in English containing an executive summary, findings, conclusions, lessons learned and
recommendations. The final version of the respective reports has to be approved by ZUG as the
contracting authority.

The contractor is fully responsible for the technical, methodological and formal quality control of
all reports. The reports must be free of errors, spelling mistakes and jargon. The language must
be clear and the report must be easy to read. The final report must be a fit-to-print evaluation
report taking all formal requirements of ZUG into account.

1.5. Technical offer


The bidder must explain in the technical offer how he/she interprets the evaluation objectives
according to the ToR and how he/she plans to operationalise the objectives of the evaluation. In
doing so, he/she shall develop a technical concept, reflect, amend and/or complement the
evaluation questions, and describe in detail the methodological approach while justifying his/her
choice. In addition, the bidder should refer to his/her own experience, while also highlighting
methodological challenges and other limitations that may arise during the evaluation and provide
respective mitigation strategies.

Moreover, the bidder should explain how the relevant stakeholders are involved in the evaluation
and how the new knowledge generated through the evaluation can be translated into learning. In
particular, the bidder should clarify how the perspectives of IPLCs will be integrated in the
evaluation and how language, cultural and other relevant barriers are dealt with. The bidder must
describe in the bid to what extent the proposed team fulfils the requirements and how the
responsibilities within the team are defined. The bidder should develop a detailed work plan and
financial plan as well as a staffing schedule based on a timetable, visualising inter alia evaluation
phases, evaluation activities and milestones.

Furthermore, the technical offer must explain how the bidder ensures the quality of the team's
performance by providing backstopping and knowledge management support. The bid must
include a description of the relevant experiences that the bidding company or the consortium has
gained in the past. As the bidder is responsible for the technical, methodological and formal
quality control of all reports, he/she must detail the internal quality assurance and control
mechanisms in the bid and make suggestions for coordination with the M&E unit at ZUG for
external quality assurance as well as with the relevant stakeholders.

The length of the technical offer should not exceed 15 pages (without annexes). In the case of
longer offers, the additional pages will not be taken into account during the assessment. Offers

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

must be written in English. The timetable, financial plan, references and CVs are considered
annexes and are not part of the 15 pages.

Given the long project duration and the parallel development of the projects subject to evaluation,
which may influence the evaluation`s subsequent approach and work plan, the bidder is asked to
lay out in most detail the planned activities for the inception phase. The work plan for phases two
and three may be outlined more briefly in order to allow for an assessment of the viability of
activities proposed in the bids. A more thorough work plan for phases two and three will then be
expected as part of the inception report.

All requirements for the technical offer are further detailed in the assessment matrix. The bidders
with the best three bids will be invited for a virtual interview scheduled for 14 January 2021.

1.6. Confidentiality
All information of any kind that comes to the attention of the bidder in connection with the
tendered mandate of the contracting authority is to be treated confidentially. The tender
documents may not be used for any other purposes than preparation of the bid, even in extracts.

Bidders treat facts as confidential that are not public knowledge or publicly available. In cases of
doubt, facts are to be treated as confidential. This obligation to secrecy remains valid even after
conclusion of the tender procedure.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

2. ACCOMPANYING IMPACT EVALUATION (AIE) OF TRANS-


FORMATIVE PATHWAYS: INDIGENOUS PEOPLES AND LOCAL
COMMUNITIES LEADING AND SCALING UP CONSERVATION AND
SUSTAINABLE USE OF BIODIVERSITY

2.1. Evaluation background and purpose


In the funding area "Conserving biological diversity", the International Climate Initiative (IKI)
supports partner countries to implement the targets of the Strategic Plan for Biodiversity 2011-
2020 (Aichi Targets) and in future, the Global Biodiversity Framework (GBF) of the International
Convention on Biological Diversity (CBD). IKI projects often deal with challenges that, in
addition to preserving and sustaining the use of biodiversity, also address climate change or
adaptation to the impacts of climate change and develop comprehensive solutions. Conversely,
the conservation of biological diversity presents a cross cutting issue in a large amount of IKI
projects and plays a key role in IKI projects on ecosystem-based adaptation and natural carbon
sinks.

On the one hand, BMU finances projects that directly implement measures to conserve, restore
and sustain the use of nature reserves and ecosystems. On the other hand, IKI projects can
also make an indirect contribution by building and strengthening the capacity of governments
and civil society to implement the goals of the CBD. Furthermore, support is provided for
investment-related measures, policy advisory services, technology transfer and research
partnerships. In particular, IKI projects support the development and implementation of national
biodiversity strategies and action plans (NBSAPs). Priority is also given to measures related to
the CBD Programme of Work on Protected Areas (PoWPA) and cooperation with local and
indigenous communities in order to conserve and restore ecosystems. In addition, IKI projects
contribute to the development of the know-how and capacities of the Intergovernmental
Platform on Biodiversity and Ecosystem Services (IPBES).

Thematically, IKI projects in this funding area cover the following themes:
 Valuation of ecosystems and mobilization of finances
 Conservation and restoration of ecosystems as well as reduction of loss, degradation and
fragmentation of ecosystems
 Sustainable use of ecosystems
 Terrestrial, marine and coastal protected areas
 Generation and dissemination of knowledge

2.1.1. Project to be evaluated

The concept note for the project “Transformative Pathways: Indigenous peoples and local
communities leading and scaling up conservation and sustainable use of biodiversity” was
provided to BMU in 2019 in scope of the IKI thematic oriented selection process. In early 2020
BMU asked the applicant to elaborate a detailed project proposal for possible funding. The
project’s formal preparation phase, which will further elaborate the Theory of Change (ToC) and
work plan is expected to last from January 2021 to June 2021. By the end of the preparation

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E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

phase, the project consortium will submit the full project proposal. The actual project is expected
to start in late 2021. The following table provides an overview of the proposed project3.

Illustration 1: Project overview

project Transformative Pathways: Indigenous peoples and local communities leading and
name scaling up conservation and sustainable use of biodiversity
project Forest Peoples Programme (FPP)
lead
consortium UNEP-WCMC (World Conservation Monitoring Centre)
members Oxford University - Interdisciplinary Center for Conservation Science (ICCS)
Asia Indigenous Peoples Pact (AIPP)
LifeMosaic
Partners for Indigenous Knowledge in the Philippines (PIKP), Philippines
Yayasan Masyarakat Kehutanan Lestari (YMKL), Indonesia
Centre for Sustainable Development in Mountainous Areas (CSDM), Vietnam
Chirapaq, Peru
Autonomous Territorial Government of the Wampis Nation, Peru
Inter Mountain Peoples Education and Culture in Thailand (IMPECT) Association,
Thailand
Pga k’nyau Association for Sustainable Development (PASD), Thailand
Chepkitale Indigenous Peoples Development Project (CIPDP), Kenya
Indigenous Information Network (IIN), Kenya

budget 11,488,000 EUR


expected 6 years from approximately 11/2021
duration
partner 1. Indonesia
countries 2. Philippines
3. Peru
4. Thailand
5. Vietnam
6. Kenya

3
Please note that activities, outputs and, to some extent, the expected outcomes and impacts may still be revised during the
project’s preparation phase, which the AIE will have to take into account during the inception phase.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

outline of The overall goal is that long-term biodiversity conservation and sustainable use by
the results indigenous peoples and local communities (IPLCs) is better recognised, supported,
chain scaled up and embedded in all aspects of the post-2020 Global Biodiversity Framework.

The project will strengthen local level actions of IPLCs in 6 countries for self-determined
sustainable land and resource governance and biodiversity conservation (output 1),
ensuring the development and piloting of local approaches. It builds on local experience
to engage national level actors to create an enabling environment for scaling up support
to local contributions to biodiversity as part of achieving global and national Aichi targets
(Output 2). It combines this with effective partnerships and mechanisms for full
participation of IPLCs in NBSAP processes at national level and global CBD processes,
including monitoring and reporting (Output 3). It draws Lessons from local and national
experiences to disseminate at regional and global levels (Output 4).

Activities are organized in four work packages (WP) corresponding to the four outputs:
•WP1: activities on the ground by IPLCs
•WP2: activities linked to the creation of national enabling conditions
•WP3: activities that embed IPLC actions in local, national and global CBD processes
•WP4: activities related to documentation, information sharing and wider dissemination

2.1.2. Objective of the accompanying impact evaluation

The main objective of the accompanying impact evaluation is to examine the impact trajectory
towards impact-level results and to delineate mechanisms contributing to strengthening, scaling
and transferring IPLCs’ efforts to conserve biodiversity on the local, national and global level.
This will allow for an assessment of the project’s long-term success. Moreover, the AIE will
identify best practices and lessons learned for supporting IPLCs in facilitating policy change with
regards to conserving biodiversity more generally. During the inception phase, the AIE seeks to
support the consortium in developing a sound Theory of Change for the project subject to
evaluation by providing insights on the coherence of the results chain and its evaluability.

2.2. Evaluation question


The evaluation seeks to examine questions of if, how and why the project’s objectives were
(not) achieved. The preliminary evaluation question, which may be refined or complemented
during the preparation phase of the project, is:

What were the key mechanisms contributing a) to a strengthening, b) to a better recognition of


c) to an upscaling of IPLC approaches to conserve and sustainably use biodiversity?

The mechanisms may encompass intrinsic and extrinsic enabling conditions on the local,
national and global level as well as other factors including community organisation, economic
opportunities, land use rights, policy changes or international support.

Derived from this question, a number of impact hypotheses will be developed during the
inception phase for subsequent testing. Preliminary impact hypotheses include:

Hypothesis 1: Improved enabling conditions on the (sub-)national (e.g. land rights, participation
in land use planning, integration in national strategies) / on the international level (e.g.
participation in international fora) help IPLCs ensure local biodiversity conservation.

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E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

Hypothesis 2: Increased visibility of IPLCs on the national / international level contributes to a


transfer of IPLCs’ conservation approaches to other contexts.

Hypothesis 3: The transfer of IPLCs’ conservation approaches leads to improved biodiversity


conservation at scale.

The impact hypotheses are expected to be further specified during the inception phase based
on context factors as well as existing literature.

2.3. Evaluation approach and methodology


Given the parallel elaboration of the ToC of the project subject to evaluation during the project’s
own preparation phase, the final evaluation design should be developed by the bidder in parallel
to the project’s preparation phase in coordination with ZUG and the project consortium.

Generally, a combination of different evaluation approaches applying mixed social science


methods is preferred to balance the strengths and weaknesses of different approaches. The
focus will be on revealing the mechanisms and enabling conditions contributing to the scale up
and transfer of IPLC practices for biodiversity conservation.

As the main starting point, a theory-based evaluation design is suggested in order to clarify the
mechanisms that contribute to (not) meeting the objectives of scaling IPLC efforts to conserve
biodiversity in the targeted countries and beyond. It is up to the bidder to propose a suitable
evaluation design in his/her offer and to refine this design during the inception phase. The
design might encompass, but is not limited to the following steps:

Reconstruction / joint development of a theory of change (ToC)

Based on the ongoing preparation phase of the project subject to evaluation, presumably taking
place between January and June 20214, the bidder is expected to develop an evaluation
strategy building on the theory of change that will be elaborated by the project consortium
throughout the preparation phase. The bidder will have the chance to participate in workshops
and/or discussions on the project logic in order to help facilitate the development of a theory of
change both suitable to maximize impact and to gather the respective evidence. For this
purpose, the bidder should actively engage with the project consortium during the preparation
phase and, where necessary and appropriate, provide input5 on the elaboration of a sound
theory of change.

The bidder shall conduct desk research, explorative interviews with key stakeholders and then
participate in at least two virtual exchanges with the project lead (and possibly further key
members of the project consortium) to reflect and elaborate the overarching ToC. The draft
overarching ToC laid out below will serve as a starting point.

4
The precise timeline of the preparation phase might still change. The bidder is expected to adjust its time frame to that of the
project`s preparation phase to ensure the development of a fitting project design and evaluation design.
5
While the project consortium will be responsible for elaborating the ToC, which will eventually be subject to approval by
BMU/ZUG, the bidder may provide recommendations and/or help facilitate the process.

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E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

Illustration 2: simplified draft Theory of Change of the project

Development of an evaluation strategy

In parallel to the elaboration of the ToC by the project consortium, the bidder shall elaborate a
suitable evaluation strategy that allows to answer the evaluation question laid out above. By
participating in the process of elaborating the ToC, the bidder is expected to assess in real time
to what extent the foreseen evaluation approach is suitable and what requirements come along
with specific evaluation approaches. The bidder may participate in the virtual field mission of
one representative country in order to help facilitate the development and/or reflection of a
country specific ToC and analyse data needs and availability. In addition, the bidder is expected
to virtually exchange with the project leads for the 5 other involved partner countries in order to
assess the suitability of the country specific draft ToCs for the foreseen evaluation approach
and to analyse respective data needs. Based on these inputs, the bidder will finalize the
evaluation strategy and consult with the project lead to ensure alignment with the project’s own
M&E framework. It is proposed to focus in subsequent data collections on three countries6 for
repeated field studies and to cover the other countries less intensely through appropriate
alternative tools (e.g. online survey, guided self-evaluation). The evaluation strategy will be
reflected in two separate joint workshops: one with the project consortium (during a global
project workshop) and with the evaluation’s steering group, respectively.

Data collection at the beginning, during and after project implementation

Based on the final evaluation strategy, the bidder will subsequently conduct at least three7
rounds of data collection and analysis. Depending on the chosen design, data collection is
expected to consist of stakeholder interviews and/or workshops in three of the six partner
countries, an online survey or guided self-evaluation as well as a review of existing primary and

6
The final selection will take place as a joint decision by BMU/ZUG, the project consortium and the evaluation team.
7
At least three data collection points (e.g. baseline, mid term and ex post) will be obligatory. In addition, additional data points
may be useful, depending on the evaluation strategy formulated during the preparation phase. At this point, a total of four data
collection points appears to be appropriate.

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E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

secondary data from the project, government, academia or civil society. The use of participatory
methods of data collection and analysis are highly encouraged in order to enhance learning
opportunities for the project consortium and IPLC partners. Further/alternative quantitative or
qualitative data collection methods may be proposed by the contractor.

2.4. Tendered services to be implemented


The evaluation is divided in three phases: 1) inception phase, 2) implementation phase, and 3)
final phase. Through all phases of the evaluation, the contractor is responsible for managing the
evaluation, including quality control and reporting.

2.4.1. Inception phase: Preparation of the evaluation

During the inception phase, the contractor prepares the evaluation in parallel to the project`s
preparation phase and in close consultation with ZUG, BMU, the project lead and further
implementing organisations. At the beginning, a kickoff meeting between the contractor and
representatives of BMU, ZUG and the project lead will take place.

The inception phase encompasses the analysis and a first assessment of the available planning
documents, the reconstruction /joint development of the ToC, the elaboration of the detailed
methodical approach and the preparation of the data collection methods.

As indicated in chapter 2.3, the contractor will accompany the project`s elaboration of the
overarching ToC as well as country specific ToCs and derive the evaluation strategy from it.

The draft evaluation approach will be reflected with the project consortium in a global workshop
towards the end of the preparation phase. Subsequently, it will be presented and discussed in a
second AIE steering group meeting based on a draft inception report provided by the contractor
prior to the meeting. The final inception report will be due no later than four weeks after the
meeting.

2.4.2. Implementation phase: (baseline and) interim data collections and analysis

After approval of the inception report and in line with the project’s start, the second evaluation
phase begins, comprising of the baseline (if necessary for the evaluation design) and
subsequent interim data collections and analysis. Collection of secondary data will be
conducted by means of a desk study of relevant project and context documents, while collection
of primary data will be realised via online surveys, interviews and, where necessary, field visits
(possibly to be conducted virtually). The ensuing analysis of data shall be conducted according
to the contractor’s suggestion in consultation with ZUG.

At the end of each major data collection point, a report will be handed in with maximum 25
pages (excluding annexes) and a reflection workshop with the AIE steering group as well as
one with the project consortium will take place. The report and workshops will provide interim
answers to the evaluation questions, reflect progress to date and provide recommendations to
enhance impacts.

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E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

2.4.3. Final phase: ex post data collection and final reporting

In the final phase, the contractor will collect data once the project has ended and will synthesise
the results in the final evaluation report, responding to all evaluation questions. After submission
of the draft version of the final evaluation report, a final AIE steering group meeting will take
place in Berlin to present and discuss the preliminary findings of the evaluation. Based on these
discussions and after submission of additional comments in writing from BMU and ZUG, the
contractor finalises and submits the ultimate version of the evaluation report. In addition, further
evaluation outputs may be suggested to share findings.

2.5. Reporting and quality assurance


The contractor is responsible for the preparation of the following reports:

2.5.1. Inception report (draft and final version)

The inception report details the methodological approach of the evaluation, including among
others the objective of the evaluation, the overall evaluation design, data collection and analysis
methods, as well as reporting requirements. Moreover, the inception report discusses and
further elaborates the impact hypotheses and evaluation questions, and outlines stakeholders to
be consulted during data collections.

The inception report must be submitted as a draft no less than two weeks before the respective
AIE steering group meeting. The draft inception report will be presented and discussed by all
steering group members during the 2nd steering group meeting in Berlin and will thereupon be
revised by the contractor considering the feedback provided. The final version of the inception
report will be submitted the latest four weeks after the meeting in English language, containing a
maximum of 25 pages (without summary and appendix).

2.5.2. interim reports

At the end of each data collection point during the implementation phase, an interim report (first
draft, then final) will be provided by the contractor. Similar to the inception report, the report
shall contain no more than 25 pages and will be reflected in a steering group meeting.

2.5.3. Final report (draft and final version)

The final report shall not exceed 40 pages (without summary and appendix) and must be written
in English. A first draft should be submitted to ZUG two months before the end of the contract
for comment. The draft version of the final report will be presented and discussed in a steering
group meeting in Berlin and will thereupon be revised by the contractor considering the
feedback provided.

The report shall include the following parts:


 Executive summary. The executive summaries must contain a maximum of 3 pages and
should be written in English and German. It must include a short project description, a
presentation of the results (including factors for success and failure), and recommendations;
 Relevant background information on the project under evaluation and the respective context;
 Description of chosen evaluation design and methodology, incl. reconstructed ToC and
stakeholder map;

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

 Analytical part: Objective presentation of the results of the data analysis;


 Evaluative part: Evaluation of the results;
 Conclusions in response to the evaluation questions;
 Lessons learned and recommendations: Listing of all recommendations resulting from the
evaluation’s findings (numbered, clear identification of addressees, clear identification of
recommendations as such);
 Appendix.

2.6. Timetable and deliverables


The services will be provided according to the following timetable:

Illustration 1: Timetable
Phase Milestones Deadline
kickoff Meeting (with AIE steering group) Feb 21
ToC exchanges with project lead / consortium Feb - Apr 21
participation in virtual field mission for one
representative country as part of project's Mar - Apr 21
preparation phase
Inception
remote reflexion of draft country ToCs with country
phase Mar - Apr 21
leads
discussion of draft evalation strategy at global
May 2021
consortium workshop
inception Report Jun 21
inception workshop with AIE steering group Jul 21
around 15th month of
baseline / first interim data collection
contract
around 18th month of
baseline / first interim report
contract
Project around 19th month of
duration steering group meeting
contract
phase 2nd interim data collection around 4th year of contract
2nd interim report around 4th year of contract
2nd interim steering group meeting around 4th year of contract
… TBD
ex post data collection around 8th year of contract
Final phase final report around 8th year of contract
final AIE steering group meeting around 8th year of contract

2.7. Evaluation team

2.7.1. Composition of the evaluation team

The contractor is responsible for the selection and contract binding of the members of the
evaluation team. The contractor guarantees the availability of the evaluators proposed in the bid
over the entire project period. An exchange of evaluators can only take place for important

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

reasons and with the consent of the contracting authority. Substitute evaluators have to fulfil the
below requirements regarding suitability.

The evaluation team shall consist of:


 1 team leader (international);
 1 evaluation expert (international);
 1 evaluation expert (regional)8;
 Up to 2 evaluation expert (national), to be recruited after the inception phase9.

The contractor and the proposed team members must meet the standard of impartiality and
must not be affected by a conflict of interest.10

2.7.2. Qualification requirements

Each member of the evaluation team must have proven professional and methodological
experience and relevant soft skills. The qualification of each team member must be
demonstrated through a CV (max. 4 pages).

2.7.3. Team leader

 Long-term experience in international cooperation / development cooperation.


 Long-term experience in planning and conducting evaluations, of which at least 5 years of
experience in planning and implementing strategic or impact evaluations in international
cooperation.
 Broad knowledge and long-term application of empirical of social research methods, as well
as quantitative and qualitative data collection and analysis methods, including the use of
appropriate software.
 Long-term experience in the application of qualitative evaluation designs, such as
contribution analysis, realist evaluations and other theory-based designs.
 Long-term sectoral experience in biodiversity protection and/or natural resource
management, preferably including relevant experience in one or several of the project
countries (Thailand, Philippines, Indonesia, Vietnam, Peru, Kenya).
 Experience in working with indigenous people and/or local communities is an asset.
 Experience as a team leader in at least 3 comparable projects.
 Language requirements: Fluent in English; Spanish is an asset.

2.7.4. International evaluator

 Long-term experience in international cooperation / development cooperation.


 Broad knowledge and long-term application of empirical of social research methods, as well
as quantitative and qualitative data collection and analysis methods, including the use of
appropriate software.

8
A regional expert with proven records in at least one of the project countries in South East Asia (Thailand, Philippines,
Indonesia, Vietnam). This person is expected to accompany the entire evaluation and participate in the data collection in at
least one South East Asian country.
9
These experts are expected to participate in data collections that cannot be covered by the regional expert and must not be
included in the bid with a CV.
10
A conflict of interest exists when the bidder or a member of the proposed team is or has been involved in the planning or
implementation of the project under evaluation.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

 long-term experience in the application of qualitative evaluation designs, such as contribution


analysis, realist evaluations and other theory-based designs.
 Sound sectoral experience in biodiversity protection and/or natural resource management,
preferably including relevant experience in one or several of the project countries (Thailand,
Philippines, Indonesia, Vietnam, Peru, Kenya).
 Experience in working with indigenous people and/or local communities is an asset.
 Language requirements: Fluent in English; Spanish is an asset.

2.7.5. Regional evaluator

 Long-term experience in international cooperation / development cooperation with a sectoral


focus on biodiversity protection and/or natural resource management on different
governance levels.
 Long-term experience in working with organized groups of indigenous people and/or local
communities.
 Sound experience in the application of empirical social research methods, in particular
qualitative and quantitative data collection and analysis methods.
 Proven track record of working on the above mentioned themes in at least one, preferably
two or more, of the following countries: Thailand, Vietnam, Indonesia, Philippines.
 Language requirements: Fluent in English and at least one of the predominantly spoken
languages in the four countries mentioned above.

2.7.6. National evaluator

The CVs for these experts must not be included in the bid. They will be recruited in coordination
with ZUG at the end of the inception phase for country case studies that cannot be covered by
the regional evaluator. They should, however, be already reflected in the budget for up to two
country cases with up to 10 days per data collection.
 Long-term experience in international cooperation / development cooperation with a sectoral
focus on biodiversity protection on different governance levels.
 Long-term experience in working with organized groups of indigenous people and/or local
communities.
 Sound experience in the application of empirical social research methods, in particular
qualitative and quantitative data collection and analysis methods.
 Proven track record of working on the above mentioned themes in one of the following
countries: Thailand, Vietnam, Philippines, Indonesia, Peru, Kenya (to be specified at the end
of the inception phase).
 Language requirements: Fluent in English and at least one of the predominantly spoken
languages in the respective country mentioned above.

2.8. Contract duration


The duration of the contract is from the signing of the contract until 31 December 2028. The
inception phase, during which the work plan for the remaining eight years will be elaborated, will
take eight months from the signing of the contract.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

2.9. Budget
The maximum budget foreseen for the entire contract is 460,000 EUR excluding value added
tax.
The price sheet provided must be used for the submission of tenders. Changes or additions to
the form are generally not permitted. All prices must initially be stated in EUR (€) without value
added tax. The value added tax is to be shown separately with indication of the value added tax
rate. If no value added tax is due or a reduced value added tax rate applies, this must be stated
in the offer and a corresponding proof (copy) must be submitted.

In the case of foreign companies, no value-added tax is to be stated. In this case, however, the
statutory value added tax valid in the Federal Republic of Germany will be added to the bid
price / net total when determining the evaluation total in the sense of the award criterion "price",
as this must be paid by the contractor to the responsible tax office in the case of an order
(reserve charge procedure).

2.9.1. Travel and other costs

The following travels are foreseen for the team of evaluators, provided that the travel is
considered necessary for the foreseen evaluation design and the covid-19 situation allows.
Alternatively, virtual meetings may take place.

Illustration 2: Logistics to be included in budget


Team Leader Intern. Expert Reg. Expert
Workshops/meetings
6 train rides 6 train rides virtual
with ZUG/BMU
Field mission
- virtual virtual
preparatory phase
max. 1 national /
global workshop max. 1 intercontinental flight + 4 nights
regional flight + 4
with consortium accomodation
nights accomodation
max. 4 max. 8 max. 12
intercontinental intercontinental national/regional
Data collection field
flights + 10 nights flights + 10 nights flights + 10 nights
visits
accomodation each accomodation each accomodation each
visit visit visit

Travel costs and accommodation shall be calculated based on the corresponding Federal
German legislation (Bundesreisekostengesetz). Travel days may only be budgeted, if contract
services were performed during these times. In case the evaluation strategy foresees additional
expenses (e.g. translation services, location venue and, if necessary, catering for workshops in
addition to those listed in the table above; in country travel costs, etc), they should also be
considered in the budget. Interpretation services may be budgeted as an optional item for up to
36 days.

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Terms of Reference
E2007-140 Begleitende Wirkungsevaluierung | Accompanying Impact
Evaluation (AIE) of IKI project „Transformative Pathways“

All travel and additional expenses will be reimbursed as stated in the project budget against
proof of the actually conducted travels/services/events11. Per diems will not be reimbursed.
Travel costs at the company domicile cannot be reimbursed.

2.10. Sources of information


Alcántara-Salinas, G., Hunn, E.S., Rivera-Hernández, J.E. (2015). Avian biodiversity in two
Zapotec communities in Oaxaca: the role of community-based conservation in San Miguel
Tiltepec and San Juan Mixtepec, Mexico. Hum. Ecol. 43 (5), 735–748.

Berkes, F. (2007). Community-based conservation in a globalized world. Proc. Natl. Acad. Sci.
104 (39), 15188–15193.

BMU. (2019). Project Portfolio - Internationale Klimaschutzinitiative (IKI). Retrieved June 26,
2020, from https://www.international-climate-initiative.com/en/about-the-iki/iki-funding-
instrument.

Danielsen, F., Jensen, P.M., Burgess, N.D., Altamirano, R., Alviola, P.A., Andrianandrasana, H.,
Brashares, J.S., et al. (2014). A multicountry assessment of tropical resource monitoring by
local communities. BioScience 64, 236–251.

IPBES (2019). IPBES Global Assessment on Biodiversity and Ecosystem Services.

Pfaff, A., Robalino, J., Lima, E., Sandoval, C., Herrera, L.D. (2014). Governance, location and
avoided deforestation from protected areas: greater restrictions can have lower impact, due to
differences in location. World Dev. 55, 7–20.

11
In case costs occur for planned travels that cannot take place due to unforeseen events (e.g. unexpected covid-19
outbreak) also incurred expenses for cancelled travels may be reimbursed, provided the bidder took all reasonable means to
prevent or reduce the damage.

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