Request for Proposal of Services: Final Evaluation of the Carter Center’s Extractive Industries Governance Project in the Democratic Republic of Congo

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Job

from Carter Center

Closing date: 07 Sep 2019

Summary

The Carter Center is seeking a consultant to conduct a final evaluation of a project funded by the U.K Department for International Development (DFID). As part of the Center’s overall aim to improve transparency and accountability in the extractive sector in the Democratic Republic of Congo (DRC), the project’s goal was to improve governance of the DRC’s extractive industries sector by increasing data accessibility, improving revenues management, and supporting more responsible, sustainable and equitable investment so that the sector can provide greater benefits to the Congolese people.

Overall, the project contributed to improved extractive sector governance by strengthening the capacity of selected Congolese civil society organizations to: (1) monitor the DRC’s Extractive Industries Transparency Initiative (EITI-DRC) processes in order to report on the extractives sector and advocate for improvements to EITI-DRC reports and governance; (2) research and analyze revenue impacts and then use the analysis to advocate for improved fiscal governance of key mining projects/companies; and (3) utilize EITI-DRC data and other sources for advocacy to address sector-wide fiscal governance issues.

The total timeline for the evaluation is estimated to be ten weeks, with a final report due by November 15, 2019. The consultant will be expected to travel to the Democratic Republic of Congo (DRC) for an estimated ten working days.

Background and Context

The Democratic Republic of Congo is one of the most mineral-rich nations on earth, and its mining sector has attracted billions of dollars in investments. However, these investments have thus far provided limited benefits to the Congolese people. This disparity results in no small part from mining policies and practices that channel revenues away from the Congolese treasury and communities, leaving the government with insufficient resources to meet its population’s needs. This condition is perpetuated by the public’s lack of knowledge of the negligent (and sometimes corrupt) practices that lead to millions of dollars of foregone public revenues.

Over the past twelve years, The Carter Center’s Extractive Industries Governance (EIG) project has worked in close partnership with Congolese civil society organizations (CSOs) to improve transparency and accountability in the DRC’s extractive sector. The Center’s approach is based on two internationally recognized principles for natural resource management: (1) the development of a country’s natural resources should secure the greatest social and economic benefit for its people; and (2) successful natural resource management requires government accountability to an informed public. In line with the Paris Declaration principles, the Center’s program in the DRC is rooted in the belief that national actors can be the DRC’s most effective agents of change when equipped with the technical and organizational skills needed to carry out their work effectively. The Center and its partners view capacity building as an ongoing comprehensive relationship. The Center’s partnerships outlast any individual project and instead reflect collective investments in the sustainability of Congolese civil society actors.

To ensure alignment with the DRC’s development strategies, the Center leverages existing governance mechanisms, particularly the Extractive Industries Transparency Initiative, a powerful tool for combatting corruption and improving transparency and accountability in the governance of the DRC’s natural resources. The DRC is in the midst of its first international EITI compliance review since 2014, and its first assessment against the 2016 EITI Standard, which significantly expanded EITI’s information disclosure requirements, including information on production and export data, beneficial ownership, social expenditures, and state-owned enterprises. Over the years, EITI-DRC has been plagued with existential threats, including delayed reporting, questions about the reliability of data, internal mismanagement, funding shortages, and staffing issues. The active participation of civil society in the EITI process is not only a factor in determining EITI compliance but is also essential to facilitating improvements to the comprehensiveness and accuracy of data collection and reporting processes, particularly in light of the increased disclosure requirements of the new EITI Standard.

The DRC’s EITI compliance review is currently in progress. A draft validation report has been shared with stakeholders, showing that DRC has made some measure of progress on 27 of 29 requirements. The initial draft (subject to change) finds that inadequate progress has been made on the improving the internal governance of the EITI-DRC multi-stakeholder group, as well as state-owned enterprise revenue transparency. The report shows strong progress on several fronts, including contract transparency, information dissemination, and public debate. The government transition and lack of engagement from the EITI-DRC multi-stakeholder group has stalled the validation process for the moment, but the reporting process continues for the 2017 and 2018 reports. In addition, EITI has released an updated standard that will further strengthen disclosure obligations in the future, including project-level reporting and state-owned enterprise financial statements.

The project to be evaluated was executed in two phases: Phase 1 from September 1, 2015 – February 28, 2017 and Phase 2 from August 1, 2017 – November 30, 2018. Under the project, the Center worked with nine Congolese CSOs in five provinces. The objectives as outlined in the project’s logical framework[1] are the following:

Objective 1: Congolese civil society partners are able to effectively monitor and advocate for improvements to Extractive Industries Transparency Initiative (EITI) processes and reporting in the DRC.

The purpose of Objective 1 is to improve EITI implementation in the DRC by fostering high quality civil society engagement with the formal reporting process such that EITI can serve as both a useful extractive sector disclosure mechanism and a forum for dialogue on extractive sector governance. Under this objective, the Center provided technical and financial assistance to six partners across three provinces (Lualaba, Haut-Katanga and North Kivu) to contribute to EITI, providing feedback and recommendations on key EITI deliverables and advocating for improvements at each stage of the process.

Objective 2: Congolese civil society partners are able to effectively research and analyze revenue impacts and use their analysis to advocate for improved fiscal governance of key mining projects/companies.

Recognizing that more inclusive participation in the EITI process is less impactful if civil society organizations do not understand revenue relationships in the extractives sector, Objective 2 seeks to increase partners’ understanding of extractive sector revenue flows and payments, and to apply that knowledge to the development of revenue analysis case studies of specific mining projects. Central to this effort is the Center’s revenues training tool, a series of hands-on workshops that build a civil society research team’s capacity to understand and evaluate the fiscal impacts of a specific extractive sector project. Under this objective, the Center supported Objective 1 partners to conduct fiscal analyses of five industrial mining projects.

Objective 3: Congolese civil society partners are able to effectively utilize EITI data and other sources for advocacy to address sector-wide fiscal governance challenges.

The purpose of Objective 3 is to ensure that data produced through EITI in DRC can be leveraged and used as a basis for improving extractive sector governance. EITI seeks to improve transparency in the mining sector, and while transparency is a necessary for generating reform and accountability, evidence-based advocacy based on the available data is needed for change. To transform transparency into change, The Carter Center provided tailored analytical and advocacy-focused trainings as well as ongoing technical support to five partners in four provinces to carry out projects to address sector-wide fiscal governance challenges, including provincial tax management, extractive company social investments, and state-owned enterprise governance.

Purpose, Objectives and Scope

According to the terms of the grant agreement, the Center must conduct a final evaluation of the project focused on the the results achieved, efficiency, effectiveness of implementation and quality of administration. The findings of the evaluation are expected to provide a comprehensive analysis of the project’s achievements and lessons learned, in order to contribute to accountability and learning within The Carter Center and inform future project phases. The primary users of the analysis will be The Carter Center, DFID, and project partners.

The evaluator will address criteria based on the OECD – DAC standard.

Relevance

TCC seeks to assess the extent to which the objectives and activities of the intervention respond to current need in the DRC.

Sample questions:

  • To what extent did the program meet the needs of partner CSOs in the DRC?
  • To what extent are the objectives of the program valid? To what extent can TCC continue to engage in the DRC extractive sector in the most useful and effective manner to the benefit of our partners and their beneficiaries? To what extent were the activities and outputs of the program consistent with the overall goal and the attainment of its objectives?
  • To what extent were the activities and outputs of the program consistent with the intended impacts and effects?

Effectiveness and Efficiency

TCC seeks to evaluate whether its intervention has contributed to intended objectives in a timely fashion. TCC is seeking an analysis of how well project interventions aligned with stated objectives and what changes were made to the intervention’s design during implementation. TCC also seeks to assess how economically resources/ inputs (funds, expertise, time, etc.) are converted to results, with a particular emphasis on quality of administration.

Sample questions:

  • To what extent has the program reached the specific objectives and expected results it planned to achieve?
  • To what extent have efforts to achieve the objectives progressed within a reasonable time frame?
  • To what extent have TCC’s capacity building activities improved partners’ ability to contribute to improvements in human rights policies?
  • To what extent have partner CSOs increased their capacity to address mining governance issues?
  • What were the major factors influencing the achievement or non-achievement of the objectives?
  • Does the intervention deliver its output and outcomes in an efficient manner? How well are resources used to produce results?

Impact

TCC seeks to identify the positive and negative, primary and secondary long-term effects produced by the intervention. These effects may be direct or indirect, intended or unintended. TCC wants to identify how the program has contributed, or not, to changes in Congolese civil society, with a focus on the cross-cutting issue of gender in the extractive industry.

Sample questions:

  • What evidence demonstrates that the implementation of the sub-programs has contributed to the improvement of the organizational and technical capacity of partner CSOs?
  • What evidence demonstrates that the program’s implementation has contributed to the strengthening of CSOs to achieve policy and practice reform in the DRC?
  • What evidence demonstrates that the program’s beneficiaries have been more successful in those endeavors? What factors served to constrain them?
  • Are there other policy changes or debates that can be attributed to the programs?

Sustainability

Sustainability is concerned with measuring whether the benefits of an activity are likely to continue after donor funding has been withdrawn.

Sample questions:

  • To what extent would the benefits of the program continue after TCC’s withdrawal?
  • What are the major factors that would influence the achievement or non-achievement of sustainability of the program?
  • To what extent are the Center’s Congolese civil society partners drawing increased recognition and/or support from donors?

Deliverables

The total timeline for the evaluation is estimated to be ten weeks. Deliverables and suggested timeline follow.

  • Desk study and review of all relevant project documentation[2] 5 working days
    • Documents to be provided include project reports, project logframe and performance monitoring data, list of relevant stakeholders, risk assessments, assessments and back-up M&E documentation, including knowledge and satisfaction surveys, and quality assessment matrices.[3]
    • Submission of inception report[4] including description of the following:
    • Evaluation work plan and timeline
    • Methodology and data collection tools
    • Structure
  • Field visit to Lubumbashi, including focus groups discussions and interviews with key stakeholders, etc. TCC staff can facilitate bringing relevant stakeholders to Lubumbashi as necessary*. 10 working days*
  • Debrief meeting in Lubumbashi to present broad findings to field staff. 2 working days
  • Submission of first draft of final report in English for review and feedback by Atlanta-based TCC administrative staff, 5 working days, TCC reserves 10 working days for review. The draft should include:
    • Executive summary of key findings and recommendations
    • Table of contents
    • Methodology
    • Research findings
    • Analysis
    • Conclusions
    • Lessons learned/recommendations
    • Appendices, including terms of reference, list of interviewees, evaluation itinerary, research tools, evaluator’s biography, other annexes (including pictures, if taken).
  • Submission of second draft of final report for review and feedback by Atlanta-based TCC administrative staff. 5 working days, TCC reserves 5 days to provide comments
  • Submission of final version of report of publishable quality. within 5 days following the deadline for receipt of comments.

Logistics and Budget

The Carter Center will arrange international travel to Lubumbashi, including hotel arrangements and work-related local transportation needs. The Center will facilitate the travel of local partners to Lubumbashi as well as relevant lodging and meeting costs.

Note: Travel to DRC involves some security risks. The Carter Center has a security management plan in place and the consultant will receive a security briefing upon arrival.

Evaluation Management

The evaluation will be managed by the Associate Director in Atlanta and the Extractive Industries Governance Program Manager in Lubumbashi, DRC.

The evaluator will observe the highest standard of ethics and use his/her best efforts to protect The Carter Center against fraud, in the performance of the contract. In particular, the evaluator will not engage in any corrupt, fraudulent, coercive, collusive or obstructive conduct. The evaluator will agree to abide by The Carter Center code of conduct during the length of the consultancy (to be provided prior to deployment).

The Carter Center shall have legal title to any research, statistical and other data and documentation created by the evaluator, and DFID/OGD will have unlimited access to such material.

Qualifications

  • At least 5 years of experience conducting project impact evaluations for NGOs, international organizations or other relevant institutions
  • Demonstrated ability to conduct field research and to use participatory evaluation methodologies, including collecting data through interviews, surveys and focus groups
  • Familiarity with natural resource governance programming and the DRC context (preferably work experience in the country/region)
  • Strong written and verbal communication skills in French and English
  • Adaptability and experience working in remote and conflict-prone areas

[1] See logical framework here: http://iati.dfid.gov.uk/iati_documents/31547102.xlsx

[2] All project documents are in English.

[3] For example, see logical framework here: http://iati.dfid.gov.uk/iati_documents/31547102.xlsx and project completion report here: http://iati.dfid.gov.uk/iati_documents/46757817.odt

[4] All deliverables should be provided in English.

How to apply:

Please send CV, cover letter, a short technical proposal (max 5 pages), including consultant fee expectations to drcrecruiting@cartercenter.org. Include in the subject line: DFID Evaluation Candidate [Your Name]. Applications will be considered on a rolling basis.

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