Kenya

BASELINE SURVEY - POWER OF VOICES PARTNERSHIPS (PVP)

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TERMS OF REFERENCE FOR BASELINE SURVEY - POWER OF VOICES PARTNERSHIPS (PVP)

THEME: FAIR FOR ALL: IMPROVING VALUE CHAINS AT SCALE

1. ABOUT OXFAM

One person in three in the world lives in poverty. Oxfam is determined to change that world by mobilizing the power of people against poverty. Around the world, Oxfam works to find practical, innovative ways for people to lift themselves out of poverty and thrive. We save lives and help rebuild livelihoods when crisis strikes. And we campaign so that the voices of the poor influence the local and global decisions that affect them. In all we do, Oxfam works with partner organizations and alongside vulnerable women and men to end the injustices that cause poverty. Read more about Oxfam from https://kenya.oxfam.org/

2. OVERVIEW OF THE PVP PROJECT

Kenya has the largest economy in East Africa and the third largest in sub-Saharan Africa.[1] Agriculture and mining are big drivers of Kenya's economy- agriculture provides a livelihood for most Kenyan people.

Despite it’s potential, Kenya has disproportionate levels of poverty, 82 per cent of the population works in the informal sector. Profitable operations are often owned and controlled by a few individuals and big companies, who dominate policy processes to protect their own interests. Rural communities, already struggling against a changing climate, lack voice and power to defend their land and benefit from (global) trade and value chains – either through increased national state revenues being reinvested in rural livelihoods or better jobs incomes for communities in mining and agriculture.

FAIR for ALL aims to achieve fundamental, systemic change through a paradigm shift in the roles of the state and the market. This means moving away from the dominance of the market and towards more responsive and responsible states, citizens, companies, and investors. It requires challenging vested interests, tackling power imbalances and helping to build new economic models and principles that put people and the planet before profit.

The project seeks to ensure that communities (with a key focus on grassroot women) from Taita Taveta, Turkana and Kwale counties where gemstones, gold and mineral sands respectively are mined, fully benefit from the sector's value chain and have the space to meaningfully engage private sector and government in securing benefits from these resources.

Activities will be based on strengthening the capacity of communities and Civil Society Organizations (CSOs) to meaningfully engage private sector players in the mining sector and holding the government to account on the governance of the sector, revenue raising, allocation and utilization as well as maximize their public engagement in realization of their rights throughout the value chain. This also entails considering land, human rights and environmental issues throughout the value chain.

3. SUMMARY OF THE PROJECT

Project Name:

Fair for All: Improving Value Chains at Scale (PVP)

Target Location:

Turkana, Kwale and Turkana

Project Duration:

5 years: 1st January 2021-December 2025

Project Goal:

The project seeks to ensure that communities (with a key focus on grassroot women) from Taita Taveta, Turkana and Kwale counties where gemstones, gold and mineral sands respectively are mined, fully benefit from the sector's value chain and have the space to meaningfully engage private sector and government in securing benefits from these resources.

Project Outcomes

Project Outcome 2.1: Increased Knowledge and capacity of women on their rights in the mining sector.

Indicator: # of federations of targeted women miners able to claim their rights, challenge rights violations and seek redress

Project Outcome 2.2: Women miners federations/groups established and strengthened.

Indicators:

# of women movements established.

# of women miners’ groups formally registered.

Project Outcome 3.1: Strengthened Civil Society Organizations and active citizens have the capacity to hold the government and private sector to account on the implementation of legislation that upholds human rights.

Indicators:

# of new policies formulated at county level

# of counties effectively implementing and enforcing legislation relevant to the mining sector.

Project Outcome 3.2: Strengthened CS mobilized public to influence governments for stronger legal protection of people in value-chains, especially women.

Indicators:

# of joint influencing efforts

# of influential endorsing policy asks.

Project Outcome 4.1: Strengthened coalitions demanding for a transparent, accountable and progressive fiscal, trade and value chain regulations.

Indicator: # of submissions/petitions made to the government of fiscal and trade regulations

Project Outcome 4.2: Empowered women, youth and men have oversight and voice over trade and fiscal issues and governments have increased political will for inclusive, transformative development.

Indicators:

# of pro-poor women-centered reviews/improvements made to fiscal and trade regulations

# of women represented in fiscal and trade regulations review forums.

Key Partners

Kenya Land Alliance

Oxfam in Kenya

Transparency International Kenya

4. PURPOSE OF THE BASELINE

The specific objectives of the baseline study are:

1) To provide a situational analysis of the current status and dynamics of artisanal mining value chains, practices, policies /frameworks, influential stakeholders and status of the civic space.

2) To establish benchmark on key outcome indicators for comparison and analysis upon program completion.

3) To assess the current capacities of CSOs, women miners, youth, and men in relation to their;

a. Perceptions, attitudes, behaviors, practices and influencing skills,

b. thematic knowledge – specifically on trade, fiscal and value chain regulations, and mining rights,

4) Organizational operational capacities in relation to Oxfam policies including integrity, safeguarding and capacity assessments and its civic space monitoring tool.

5. SCOPE OF THE BASELINE STUDY

PVP covers three counties namely Turkana, Taita Taveta and Kwale. The consultant will be expected to travel to the three counties and collect data from selected respondents that will be randomly sampled and the data representative of the population that is targeted by the project. He/She will be required to present a methodology for collecting, analyzing and presenting the data, details of which should be in the inception report. The methodology will be discussed and finalized in consultation with Oxfam’s MEAL and Natural Resources Programme staff. The respondents will be derived in consultation with Oxfam in Kenya and partners.

6. SAMPLING AND METHODOLOGY

The study will focus on qualitative methods for the data collection and analysis. This will enable the project indicators at output and goal/outcome level to be measures and tracked. The study will focus on:

  • Institutional/organizational level assessment capacities
  • Identify capacities and constraints of PVP stakeholders in addressing project objectives-Government agencies, NGOs, CBOs, Women groups.
  • Assess the capacity of civil society organizations to respond to women issues in the extractives sector.
  • Identify the linkages and potential implementation gaps between institutions/organizations and laws and policies aimed at promoting fair for all in the extractives sector.
  • Identify current and effectiveness of mechanisms used by institutions-government and civil society organizations to track and respond to gender concerns in the extractives sector.

Primary Research- information gathering and field-based exercises in target counties and with PVP partner organizations. The research will involve the development of a structured series of survey (Key Informant Interviews), Expert Consultations and Focus Group Discussions and other information gathering techniques that will be used in parallel under the PVP.

To conduct the baseline survey on the key parameters, the following methodologies can be utilized, but should not be limited to:

Context Analysis:

  • Desk research on the project context which will involve identification and interrogation of relevant literature related to PVP project with a focus on the situation of justice and fairness particularly in the area of women land rights, environmental protection, access to markets and protection of whistle-blowers in the extractives sector. This will include mapping out/review of policies and practices on human rights and environmental activities – with gender lens.

*Collection of baseline information- Qualitative data collection:

  • Qualitative data collection and analysis of regionally based information from different organizations and institutions working in the ASM sector.
  • Key informant interviews, stakeholder consultation and other participatory methods used in consideration of the outcome areas of the project.
  • Focus Group Discussions with men and women working in the ASM Sector providing practical experiences in formulating the programme.

Mapping of actors- stakeholder analysis & mapping:

a) This will focus on developing an understanding of the ecosystem of actors involved in the programme.

b) It will aim to identify and capture a summary of key actors involved in development of laws and policies related to the prioritized intervention areas.

c) Actors will include but not limited to i) decision makers, ii) researchers/academicians, iii) civil society actors iv) media (journalists)

d) It will also include a systematic analysis aimed at determining and recommending potential partners to recruit into, or relate to in, the programme.

Civic space Analysis:

Comprehensive information on Civic space (situation and dynamics) including level of conflict sensitivity in the artisanal mining value-chain. What is happening in civic space, trends: This will include assessing:

· Regulatory Framework

· Access to funding

· Administration and bureaucracy

· Safety and wellbeing of people

· Access to Information and public service

· Freedom of assembly, association and dissent

· Dialogue and consultation

· Access to justice and legal services

· Civil Society legitimacy and accountability

7. DATA COLLECTION

As the baseline will involve qualitative data collection, the discussion guide for the KIIs, expert interviews and focus group discussions will be developed with close consultation with Oxfam and its partners and need to have the following questions as per the FAIR for ALL programme outcomes.

Pathway 2: Corporate Accountability

The Situational Analysis should inform us about the following:

A. At the start of this FAIR4ALL program: to what extent do (groups/sectors of) supplying companies targeted for the F4All 5 years:

· Enable communities to share in profits and other benefits from large agricultural or mining projects?

· Respect human and labour rights in their operations and supply chains, and prevent the abuse of such rights, in line with the UNGPS and OECD guidance on responsible business conduct

· Ensure access to grievance and redress mechanisms of workers/smallholder farmers/communities that have been negatively affected by companies?

· Implement Free Prior and Informed Consent?

· Respect environmental rights in their supply chains?

· Prevent/decrease climate change (using renewable energy sources)

· Disclose social and environmental impacts of their operations and investments? And measures taken to mitigate, compensate negative impacts?

· Lobby for better legislation/regulation on social/environmental matters (or refrain from lobby against it)

B. How would you describe the current level of CSO coalitions’ engagement in policy dialogues (possibly through multi-stakeholder initiatives) with private and/or financial sector actors around?

· Value added and profit sharing across the Value Chain?

· Having a human rights due diligence approach in place and published that includes concrete measures to ensure the respect and remedy of human rights?

· Respecting environmental rights?

· Respecting women's rights?

· Disclosure of greenhouse gas emissions and setting targets to reduce / halt them?

· Making more progressive choices? In other words: stimulating private and/or financial sector actors to “do good”, i.e. make businesses, sectors or value chains more responsive to the rights and needs of workers, small-scale producers and communities; e.g. increasing ( recognizing and respecting communities’ (and particularly women's) rights to access, use and control (productive) resources in their value chains?

· Develop and/or invest in renewable energy sources?

· Transparency about tax affairs; Country by Country reporting, publicly reporting impacts of tax-related decisions and taking steps to ensure tax behaviour contributes to sustainable development

C. Nowadays: to what extent do civil society organisations support communities:

• to collect evidence of human/labour/environmental rights abuses in these supply chains?

• in seeking redress after having been negatively affected by companies and their investors?

D. Which other initiatives exist nowadays towards enhancing private/financial sector actors’ corporate accountability?

E. To what extent do communities and/or CSOs engage directly or indirectly with companies and their investors to gain insight into their case and to develop strategies?

Pathway 3: Public sector guarantees human rights in trade & value chains

The Situational analysis should inform us about the following:

A. Kenya’s current fiscal and trade regime

• To what extent does this regime prevent tax evasion and avoidance?

• To what extent does it enable the government to increase domestic resources for pro-poor investments?

B. What are current strengths and pitfalls in national legislation / global regulation and mechanisms/institutions that should guarantee human rights in national and global trade and value chains, in its alignment to global agreements:

• On wages and working conditions? (the focus is on conditions of people working in the informal sector)?

• On land tenure security for local communities and women (e.g. through regulation on land acquisition according to international principles and standards (e.g. VGGTs), and enforcement of FPIC by companies and investors)?

• Around sustainable land use and the prevention of land degradation?

• To what point do the institutional mechanisms actually function that should enforce those regulatory frameworks which require the private sector to respect rights and protect the environment?

  1. On access to remedy and justice for victims of business-related abuses:

• To what extent does the government at present guarantee protection of activists (human rights, land rights and environmental defenders) against the risk of being harassed, criminalized or harmed?

• In case of business-related rights abuses: to what extent do victims now have access to remedy and justice from the company and/or its investors?

  1. Opportunities for change: political will

• Which windows of opportunity do you see now to change this legislation / these framework (or windows of opportunity to enhance the enforcement of progressive legislation)?

• To what extent do your key stakeholders in this pathway endorse our policy asks for such policy/practice changes? Lobby targets & their position on intended changes: In which terms do lobby targets discuss human rights and environmental/climate damage in trade and value chains in their public statements (also in social media)?

• Which are the current signs of government’s political will to improve legislation that ensures respect for human rights and environment/climate?

• Global project only: Which are the current signs of political will in multilaterals for global regulatory frameworks to rather oblige the private and financial sector to respect rights and protect the environment?

  1. Opportunities for change: civil society space and citizen mobilization

• Currently: which space does civil society have to influence governments and international institutions for stronger legal protection of people (especially women) in value chains?

• Which space does civil society have at the moment to improve (inter-)national norms, to safeguard peoples' rights in value chains and avoid environmental/climate damage?

• Which space, capacity, tools does civil society have these days to monitor implementation of laws and international frameworks on responsible value chains and their investors?

• Nowadays: to what extent are citizens mobilised to influence governments and international institutions for stronger legal protection of people (especially women) in value chains?

Pathway 4: Enabling environment (trade, tax and investment policy reforms)

The situational analysis should inform us about the following:

A. How is wealth from value chains currently shared?

• To what extent does this country/region collect its fair share of wealth created in global value chains selected in the F4A project?

o What is the total share of the value chain Kenya is working on to the total DRM?

o What are the current characteristics of fiscal policies Extractives value chains in Kenya?

o What are the characteristics of fiscal policies in the specific value chains your project focuses on? (E.g. Is it subject to corporate income tax, does the normal CIT rate apply (what is the normal CIT rate?),

o Are there any corporate exemptions or incentives, e.g. special tax free zones, tax holidays, specific industry exemptions? How are exemptions and incentives granted and is it subject to (parliamentary) oversight?

B. End the disproportionate taxing of women and poor people and illicit financial flows.

o What are the current estimates on Illicit Financial Flows? And how much is connected to the value chains your project is working on?

o What are the estimated revenue losses in Kenya?

o How progressive is the tax system?

o What does the current available information say (if at all) about how the current tax system affects women and poor people compared to other groups?

C. Ensure domestic resources are mobilized for public services and social protection and reinvested in productive local communities.

o Which part of the total budget is allocated for public services and social protection?

o Does the revenue from the Value Chains go into the general central coffer, or is it earmarked in any way?

o Which provisions exist for revenue sharing or reinvestments in local communities?

o Is there currently any (additional) spending on creating an enabling environment for your project’s value chains?

D. Where would you situate the Government’s current position on the continuum from entirely focused on primary commodities to entirely focused on equitable and sustainable development, and why?

o How do the current trade, tax and investment regimes affect this government’s ability to build and invest economic sectors that are more locally owned, sustainable, inclusive and productive? E.g. to what extent do these current regimes enable small and medium enterprises’ participation in value chains?

o To what extent does the current policy and investment environment enable economic diversification? For instance: what are current investments in positive linkages between primary commodity chains and national and regional value chains?

E. Opportunities for change

o Which are the current signs of government’s political will for inclusive, transformative development which benefit (women) small and medium scale producers, their communities and domestic economies?

o To what extent do your key stakeholders endorse policy asks for such inclusive, transformative development? In which terms do lobby targets discuss trade, tax and investment policy in their public statements (also in social media)?

o Which windows of opportunity do you see now to change trade, tax and investment policies (or their implementation)?

F. Citizen engagement

o What can we say about the current level of citizens’ awareness on trade and fiscal issues?

o To what extent are citizens and CSOs (or their coalitions) currently mobilized to demand transparency in, and oversight of state budgets?

o Nowadays: to what extent are citizens (or their coalitions) mobilized to address undue corporate influence and corruption?

o To what extent do citizens/youth now have oversight of (and a voice in) trade and fiscal issues?

8. DELIVERABLES

Output 1: The consulting firm/bidder will submit a comprehensive baseline survey report in both electronic version and signed hard copy. The document should be very precise and address each specific objective.

The consulting firm/bidder will submit the following:**

a) Inception report on the execution of the assignment within three days of the commencement of the consultancy; setting out how they will approach the assignment, proposed methodology and timetable and data collection tool, including draft discussion guide for collection of field-level data in the selected counties.

b) Share transcripts and field test results with Oxfam and agree on the final discussion guide that includes signed consent forms from the respondents, with detailed understanding of their data rights as per the General Data Protection Regulations (2016).

c) Draft comprehensive baseline survey report which should include at least the following:

· Executive summary (2-3 pages)

· Introduction

· Purpose and objectives

· Methodology

· Findings as per each pathway and based on questions provided in the ToR

· Conclusion and recommendations

Output 2: The consulting firm/bidder will produce a baseline database for the survey and deliver with draft baseline report.

Output 3: The consulting firm/bidder will deliver a high-quality Power-Point presentation of the report before finalizing the assignment.

Output 4: Facilitate a stakeholder validation workshop to receive input and feedback from Oxfam.

Output 5: Final report, incorporating Oxfam’s, partners’, and stakeholders’ input, completed after input is received.

The written report will be:

• Produced in English language and using accessible and concise language.

• The report format and text shall be in A4 paper size and a legible Arial 12 font size.

• The report should not exceed more than 35 pages.

• At least one signed hard copy and one electronic copy by the agreed deadline.

9. SKILLS AND EXPERIENCE OF CONSULTANT

The desired specification and qualities of the consultant(s) are as hereunder:

· At least a master’s degree in Social Sciences (A PhD in Environmental and Natural Resources would be an added advantage) for the lead consultant and a minimum of bachelor’s degree on the relevant academic areas for research assistants.

· In-depth knowledge and experience on using participatory research methods (household survey, key informant interviews and focus group discussions).

· High quality skills and demonstrated experience in similar baseline study, particularly on gender and/or women’s rights.

· Demonstrated understanding of constitutional and policy environment, national strategies and programs, county integrated development plans and strategies, and women’s economic empowerment.

· Familiarity with feminist approaches to women economic empowerment.

· Familiarity with the targeted county context.

· Strong analytical, communication and report writing skills.

· Good spoken and written communication skills in Kiswahili and English.

· Proven experience of using participatory methods for data collection and analysis in programme evaluation.

· An added advantage if they have experience in Gender and Extractives.

Confidentiality of information: All documents and data collected will be treated as confidential and used solely to facilitate analysis. Interviewees will not be quoted in the reports without their permission.

10. TIME FRAME

The process will be as follows:

The total study period is 25 days that include preparation, field work, data analysis and report writing. The expected date of the start of the study is 3rd August, 2021 and baseline study report will be produced on 25th August, 2021.

11. TAX AND VAT ARRANGEMENTS

Oxfam will deduct withholding tax from the consultancy fees which will be in conformity with the prevailing government rates and submit the same to the Government of Kenya.

12. BID REQUIREMENTS

Consultant(s) who meet the above requirements should submit bids, which at minimum include the following:

· Suitability statement, including commitment to availability for the entire assignment in the months July to September 2021.

· Brief statement of the proposed study methodology including a detailed work plan.

· Detailed financial proposal, including daily costs.

· Information on the team composition and level of effort of each team member – include updated curriculum vitae that clearly spell out qualifications and experience.

· Contacts of three organizations that have recently contracted the consultant to carry out relevant study.

Budget financial proposal must indicate all-inclusive costs for conducting the survey.

N/B: The entire bid should be a MAXIMUM OF TEN (10) PAGES inclusive of CVs and Budgets. Bids not meeting this requirement will not be considered.

13. REPORTING LINES

The consultant shall work under the supervision of the Oxfam’s MEAL Advisor with a strong liaison with the Extractives Strategist and Programme Officer.

How to apply

APPLICATION PROCESS

Follow the link to view the full TOR TOR-Baseline Survey, Power of Voices Partnerships

Oxfam Kenya invites individuals who meet the criteria to submit Expression of Interest that clearly articulates the consultant(s) understanding of the terms of reference, methodology for executing the work including key deliverables and tentative budget should and clearly indicated “Baseline Survey for Fair for All: improving Value Chains at Scale (PVP)” Expression of Interests shall be sent to Kenya.Logs@oxfam.org.uk, not later than close of business on 23rdJuly 2021. Only applicants who qualify will be contacted.