TERMS OF REFERENCE FOR STRENGTHENING NATIONAL FEEDBACK AND GRIEVANCE REDRESS MECHANISM FOR UGANDA S REDD+ PROGRAMME

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1 TERMS OF REFERENCE FOR STRENGTHENING NATIONAL FEEDBACK AND GRIEVANCE REDRESS MECHANISM FOR UGANDA S REDD+ PROGRAMME REFERENCE NO: MWE/SRVCS/14-15/00018 Strengthening National Feedback and Grievance Redress Mechanism for REDD+ for Uganda s REDD+ Programme 1.0 Introduction Uganda embarked on R-PP preparation phase in March The undertaking involved an analysis and description of the actions necessary to get Uganda ready for REDD+. In March 2011, the draft R-PP was presented for comments to the FCPF Participants Committee (PC) and the Technical Advisory Panel (TAP). The final R-PP was approved during the ninth Participants Committee meeting in Oslo on June 22, 2011 with comments. Uganda submitted an acceptable and updated R-PP in May The Readiness Preparation Grant Agreement was signed on July 10, 2013 between the Government of Uganda represented by the Minister of Finance, Planning and Economic Development and the International Bank for Reconstruction and Development (acting as a trustee of the Readiness Fund of the Forest Carbon Partnership Facility). Uganda is preparing itself for a future REDD+ mechanism, which has the potential to generate financial flows to reward countries for improved management of its forest resources, and could thus ultimately contribute to the country s sustainable development. Being ready for REDD+ will require increased capacity to develop and coordinate land use policies with the view of mitigating future impacts on forest cover, while ensuring that benefits from forests flow to those communities dependent on these resources and to stakeholders taking actions to address deforestation and forest degradation. The REDD+ Readiness process should ensure that implementation of proposed programs and activities will not cause adverse social and environmental impacts, while striving to enhance benefits for local communities and the environment. The Forest Carbon Partnership Facility (FCPF) (with the World Bank as its delivery partner) is supporting Uganda in its national efforts towards REDD+ Readiness. The objective of the Uganda Readiness Preparation Program is to prepare Uganda to engage in and benefit from the potentially emerging performance-based system from Reducing Emissions from Deforestation and Forest Degradation (REDD+) within the context of the international climate negotiations of the UN Framework Convention on Climate Change. 1 P a g e

2 Such a performance-based payment system (reduction of emission) are based on environmentally and socially sound policies and programs to reduce deforestation and forest degradation, a credible and marketable reference level (forest carbon emission baseline scenario) and technically robust systems of forest monitoring and emissions reporting. The Program will also develop forest policy and management systems, information and data, participatory methods and other human and institutional capacity of direct use in management and development of forests in Uganda for national poverty reduction, economic development and environmental purposes. 2.0 Project Objectives The Over-all Development Objective for the FCPF/WB support is to contribute to the design of a socially and environmentally viable national strategy for reducing emissions from deforestation and forest degradation and a national/sub national reference scenario of emissions from deforestation and forest degradation that takes into account the national circumstances and the emerging guidance from the global climate change convention. The introduction of REDD+ in Uganda is likely to have a significant impact on the dynamics of conflicts over forest resources, and on sharing cost and benefits of REDD Project components The Readiness Preparation Activities consist of the following parts: Part 1: Coordination and Monitoring of REDD+ Readiness Process Strengthening coordination and management of the REDD+ process at the national level, through: 1.1 Implementing the National Readiness Management Arrangement Activities including strengthening the capacities of all relevant institutions through the provision of technical advisory services, goods, works, workshops and training and operating costs. 1.2 Designing and implementing a monitoring and evaluation framework for overall reporting on the progress of implementation of REDD+ readiness activities, including, among others, the carrying out of an independent assessment of progress at mid-term and at the end of the activities financed by the Grant. Part 2: Stakeholder Engagement and Feedback in Readiness Process Strengthening stakeholder engagement with a view to informing REDD+ readiness, through: a. Strengthening participatory structures at the local and national level, with a view to enhancing stakeholder engagement in REDD, including, among 2 P a g e

3 others, community based forest associations, religious institutions, women and youth associations and national association of tree growers, all through provision of technical advisory services, goods, workshops and training and operating costs. b. Developing and disseminating communication materials and tools pertaining to the Readiness Preparation Activities, including, among others, creation of a national REDD+ website to be hosted by the Ministry of Water and Environment, use of public media such as TV and radio, development of policy briefs, newsletters, and brochures in local languages, and the use of pictorials, and other social networks at the local levels. c. Strengthening national feedback and grievance redress mechanisms for REDD+ including, among others, a comprehensive review of the capacities of relevant institutions and customary mechanisms for handling grievances. Part 3: REDD+ Strategy and Strategic Environmental and Social and Assessment 3.1 Carrying out of a comprehensive strategic environmental and social and assessment ( SESA ) with a view to evaluating, inter alia: (a) REDD+ strategy, in particular, how said strategy addresses environmental and social priorities associated with current patterns of land use and forest management, to identify gaps and make recommendations for improvement; and (b) environmental and social impacts of implementing REDD+ activities under the REDD+ strategy (to be developed under this Part) and preparing an appropriate environmental and social management framework, through provision of technical advisory services, goods, workshops and training and operating costs for that purpose. 3.2 Developing an appropriate REDD+ strategy (said strategy informed by SESA considerations pursuant to Part 3.1 immediately above). Part 4: REDD+ Implementation Framework Designing REDD+ implementation framework, in particular: 4.1 Carrying out of a comprehensive review and assessment of existing benefit sharing arrangements in country and within the region for use under REDD+, including, analyses of carbon rights, and making appropriate recommendations for improving said benefit sharing arrangements. 4.2 Preparation of national guidelines and standards (including, eligibility criteria) for design and implementation of REDD+ demonstration activities or pilots drawing upon national and regional experience. 4.3 Carrying out of a comprehensive review of ongoing REDD+ efforts and demonstration activities or pilots. 3 P a g e

4 Part 5: National Reference Scenario and Inventory of Forest Resources Establishment of a reference scenario for emissions from deforestation and/or forest degradation by designing an appropriate methodology, reviewing national circumstances, preparing an inventory of forests, mapping forest cover, spatial modelling, calculating carbon emissions and establishing the reference level, all through the provision of technical advisory services, goods, workshops and training, and operating costs. 4.0 Objectives of the Consultancy The main objective of this assignment is to build upon the framework assessment already undertaken by the Government of Uganda during the formulation phase to develop a feedback and grievance redress mechanism and make it available to REDD+ stakeholders. Specifically; 4.1 To undertake an assessment of existing national institutional capacity for feedback and grievance redress; so as a) To identify existing and potential conflict and grievances that could arise during REDD+ readiness, and implementation of REDD+ Strategy/ activities implementation; b) To identify mechanisms that can detect, prevent and minimize the escalation of, and resolve conflicts and grievances; c) Strengthen policy, legal and institutional framework for managing grievances and Conflicts that can assist in handling/ addressing stakeholder concerns and issues relevant to REDD+ implementation; d) Strengthen institutional capacity and presence of an active mechanism to receive feedback and handle conflict in a timely manner and at all levels; e) Capacity building on REDD+ Readiness and FCPF for key stakeholders and personnel on the presence of a clear FGRM. 4.2 To establish an easily accessible and well publicized mechanism to receive feedback and handle grievances in an as credible, timely manner. 5.0 Detailed Scope and Tasks of the assignment The scope of services in this Consultancy shall comprise:- A. Consistence with Uganda s Context of National Feedback and Grievance Redress Mechanism for REDD+ for Uganda s REDD+ program In the carrying out of the assignment, the consultant(s) will fully understand, and build upon the elements contained in Uganda s Consultation and Participation (C&P) Plan, which 4 P a g e

5 includes a communication, and awareness plan as well as feedback grievance and redress plan. The feedback grievance and redress component of the C&P Plan identifies several natural resources management based conflicts resolution and grievance management systems that are practiced in Uganda. They include, but are not limited to the following: a) Legal and Policy provisions for environment management, forestry, wildlife and wetlands that provide to stakeholder participation in planning and management of these resources; e.g., Collaborative Resources management (under UWA and NFA) or Community-Protected Areas Institutions (under UWA), Guidelines for management planning for Central Forest Reserves (under NFA), among others; b) Policy and legal provisions for regulating access and use of resources from protected areas e.g., Guidelines for Concessions in Wildlife Protected Areas, and Permit systems under NFA; c) Policy and legal provisions for benefits sharing between protected areas agencies and stakeholders/communities e.g., the 20% benefit sharing under Uganda Wildlife Authority; d) Land Tribunals established under the Land Act to arbitrate land disputes and conflicts; e) Judicial system that provides for individuals or communities/stakeholders to seek legal redress where their rights and entitlements to environmental quality, goods and services are affected; The consultant(s) will also understand that Uganda aims to put in place an effective and efficient feedback grievance and redress mechanism to help manage and resolve conflict as they arise. These systems are expected to be put in place both at national, district and lower levels to enable easy accessibility and usage of these structures. Whereas Uganda has conducted a preliminary assessment to scoping out the various grievance structures that exist in the country including the purpose and usage of those structures, and has undertaken preliminary assessment for the local level institutions such as traditional and customary structures, religious structures, and community based structures, the consultant(s) are expected to conduct detailed analysis of the various structures, identifying gaps and resources (human, administrative, financial technical capacity, etc.) needed for the effective functioning of these structures. Broadly, consultant(s) will be expected to conduct detailed analysis of the dynamics of conflicts or grievances at different level and scales encompassing but not limited to conflicts or grievances at: a) Field level: existing conflicts and grievances relate to control, use and access to forest resources within protected areas. It is probable that conflicts or grievances relating to ownership of carbon credits, tenure of trees, benefit sharing and participation in REDD-Plus activities may arise; b) Institutional level: conflicts or grievances relate to participation and sharing of roles and tasks in readiness phase among government Agencies and between 5 P a g e

6 government agencies and Civil Society organizations and Private Sector. Institutional level conflicts arise due to need to control or acknowledge access, use and interpretation of data and information held by various institutions or whose interpretation infringes on the credibility of some institutions; c) Policy level: policy and legal related conflicts arise because of policy/legal gaps related to key REDD-Plus issues such as tenure and ownership of Carbon in Protected Areas, licensing Carbon Trade, Funds channelling, among others. B Institutionalisation of the National Feedback and Grievance Redress Mechanism for Uganda s REDD+ Programme In consultation with the Uganda s REDD+ National Technical Committee and especially the with a linkage with Taskforces for SESA and C&P, the consultant(s) will support Uganda to institutionalise the Feedback and Grievance Redress Mechanism for REDD+; and to that end will assist the country to, among other things: a) Elaborate a simple and clear structure of FGRM for Uganda at all levels which is either linked, complimentary or comparable with equivalent FGRMs in ENR sector as well as in other sectors; b) Propose options for formalisation (read institutionalisation) of clear, formal, and transparent internal mechanisms (e.g. a grievance redress unit, grievance redress committees, designated grievance redress officers) and rules for addressing grievances, in the Uganda REDD+ program; c) Assess the capacity and propose options for addressing them (e.g. through targeted capacity building) with a view to have an informed and updated officials responsible for grievance redress with authority to take or demand remedial action; d) Propose options that will make it possible to have a well-publicized FGRM process where stakeholders and project affected people feel that they can lodge grievances without fear of retaliation; e) Propose options for instituting internal processes in place to record, track, and monitor the grievances and the action taken on them; f) Propose options for a process for a timely feedback (written or otherwise) to the petitioner on actions taken; g) Propose options for an appeals process in place that FGRM users can access if they are not satisfied with how their grievance has been resolved; B Expectations Uganda has for its National Feedback and Grievance Redress Mechanism for Uganda s REDD+ Programme In the carrying out of the assignment, the consultant(s) will fully understand, and propose options for: a) Ensuring that all factors that could arise during the implementation of REDD+ in Uganda are pointed out and remedies are identified; 6 P a g e

7 b) Putting in place and enforcing measures for detecting, predicting and preventing emergence or minimizing escalation of conflicts and grievances; c) Building capacity and systems for conflicts resolution and grievances management, including options for strengthening the application of existing conflict resolutions and grievances management systems; d) Safeguarding REDD-Plus investments; e) Establishing a multi-stakeholder neutral or independent conflict resolution mechanism. C Key Issues in the design of an effective and legitimate FGRMs In assessing the potential of the proposed three-tier FGRM to resolve disputes, it is useful for the consultant(s) to note the primary characteristics of effective and legitimate FGRMs, as laid out in the Joint World Bank-UNDP Guidance Note on Grievance Resolution Mechanisms (World Bank -UNDP 2013, 2-3) 1. That guidance highlights the following key characteristics of effective GRMs: Legitimate: enabling trust from the stakeholder groups for whose use they are intended, and being accountable for the fair conduct of grievance processes. Accessible: being known to all stakeholder groups for whose use they are intended, and providing adequate assistance for those who may face particular barriers to access. Predictable: providing a clear and known procedure with an indicative timeframe for each stage, and clarity on the types of process and outcome available and means of monitoring implementation. Equitable: seeking to ensure that aggrieved parties have reasonable access to sources of information, advice and expertise necessary to engage in a grievance process on fair, informed and respectful terms. Transparent: keeping parties to a grievance informed about its progress, and providing sufficient information about the mechanism s performance to build confidence in its effectiveness and meet any public interest at stake. Rights compatible: ensuring that outcomes and remedies accord with internationally recognized human rights. Enabling continuous learning: drawing on relevant measures to identify lessons for improving the mechanism and preventing future grievances and harms. Based on engagement and dialogue: consulting the stakeholder groups for whose use they are intended on their design and performance, and focusing on dialogue as the means to address and resolve grievances. D. Specific Tasks of the Assignment In the carrying out of the assignment, the consultant(s) shall extensively cover all aspects of the scope of works mentioned above in while undertaking the following specific tasks of the assignment: 1 ft_for%20printing.pdf 7 P a g e

8 a) Undertake deep analytical & assessment of all the aspects raised in the objectives, scope of the assignment; including: i. Review and analysis of the historical and current context for grievances in the forest sector, leading to clear characterization of current grievance patterns and their trends; ii. Assessment of the strengths and gaps (e.g. availability, credibility, capabilities) of local and national institutions to address the issues that are at the heart of REDD+-related grievances). b) Undertaking a risk analysis of concerned stakeholders grievances; c) Elaborating (i.e. explanation and guidance) on procedures for grievance redress & proposing typical steps in a grievance resolution process showing at the minimum, how to: i. How to receive and register grievance; ii. Acknowledge, Assess, Assign (Acknowledging receipt, Assessing eligibility for the GRM, and Assigning organizational responsibility); Develop a proposed response; Communicate proposed response to complainant and seek agreement on the response; v. Implement the response to resolve the grievance; iii. iv. vi. Review the response if unsuccessful; vii. Close out or refer the grievance. d) Making proposals on possible elements & options for grievance redress mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme that includes areas and proposals for continuous improvement; including but not limited to options for: i. Addressing complaints relating to Readiness preparation activities; ii. iii. Anticipating and getting ready for disputes/complaints during Implementation; Effective capacity development required by Uganda to be able to establish and strengthen national FGRMs; and possible elements of a joint plan for building on strengths and closing gaps. e) Establish the Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process 6.0 Reporting requirements Specific reports and Time Schedules The Consultancy for Strengthening National Feedback and Grievance Redress Mechanism for REDD+ for Uganda s REDD+ Programme in Uganda will be undertaken in Six (06) calendar months. In order to accomplish the assignment, it is the responsibility of the Consultant to establish a detailed work program within the above time frame, taking into consideration the estimated man-month requirements. This should be guided by his professional judgment of the assignment s requirements and knowledge of the local conditions and needs. The consultant shall deliver outputs described below and shall submit them in written (in English) and 8 P a g e

9 electronic copies at each stage for review and / or approval in accordance with the schedule of reporting indicated below: 9 P a g e

10 Table 1: detailed schedule for the required reporting ITEM REPORT/DO CUMENT TITLE TIMING AFTER COMMENC- EMENT CONTENT A.1 Work plan: 1 week This work plan shall be inclusive of a: a) Technical Note demonstrating understanding of the Ugandan context of National Feedback and Grievance Redress Mechanism for REDD+; b) An outline of proposed approach/methods; c) List of outputs and schedule for their delivery; d) Schematic plan for the process that is in line with C&P plan where National Feedback and Grievance Redress Mechanism for REDD+ is part thereof; e) List of available tools for the FRGM work and context under which they are applicable. NO. OF COPIES 6 to the FSSD A.2 Draft Inception report: 3 weeks This report shall outline the consultant s a) Detailed review of national & other contexts including good practices of National Feedback and Grievance Redress Mechanism for REDD+ b) Detailed proposals of the approach(es) to the assignment and methods for each or category of tasks; c) Description of outputs and schedule for delivery for each of them; d) Detailed plan for the process that is in line with or exceeds what is envisaged in the C&P plan where National Feedback and Grievance Redress Mechanism for REDD+ is part thereof; e) Description of available tools for the FRGM work and context under which they are to be applied; f) Description of the Strategy for undertaking the assignment including for coordinating with other REDD+ Deliverables for which FRGM is expected to inform or be informed by; g) Preliminary ideas and Methodology on how to undertake an assessment of existing national institutional capacity for feedback and grievance redress; and Strengthen policy, legal and institutional framework for managing grievances and Conflicts that may inhibit R-PP implementation; a) Timetable including a Consultation and Participation process for the whole assignment. 6 to the FSSD 10 P a g e

11 ITEM REPORT/DO CUMENT TITLE A.3 Final Inception report: TIMING CONTENT AFTER COMMENC- EMENT 4 weeks The consultant shall submit an inception report within 1 week after approval of the draft report. This final inception report shall contain the following content: a) All the content agreed upon in the draft inception report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives and and/or other stakeholders; b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders were reflected. NO. OF COPIES 6 to the FSSD A.4 Draft Report 16-weeks The consultant shall submit a draft report after extensively covering all aspects of the scope of works. The draft report shall contain the following: a) Draft analytical & assessment report (partly based on assessment of existing GRMs) of all the aspects raised in the objectives, scope and tasks of the assignment; as well as those based on the: i. Review and analysis of the historical and current context for grievances in the forest sector, allowing for characterization of current grievance patterns and their trends; ii. Assessment of the strengths and gaps (e.g. availability, credibility, capabilities) of local and national institutions to address the issues that are at the heart of REDD+-related grievances). b) Initial risk analysis table with list of concerned stakeholders and approach for receiving and handling their grievances; c) Initial elaboration (i.e. explanation and guidance) shall contain initial ideas on procedures for grievance redress & typical steps in a grievance resolution process showing at the minimum, how to: i. How to receive and register grievance; ii. Acknowledge, Assess, Assign (Acknowledging receipt, Assessing eligibility for the GRM, and Assigning organizational responsibility); Develop a proposed response; Communicate proposed response to complainant and seek agreement on the response; v. Implement the response to resolve the grievance; iii. iv. vi. vii. Review the response if unsuccessful; Close out or refer the grievance. 6 to the FSSD 11 P a g e

12 ITEM REPORT/DO CUMENT TITLE TIMING AFTER COMMENC- EMENT CONTENT d) Initial proposals on possible elements & options for grievance redress mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme that includes areas and proposals for continuous improvement; including but not limited to options for: i. Addressing complaints relating to Readiness preparation activities; ii. Anticipating and getting ready for disputes/complaints during iii. Implementation; Effective capacity development required by Uganda to be able to establish and strengthen national FGRMs; and possible elements of a joint plan for building on strengths and closing gaps e) Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process NO. OF COPIES A.4 Draft Process 16-weeks The consultant shall submit a draft process report showing how each aspect of the scope of works and tasks were undertaken. This report will be submitted at the same time as the draft report i.e. not more than 7 weeks after submission of the final inception report. The draft process report shall also be reviewed and commented upon by the employer and the World Bank. Review and comments will be done concurrently with the draft report and will also be given within the two weeks. The consultant(s) shall be invited by the employer to present the report to the National Technical Committee, Taskforce representatives and and/or other stakeholders. The draft process report shall contain the following, a summary of which shall be included in the draft report: a) The description of the process of undertaking the assignment as a whole; including: i. The description of the consultations undertaken as part of the assignment as a whole; ii. The description of the stakeholder participation including the who, how and where they were consulted; b) Detailed description of the processes, methods, consultation and participation during the: i. Analytical & assessment of all the aspects raised in the objectives, scope of the assignment; ii. iii. iv. Risk analysis of concerned stakeholders grievances; Elaboration of /on procedures for grievance redress & proposing; Making proposals on possible elements & options for grievance redress 6 to the FSSD 12 P a g e

13 ITEM REPORT/DO CUMENT TITLE TIMING AFTER COMMENC- EMENT CONTENT mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme; v. Establishment of the Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process; c) Draft analysis of the process including options for improving its elements (such as stakeholder participation, tools, consultative process, etc). A.5 Final Report 20-weeks The consultant shall submit a final report within 2 weeks after approval of the draft report by the employer and the World Bank. The final report will be disclosed by the employer and at the World Bank s Infoshop. At the end of the assignment, the Consultant shall not claim any right of authorship or design patent of the reports and other deliverables undertaken and submitted as part of this assignment. The Final FGRM Report shall contain the following: a) All the content agreed upon in the FGRM Report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders were reflected; A.6 Final Process 20-weeks The consultant shall submit a final process report within 2weeks after approval of the draft report by the employer and the World Bank. The final report will be disclosed by the employer and at the World Bank s Infoshop. At the end of the assignment, the Consultant shall not claim any right of authorship or design patent of the reports and other deliverables undertaken and submitted as part of this assignment. The Final process FGRM Report shall contain the following: a) All the content agreed upon in the FGRM process Report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders; b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders were reflected; NO. OF COPIES 6 to the FSSD 6 to the FSSD 13 P a g e

14 ITEM REPORT/DO CUMENT TITLE A.7 6 Consultation and Participation Workshops & 6 Workshop Reports TIMING CONTENT AFTER COMMENC- EMENT Periodically 1 Workshop to discuss the Draft Inception report; 4 Workshops to discuss Draft Report (Regional) 1 Validation Workshop NO. OF COPIES 6 to the FSSD 14 P a g e

15 The consultant is encouraged to assess the appropriateness of the suggested milestones and comment upon realistic expectations, especially with regard to the allocated time frames for the activities in the comments to ToRs. All reports have to be submitted in both soft (unlocked MS Word, PDF) and hard copy. The hard copies will be prepared in DIN A4 format. The reports should be clearly labelled i.e. title of the study indicated, for easy identification and documentation purposes. All reports shall be prepared in English language. The Client will provide comments on each as indicated for each report (below), and the consultant will only proceed thereafter. 6.1 Work plan The consultant shall submit work plan before the end of the first week. This work plan shall be inclusive of a: a) Technical Note demonstrating understanding of the Ugandan context of National Feedback and Grievance Redress Mechanism for REDD+; b) An outline of proposed approach/methods; c) List of outputs and schedule for their delivery; d) Schematic plan for the process that is in line with C&P plan where National Feedback and Grievance Redress Mechanism for REDD+ is part thereof; e) List of available tools for the FRGM work and context under which they are applicable. 6.2 Draft inception report The consultant shall submit a draft inception report before the end of the first week. This report shall outline the consultant s: b) Detailed review of national & other contexts including good practices of National Feedback and Grievance Redress Mechanism for REDD+; c) Detailed proposals of the approach(es) to the assignment and methods for each or category of tasks; d) Description of outputs and schedule for delivery for each of them; e) Detailed plan for the process that is in line with or exceeds what is envisaged in the C&P plan where National Feedback and Grievance Redress Mechanism for REDD+ is part thereof; f) Description of available tools for the FRGM work and context under which they are to be applied; g) Description of the Strategy for undertaking the assignment including for coordinating with other REDD+ Deliverables for which FRGM is expected to inform or be informed by; h) Preliminary ideas and Methodology on how to undertake an assessment of existing national institutional capacity for feedback and grievance redress; and Strengthen policy, legal and institutional framework for managing grievances and Conflicts that may inhibit R-PP implementation; 15 P a g e

16 i) Timetable including a Consultation and Participation process for the whole assignment. 6.2 Final inception report The consultant shall submit an inception report within 1 week after approval of the draft report. The employer will be given 2 week for review and approval. The consultant(s) may be invited by the employer to present the report to the National Technical Committee, Taskforce representatives and and/or other stakeholders. This final inception report shall contain the following content: a) All the content agreed upon in the draft inception report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders; b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives and and/or other stakeholders were reflected; 6.3 Draft Report The consultant shall submit a draft report after extensively covering all aspects of the scope of works. This is estimated to take not more than 7 weeks after submission of the final inception report, for review and comments by the employer and the World Bank. Review and comments will be given two weeks. The consultant(s) shall be invited by the employer to present the report to the National Technical Committee, Taskforce representatives and and/or other stakeholders. The draft report shall contain the following: a) Draft analytical & assessment report (partly based on assessment of existing FGRMs) of all the aspects raised in the objectives, scope and tasks of the assignment; as well as those based on the; i. Review and analysis of the historical and current context for grievances in the forest sector, allowing for characterization of current grievance patterns and their trends; ii. Assessment of the strengths and gaps (e.g. availability, credibility, capabilities) of local and national institutions to address the issues that are at the heart of REDD+-related grievances) b) Initial risk analysis table with list of concerned stakeholders and approach for receiving and handling their grievances; c) Initial elaboration (i.e. explanation and guidance) shall contain initial ideas on procedures for grievance redress & typical steps in a grievance resolution process showing at the minimum, how to: i. How to receive and register grievance; ii. iii. iv. Acknowledge, Assess, Assign (Acknowledging receipt, Assessing eligibility for the GRM, and Assigning organizational responsibility); Develop a proposed response; Communicate proposed response to complainant and seek agreement on the response; 16 P a g e

17 v. Implement the response to resolve the grievance; vi. Review the response if unsuccessful; vii. Close out or refer the grievance. d) Initial proposals on possible elements & options for grievance redress mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme that includes areas and proposals for continuous improvement; including but not limited to options for: i. Addressing complaints relating to Readiness preparation activities; ii. Anticipating and getting ready for disputes/complaints during Implementation; iii. Effective capacity development required by Uganda to be able to establish and strengthen national FGRMs; and possible elements of a joint plan for building on strengths and closing gaps. e) Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process. 6.4 Draft Process Report The consultant shall submit a draft process report showing how each aspect of the scope of works and tasks were undertaken. This report will be submitted at the same time as the draft report i.e. not more than 7 weeks after submission of the final inception report. The draft process report shall also be reviewed and commented upon by the employer and the World Bank. Review and comments will be done concurrently with the draft report and will also be given within the two weeks. The consultant(s) shall be invited by the employer to present the report to the National Technical Committee, Taskforce representatives and and/or other stakeholders. The draft process report shall contain the following, a summary of which shall be included in the draft report: a) The description of the process of undertaking the assignment as a whole; including: i. The description of the consultations undertaken as part of the assignment as a whole; ii. The description of the stakeholder participation including the who, how and where they were consulted. b) Detailed description of the processes, methods, consultation and participation during the: i. Analytical & assessment of all the aspects raised in the objectives, scope of the assignment; ii. Risk analysis of concerned stakeholders grievances; iii. Elaboration of /on procedures for grievance redress & proposing; iv. Making proposals on possible elements & options for grievance redress mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme; v. Establishment of the Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process. 17 P a g e

18 c) Draft analysis of the process including options for improving its elements (such as stakeholder participation, tools, consultative process, etc) 6.5 Final FGRM Report The consultant shall submit a final report within 2weeks after approval of the draft report by the employer and the World Bank. The final report will be disclosed by the employer and at the World Bank s Infoshop. At the end of the assignment, the Consultant shall not claim any right of authorship or design patent of the reports and other deliverables undertaken and submitted as part of this assignment. The Final FGRM Report shall contain the following: a) All the content agreed upon in the FGRM Report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders were reflected; 6.6 Final Process Report The consultant shall submit a final process report within 2weeks after approval of the draft report by the employer and the World Bank. The final report will be disclosed by the employer and at the World Bank s Infoshop. At the end of the assignment, the Consultant shall not claim any right of authorship or design patent of the reports and other deliverables undertaken and submitted as part of this assignment. The Final processfgrm Report shall contain the following: a) All the content agreed upon in the FGRM process Report but revised to reflect the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders b) Comments matrix indicating how the comments of the employer, National Technical Committee, Taskforce representatives, the World Bank (and the FCPF s FMT) and and/or other stakeholders were reflected; 7. Methodology In order to accomplish the assignment, the consultant shall propose a methodology for carrying out the proposed activity and how these will lead to the delivery of the deliver outputs (described above). In addition, it is expected that the proposed methodology shall, as much as possible link with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the national REDD+ process. It is also expected that the consultant(s) shall include the World Bank s FCPF s aspects on national feedback and grievance redress mechanisms of participating Countries for REDD+ as laid out in the Joint World Bank-UNDP Guidance Note on Grievance Resolution Mechanisms (World Bank -UNDP 2013, 2-3) 2 and elsewhere in the Bank s processes; 2 ft_for%20printing.pdf 18 P a g e

19 enriching them along the way, as well as the FGRM work already undertaken by Uganda during the R-PP formulation stage. The consulting firm or consortium shall propose a methodology for carrying out the proposed activity and how these will lead to the delivery of outputs (described above). At the minimum the methodology shall: a) Describe of the process for undertaking the assignment as a whole; including: i. The description of how the consultations shall be undertaken as part of the assignment as a whole; ii. The description of how stakeholder participation including the who, how and where they will be consulted b) Detail the processes, methods, consultation and participation to be applied during the: i. Analytical & assessment of all the aspects raised in the objectives, scope of the assignment; ii. Risk analysis of concerned stakeholders grievances; iii. Elaboration of /on procedures for grievance redress & proposing iv. Making proposals on possible elements & options for grievance redress mechanisms (GRM) during Readiness and those required during Implementation of the national REDD+ Programme v. Establishment of the Linkage with the work of Strategy options, SESA, Benefit Sharing and Participatory Structures & Communication and other aspects of the process c) How the analysis of the process including options for improving its elements (such as stakeholder participation, tools, consultative process, etc.) will be undertaken Whereas part of the methodology that will be proposed by the consultant(s) for carrying out the proposed activity will include extensive desk review of available secondary information and structured interactions with key stakeholders in the field, it is expected that the consulting firm or consortium will collect information from field interviews and observations. For the collection of primary information, the consultant(s) team is expected to spend sufficient time on field visits. It is expected that the consultant(s) will adopt different participatory appraisal techniques to obtain quantitative and qualitative information. It is expected that the consultant(s) understand that the process requires information from a variety of sources that include: Key person interviews and discussions with local forest authority, local government authority, local communities, local NGOs working in forestry; Direct observations at group level, FGRM users ( actual and potential), External experts (academics, journalists, consultants etc. And other external stakeholders affected by REDD+ programs and operations (e.g. public interest groups, community associations, related government agencies, business associations) 7.1 Consultation and Participation of Key Stakeholders The consultant shall prepare and make presentations, including facilitating/carrying out consultations, in accordance with the consultations and participation plan contained in the R-PP, which identifies, among other things, the following relevant stakeholders (see above). In this respect the consultant will be expected to: 19 P a g e

20 a) Make a presentation of the draft inception Report to the National Technical Committee, or its mandated Taskforce representatives, and the REDD+ Secretariat; b) Make periodic (at least once a month) presentations of progress on the assignment to the REDD+ Secretariat; c) Make a presentation of the draft Report to the National Technical Committee, or its mandated Taskforce representatives, and the REDD+ Secretariat; d) Hold four (4) consultation workshops on issues contained in the draft Report e) Hold one validation workshop Thus the Consultant will be required to include a provisional sum of 50,000 US$ to meet costs of holding the workshops. The Client will pay the Consultant based on actual and approved expenditure of the Consultant s budget (for workshops) which will have been discussed and agreed to prior to commencement of the Consultancy. The basis for payment of participants by the Consultant will be full participation for the entire duration of the workshop together with an authentic invitation letter of the participant. The workshops will be facilitated by the Client. At each workshop, the consultants will make Power Point presentations, provide concise background documents for discussion and prepare workshop reports to document the proceedings. In addition to the national workshops described above, the consultant will be expected to conduct informal stakeholder engagement sessions (workshops, meetings, etc.) throughout the duration of the assignment. The costs of holding national workshops and stakeholder consultations must be included in the consultant s proposal. 8.0 Key Professional Staff The staff to be provided by the Consultant shall be sufficient to cover all the phases of the assignment. The Consultant shall also provide other support staff, technical and nontechnical, that are needed for the execution of the services. The key professional staff shall include the following: Key Experts Conflict management Specialist (Team Leader) Role in the assignment The Conflict Management Specialist will serve as the team leader for the assignment; S/he shall be responsible for the undertaking of the deep analytical & assessment of all the aspects raised in the objectives, scope and tasks of the assignment and Assessing and Strengthening National GRMs; He/she shall have at least 6 years experience in Conflict/Grievance Redress Mechanism Sociologist The Sociologist should have at least 5 years of working experience in natural resource management with emphasis on forest communities and indigenous peoples. S/he shall support the facilitating/carrying out consultations, in accordance with the consultations and participation plan contained in the R-PP S/he shall be responsible for linking FGRM work with the work of Strategy options, SESA, Benefit Sharing 20 P a g e

21 Environmental Lawyer Environmental Lawyer shall be a qualified lawyer with a valid practicing accreditation details; S/he shall be the responsible for the establishment and elaboration/development of the FGRM Legal, Procedural and Process guidelines part of the assignment He/she shall have at least 5 years experience in legal, procedural and process requirements for natural resource projects 9.0 Data, Services, Personnel and facilities to be provided by the Client a) The Client shall provide the Consultant the following documents: Document Author Location Uganda R-PP & Appendices Government of Uganda FSSD, Uganda and FCPF Website: carbonpartnership. Uganda Country Progress Sheets Relevant UNFCCC decisions relevant to the assignment REDD+ Secretariat (FSSD), Uganda org/uganda FSSD, Uganda and FCPF Website: carbonpartnership. org/uganda Decision 2/CP.13 Reducing Emissions from Deforestation in Developing Countries: Approaches to Stimulate Action (from Bali); Decision 4/CP.15 Methodological Guidance for Activities Relating to Reducing Emissions from Deforestation and Forest Degradation and the Role of Conservation, Sustainable Management of Forests and Enhancement of Forest Carbon Stocks in Developing Countries (from Copenhagen); Decision 1/CP.16 The Cancun Agreements: Outcome of the work of the Ad Hoc Working Group on Long term Cooperative Action under the Convention (from Cancun); Decision 2/CP.17 Outcome of the work of the Ad Hoc Working Group on Long term Cooperative Action under the Convention (from Durban); Decision 12/CP.17 Guidance on systems for providing information on how safeguards are addressed and respected and modalities relating to forest reference emission levels and forest reference levels as referred to in decision 1/CP.16 (from Durban) Decision 1/CP.18 Agreed outcome pursuant to the Bali Action Plan (from Doha) Decision 9/CP.19 Work programme on results based finance to progress the full implementation of the activities referred to in decision 1/CP.16, paragraph 70 (from Warsaw) Decision 10/CP.19 Coordination of support for the implementation of activities in relation to mitigation UNFCCC UNFCCC 21 P a g e

22 Document Author Location actions in the forest sector by developing countries, including institutional arrangements (from Warsaw); Decision 11/CP.19 Modalities for national forest monitoring systems (from Warsaw); Decision 12/CP.19 The timing and the frequency of presentations of the summary of information on how all the safeguards referred to in decision 1/CP.16, appendix I, are being addressed and respected (from Warsaw); Decision 13/CP.19 Guidelines and procedures for the technical assessment of submissions from Parties on proposed forest reference emission levels and/or forest reference levels (from Warsaw); Decision 14/CP.19 Modalities for Measuring, Reporting and Verifying (from Warsaw); Decision 15/CP.19 Addressing the Drivers of Deforestation and Forest Degradation (from Warsaw); Decision 10/CP.19 Coordination of support for the implementation of activities in relation to mitigation actions in the forest sector by developing countries, including institutional arrangements; Decision 11/CP.19 Modalities for national forest monitoring systems 12/CP.19 The timing and the frequency of presentations of the summary of information on how all the safeguards referred to in decision 1/CP.16, appendix I, are being addressed and respected; Decision 13/CP.19 Guidelines and procedures for the technical assessment of submissions from Parties on proposed forest reference emission levels and/or forest reference levels; and Decision 14/CP.19 Modalities for measuring, reporting and verifying 15/CP.19 Addressing the drivers of deforestation and forest degradation Others as they are agreed upon Joint World Bank-UNDP Guidance Note on Grievance Resolution Mechanisms (World Bank-UNDP 2013, 2-3) carbonpartnership. org/sites/fcp/files/2 013/May2013/Joint %20Guidance%20 Note_GRM_Draft_ for%20printing.pdf 22 P a g e