Terms of Reference for the mid-term evaluation of the EU action: Job creation and sustainable livelihoods through implementation of the Small-scale Fishery Policy

1. Background to the mid-term evaluation

In April 2015, Masifundise initiated a three - year project (above mentioned 'action') funded by the EU European Development Fund. As part of this action, Masifundise will appoint a consultant/consultancy team to conduct a mid-term evaluation to analyse the current situation and identify the point of departure for the mid- term evaluation. The mid-term evaluation will be conducted by an external consultant, consulting firm/institute and follow Masifundise Procurement Procedures in compliance with the Rules for Procurement in the context of European Union External Actions. The Terms of Reference (hereinafter TOR) follows the principles, format and contents as outlined in the EU Project Cycle Management Guidelines (2004)[footnoteRef:1] and the DAC evaluation criteria[footnoteRef:2] (relevance, efficiency, effectiveness, impact and sustainability). [1: https://ec.europa.eu/europeaid/sites/devco/files/methodology-aid-delivery-methods-project-cycle-management-200403_en_2.pdf] [2: http://www.oecd.org/dac/evaluation/daccriteriaforevaluatingdevelopmentassistance.htm]

This detailed TOR is developed to ensure and measure whether the actions of the project thus far relates to the overall and specific objective, the results and outputs of the action. This mid- year evaluation should also, assess the baseline report against the Indicators of the Action as per the Action Document and Logframe and provide recommendations on how to address any shortfalls of the baseline study. It should, assess monitor and identify changes in the context of the action that can potentially have an impact on the results and issue recommendations to ensure that the intended results are achieved as well as assess the appropriateness relevance and effectiveness of the activities carried out in the context of the actions and issue

recommendations to improve and maximize outputs.

1.1 Context of the action

The contract with the EU entered force on 23 April 2015. The mid-term evaluation will be conducted in November 2017

Masifundise together with the small-scale fisher organisation, Coastal Links South Africa (CLSA), has played a key role in developing a new Small-scale Fishery (SSF) Policy in partnership with the Department of Agriculture, Forestry and Fisheries (DAFF) and other stakeholders. After a five year policy making process, the SSF Policy was endorsed by Government in June 2012. In the SSF Policy, the Government acknowledges that the fishery legislation developed up until 2005 excluded the majority of South Africa's 30.000 small-scale fishers and recognises ... that the new approach must address the existing need for transformation, the progressive realisation of human rights within affected communities, developmental objectives and current economic realities.... The SSF Policy builds on principles of 'community fishing rights' and 'co-management'. While DAFF only recently took first steps towards implementation of the policy, the Department of Trade and Industry (DTI) has already provided support for empowerment and capacity building of co-operatives in a few fishing communities. This is a partnership involving Masifundise, CLSA, the National Empowerment Fund and the Local Economic Development Division of Matzikama Municipality. CLSA has called for continued support from Masifundise (its secretariat) to ensure that the fishing communities have sufficient capacity to both operate legal entities (eg. co-operatives) and engage in co-management of fishery resources together with governmental departments.

Since the inception of the action, Masifundise and CLSA have also engaged substantially with the Office of the Premier in KwaZulu Natal Province. As a result, the Premier, Mr Willies Mchunu, has committed his office to implement the small-scale policy. The diplomatic relationship with the Premiers Office is promising and provides unprecedented opportunities for small-scale fishing communities in the province.

In 2015 the MEC for Economic development in KZN Mr Mike Mabuyakhulu pledge in support of the Implementation of the SSF Policy stressing this right allocation process through cooperatives will assists in job creation in the province and thus assist government in alleviation of poverty. Then on 10 December 2015 the current Deputy Minister of Daff the Honourable Bheki Cele called an Imbizo in KZN, he promised small scale fishers that he will use all powers invested to him by the Constitution that the implementation process of Small Scale Fisheries goes without hindering form other interested stakeholders in the province, and that as government and the department they believe that through cooperatives the policy will definitely create more sustainable jobs for the disadvantage fishing communities. This process is being supported by all former and current office bearers, by councilors and mayors. Its, very interesting that its even supported by Traditional council in KZN.

In the Eastern Cape the Action is also supported by the local authorities, there has been several meetings with local municipalities in Port St. Johns were the LED manager Miss Thomakazi Lutshaya said that as a municipality they fully support the fishers and are also interested in co-management of the process. On the 15 July, the Standing Committee on Fisheries (Portfolio Committee) also had an imbizo in Port St. Johns where they held an awareness campaign to explore the challenges small scale fishers are facing and how they as the committee can engage with DAFF in resolving these challenges. There were several meetings with other Municipalities in EC where office bearers also pledged their support for the implementation of the Action.

This EU Action is shaped by Masifunsides experience of working with coastal communities in SA for more than 15 years, with a focus on development at a grass roots level, and from inputs from CLSA. Masifundise is the only organization in South Africa holding prominent knowledge and experience in the field of small-scale fisheries. This is the outcome of a long- term engagement with fisher people at community level.

The Overall objective of the action is: Creating jobs and securing sustainable livelihoods through the implementation of the Small-scale Fishery (SSF) Policy in small-scale fishing communities in the Northern, Western and Eastern Cape and KwaZulu-Natal Provinces, and contribute to the achievement of job creation and a greener economy in line with the National Growth Plan.

The Specific objective of the action is: Fisher People, including men, women and youth, from 20 fishing communities, see list on page 9, have increased their skills and capacity to engage in co-management of fisheries and to benefit from job creation via the implementation of the SSF Policy.

The target groups are:

a) 1 565 households from fishing communities, including men, women and youth

b) Municipalities, in particular its Local Economic Development Units; the Department of Agriculture, Forestry and Fisheries (DAFF) and in particular its fisheries branch; the Department of Trade of Industry (DTI) and in particular its Enterprise and Empowerment Development Division.

The estimated results are:

ER1) formation of empowered co-operatives capable of taking active part in the co-management of fisheries and benefiting from the creation of jobs and livelihood opportunities in 20 fishing communities.

ER2) documentation of lessons and best case practices of co-operatives already established in one community in order to scale up and fast track economic development and job creation in other communities.

ER3) to improve cooperation with DAFF and DTI in order to ensure governmental commitment and human and financial resources for a successful implementation of the SSF Policy including job creation.

The main activities are:

A1) Capacity building and empowerment of the CBO, CLSA, through training sessions, workshops and use of information tools/manuals; Fieldwork in each of the twenty fishing communities to facilitate knowledge empowerment and skills training.

A2) Development of learning and information materials in a popular language (English, Xhosa, Zulu and Afrikaans) to reach and empower the target group; documentation of best case lessons on co-management and co-operatives to enhance partnerships with private and governmental sector associates.

A3) Improved co operation DAFF and DTI through round table meetings and advocacy meetings.

The Action particularly focuses on the implementation of the SSF Policy. This policy is in line with United Nations guidelines on fisheries, which states: Recognizing the important contributions of artisanal and small-scale fisheries to employment, income and food security, States should appropriately protect the rights of fishers and fish workers, particularly those engaged in subsistence, small-scale and artisanal fisheries, to a secure and just livelihood...[footnoteRef:3] [3: E.g. the UN Code of Conduct for Responsible Fisheries, 1995: Accessed at www.fao.org/docrep/005/v9878e/v9878e00.HTM ]

The SSF Policy stresses the importance of economic development in rural fishing communities through allocation of fishing rights to co-operatives (or similar legal entities) and job creation in the entire value chain. This Action will improve the standards of living and rectify past injustices through rights-based interventions and by addressing skewed patterns of distribution and ownership of wealth; lead to creation of livelihoods and jobs; and contribute towards the government's long term goals of eliminating poverty and reducing inequality.

Pre-project situation in coastal fishing communities of South Africa

There is no reliable up to date information on the number of small-scale fishers in South Africa. A study from 2000[footnoteRef:4], estimated that there are over 28.000 'subsistence' fishers which at that time accounted for the majority of all small-scale fishers. A reasonable estimate of the number of small-scale fishers today is 30.000 and with an average of 6 people per household at least 180.000 people depend on small-scale fisheries for income, food and livelihoods . According to researchers at the University of Cape Town, the number of small-scale fishers could be closer to 80.000 nation-wide. These numbers do not take into consideration the large potential for many more jobs in ancillary fishing activities (entire value chain including boat building, processing and marketing). Approximately 90% of these fishers were excluded from the 2005 rights allocation process (the long term policy introduced in 2005). The SSF Policy (2012) stipulates that small-scale fishers were not ...a recognised category of fishers in the legislation that regulates access to... marine living resources and that the allocation of commercial fishing rights to a small number of traditional Small Scale fishers negatively impacted on the traditional fishing communities and their lifestyles as a large percentage of these fishers [did] not receive any allocations. The situation today is that approximately 2000 fishers have received temporary permits valid until such time the SSF Policy is implemented. It is on the basis of these permits that fishers have organised into co-operatives in Doringbaai, yet the fishers are still waiting for their permanent fishing rights to be allocated under the SSF Policy. Doringbaai is the only out of approximately 200 fishing communities nation-wide where the community has truly benefited from significant governmental support. The 120 fishers working in 12 cooperatives in this community have estimated that they will earn R25.000 per fisher in the 2012/2013 season. The allocation of resources is expected to increase significantly under the implementation of the SSF Policy, which will ensure long term economic sustainability of the co-operatives. [4: SFTG 2000. Recommendations for Subsistence Fisheries Management in South Africa. Subsistence Fisheries Task Group Final Report. Unpublished Report, Department of Environmental Affairs and Tourism: Marine and Coastal management. Cape Town, South Africa: pp 88. ]

Departmental records reflect that there are more males who fish in the WC than women, and that more women fish in the EC and KZN than in the WC. In the WC, women were involved in harvesting but in more recent years, they have been marginalized. Women are however involved in many activities that are integral to the Small Scale fishing community sector.[footnoteRef:5] It is our estimate that women account for at least 50% of the jobs in fishing and/or ancillary activities in the Eastern Cape and KwaZulu-Natal. [5: From the Small-scale Fishery Policy of 2012]

In general, the unemployment rate in fishing communities is very high because the majority of fishers still have not been granted their legal rights to fish. According to a 2006 study[footnoteRef:6], 53% of the households in the fishing communities across the nation are food insecure and the average adult income per month varied from R193 in Eastern Cape to R425 in Western Cape. [6: Sowman, M. 2006. Subsistence and small-scale fisheries in South Africa: A ten-year review. Marine Policy 30 (2006) 6073]

Findings of the baseline survey conducted in the inception phase of the EU action

The baseline report makes the following conclusions:

Among the communities included in the study, the data reflect that a significant proportion of the work force are unemployed 40,49%. Unemployment seems to be highest in the Northern Cape (44.44%) and KZN (42.17%); it is also clear that the Small Scale fishing sector it critical to all the communities as it is the most significant sector with respect to employment opportunities. These results reinforce the need to assist the individuals in these communities in becoming sustainable Small Scale Fishers as is it one of the only opportunities for individuals to earn a livelihood.

The findings show that the dependence on the fishing sector is significant in all the communities but that current skills and employment opportunities are limited. Insufficient skills pertaining value chain opportunities is a hindrance to development in the small-scale sector. In addition, hereto, lack of infrastructure (for value chain developments) is also a hindrance. This, for example, applies to infrastructure necessary for fish processing.

The survey shows the following important points to the fact that the majority of households in these communities live subsistence life styles: Household income is relatively low and access to amenities such as water, electricity and sanitation can be improved (with the exception of Northern Cape). These results are important as they point to the fact that local authorities need to be brought into this project as they are the key to unlocking the necessary physical infrastructure i.e. one cannot build cold-rooms or processing facilities without water, electricity and sanitation.

The survey shows clearly that use of cell phones, smss, word of mouth and radio stations are the most effective way of communicating with households in these communities. There are some notable deviations from this with 20% of households in the Northern Cape opting to use Newsletters.

In addition to the findings of the baseline it is relevant to point at a couple of factor relating to Estimated Result 1 and 3.

Since the baseline was carried out, the government has made efforts towards the formation of legal entities. While this appears to be a positive result, which can be attributed to improved relationships and cooperation, it must be emphasized that these entities still do not hold any fishing rights as per September 2016. It is also important to note that while the SSF policy includes, and values the role of women and the youth in fishing communities, the Regulations is silent on the inclusion of women and the youth. This exclusion, together with the Ministers silence on the proportion of marine resources available to SSF, challenges the prospects of legal entities securing sustainable fishing rights as expected.

2. About Masifundise

A leading organisation supporting small-scale fishing communities

Masifundise is a South African NGO founded in 1980. Until the end of Apartheid in 1994, its main aim was to provide support to the Black population of the Western Cape to access adult education opportunities. With the introduction of democracy in 1994, this work became obsolete and it turned its attention to new social issues resulting from new fishing legislation introduced in the late 1990s. The organisation entered a niche social area where no other developmental organisation worked. In 2004, Masifundise registered as an independent trust and focused on helping fishing communities achieve sustainable livelihoods in a democratic and socially just environment through self-organisation and lobbying & advocacy programmes.

Masifundise facilitates empowerment of fishing communities through open and honest dialogue. In this process, the communities become more knowledgeable about the political, social, environmental and economic contexts that affect them, and thereby become capable of taking decisions that have a positive effect on their livelihoods. This strategy is based on Masifundise's core principle that people have the right to self-determination.

Masifundise also engages in lobbying and advocacy work at national and international level. This work is at all times carried out in close partnership with leaders from the fishing communities. In a South African context, Masifundise strategically lobby government and the commercial fishing industry for example via litigation and targets the broader public in its advocacy work for recognition and support for small-scale fisheries. At the international level, Masifundise conducts lobbying and advocacy towards NGO's, governments and intergovernmental institutions in order to ensure social, economic and environmental justice in fishing communities worldwide.

About CLSA

Coastal Links South Africa (CLSA), was established in 2003, and currently, it has structures in all four coastal provinces of SA. It is a fisher movement representing 5000 small scale fishers, fighting for the rights and recognition of Small Scale Fishers in South Africa. It is community based and works alongside Masifundise to capacitate and strengthen fishers and their communities so that they are able advocate, lobby and participate in the decisions pertaining their lives and livelihoods.

3. Purpose and objectives of the evaluation

The mid-term evaluation serves to assess the efficiency, effectiveness, impact, relevance and sustainability of the action, as well as to identify any contextual changes that might require changes to the action. Furthermore, it is expected that the evaluation will provide recommendations for Masifundise to improve on efficiency, effectiveness, impact, relevance and sustainability of the action.

Impact of the action:

The evaluation will assess to what extend the overall objective and specific objectives have been met; taking into consideration assumptions and risks as mentioned in the LFA and the full application of the action.

Effectiveness of the action:

The evaluation will assess to what extend have the estimated results (expected results as per LFA) been met, taking into consideration assumptions and risks as mentioned in the LFA and the full application of the action.

Efficiency of the action:

The evaluation will assess to what extend the activities of the action have been implemented, taking into consideration assumptions and risks as mentioned in the LFA and the full application of the action.

Relevance of the action:

The contexts (social, political, environmental, economic) of small-scale fisheries today are in some respects similar to when the application was developed in 2013, but in other respects it has changed substantially.

The evaluation will assess if the activities and methodology applied in the action is relevant in the context of the current political, social, environmental and economic contexts.

Sustainability of the action:

The evaluation will assess the overall sustainability of the action by taking the impact, the effectiveness, the efficiency and the relevance into consideration.

The evaluation will take into consideration section 2.1.4 of the full application in relation to the sustainability of the action.

Use of the findings:

The evaluation should provide information that is credible and useful, enabling the incorporation of lessons learned into the decision-making process of both Masifundise and the EU delegation to South Africa. The evaluation will, hence, provide information and recommendations that enables Masifundise to make potentially necessary adjustments pertaining the implementation of the action.

In addition, the purpose of this mid- year evaluation is to assess the progress made in relation to the baseline study and to measure the effectiveness of the monitoring system in place.

4. Scope of the mid-term evaluation

Time span:

The time span of the mid-term evaluation is negotiable between Masifundise and the consultancy. However, efforts should be made to complete the evaluation within 10 weeks from the signing of the contract.

Stakeholder groups:

Masifundise staff, the Board of Trustees and Coastal Links South Africa

Fisher people:

Men, women and youth; fishers and people involved in ancillary activities from a reasonable sample from the 20 fishing communities in the four coastal Provinces as per page 9, as well as 1 or 2 others Coastal Links communities.

Private sector stakeholders

Some SMMEs plays an important part in the creation of jobs under the SSFP adding to the value chain, there for we should include them as stakeholders.

Department of Agriculture, Forestry and Fisheries:

Deputy Minister of DAFF: Minister Bheki Cele

Mr Dennis Fredericks, Chief Director of Inshore Fisheries Management at DAFF

Mr Craig Smith, Director of Small Scale Fisheries

Mr Abongile Ngqongwa, Deputy Director Small Scale Fishing Branch

Department of Trade and Industry (DTI)

Thamie Klassen

Provincial Government

Mr Mike Mabuyakhulu: Economic Development , Tourism and Environmental Affairs, KZN

Mr Phikelele Mbonambi: DAFF Manager SSF branch KZN

Department of Environmental Affairs: Mr Gola Mkhefe National Director

DAFF: Mr Vuyisani Jozana, Eastern Cape

Chief marine conversation environmental awareness officer: Miss Veronica Mangala

Sustainable Rural Development Officer: Miss Sandisiwe Balfour

Municipal Governments

Western Cape

Matzikama MunicipalityIDP official/ Manager Mr Lionel Phillips at

Overstrand Municipality: Mr Katz Mynburgh -Area ManagerMs Owies - Local Economic Development (LED)

Kwazulu Natal

Hluhluwe MunicipalityMr Jabulani Myeni Local Economic Development ManagerMiss Nonhle Mnqayi Local Economic Development Manager

Eastern Cape

Mnquma MunicipalityMr Mpendulo Maphazi: Local Economic Development Manager

Nqushwa municipality Mr Fumanekile Phumaphi: Chief whip budget and Treasury

Port St Johns Municipality Miss Thomokazi Lutshaya Local Economic Development Manager

Portfolio committee on fisheries: Mr Humphrey Maxhegwana

NGOs and Research Institutes:

WWF

Environmental Monitoring Group EMG

Institute for Poverty, Land and Agrarian Studies (University of Western Cape)

Small Scale Fisheries Unit (University of Cape Town)

Department of Ichthyology and Fisheries Science (Rhodes University)

Geographical area to cover:

20 targeted communities from the four Provinces.

Northern Cape

Western Cape

Eastern Cape

KwaZulu Natal

Port Nolloth

Lamberts Bay

Centane

Kosi Bay

Hondeklip Bay

St Helena Bay

Coffee Bay

St Lucia

Langebaan

Port St Johns

Nkundusi

Mamre

Lusikisiki

Port Edward

Khayelitsha

Hamburg

Mtwalume

Buffeljags Bay

Colchester

Mgababa

5. Issues to be addressed and evaluation questions The evaluation must take into consideration the political context in SA and assess the effect of it on SSF. An assessment of the environmental and social context in which the action is being implemented is also relevant and the impact of this on the expected results in the action document. Activities as per the attached Action Plans for year 1 and 2 are executed and its relevance in the light of the political, and social contexts are described above. It should also evaluate progress towards results with regards to the activities as per the log frame, including: skills pertaining management of small-scale fishery resources

skills pertaining governance of small-scale fisheries

skills pertaining value chain opportunities

skills pertaining management of legal entities (e.g. cooperatives)

capacity of coastal links branches including internal arrangements

communication channels: which means of communication are most effective and efficient?

Livelihood opportunities? Has there been a shift or indication of a shift from government towards the allocation of fishing rights as per small-scale fishing policy (i.e. community rights as opposed to individual rights)? And has this resulted in new expected livelihood opportunities?

Cooperation with local, provincial and national governments.

6. Methodology

The evaluation must apply a combination of quantitative and qualitative survey methodologies, and build on available written documentation as well as interviews with key stakeholders.

The detailed choice of methodology will be left to the tenderer to propose. A detailed description of the methodology must be included in the inception report (see 8.1) Validation of results must be done through multiple sources. No single statements should be taken as a general outcome.

In the methodology chapter of the inception report, the following should be included:

Secondary sources review: reports, documents, materials to be analyzed during the desk study phase;

Primary data collection: the data collection tools that will be used, including any planned focus groups and interviews, field observations, reference to administrative records and management reports, etc;

stakeholders and key informants to be interviewed;

data analysis methods to be applied.

The methodology will be developed during the inception phase in consultation with Masifundise by producing an evaluation matrix including a detailed description of the methodology to be applied by the evaluator(s).

7. The mid-term evaluation process and time schedule

The mid-term evaluation shall be completed within 10 weeks from the signing of the contract.

Each phase of the mid year evaluation (section 8.1 to 8.5) must be approved by Masifundise, before the consultant(s) can proceed to the next phase.

8. Reporting

The consultant(s) must submit the following deliverables in English:

8.1 Inception report

The desk study results are included in the inception report as a concise analysis of the policies, guidelines, project documents, and other documents studied for the mid-term evaluation. The Inception report must also contain a detailed plan for what kind of questions need to be clarified by interviews, who will be interviewed in the partner and stakeholder organisations and institutions, outline of the questions to be asked in the interviews etc.

The Inception report must include detailed work methodologies, a work plan and detailed division of labour within the evaluation team (if more than one consultant), list of most important meetings and interviews (including questions), detailed questions linked to the objectives and outputs of the action, reporting plans including proposals for tables of contents of the reports.

The evaluation team is able to move to the next phase only after receiving a written statement of acceptance by the Masifundise director which may include additional requirements that would have been discussed ahead of time.

8.2 Presentation on the field findings

Presentation on the field findings must be given to the Masifundise staff.

8.3 Draft final report

Draft final report amalgamates the desk study and the field findings. The report presents findings, conclusions based on evidence.

Masifundise and Coastal Links South Africa will submit comments on the draft final report to the consultant(s). The comments will be submitted no later than 6 working days after receiving the draft report. The draft final report is commented only once.

The commentary round serves to clarify unclear issues, identify omissions and assess compliance with the TOR and the inception report.

8.4 Final report

The final report must be submitted 7 working days after receiving the comments. The final report must follow the report outline agreed on during the inception phase.

8.5 Presentation on the evaluation findings

The consultancy team is expected to give a detailed presentation on the findings to Masifundise staff and the Coastal Links Secretary in English.

The reports should be organized logically and relate to the outline of objectives, results and indicators in the LFA.

9. Expertise required

Masifundise is looking for an experienced consultant or consultancy team. Criteria for selecting the best qualified consulting firm/institute will include:

1) a sound track record of conducting external baseline surveys and/or evaluations;

2) solid experience of working in rural communities;

3) historical knowledge about the small-scale fisheries sector. The contracts will be awarded to the most cost-effective tender offering the best price-quality ratio.

The consultant(s) shall have fluency in written and spoken English and fluency in spoken Afrikaans, IsiXhosa and IsiZulu.

10. Mandate

The consultant(s) is entitled and expected to discuss matters relevant to this mid-term evaluation with pertinent persons and organizations.

11. Budget

A lump sum of R180000 in total is budgeted for the implementation of the mid - term evaluation.

12. Supporting documents relevant for the mid-term evaluation

1. The Concept Note for the Action

2. The full application for the Action

3. The Logical Framework Approach document and workplan yr 1 &yr 2

4. The National Small-scale Fisheries Policy

5. Baseline survey report

6. SSF Policy related documents

7. MLRA

8. Copies of Vissersnet

9. Media Releases

10. Radio Interviews

11. Weekly updates of the Hook

12. Documentation of activities conducted -all reports to EU

13. Annual report submitted to the EU

14. EU evaluation criteria see section 4.6 of the EU Project Cycle Management Guidelines.

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