Kenya: Baseline Survey of the Water, Sanitation & Hygiene Project in Kenya

TERMS OF REFERENCE

FOR BASELINE SURVEY OF THE

WATER, SANITATION AND HYGIENE PROJECT IN KENYA

SUPPORTED BY DEPARTMENT FOR INTERNATIONAL DEVELOPMENT AND BRITISH RED CROSS

1. Summary

1.1.Purpose: The baseline study is meant to assess the current water, sanitation and hygiene situation at both household and community-level in the targeted project areas. The assessment will provide benchmark statistics against which future evaluations will be gauged.

1.2.Partners: Department for International Development (DFID), Kenya Red Cross Society (KRCS), British Red Cross (BRC) and County Governments of Kilifi and Taita Taveta Counties

1.3.Duration:40 days (to be worked between late-October to end December 2015)

1.4.Geographical Location: Kilifi and Taita Taveta Counties

1.5.Target Population: community members and stakeholders within targeted locations

1.6.Deliverables: Inception Plan, Data Collection Tools, Data Sets, Draft Report, Presentations and Final report

1.7.Methodology:Document Review (current documented national surveys, county development plans etc), household survey, key informant interviews and focus group discussions with beneficiaries

1.8.Evaluation Management Team: KRCS M&E and WATSAN program representatives, and BRC representative

2.Background

Kenya Red Cross has six core program areas, with water and sanitation being one of them. This three year program aims at improving hygiene and sanitation practices and increase access to improved water and sanitation for 110,000 people in Taita Taveta and Kilifi Counties. The anticipated changes over a three year period include:

· Increased awareness/understanding of health risks linked to unhygienic practices, resulting in behaviour change e.g. critical times for hand washing, safe disposal child faeces; knowledge of the causes/prevention of WASH-related diseases, safe water chain and open defecation (OD) contamination risks.

· Increased use of rehabilitated/new water infrastructure, improved water quality, reduced collection distances; increased demand for/use of latrines, reduced OD and reduced contamination risks.

· Enabled and strengthened communities, able to foster connections, engage and solicit support from local government in arrangements for on-going WASH operation and maintenance (O&M).

· Shared evidence-based experience and coordination between WASH actors

3. Baseline study Purpose and Scope

Purpose

The main aim of conducting this baseline survey is to provide statistically representative baseline values against key WASH indicators (including, but not limited to, those in the logical framework matrix (LFM)) and to assess current issues surrounding water facility management. This will avail a detailed reference document for assessing the project changes in future evaluations.

Objectives

1. To determine benchmark statistics for WASH program indicators at household-level in Taita Taveta and Kilifi counties (through collection of primary and secondary data).
2. To collect information that will influence project design and ways of working – at household, school and community levels.

4. Key aspects of the baseline study

Objective 1: To determine benchmark statistics for WASH program indicators at household level in Taita Taveta and Kilifi counties (through collection of primary and secondary data).

NB\*the below combines both household and community/system indicators. An Indicator Reference Sheet with definitions of each will be shared with the consultants for using. It is expected that data collected via household survey will be triangulated with available secondary data.*

Intervention Logic & IndicatorsBaseline to measure Impact:Improved health as a consequence of accessing safe and sustainable WASH in Kenya Indicator:**Proportion of children under five years (U5) affected by diarrhoeal diseases (reported in the previous two weeks) Y** Outcome 1:**110,000 women, men, girls and boys in Kilifi and Taota Taveta Counties (Kenya) increase access to improved and sustainable water and basic sanitation** Outcome Indicator 1.1Number of people accessing an improved drinking water source less than 1km and 2km away disaggregated by gender (men, boys, women and girls) Y Outcome Indicator 1.2Number of functioning water management structures existing at the completion of the project N Outcome Indicator 1.3Number of people using a basic latrine with a handwashing facility with water and soap (or alternative) disaggregated by gender (men, boys, women and girls) Y Outcome 2:110,000 women, men, girls and boys in Kilifi and Taota Taveta Counties (Kenya) improve their hygiene and sanitation practices Outcome Indicator 2.1**Percentage of households which have at least one caregiver with knowledge of 3 critical times for hand washing and the importance of disposing of child faeces (under 5 years of age) in a hygienic manner. Y**Outcome Indicator 2.2**Number and percentage of villages/communities that are open defecation free (ODF) Y**Output 1:**Target Schools and Communities have knowledge of good hygiene practices** Output Indicator 1.2Percentage of people who self report appropriate handwashing technique with soap/ash/alternative and water Y Output Indicator 1.3Percentage of people with correct knowledge of causes and prevention of diarrheal. Y Output 2:Functional water infrastructure providing safe water for 110,000 people Output Indicator 2.1**Number of people accessing safe water from functional water infrastructure Y**Output Indicator 2.2**Number of schools with safe drinking water supply N[1]**Output 3:**Construction/rehabilitation of latrine facilities in households and schools** Output Indicator 3.1Percentage of target households with latrines with handwashing facilities Y Output Indicator 3.2Number of schools with latrines with handwashing facilities (separate for boys and girls and disabled access) N Output 4:Improved sustainability of water facilities through strengthened governance and management capacities in targeted areas Output Indicator 4.1**Number of water points with functional water management structures created, including oversight and regulation by the respective authorities (e.g. county governments, water boards, regulatory boards, etc). tbc**Output Indicator 4.2% of positions within functional water management structures held by women tbc

Objective 2: To collect information that will influence project design and ways of working – at household, school and community level.

The following information is needed to inform project design – this is a working list and it is expected that the consultants work to refine this (as well as how it is collected) as part of the inception plan. It is expected that some of this information will be collected as part of the household survey, and other via focus group discussions and key informant interviews with households, other community members, school stakeholders.

Possible additional quantitative information (Household and school measures)

· Perceptions around importance of sanitation, water, and hygiene practice

· KAP in WASH

· Willingness and ability to pay for water

· Willingness and ability to pay for improved sanitation

Possible additional qualitative information (Household/community and school measures):

· The role of men vs. women in WASH practice and decision making

· What is it that will motivate men and women to adopt safer behaviour, or to build their own latrines?

· What types of latrines do people aspire to have?

· What are the barriers that prevent people from building or improving their own latrines?

5. Methodology

Role of the consulting firmAnticipated # days needed · Familiarise with the project proposal and LFM, and undertake desk review of documents related to the project 2 · Hold meetings with key staff in KRCS, BRCS and other stakeholders to clarify other indicators that should be measured beyond the minimum ones outlined in the log frame. 2 · Develop an inception plan (including the and design of data collection tools for applicable qualitative and quantitative methods) which defines:

1. The proposed baseline methodology, including the sampling design (size and methodology) that is statistically representative of all target areas and a standardized data collection & management plan.
2. The survey and other instruments – clearly showing the link between questions and what they aim to measure.
3. The schedule.

Note: the inception plan should be signed off prior to other work commencing. A week should be allowed for feedback and finalisation of the inception plan before moving on to the field work. 4 · Facilitate recruitment and RAMP/ODK training of research assistants (supervisors, interviewers, data recorders) and pre-testing of data collection tools. 3 · Co-ordinate collection of data household data using mobile phone technology, entry and analysis on SPSS and present data disaggregated by gender, age and locations 11-20 · Co-ordinate collection of qualitative data via FGDs / KII with communities members (ensuring findings can be disaggregated by men and women) and key stakeholders. Geographical differences between the two counties should be highlighted. 4 · Develop and submit the first draft of the baseline report.

A week should be allowed for feedback on the baseline report from KCS and BRC. 3 · The consultant shall revise the draft report after feedbacks and make a presentation of the survey findings to KRCS, BRC and other stakeholders. Thereafter, based on additional comments received, the consultant shall prepare the final report

· Submit the final evaluation report to KRCS Headquarters in Nairobi, Kenya i.e. 3 Hard Copies and a soft copy in CD-ROM. 2 TOTAL 31 – 40 days

Note: All tools and reports will be reviewed by KRCS and BRC technical advisors.

Role of KRCS & BRC

· Participate in the recruitment of the consultant

· Coordinate the survey implementation process through the KRCS M&E unit

· Provide the consultants with a detailed indicator reference sheet

· Review and provide input into the inception plan, proposed methodology, survey instruments and schedule

· KRCS will organize logistics for the survey team

· Avail all necessary documents for desk review

· KRCS will be the link between the community and the consultant

· Will be the custodian of all data generated from the survey

· Organize dissemination forums as necessary

6. Deliverables

· Inception report detailing the baseline survey design, methodology, sampling methodology & sample frame, survey tools, agreed budget and work plan.

· Data collection tools

· Draft and final baseline survey reports

· Copies of original and cleaned data sets with codebook. The raw data, the database which has been cleaned (both qualitative and quantitative, including original field notes for in-depth interviews and focus group discussions, as well as recorded audio material), should be submitted in soft copy together with the report. A simple inventory of material handed over will be part of the record. KRCS & BRC will have sole ownership of all final data and any findings shall only be shared or reproduced with the permission of KRCS.

· Presentation of findings

7. Ownership and Disclosure of Information

All documents, project designs, drawings, data and information shall be treated as confidential and shall not without the written approval of KRCS/BRC be made available to any third party. The utilization of the report is solely at the decision and discretion of KRCS/BRC. All the documents containing both raw data/materials provided by KRCS and final report, both soft and hard copies are to be returned to KRCS upon completion of the assignment. All documentation and reports written as, and as a result of the research or otherwise related to it, shall remain the property of KRCS/BRC. No part of the report shall be reproduced except with the prior, expressed and specific written permission of KRCS/BRC.

8. Evaluation Quality & Ethical Standards

The consultant shall take all reasonable steps to ensure that the evaluation is designed and conducted to respect and protect the rights and welfare of the people and communities involved and to ensure that the evaluation is technically accurate and reliable, is conducted in a transparent and impartial manner, and contributes to organizational learning and accountability. Therefore, the evaluation team shall be required to adhere to the evaluation standards and applicable practices.

The evaluation standards are:

1. Utility: Evaluations must be useful and used.
2. Feasibility: Evaluations must be realistic, diplomatic, and managed in a sensible, cost effective manner.
3. Ethics & Legality: Evaluations must be conducted in an ethical and legal manner, with particular regard for the welfare of those involved in and affected by the evaluation.
4. Impartiality & Independence; Evaluations should be impartial, providing a comprehensive and unbiased assessment that takes into account the views of all stakeholders.
5. Transparency: Evaluation activities should reflect an attitude of openness and transparency.
6. Accuracy: Evaluations should be technical accurate, providing sufficient information about the data collection, analysis, and interpretation methods so that its worth or merit can be determined.
7. Participation: Stakeholders should be consulted and meaningfully involved in the evaluation process when feasible and appropriate.
8. Collaboration: Collaboration between key operating partners in the evaluation process improves the legitimacy and utility of the evaluation.

It is also expected that the evaluation will respect the seven Fundamental Principles of the Red Cross and Red Crescent: 1) humanity, 2) impartiality, 3) neutrality, 4) independence, 5) voluntary service, 6) unity, and 7) universality.

9. Qualifications and Experience for Consultants

· The lead consultant must have a background in public health, social sciences or related field (at a minimum of Masters level)

· Lead consultant/a member of the consulting team must have particular expertise in water, sanitation and hygiene programming

· Demonstrable experience in conducting high quality baseline surveys and analysis for WASH / public heath projects within the past 3 years (and preferably provide sample copies of completed baseline surveys)

· Experience of conducting monitoring and evaluation and/or baseline surveys in target communities preferred

· High level of professionalism and an ability to work independently and in high-pressure situations under tight deadlines.

· Strong interpersonal and communication skills

· The team must have a statistician familiar with SPSS for data management.

· The lead consultant must have working experience in Kenya and be familiar with the cultural background of target communities.

· Firm must have experience in using mobile phone technology for data collection, monitoring and reporting

· The lead consultant must have strong analytical skills and ability to clearly synthesize and present findings, draw practical conclusions, make recommendations and to prepare well-written reports in a timely manner.

· The lead consultant should have experience in qualitative and quantitative research methodologies

· The lead consultant should demonstrate capacity to produce high quality outputs within the proposed timeframe

· Excellent English writing and presentation skills, with relevant writing samples of similar evaluation reports.

· Availability for the period indicated.

10. Application Requirements

Application materials shall include:

· A written response to this TOR in terms of a proposal detailing the technical understanding of the task, proposed methodologies, expected activities and deliverables, proposed work plans with schedule, and financial bids.

· Detailed CVs of all professional (s) who will work on the baseline. If there is more than one contractor on the proposed evaluation team, please attach a table describing the level of effort (in number of days) of each team member in each of the activities.

· Professional references: please provide three references from your previous clients and full contact details of the referees.

· One example of a baseline report undertaken of similar programmes and context

11. Management of the baseline

· The baseline process shall be managed by a management team lead by the KRCS M&E unit representative

· The management team members will include KRCS programs, M&E representation and British Red Cross

· The team shall participate in the review of the TOR, recruitment of the consultant, review of tools, data collection, review of submitted reports, presentations and development of a plan to manage evaluation recommendations.

· The Management team shall determine the content of the final report to be disseminated to wider audience.

12.Timeframe

The assignment is expected to take an estimated 31-40 days (between late October – end December) which includes desk-review, preparation, implementation, report-writing and presentation. The consultant to include and share a tasks, outputs and suggested (TOS) timeframe in the inception report.

A clear timeline for feedback at each stage (inception report, tools, draft report, revised report and so on) will be agreed with the consultant.

12.**Submission of Proposals**

The Technical Proposal MUST be prepared in conformance to the outline provided in Annex 1 while the financial proposal shall conform to the template provided in Annex 2.Team composition should conform to Annex 3.

Bidders should provide a technical and financial proposal in **two separate envelopes* clearly marked**“Technical Proposal” and “Financial Proposal”**and sealed in one plain envelope**clearly marked “**Proposal No. PREQ03941Baseline Survey of the Water, Sanitation and Hygiene Project in Kenya”*

The Proposal should be addressed as below to reach the under signed by 18^th November 2015 by 11:00 am to the Undersigned:

Proposal No. PREQ03941 Baseline Survey of the Water, Sanitation and Hygiene Project in Kenya

Chairperson

Tender Committee

Kenya Red Cross Society

P.O Box 40712 - 00100

Nairobi, Kenya

Bidders are invited for the proposal opening at 12:00 noon on 18^th November 2015 at Kenya Red Cross Society Headquarters in South C.

ANNEX 1: RESPONSE PROPOSAL FOMART

1) Introduction: description of the firm, the firm’s qualifications and statutory compliance

2) Understanding of the requirements for services

3) Proposed methodology - define methods to be used for each indicator. The targeted respondents should be indicated and Propose detailed evaluation questions for each objective Outline of firms experience in undertaking assignments of similar nature and experience from the geographical area for other major clients

4) Proposed team composition

5) References

6) Workplan

ANNEX 2: BUDGET TEMPLATE

The consultant shall only quote for the items below as KRCS will manage all other related costs (logistics and payment of enumerators)

ItemUnit # of Units Unit Cost Total Cost (Ksh.)**Consultancy Fee (for the whole baseline period) Per day Office expenses (printing, photocopy, binding, communication costs etc.) lump sum**Grand Total

ANNEX 3: PROPOSED TEAM COMPOSITION TEMPLATE

Name of Team MemberHighest Level of Qualification Number of days to be involved General Years of Experience related to the task at hand Roles under this assignment

ANNEX 4: TENDER EVALUATION CRITERIA

A three stage evaluation procedure will be used to evaluate all proposals from bidders. The total number of points which each bidder may obtain for its proposal is:

• Technical Proposal 60 marks
• Oral presentation 30 marks
• Financial Proposal 10 marks
• Evaluation of the Technical Proposal

The technical proposal shall be evaluated on the basis of its responsiveness to the TOR. Specifically, the following criteria shall apply:

Evaluation CriteriaMaximum Points Possible Bidders score (1) Introduction:

• Description of the Firm and the Firm’s Qualifications
• Legal Compliance Mandatory Requirements: (If all three are missing, bidder to be disqualified)

-Certificate of Incorporation

-PIN Registration

KRA Tax compliance 10 (2)Understanding of the Requirements for Services**:** Demonstrate an understanding of the task at hand as well as propose the most suitable approach in responding to the TOR and all other requirements. 20 (3)Proposed Methodology:**The proposed methodology MUST provide an indication of its effectiveness and added value in the proposed assignment.**20**(4) Firms Experience in undertaking assignments of similar**nature and any experience from the geographical area for other major clients

• Provide a summary and supporting information on overall years of experience, and related technical and geographic coverage experience
• Provide official copies of baseline survey LPOs from major organizations worked for in the past three years) 20 (5) Proposed Team Composition:
• Describe and tabulate the team composition to include the general qualifications, suitability for the specific task to be assigned and overall years of relevant experience to the proposed assignment.
• The proposed team composition should balance effectively with the necessary skills and competencies required to undertake the proposed assignment.
• Lead Consultant Qualifications- background in public health, social sciences or related field (at a minimum of Masters level) and have particular expertise in water, sanitation and hygiene monitoring and evaluation (attach CV)
• Mandatory Team Member Qualifications– Statistician (attach CV)
• Others –Specify roles and attach CVs for each team member proposed 10 (6) References:Provide three official references (on company letter head and stamped) on previous works done related to the current assignment by major clients in the past three years. All references provided must include name, designation, email and day time telephone contacts.**(Unsatisfactory works conducted for KRCS in the past will attract -ve 10 score)** 10 (7) Workplan: A detailed weekly work plan for the assignment MUST be provided. 5 (8) Overall Compliance to the TOR Requirements:
• Technical and Financial Proposals Submitted in separate envelops, within the stipulated time and at the designated place
• Proposals and supporting documents prepared in the prescribed format and templates 5 TOTAL SCORE100

Total scores of the technical bid analysis shall be converted to a denominator of 60. The top three firms will go to the orals stage and top two after the orals will go to the financial evaluation stage

1. Evaluation of the Financial Proposal

The Financial Proposal shall be prepared in accordance to Annex 2 .The maximum number of points for the Financial Proposal shall be 10% (**10 points)**. This maximum number of points will be allocated to the lowest Financial Proposal. All other Financial Proposals will receive points in inverse proportion according to the below formula:

Points for the Financial Proposal being evaluated =

(Maximum number of points for the financial proposal) x (Lowest price)

Price of proposal being evaluated

A total score obtained including both Technical and Financial Proposals is calculated for each proposal. The bid obtaining the overall highest score is the winning bid.

[1] This will be measured by the programme team

Bidders should provide a technical and financial proposal in **two separate envelopes* clearly marked “Technical Proposal” and “Financial Proposal”and sealed in one plain envelope clearly marked “Proposal No. PREQ03941Baseline Survey of the Water, Sanitation and Hygiene Project in Kenya”*

The Proposal should be addressed as below to reach the under signed by 18^th November 2015 by 11:00 am to the Undersigned:

Proposal No. PREQ03941 Baseline Survey of the Water, Sanitation and Hygiene Project in Kenya

Chairperson

Tender Committee

Kenya Red Cross Society

P.O Box 40712 - 00100

Nairobi, Kenya