USAID West Africa Water Supply, Sanitation and Hygiene Program (USAID WA-WASH)

Transcription

1 USAID West Africa Water Supply, Sanitation and Hygiene Program (USAID WA-WASH) WA-WASH SUSTAINABILITY CHECK TERMS OF REFERENCE May BP 1241 Ouagadougou 01, 89, Rue Liwaga, Secteur 54, Ouaga 2000, Burkina Faso, Tel , , , Fax , Site web:

2 Table of content 1. BACKGROUND INFORMATION AND RATIONALE EVALUATION OBJECTIVE AND APPROACH BENEFICIARIES OF THE EVALUATION SCOPE OF THE EVALUATION METHODOLOGY GOVERNANCE AND ACCOUNTABILITY GUIDING PRINCIPLES AND VALUES PROFESSIONAL QUALIFICATIONS DELIVERABLES AND SCHEDULE BUDGET AND PAYMENT SCHEDULE STRUCTURE OF THE PROPOSAL AND SUBMISSION GUIDELINES SELECTION CRITERIA...6 ANNEX 1: USAID WA-WASH RESULTS FRAMEWORK...1 ANNEX 2: USAID WA-WASH INTERVENTION AREAS...1 ANNEX 3: ILLUSTRATIVE SUSTAINABILITY FACTORS AND INDICATORS...2 i

3 1. BACKGROUND INFORMATION AND RATIONALE The primary goal of the USAID West Africa Water Supply, Sanitation Hygiene Program (WA-WASH) is to increase sustainable access to safe water and sanitation and improve hygiene in West Africa. This four year ( ) program will accomplish its objectives by introducing innovative and low-cost water and sanitation technologies and promoting adequate hygienic behaviors at community level; by developing practical models of sustainable WASH service delivery; by facilitating cooperation and creating synergies between WA-WASH and other relevant USAID/West Africa programs and priorities in the region; by increasing the capacity of national and regional institutions to replicate these approaches and models throughout the region; and by facilitating knowledge sharing among the WA- WASH countries and beyond. USAID WA-WASH is implemented by Florida International University with a consortium of five international partners (CARE, IRC, RAIN, UNESCO-IHE and Winrock) and three local partners (ANIMAS SUTURA, PROMACO and WSA), as well as a number of local partners working under the international partners. The context under which USAID WA-WASH program activities are being implemented is outlined in the Program Result Framework (see Result Framework in Annex 1). While individual activities are implemented by one partner, all efforts are coordinated between the partners to provide for an efficient implementation of the project while taking into account the country specific context in which we operate. Thus, to deliver the desired and expected impact, the partners work in concert as an integrated country team. USAID WA-WASH has selected five major geographical areas in Burkina Faso (the Southwest, Sahel, Center-West, and Boucle du Mouhoun Regions and the peri-urban area around Ouagadougou), the Upper West Region in Ghana and five regions in Niger (Dosso, Tahoua, Tillabery, Zinder and Maradi) to implement field activities. Specific communities are selected jointly by the partners. In addition, some countrywide activities such as capacity building takes place at the national level. Please refer to the program intervention areas in Annex 2 for more details. The WA-WASH Program has been designed to respond directly to Assistance Objectives established by USAID/West Africa and is expected to deliver key outputs and reach beneficiaries in three countries. In particular, the program aims at increasing, directly (hardware activities) and indirectly (software activities), the number of people with access to improved water supply services for household and productive use, as well as the people with access to improved sanitation services. The program will also increase number of people adopting household point-of-use treatment methods/products. Other achievements and outcomes include: the development, implementation and replication of new, low-cost, demand-driven and market-based approaches to WASH service delivery for rural and peri-urban populations. USAID WA-WASH also leads to improvements in operational practices of local government and the private sector in the three countries (including technical, financial, managerial and monitoring aspects); strengthened national and regional enabling environment and capacity to achieve WASH MDGs in West Africa and increased government compliance to regional and international commitments; increased capacity and synergy among WA- WASH regional partnership members for improving the local governance of WASH services. The main expected results of the USAID WA-WASH program are stated in the performance monitoring plan (PMP) which will be available for the selected evaluation specialist(s). For additional information, visit the USAID WA-WASH website at 1

4 2. EVALUATION OBJECTIVE AND APPROACH This evaluation seeks to assess the USAID WA-WASH Program employing a standardized scoring system that ranks alliance-supported community WASH services against a range of criteria in four categories: institutional, management, financial, and technical. Based on the score received in each of these categories, the Program will be classified in terms of its likelihood to achieve long-term sustainability as follows: Excellent 90% of sustainability criteria satisfied; Good = 75-90% of sustainability criteria satisfied; Satisfactory = 50-75% of sustainability criteria satisfied; Fair = 25-50% sustainability criteria satisfied; Poor < 25% of sustainability criteria satisfied. A draft list of sustainability criteria and indicators for the sustainability check scoring is presented in Annex 3 for water supply services, sanitation services and hygiene behaviors/services. These indicators are based on those employed in other internationally recognized sustainability monitoring efforts in the WASH sector. More information and guidelines on the methodology can be found at 3. BENEFICIARIES OF THE EVALUATION The intended beneficiaries of the evaluation include: USAID/W-AFR and other relevant USAID/West Africa programs in the region; USAID WA-WASH implementing partners (CARE, FIU, IRC, RAIN, UNESCO-IHE, Winrock, ANIMAS SUTURA, PROMACO and WSA); Governments and local authorities of Burkina Faso, Ghana and Niger; The program s beneficiaries within the three countries; NGOs and other programs in the WASH sector within Burkina Faso, Ghana and Niger. The regional office will share the results of the sustainability check with each stakeholders group as appropriate. 4. SCOPE OF THE EVALUATION The consultancy is expected to take approximately 40 working days including travel time and the time to prepare the report and incorporate comments. A visit for three to five days should be planned in each of the three countries, starting with Burkina Faso. The objective of the visit is to conduct field visits and gather stakeholders (government, partners, communities, etc.) feedback. Considering that some aspects of the program will be difficult to analyze during the prescribed time period, the evaluation should be focused on specific geographic areas receiving most of the program activities. 2

5 5. METHODOLOGY Information used to score USAID WA-WASH should be collected following three data collection methods as indicated below: Document review: The consultant(s) should review the written documentation associated with the program, including program descriptions/grant agreements, periodic progress reports, field visit reports, etc. Individual and group interviews: The consultant(s) should collect information using individual/household and group interviews conducted using structured questionnaires administered to key stakeholders in the water, sanitation and hygiene sector (e.g., government officials, water committee members and users, etc.). Questionnaires should be designed for specific target audiences, such as households versus government officials, and contain a mixture of quantitative and qualitative measures associated with the sustainability check factors agreed upon. The balance of different interview types conducted will be determined based on considerations of technical need, efficacy and budgetary constraints. Site visits / sustainability checklists: The consultant(s) should visit a sample of project sites to personally observe conditions on the ground and gather information directly from the communities, water service providers, local government officials, technicians and suppliers, etc., as necessary to complete data collection on services sustainability. For all three methods, the consultant(s) should draw on a review of data collected through the USAID WA-WASH internal monitoring system, complemented by supplemental information collected from other sources as needed. In addition, the survey instruments and data collection approach will be discussed with the Regional Office to ensure that all aspects of the program have covered. The sustainability check uses a cluster sampling frame in accordance with best practices for statistical sectorial studies. For the communities selected in the sample, the assessment should cover both water supply and sanitation services as well as hygiene behaviors whenever possible. 6. GOVERNANCE AND ACCOUNTABILITY The consultant(s) will formally report to the program s Regional Director, Dr. Lakhdar Boukerrou. Day to day support, facilitation and coordination will be provided by the Deputy Director and the M&E Specialist, based in Ouagadougou, Burkina Faso. A representative from each USAID WA-WASH implementing partner should be involved in the process of reviewing and approving the evaluation plan and subsequent products when appropriate. For accountability purposes, the Regional Office will organize a workshop following the submission of the final report for all relevant stakeholders (government, local authorities, implementing partners, representative of beneficiaries, etc.). The purpose of the workshop will be to: Present the report and the findings of the sustainability check; Gather feedback on the findings and build consensus on recommendations; Develop action-oriented workshop statements on lessons learned and proposed improvements for the future. 3

6 The following resources will be provided to support the evaluation: A car and a driver for field visits and meetings Office supplies for preparing the survey materials. 7. GUIDING PRINCIPLES AND VALUES The following fundamental principles and values are applicable to this sustainability check: Transparency at all stages of the consultancy Cost-effectiveness in the data collection process Collaboration with beneficiaries and relevant stakeholders with an involvement of local authorities (mayors, community leaders, etc.) Confidentiality of data collected Integration of gender considerations Anonymity of responses gathered Learning shared with Regional Office staff Accountability throughout the evaluation. No data or other information from this assessment will be released to third parties without the written approval of the USAID WA-WASH Regional Director. All documentation related to the sustainability check (whether or not produced in the course of the consultancy) shall remain the sole and exclusive property of USAID WA-WASH. 8. PROFESSIONAL QUALIFICATIONS USAID WA-WASH invites applications from all qualified individual or firm with the following criteria: At least 10 years of experience in the coordination, design, implementation, or monitoring and evaluation of development programs Significant experience in the WASH sector and WASH programming Significant experience in the West Africa Region Relevant post-graduate degree in development studies (WASH, food security, climate change, project management, etc.) Good communications skills and experience in cross cultural settings Ability to write clear and useful reports (will be required to produce examples of previous work) Understanding of USAID requirements related to development evaluations Ability to manage the available time and resources and to work under tight deadlines Ability to travel in rural areas of Burkina Faso, Niger and Ghana Fluent in English with a strong level of French Independence from the parties involved. 4

7 9. DELIVERABLES AND SCHEDULE The following deliverables are required for this sustainability check: Initial draft of the survey and other instruments both in French and English. This deliverable is due within five working days after the beginning of the consultancy. Draft final report including an executive summary (maximum 3-page), with all raw data provided as annexes. This deliverable is due five working days after the consultant s departure from West Africa. This document shall be in English. Final report including a 3-page executive summary with all recommendations and feedback. This report is due no later than 50 calendar days after the beginning of the consultancy. This document shall be in English. Furthermore, USAID WA-WASH will require weekly regular updates (to be sent by to the Regional Director) on the evaluation progress. 10. BUDGET AND PAYMENT SCHEDULE Payments will be made upon presentation of an invoice, in line with receipt of key deliverables. Payment will be made per the following schedule: 20%: Submission of survey and other data collection instruments. 30%: Draft final report including a 3-page executive summary, with summarized raw data provided as annexes 50%: Final report including a 3-page executive summary with all recommendations and feedback 11. STRUCTURE OF THE PROPOSAL AND SUBMISSION GUIDELINES Interested bidders should contact the M&E Specialist, Kader Sanfo (ksanfo@fiu.edu) to receive a packet of program materials which will assist in the development of the technical approach. All proposals should be submitted to Kader Sanfo (ksanfo@fiu.edu) in Microsoft Word or Adobe PDF format by midnight GMT on June 13, Late proposals will not be accepted. Proposals must demonstrate an understanding of the tender specifications and should be clear, concise and unambiguous. Each tender submission must include: Approach (10 pages maximum): Tenderers must demonstrate their understanding of the program environment, and give a detailed description of the methods to be used in undertaking the assessment. They must include recommendations for the size and composition of the sample, justifying their approach and highlighting any risks. Timing (1 page maximum): Tenderers must provide a detailed timetable for carrying out the work based on the proposed approach and method. This should highlight key milestones and deadlines, including suggested meetings. Preference will be given to consultant(s) who can begin the evaluation in June A full CV for the consultant(s) and/or a company capability statement should be provided as an annex. 5

8 Budget (2 pages maximum): Tenderers must provide a breakdown of costs, including daily rates with time allocations by task. The price quoted must be fixed; inclusive of travel and subsistence costs; exclusive of all duties and taxes and expressed in USD. Please note: Tenders which do not comply with the length and content requirements detailed may be excluded from the tender evaluation. Applications should be submitted electronically only. If you have any questions relating to the requirements of the tender, please submit them to the M&E Specialist, Kader Sanfo (ksanfo@fiu.edu). 12. SELECTION CRITERIA Tenders will be evaluated using a weighted scoring approach, as specified below: Criteria Quality of proposed approach and methodology Demonstrating a strong understanding of the analytical / contextual / logistical issues relevant for a study of this type and the objectives of the assessment. Quality of the team Relevant expertise, experience, understanding of the issues and ability to collaborate productively in an international setting. Organizational capacity Ability to draw on other people s expertise, particularly to ensure cultural awareness and access to relevant language skills. Quality of past performance An example of the consultant s best work should be submitted with the tender. Budget Value for money; adequacy and coherence between the proposed budget and approach Total Weight

9 ANNEX 1: USAID WA-WASH RESULTS FRAMEWORK Assistance Objective: Strengthen resilience and sustainable access to water supply, sanitation and hygiene for better livelihoods IR A. IR B. IR C. IR D. Increased community access to potable water and improved sanitation Improved sustainability of WASH services Increased income generation and food security outcomes of WASH investments Strengthened national and regional enabling environment for integrated WASH Sub-IR A.1 Sub-IR B.1 Sub-IR C.1 Sub-IR D.1 Improved access to and quality of sustainable water supply services for domestic and Adoption of replicable and sustainable WASH management approaches Adoption of complementary agricultural technologies and practices in WASH Strengthened national and regional organizations in integrated WASH Sub-IR A.2 Sub-IR B.2 Sub-IR C.2 Sub-IR D.2 Improved access to and use of sustainable sanitation services Strengthened national and local policies and governance for WASH service delivery and Increased local and national capacity to adapt to water-related climate change Increased regional integrated WASH knowledge management and networking Sub-IR A.3 Sub-IR B.3 Sub-IR C.3 Sub-IR D.3 Increased adoption of key hygiene behaviors Increased access to sustainable financing for WASH services Increased availability of climate relevant information Enhanced gender mainstreaming in integrated WASH programs Sub-IR D.4 1 Expanded private sector engagement in integrated WASH

10 ANNEX 2: USAID WA-WASH INTERVENTION AREAS 1

11 ANNEX 3: ILLUSTRATIVE SUSTAINABILITY FACTORS AND INDICATORS Program Objectives Factors Indicators Water Supply Sanitation Institutional Management Financial Technical Institutional Management Number of operational/non-operational water supply systems; Existence of a database and/or water supply system monitoring system at Ministry or local government level; Existence of clear lines of government and community responsibility for supporting operations and maintenance of water supply services, and conducting monitoring of system functionality. Number of water points working and being used; Presence of a water/sanitation committee or system maintenance group for each community water point; Clarity of roles and responsibilities in the water/sanitation committee or system maintenance group (e.g., chairperson, secretary, treasurer, mechanic, sanitation and hygiene promoter, etc.); Regular meetings scheduled by the water/sanitation committee; Level of community skills to implement preventive maintenance activities of community water supply systems; Level of knowledge by communities about where to get technical support in case of system breakdown. Number of households financially contributing to service delivery and maintenance of the community water supply system (through water use fees or some other collection mechanism); Total amount paid by each household for services and system maintenance (and existence or not of a social safety net for community members who cannot afford to pay); Existence of sustainable and transparent financial management of community contributions/system revenue and expenditures (including: Who establishes the tariffs? Who collects money? When is the money collected? Where is the money kept? How are community member payments registered? What measures are taken if households/individuals do not pay? How is money disbursed (e.g., for maintenance or repairs)? What checks and balances (and oversight mechanisms) are in place regarding finances?). Technical quality and condition of system installations / infrastructure; Number of local water supply system technicians/mechanics who can maintain and repair systems, and their location in the community and/or district; Community and/or technician knowledge on how to get spare parts and the cost of the spare parts; Accessibility of spare parts for water supply systems at the district/local government level (e.g., levels of existing stock, existence and location of marketing and selling points including artisan associations or local commercial shops); Operational status of the water supply system (as measured by the frequency of breakdowns, the time between breakdown and repair, and total number of days per year the system is out of operation). Presence of national, regional or local plan for household sanitation both rural and urban; Degree to which sanitation investment plans take into account needs of women and socially excluded groups Capacity of local line agencies to monitor performance of rural sanitation services; Capacity of local NGOs and other implementing organizations to facilitate quality CLTS processes at the community level. % of households that maintain the hygienic state of their latrine (i.e., well operated and free from the potential of fecal-oral disease transmission); Existence of financial incentives, such as the existence of paid attendants, to maintain public/institutional sanitation systems; % of communities achieving open defecation free status that have plans to receive follow-up support to maintain the ODF status; Level of community skills to implement preventive maintenance activities for household sanitation systems; % of households that have plans to maintain/desludge septic tanks in 2

12 Program Objectives Factors Indicators Hygiene Financial Technical Institutional Management Financial Technical compliance with local ordinance(s); % of schools that maintain the hygienic state of their latrine(s) (i.e., well operated and free from the potential of fecal-oral disease transmission); % of schools that maintain functional hand-washing stations with soap; % of communities that maintain the hygienic state of their latrine(s)/toilet(s), well operated and free from the potential of fecal-oral disease transmission) Existence of small and medium enterprises that sell sanitation hardware; Existence of small and medium enterprises engaged in sanitation related business and marketing activities; % of households that paid a subsidized rate for a sanitation facility; % of households that paid full cost for a sanitation facility. State/quality of latrine infrastructure; State/quality of pour-flush toilet infrastructure; State/quality of septic tank infrastructure; State/quality of wastewater treatment plant infrastructure; % of latrines that are designed to withstand the rainy season and potential flooding; % of latrines with a cover over the defecation hole to prevent flies from entering the pit and to limit odor. Existence of hygiene promotion/behavior change program in a national ministry; Clear designation of hygiene promotion responsibilities in national government; Official acceptance of household water treatment as a recommended practice in national policy and promotion documents. % of households that can state the key instances in which to wash their hands; % of schools that maintain functional hand-washing stations with soap; % of households that report using plastic BSF qualified on optimal, suboptimal, poor and no use of plastic BSF; % of households that were visited by community facilitator; % of follow-up visits completed by community facilitator; % of household members who state that they know where to go or who to contact if they have problems with plastic BSF; % of households that report using ceramic filter qualified on optimal, suboptimal, poor and no use of ceramic filter; % of household members who state that they know where to go to replace their ceramic filter; % of households who cite community facilitator as source of information or assistance with BSF problems. Existence of enterprises that sell soap in target communities; % of households that paid a subsidized rate for plastic BSF; % of households that paid full cost for plastic BSF; % of households that paid a subsidized rate for ceramic filter; % of households that paid full cost for ceramic filter. % of households that maintain a hand-washing station with soap; Operational state of the biosand filters; Assessment of filter use by households; Total household members trained in plastic biosand filters (BSF) use; % of plastic BSFs with flow-rate <0.8L/min and % of plastic BSF with physical problems; State of ceramic filters; Total household members trained in ceramic filter use; Presence of local source(s) for ceramic filters, should a household wish to replace theirs. 3