ToR Baseline Survey ESAP2 Final 2 by bo59Ua


									                             TERMS OF REFERENCE
                                   Baseline Survey
                  Ethiopia Social Accountability Program 2 [ESAP2]


The Management Agency is implementing the Ethiopia Social Accountability Program phase 2 (ESAP2), financed
through a World Bank administered Multi Donor Trust Fund. As a reference point for future evaluations, a baseline
survey shall be conducted on the status of social accountability in the field of public basic service delivery in the
intervention Woredas.

The Management Agency is therefore seeking the services of a qualified organization/consultancy company to
carry out a baseline survey for ESAP2.


ESAP2 is part of the Protection of Basic Services program, which is implemented by the Government of Ethiopia
at regional, woreda and kebele levels in cooperation with the World Bank. The Program has a countrywide scope
and articulates the needs and concerns of citizens regarding their access to education, health, water and sanitation,
agriculture and rural roads. Working through civil society organizations, the program opens up channels of
communication between citizens, responsible government bodies and public service providers.

The overall objective of the Ethiopia Social Accountability Program (ESAP2) is to strengthen the capacities of
citizen groups and government to work together in order to enhance the quality of basic public services delivered to
citizens. The program seeks to give voice to the needs and concerns of all citizens on the delivery and quality of
basic public services in the areas of education, health, water and sanitation, agriculture and rural roads. Finally, the
use of social accountability tools, approaches and mechanisms by citizens and citizens’ groups, civil society
organizations, local government officials and service providers should result in more equitable, effective, efficient,
responsive and accountable public basic service delivery.

For ensuring efficient implementation of the program, a Management Agency outside the Ethiopian government
and donor structure has been established. The responsibilities of the Management Agency are the overall program
coordination, capacity development and training, technical guidance, support and monitoring of the progress of the
implementing civil society partners.


A part of the program is to conduct a baseline survey to provide a benchmark against which progress in basic
service provision can be measured. The baseline will serve the Management Agency to fine-tune its M&E system
and complete the indicators.

Management Agency            P. O. Box 28024/1000              Tel: +251 (0)11 663 4661 or +251 (0)11 663 4601
Cape Verde st.               WMA Sets Bldg, 2nd Floor          Fax: +251 (0)11 663 2567
                             Addis Ababa, Ethiopia             Email:

   The consultancy company is expected to develop a concise methodology for undertaking this baseline. Three
   different actor groups are to be surveyed: citizens, service providers and woreda officials.

   The methodology should include:

          Experience of the company
          Rationale
           - Understanding of the project
           - Comments on the ToR
           - Risks and assumptions for project implementation
          Strategy
           - Well-elaborated survey methodology, including a comprehensive sampling approach (calculation,
              clustering, stratification of woredas etc.)
           - List of woredas to be surveyed resulting from the above sampling exercise and number of citizens,
              service providers and woreda officials to be interviewed in each of these woredas
           - An organizational strategy for conducting field visits to sampled woredas
          Project management
           - Quality insurance and support approach
           - Logistics
          Timetable of activities
          Work plan including staffing and number of working days

The statistical package to be used is SPSS.

Note: The questionnaires are produced by the Management Agency. The contractor will have to comment on it and
make necessary adjustments based on the literature review and pre-testing of the questionnaires.


Specific responsibilities of the applicant include the following:
         Review of secondary documents including ESAP2 and other related materials;
         Review the questionnaires and recommend changes if applicable;
         Translate the questionnaire into the local languages of the target regions;
         Pre-test the questionnaires with at least 2 SAIPs, 4 officials from different woredas and 10 citizens;
         Provide a team of enumerators and supervisors that have a solid record of conducting surveys;
         Train enumerators for the field work;
         Organize all field logistics (team composition, transportation, accommodation, appointments etc.);
         Conduct a field survey based on questionnaires: Methods may include interviews with local authorities,
            service providers, SAIPs and citizens as also FDGs with citizen groups/community-based organization.
            The survey must clearly ascertain the present status, levels of community involvement and sectors of
            interest by the community. The field data shall be collected in the five thematic areas of ESAP2
            (education, health, water and sanitation, agriculture and rural roads);
         Enter data in SPSS database;
         Verify/clean SPSS dataset;
         Analyze data, identify specific gaps/deficits in social accountability and clarify training and other
            specific needs to be met;
         Prepare and present draft report on survey design, implementation and major findings to the
            Management Agency;
         Prepare and submit final report of baseline survey with an annexed complete and comprehensive
            dataset, incorporating feedback from stakeholders.

Management Agency           P. O. Box 28024/1000           Tel: +251 (0)11 663 4661 or +251 (0)11 663 4601
Cape Verde st.              WMA Sets Bldg, 2nd Floor       Fax: +251 (0)11 663 2567
                            Addis Ababa, Ethiopia          Email:

Four main outputs are expected from this baseline survey:

         a) Inception Report
An inception report should be submitted not later than one week after commencement of the assignment and before
starting primary data collection. It shall highlight deviations to the methodology presented in the original technical
proposal and contain the work plan, organization and composition of the teams (incl. contact details), the detailed
time schedule and all other logistical and organizational matters for the field mission.

        b) Regular phone-reporting
The supervisors of each data collection team should call the M&E expert of the Management Agency every week
to report on the progress made compared to the plan. Any difficulties encountered should be communicated
immediately to this representative of the Management Agency.

         c) Draft Report
A draft report shall be produced and submitted to the Management Agency no later than four weeks after
submission of the inception report. The report should conform to the Management Agency reporting format, which
will be made available to the applicant upon contract signature. It should follow a chapter format which includes
background, literature review, methodology, findings, conclusions, recommendations and all other topics required
in this Terms of Reference. The applicant will submit a draft report to the Management Agency and make a clear
PowerPoint Presentation in person. Questions of the Management Agency during this meeting should be responded
to in this session.

         d) Final Report
A final report shall be produced within two weeks after the submission of the draft report. The final report should
be submitted in four bound hard copies and a soft/electronic copy. The raw, clean dataset should be annexed to the
report (hard copy and soft copy). The report should be concise in its findings and follow the Management Agency
reporting format. It must incorporate:

       Quality data and analysis from individual interviews and focus group discussions.
       Present status, gaps and recommendations for future interventions, including suitable implementation
        methodology, appropriate structures for program success, and possible sustainability strategy.

The inception report, draft and final report should be written in English language.


The baseline will run for a maximum of 42 calendar days starting from the date of the contract. The following
proposed plan will be used to guide the baseline survey:

Step 1: Initial Review (1 week)
This phase will involve initial review of documents and the presentation of an inception report. The inception
report should include an elaborated plan, methodology, draft data analysis instruments and sampling strategy of the
field survey.
Step 2: Field Survey (maximum 3 weeks)
This main activity of this phase will be the pretesting of tools and the actual data collection/analysis in line with the
agreed plan, methodology and sampling strategy from phase 1.

Management Agency            P. O. Box 28024/1000              Tel: +251 (0)11 663 4661 or +251 (0)11 663 4601
Cape Verde st.               WMA Sets Bldg, 2nd Floor          Fax: +251 (0)11 663 2567
                             Addis Ababa, Ethiopia             Email:
Step 3: Analysis, Reporting and Dissemination (2 weeks)
Following data collection, this last phase will involve analysis of information, report writing and packaging of all
collected information into an accessible format for future use by the Management Agency. The selected firm is also
expected to make a presentation on the findings of the report to the Management Agency in person.


Interested firms should submit their competitive technical and financial proposal in line with these Terms of
Reference. The applicant firm shall submit a clear and quality technical and financial proposal worth up to 30,000
USD (incl. tax) for the whole assignment. The budget should be developed into the application format.

The presentation of the budget should be presented in the application format.


Based on the proposed methodology of the applicant and the time frame for implementation (max. 42 days), the
firm shall present an adequate number of staff to cover the tasks mentioned in the Terms of Reference. Senior
supervisors should be part of the team. The team composition should reflect all languages spoken in the target

Qualifications for senior survey supervisors:
   - At least Masters Degree in social sciences, statistics, development, project management, monitoring and
        evaluation or equivalent;
   - At least 10 years of experience in carrying out surveys;
   - Prior experience in supervising at least 3 large surveys in Ethiopia;
   - Very good knowledge of social accountability in public service provision;
   - At least basic knowledge of the five ESAP2 sectors;
   - Excellent analytical skills;
   - Excellent SPSS skills;
   - Excellent English skills (oral and report writing).

Note: The composition of the senior survey supervisors should represent the major languages of the country
(Amharic, Oromifa, Tigrinya), i.e. at least one supervisor fluent in each of the above languages.

Qualifications for enumerators:
   - Degree in social sciences, statistics, development, project management, monitoring and evaluation or
   - At least 3 years of experience with data collection or participation in at least 5 surveys including
        government officials and civil society representatives;
   - At least basic knowledge of the five ESAP2;
   - Good analytical skills;
   - Good knowledge of English language.

Note: All major languages spoken in the target regions should be covered by the team of enumerators.

Management Agency           P. O. Box 28024/1000             Tel: +251 (0)11 663 4661 or +251 (0)11 663 4601
Cape Verde st.              WMA Sets Bldg, 2nd Floor         Fax: +251 (0)11 663 2567
                            Addis Ababa, Ethiopia            Email:

   -   The firm should have a proven record of conducting large surveys in Ethiopia (at least 5 national surveys
       above 350 interviewees, covering high government officials, civil society organizations/community-based
       organizations and citizens);
   -   The firm should have experience with measuring social accountability;
   -   The firm should have experience with measuring consumer satisfaction (ideally with public service
   -   The firm should have survey experience in at least 3 of the ESAP2 target sectors (education, health, water
       and sanitation, agriculture and rural roads) and can easily mobilize experts for the remaining 2.


Interested consultants/firms should submit a detailed technical and financial proposal according to the
TOR and application template to the Management Agency. Applicants should strictly follow the
application template.

Clarifications can be asked by interested parties in writing only. Please request the clarification before
November 16, 2012 to with the subject “clarification on baseline survey”. We will
process your question(s) as quickly as possible.

The full proposal shall be submitted in two (2) hard copies and the soft copy in CD with a sealed
envelope to the address mentioned below. We will not accept electronic applications.

                     Deadline for submission of the proposal: 22 November 2012, COB

                    Management Agency, Cape Verde St., WMA Sets Bldg, 2nd Floor, Addis Ababa.
                                            P.O. Box: 28024/1000
                                       E mail address:

Management Agency         P. O. Box 28024/1000             Tel: +251 (0)11 663 4661 or +251 (0)11 663 4601
Cape Verde st.            WMA Sets Bldg, 2nd Floor         Fax: +251 (0)11 663 2567
                          Addis Ababa, Ethiopia            Email:

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