Terms of Reference (ToR) for Contract to Conduct an Investigative Research Study
CARE is a humanitarian non-governmental organization committed to working with poor women, men, boys, girls, communities, and institutions to have a significant impact on the underlying causes of poverty. CARE seeks to contribute to economic and social transformation, unleashing the power of the most vulnerable women and girls.
The RESET II project in Ethiopia, Oromiya Region, Borana Zone is a 3-year EU-funded project running from October 2016 through to March 2020. This project supports pastoralist communities to improve their resilience to livelihood shocks and stresses. The project works in the; Health and WASH / Livelihoods and NRM / DRM / KM / Gender Empowerment, sectors. The project target 100,000 resource poor (PSNP) households. The RESET II project is implemented by CARE, AAH and OSHO. The project is led by CARE, which plays an overall leadership role as well as implementing field activities. The project covers 6 woredas.
The Goal/Purpose of RESET II project is to; address the root causes of displacement and irregular migration in Borana Zone, through the creation of economic opportunities and increased resilience capacity of vulnerable communities. The project initiative has 5 expected outcomes outlined below:
To achieve the goal, the RESET II project implements the following key Outcomes / Activities:
· Increased access to improved Basic Health Services
· WASH
· Diversified Livelihoods Opportunities
· Natural Resource Management
· Improved Disaster Risk Reduction Management Capacity
· Enhanced Research and Knowledge Management
· Increased Women’s Empowerment
Table 1. Geographic Area and Population Coverage
District | Community | Total Households | Total Household Members | |
Oromiya Region, Borana Zone | Dillo (CARE) | 50% Kebelles | Estimated 3333 | Estimated 16,666 |
Oromiya Region, Borana Zone | Arero (CARE) | 50% Kebelles | 3333 | 16,666 |
Oromiya Region, Borana Zone | Moyale (CARE) | 50% Kebelles | 3333 | 16,666 |
Oromiya Region, Borana Zone | Miyo (AAH) | 50% Kebelles | 3333 | 16,666 |
Oromiya Region, Borana Zone | Dhas (OSHO | 50% Kebelles | 3333 | 16,666 |
Oromiya Region, Borana Zone | Dire (AAH) | 50% Kebelles | 3333 | 16,666 |
Table 2. Key Participants, Target, and Impact Groups
Key Participants | Impact or Target Group | No. Direct Participants | No. Indirect Participants |
Government Offices At Zonal and Woreda levels | Health Office Pastoral Development Office Drought Risk Management Office Women Affairs Water, Mineral and Energy office, Planning and Economic Development office | 60 | 120 |
Borana Rural Community Groups | Pastoral and Agro-Pastoral resource poor (PSNP) households | 100,000 | 500,000 |
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The investigative research study to be conducted aims to investigate, review and recommend initiatives for;
The improved management of water resources in the Borana lowlands.
The study will focus on both the traditional management of water resources and the sustainable management of new water resources within a functional pastoralist rangeland management context.
The study will focus on the changing roles of both men and women, as water managers and the introduction of new water system management.
The study will also present, review and recommend the use of appropriate water management technologies at both the landscape and household level, and within rural and urban contexts.
This research study is important because water resource management roles for men and women are under stress in the Borana lowlands and in the modern context, are both increasingly unclear and changing over time. Traditionally, men primarily managed water resources. Traditional water management systems remain functional if undisturbed, however pressure on water resources use, increasing water use demand and the creation of new water resources, is undermining these rural based traditional management systems. Women also have a clear role in traditional water resource management, in that they have the key responsibility for family (and small livestock) access to clean water at the household level. This responsibility is a recognized labour burden for rural women and girls and there are also significant problems with water access, transport, storage and quality.
The Research Problem
Water management systems in the Borana lowlands are increasingly confused between traditional and modern water management systems and increasing rural and urban water resource demand. The current situation results in ineffective water resource management. This is not least the result of significant changes in water use stakeholders, rapid investment in new water resource infrastructure and an exponential rise in water demand by both people and animals in both rural and urban settlements.
The objectives of the research study are as follows:
· Investigate water resource demand and supply for both rural and urban populations in the Borana lowlands.
· Map all existing and planned water resources.
· Investigate and review the current state of management of water resources in the Borana Lowlands, with a clear focus on the roles of men and boys / women and girls – looking at specific rural and urban case studies.
· Clearly identifying the strengths and weaknesses of these different and defined water management systems in the modern sustainable development context.
· Investigate the water interventions of Government and Non-Government actors, in particular identifying which intervention are more successful and why.
· Investigate potential new roles for men and boys / women and girls in water management, both potential and emerging
· Make recommendations for strengthening rural and urban water resource management.
· Present and review appropriate water management systems and technologies, including latest innovations.
Intended Users and Use
The research study will produce a series of booklets that will address the specific research questions on a stand alone basic. The study booklets will be combined to create the overall study report output;
The research findings will be used and shared by relevant stakeholders. The following table outlines the expected communications to be produced from the research findings and processes (i.e. reports, presentations, etc.), the purpose of the communications, as well as the intended users.
Table 3. Research Communication and Reporting Plan
Communication Format | Purpose of Communication | User | Person Responsible | Timing/Dates | Notes
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Monthly update meetings | Keep CARE informed about research progress |
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Mid point workshop | Present preliminary findings |
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End point Workshop | Present completed/final findings |
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Borana Water Resource Management Documentation | Document production of the research findings: Study Booklets |
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Borana Water Resource Management Workshop | Action plan Document based in recommendations |
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1) Investigate water resource demand and supply for both rural and urban populations in the Borana lowlands.
2) Map all existing and planned water resources.
3) Investigate and review the current state of management of water resources in the Borana Lowlands, with a clear focus on the roles of men and boys / women and girls – looking at specific rural and urban case studies.
4) Clearly identifying the strengths and weaknesses of these different and defined water management systems in the modern sustainable development context.
5) Investigate the water interventions of Government and Non-Government actors, in particular identifying which intervention are more successful and why.
6) Investigate potential new roles for men and boys / women and girls in water management, both potential and emerging
7) Make recommendations for strengthening rural and urban water resource management.
8) Present and review appropriate water management systems and technologies, including latest innovations.
The applied research study is an investigation of a defined development problem (see above). The consultants will adopt an investigative and participatory approach, involving the RESET II project team / Government / other NGOs and Borana rural and urban communities in the investigative work and problem solving discussions and processes. The consultants will define and conduct the applied research in close collaboration with the RESET II teams (CARE / AAH / OSHO. The consultant should specify the different techniques to be used for data collection and analysis, structured field visits and interactions with beneficiaries. Research tools, methodology and findings will be reviewed and validated with various stakeholders and approved by the RESET II manager at CARE.
The collection of primary data will involve mostly participatory methods, especially Participatory Learning and Action (PLA) tools. To answer the Key Research Questions, data will be collected using a stratified, gender disaggregated, purposive sampling methods. The sample size will cover all six RESET II target woredas.
Some of the key stakeholders that must be targeted through the primary data collection include:
· Rural and Urban communities including Borana Gada systems
· RESET II Implementation team – CARE / AAH / OSHO
· Relevant Regional / Zonal / Woreda Government offices
· Other NGO’s working in the water sector
· RESET PLUS - UNICEF ground water mapping
· Private Sector actors
· Another
The research process with include retrieving existing water research documents and data. This will include: a desk review of existing literature including Water sector reports, formative water resource research, government / NGO implementation water development plans, M&E data, formal policy documents, official statistics, and other relevant quantitative and qualitative secondary data that will support the research and investigation processes.
The research consultants are accountable to maintain the requirements for the content, format, or length of the final report, overall quality and approved timelines. They will produce a comprehensive research report that assesses the problem, and provide prioritized recommendations to overcome the problem.
The external evaluator should deliver, at minimum, all files including: quantitative data sets (raw and refined products), transcripts of qualitative data and others in an easy to read format, and maintain naming conventions and labelling for the use of the project/program/initiative and key stakeholders.
The research will be divided in to specific areas of study, which will then be written up as specific topic booklets.
All documents should be compliant with the following conditions
o [Please insert clause on data ownership. Regulation on data ownership differs from country to country. Please ensure that a clause is inserted which ensures that CARE is compliant with necessary data ownership and data user regulation as well as with any donor requirements.]
o CARE requires that the datasets that are compiled or used in the process of external evaluation are submitted to CARE when the evaluation is completed.
o Data must be disaggregated by gender, age and other relevant diversity.
o Datasets must be anonymized with all identifying information removed. Each individual or household should be assigned a unique identifier. Datasets which have been anonymized will be accompanied by a password protected identifier key document to ensure that we are able to return to households or individuals for follow up. Stakeholders with access to this document will be limited and defined in collaboration with CARE.
o In the case of textual variables, textual datasets or transcripts please ensure that the data is suitable for dissemination with no de-anonymizing information UNLESS these are case studies designed for external communication and suitable permission has been granted from the person who provided the data. In these circumstances, please submit, with the case study, a record of the permission granted, for example a release form[1].
o Where there are multiple datasets (for example both tabular and textual datasets) identifiers must be consistent to ensure that cases can be traced across data lines and forms.
o CARE must be provided with a final template of any surveys, interview guides, or other materials used during data collection. Questions within surveys should be assigned numbers and these should be consistent with variable labelling within final datasets.
o Formats for transcripts (for example: summary; notes and quotes; or full transcript) should be defined in collaboration between CARE and the consultant.
o In the case of tabular datasets variable names and variable labels should be clear and indicative of the data that sits under them. Additionally, the labelling convention must be internally consistent and a full codebook/data dictionary must be provided.
o We require that datasets are submitted in one of our acceptable format types.
o CARE must be informed of and approve the intended format to be delivered at inception phase. Should this need to be altered during the project CARE will be notified and approval will be needed for the new format.
o The external consultant will be responsible for obtaining all necessary permissions, approvals, insurance, and other required permits needed for data collection. These include required permits related to data collection from human subjects, including necessary ethical review board approvals (ERB) and health and accident insurance for consultant team members.
During data collection and analysis, the primary roles of CARE program staff and any implementing partner with a direct stake in the project, are as informants and reviewers. They may review and provide comments on data collection tools, instruments, and all other deliverables before they are finalized.
The following tables delineates the key roles and responsibilities of CARE Staff and the consultant during the evaluation process:
Table 5. Roles and responsibilities on evaluation team(s)
Person/Unit/Organization | Activity |
Ben Irwin: PU coordinator | Research design and oversight during the research |
Did Boru: RESET II Project Manager | Research design and oversight during the research |
Anteneh Berhane: PU LDM Manager | Support, communications, presentation, review, reporting responsibilities during the research |
Project LDM Advisor | Support, communications, presentation, review, reporting responsibilities during the research |
The following tables delineates the research timelines and milestones during the research process.
Table 6. Research timeline and milestones.
Evaluation Activities | Month 1 | Month 2 | Month 3 |
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Research planning / inception |
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Desk and technical reviews |
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Field work and study |
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Write up and presentation |
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Review and finalization |
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Required External Response to Terms of Reference
A technical and cost proposal based on this Terms of Reference (ToR) is requested from the consultant or consulting firm. The proposal should contain:
1. Detailed plan of action for field work indicating staff-days required
2. Specific roles and responsibilities of the team leader, supervisory chain and other core members of the research team.
3. Schedule of key activities preferably in a format such as a Gantt chart.
4. Detailed budget with clear and detailed justification. The research proposal should include a reasonable detailed budget to cover all costs associated with the proposal. This should be submitted by major activities and line items for CARE’s review and decision. This includes a break-down of the cost to contract all/any team members, international and local travel and transport, and in-country lodging and per diem. Other related costs that might be in the budget include expenditures for hiring local personnel (drivers, translators, enumerators and other local technical experts), producing, printing and translating reports. Workshop costs will be covered by the project.
5. Updated CV of Team Leader and other core members of the research team
6. A profile of the consulting firm (including sample reports)