J.8 Survey Implementation Document.pdf

Survey Implementation

Document

Scope of Work

Democratic Republic of the Congo 2024

Feed the Future Phase Three Zone of Influence Round 1 Indicator Assessment

April 8, 2024

Table of contents

Abbreviations iv

1. Purpose of this assignment 1

2. Background 1

2.1. Feed the Future overview 1

2.2 Feed the Future P3-ZOI profile 1

2.3 Rationale for P3-ZOI selection 1

3. Methodological and technical considerations 2

3.1. Strengthening capacity in survey implementation and data use 2

3.2 Indicators to be reported 2

3.3 Length of the indicator assessment process 4

3.4 Sampling 4

3.4.1 Sampling design 4

3.4.2 Sample size 5

4. Tasks 7

4.1 Kick-off and survey preparatory activities 7

4.2 Selection of in-country subcontractor 8

4.3. Procurement of survey equipment and supplies 9

4.4 Preparation of survey protocol, questionnaire, table shells, fieldwork manuals, and training materials 9

4.4.1 Survey protocol 9

4.4.2 Survey questionnaire 10

4.4.3 Table shell preparation 10

4.4.4 Manuals and training materials 11

4.4.5 Translation 11

4.5 Pre-main fieldwork activities 11

4.5.1 Submission of the IRB applications 12

4.5.2 Sample weighting protocol 12

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 1

4.5.3 Cognitive pretest 12

4.5.4 Data collection application customization and testing 13

4.5.5 Household listing and community sensitization 13

4.5.6 Household selection 14

4.5.7 Training of trainers, ICDM training, survey pretest, main field staff training, and pilot 14

4.5.8 Fieldwork management plan preparation 17

4.6 Fieldwork 18

4.6.1 Composition of and support to field teams 18

4.6.2 Field supervision 18

4.6.3 Data transmission, management, and quality controls 18

4.7 Data processing, table shell preparation, and data analysis 19

4.7.1 Data processing 19

4.7.2 Data analysis 20

4.7.3 Survey quality assessment memo preparation 20

4.8 Report preparation 20

4.9 Results dissemination 21

4.10 Communication products 21

4.11 Dataset preparation and disclosure analysis plan 21

5. Task list, deliverables, and proposed schedule 22

6. Team composition

Appendix 1: List of Territories/health zones comprising the DRC phase three Zone of Influence 31

Appendix 3: Feed the Future P3-ZOI Round 1 indicator assessment Gantt chart 34

Appendix 4: Calculation of response rates and weights 37

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 2

List of tables Table 1: List of Indicators Calculated for P3-ZOI Round 1 Indicator Assessment 2

Table 2: Sampling Methods for Each Stage of Sampling 5

Table 3: Parameters Used in the Calculation of the Initial Sample Size 5

Table 4: Adjustments to the Initial Sample Size to the Obtain the Final Sample Size 7

Table 5: List of Tasks, Associated Deliverables, and Proposed Schedule for the 2024 DRC P3-ZOI Round 1 Indicator Assessment 22

Table 6: Contractor Staff and Responsibilities 26

Table 7: Field-based Staff Positions and Responsibilities 29

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Abbreviations CAPI computer-assisted personal interviewing

COR Contracting Officer’s Representative

CSPro Census and Survey Processing System

DHS Demographic and Health Survey

EA enumeration area

ICDM In-Country Data Manager

IRB Institutional Review Board

P3 phase three

PPS probability proportional to size

QCS quality control and support

REFS Bureau for Resilience, Environment, and Food Security

SIO Survey Implementing Organization

TOT training of trainers

USAID United States Agency for International Development

ZOI Zone of Influence

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 4

1. Purpose of this assignment Feed the Future seeks to reduce poverty, hunger, and malnutrition among women and children;

strengthen agriculture and food systems; increase income, resilience, women’s empowerment, dietary diversity, and appropriate feeding practices; and improve hygienic environments. Program efforts are designed to impact populations in the Zones of Influence (ZOI) in Feed the Future target countries, including the Democratic Republic of Congo. One of the main tools to track progress in achieving Feed the Future’s high-level objectives is a set of population-based indicators collected through household surveys every 4 years.

The purpose of this request is to procure the services of a specialized firm (hereafter the Contractor) to implement a population-based household survey to quantify key indicators for the 2024 Feed the Future DRC Phase Three Zone of Influence (P3-ZOI) Round 1 Indicator Assessment, which will provide the U.S. Government interagency partners, United States Agency for International Development (USAID) Bureau for Resilience, Environment, and Food Security, USAID Missions, host country governments, and development partners with information about conditions related to poverty, food insecurity, resilience, and malnutrition in the selected P3-ZOI and provide a basis against which to measure progress toward a 2030 Feed the Future performance target for increasing the proportion of women who consume a nutritious diet.

2. Background

2.1. Feed the Future overview

Despite tremendous agronomic potential, DRC remains one of the poorest and most food insecure countries in the world. As of 2020, 40% of the population is undernourished. Measures of poverty in DRC are equally grim: nearly 70% of the population lives on less than $2.15 a day. Per capita GDP stands at just $577, over 37 million Congolese are suffering from malnutrition, and 37% of the population is in severe multidimensional poverty. Across DRC, food insecurity has recently been exacerbated by sharp fuel and food price increases resulting from the war in Ukraine, as well as poor infrastructure, and structural factors. Domestic demand for food exceeds the local capacity to supply it, causing the country to rely heavily on imports. DRC has an annual food trade deficit of $1.5 billion. Women represent 60% of agricultural laborers, 73% of farmers, and produce 80% of food crops for household consumption; up to 95% of rural women work in agriculture. Agriculture is predominantly traditional with very low crop yield and farm productivity, quality seeds, fertilizer, and other inputs are inaccessible to smallholder farmers. Reflecting a potential opportunity for Feed the Future engagement.

DRC was designated as Feed the Future priority country in 2022. Feed the Future in DRC aims to be catalytic in its approach to investments in the agriculture sector, not only producing change that is

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 1 sustainable and climate-smart, but pursuing interventions that have the potential to scale rapidly. Feed the Future’s focus will be on inclusive agriculture-led growth, resilience building, and nutritious diets, partially collocated with RFSA zones for opportunities to sequence, layer, and integrate activities with BHA / Humanitarian Aid investments in DRC. Feed the Future programs will concurrently strengthen seed and input supply systems, sustainably increase agricultural output, increase farmer access and adoption of climate-smart innovations, reduce post-harvest product losses, improve agriculture product safety and quality, reduce inefficiencies in key value chains, and strengthen both supplier-processor and producer-buyer linkages between and within local and regional market systems. This targeted and system approach will improve the capacity of the agriculture sector to meet the needs of local markets and compete with foreign imports and will contribute to increased employment, household income, livelihood opportunities, private sector growth, enhance market systems that support enabling policies to improve resilience of vulnerable populations and systems.

Although considerable investment in humanitarian aid and development assistance in DRC has achieved some notable successes, it has done little to revitalize DRC’s atrophied agricultural market system, one of the root causes of food insecurity in the country. Feed the Future will fill this programming gap by taking a market systems approach that prioritizes market facilitation and interventions that demonstrate market-viability leading to food security and improved livelihood. DRC’s Feed the Future program components - 1) Policy, Governance and the Business Enabling Environment; 2) Market Linkages; 3) Food and Agricultural Productivity; and 4) Resilience - provide an integral pathway through which Feed the Future programming can improve the performance of DRC’s agricultural markets. Components are intrinsically linked, and will be integrated through information sharing, and joint programming, planning, and activity design. Since the Feed the Future Strategy is adapting a system improvement approach, a wider coordination and collaboration with other USG, GoDRC and donor community investments in humanitarian assistance, conflict mitigation, environmental conservation, energy, and health and nutrition interventions is expected and will be sought for synergies and scale up.

2.2 Feed the Future P3-ZOI profile

The Feed the Future P3-ZOI is the focused geographic area in the DRC where U.S. Government investments are expected to have the most measurable and sustainable improvements in poverty, food insecurity, resilience, and nutrition. The P3-ZOI in DRC covers two territories (Seke Banza and Lakula) in Kongo Central Province and one territory (Dibaya) and two health zones1 (Masuika and Yangala) in Kasai Central Province.

1 There are a total of 519 administratively defined health zones in DRC. More information on the health zones in DRC can be found here.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 2 https://data.humdata.org/dataset/drc-health-data?

A map of the P3-ZOI is provided below. A list of the territories and health zones comprising the P3-ZOI is provided in Appendix 1.

2.3 Rationale for P3-ZOI selection

The Mission utilized multiple sources to identify the Zone of Influence (ZOI), including the RFS-provided tool to identify potential implementation areas; comprehensive desk review; field visits to identified regions; stakeholder consultations; and internal USG and external GoDRC and partner consultations.

The inserted map was selected by prioritizing the four primary criteria outlined in the GFSS Country Plan Guidance: potential for sustainable impact, opportunities for agriculture-led growth, level of need, and right-sizing for budget and approach. Mission prioritized contiguous territories within established market corridors, or stand-alone territories in close proximity to large regional markets within existing Resilience Focus Zones (RFZs). Previous investments were impacted by continued and increased conflict.

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The rationality for the new ZOI is based on the assumption that such territories will have a higher probability of success in achieving poverty and malnutrition reduction goals due to a combination of the economic benefits derived from market pull with complementary USG investments and interventions, such as the Bureau for Humanitarian Assistance (BHA) Resilience Food Security Activities (RFSAs), as well as by potential private sector investment. Boundaries for the ZOI were established to intentionally and fully overlap with the new BHA /RFSA award in Kasai Central. Discussion and design is ongoing with other USAID technical offices to collaborate on and co-locate additional programming in the Feed the Future P3 ZOI, further catalyzing transformative change and poverty reduction. It is important to note that the RFSAs will be performing baseline data collection in the near future, and REFS and Feed the Future surveys should be aware of each other.

3. Methodological and technical considerations Guidance documents, including manuals, protocols, and templates, referred to throughout this scope of work are available in the Feed the Future ZOI Survey Methods Toolkit—Endline/Round 1 Surveys (2024–2026), available on Agrilinks (hereafter referred to as the “Toolkit”).2

3.1. Strengthening capacity in survey implementation and data use

Capacity strengthening activities shall be integrated throughout all stages of the survey and shall be tailored to the strengths and needs of stakeholders, with an explicit focus on strengthening the capacity of the local Survey Implementing Organization (SIO). Potential SIO candidates may include one of the universities in Kinshasa. USAID DRC is expecting the Contractor to explore the possibility of working with the research centers in national universities based in Kinshasa to support the PBS implementation and build their capacity in the process. No other targeted audiences for capacity strengthening activities are expected under this scope of work.

The Contractor shall conduct an initial capacity assessment of the SIO and develop a capacity strengthening plan that shall be integrated into the Gantt chart and list of deliverables for the indicator assessment. The capacity strengthening plan shall be approved by USAID. At the end of the indicator assessment process, the Contractor shall conduct a final capacity assessment of the SIO and submit a final capacity strengthening report that includes a summary of all capacity strengthening activities implemented to USAID.

3.2 Indicators to be reported

The Contractor shall generate ZOI-level estimates for 17 indicators, including four Feed the Future P3-ZOI indicators and a water insecurity indicator. Ten indicators will be calculated directly from data

2 All guidance documents are available as part of the Feed the Future ZOI Survey Methods Toolkit—Endline/Round 1 (2024–2026): https://agrilinks.org/post/feed-future-zoi-survey-methods-toolkit-endlineround-1-2024

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 4 https://agrilinks.org/post/feed-future-zoi-survey-methods-toolkit-endlineround-1-2024 collected in the P3-ZOI Round 1 Survey, and the seven remaining indicators will be computed using secondary data from the 2023 DRC Demographic and Health Survey (DHS). NOTE: Data collection for the 2023 DHS (October 2023 - January 2024) is complete, currently in stage of data cleaning, initial finding on key indicators is expected in May 2024, and final report is expected by end of year 2024.

See Table 1 for the list of P3-ZOI Round 1 indicators to be reported for the indicator assessment.

Table 1: List of Indicators Calculated for P3-ZOI Round 1 Indicator Assessment

Indicators computed using P3-ZOI Round 1 Survey data

Economic status

● EG-j: Prevalence of poverty: Percent of people living on less than $2.15/day 2017 PPP [ZOI level]

● EG-k: Depth of poverty of the poor: Mean percent shortfall of the poor relative to the $2.15/day 2017 PPP poverty line [ZOI level]

● EG-i: Prevalence of near-poor: Percent of people who are “Near-Poor,” living on 100 percent to less than 125 percent of the $2.15/day 2017 PPP poverty line [ZOI level]

● EG-g: Percent of households below the comparative threshold for the poorest quintile of the asset-based Comparative Wealth Index [ZOI level]

Food insecurity

● EG-e: Prevalence of moderate and severe food insecurity in the population, based on the Food Insecurity Experience Scale (FIES) [ZOI level]

Resilience ● Ability to recover from shocks and stresses index Women’s empowerment

● Five Domains of Empowerment score for women

Women’s dietary intake

● Percent of women of reproductive age consuming a diet of minimum diversity

(MDD-W)

Water, sanitation, and hygiene

● Percent of households with access to a basic sanitation service

● Prevalence of water insecurity in the population, based on the Water Insecurity

Experiences Scale Indicators computed using DHS data Water, sanitation, and hygiene

● Percent of households with soap and water at a handwashing station on premises

Children’s dietary intake

● Percent of children 6-23 months receiving a minimum acceptable diet

● Prevalence of exclusive breastfeeding of children under 6 months of age

Women’s and children’s nutritional status

● Prevalence of stunted (HAZ < -2) children under 5 (0-59 months)

● Prevalence of wasted (WHZ < -2) children under 5 (0-59 months)

● Prevalence of healthy weight (WHZ ≤ 2 and ≥-2) among children under 5 (0-59 months)

● Prevalence of underweight (BMI < 18.5) women of reproductive age

AAS=Annual Agriculture Survey, BMI=body mass index, HAZ=height-for-age z-score, PPP=purchasing power parity, WHZ=weight-for-height z-score

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In addition to the indicators identified in Table 1, USAID DRC has opted to collect descriptive information on climate change knowledge and adaptation in the P3-ZOI Round 1 Survey using the optional module developed and implemented by USAID REFS in the P2-ZOI Midline Surveys.

3.3 Length of the indicator assessment process

Assuming that the core questionnaire, Census and Survey Processing System (CSPro), and Toolkit templates are used, USAID DRC anticipates that the entire indicator assessment should take approximately 15-18 months, starting in May 2024 with a virtual kick-off meeting, and ending by August 2025 with the delivery of final datasets. The preparation of survey materials and pre-fieldwork tasks are estimated to take approximately 6 months, and the fieldwork should take approximately 2 months. Data cleaning, analysis, reporting, results dissemination, and preparation of the final datasets should take approximately 7-10 months. A detailed list of tasks can be found in the core Gantt chart provided in Appendix 3.

Fieldwork for the survey shall take place from October or November 2024 to December 2024, during the typical lean season in the DRC P3-ZOI. The following factors were considered in determining when the fieldwork should take place:

● Recommended fieldwork timing from the Feed the Future ZOI Survey Guidance for Target Country Missions

● The appointment of the new administration (national government and provincial authorities) based on the general elections that were held in December 2023. The new team is anticipated to bring a new momentum to the implementation of the Feed the Future program.

3.4 Sampling

3.4.1 Sampling design

The sampling design described here follows the Guidance for the Implementation of Zone of Influence Surveys for Feed the Future Target Countries Endline/Round 1 and the Feed the Future Population-Based Survey Sampling Guide, both of which are available in the Toolkit. The P3-ZOI Survey shall be conducted among a random sample representative of the entire population living in the P3-ZOI.

The survey shall use a cross-sectional, stratified, multi-stage cluster sampling design, with up to four stages of sampling.3

3 Although Feed the Future recognizes the value of panel surveys for some purposes, they are not ideal for the purposes of tracking indicators representative at the population level and over time, and therefore they are not recommended. See the Guidance on the Feed the Future Phase Three Zone of Influence Indicator Assessment for more details.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 6

The Contractor should use a sampling frame comprising all enumeration areas (EAs) in the two territories (Seke Banza and Lukula) in Kongo Central Province and one territory (Dibaya) and two health zones (Masuika and Yangala) in Kasai Central Province that form the P3-ZOI (see Section 2.2 and Appendix 1). The name, location, and household count of each EA (including any auxiliary information available on the frame that could be used in the sample design) in the P3-ZOI shall be verified with the National Institute of Statistics prior to the development of the sample design for the survey. The survey sampling frame shall be stratified by territories, by health zones and by residence (urban/rural). The total number of strata will be determined in consultation with the Contractor’s Senior Sampling Statistician.

The Contractor shall verify the stratum sizes and allocate the sample proportionally based on the household count of each stratum. The EAs to be selected per stratum shall then be computed by dividing the allocated sample by the number of households to be visited per EA. Each stratum should contain at least two EAs to ensure a minimum level of statistical representativeness.

During the first stage of sampling, the Contractor shall select a sample of EAs from a sampling frame using systematic probability proportional to size (PPS) sampling. If any EA selected during the first stage is found before or during the listing operation to have a much larger population than average, an additional stage of sampling is required for those EAs.4 During this second stage of sampling, the EA shall be segmented, and one segment shall be selected using PPS sampling.5

After the selection of EAs and segments, a complete listing of all households in the selected EAs and segments shall be completed (see Section 4.4).6 In the third stage, households shall be selected using fractional interval systematic sampling from the completed listings in each EA and segment. Finally, in the fourth stage, eligible household members shall be selected using a “take all” sampling approach, meaning that all household members who meet the eligibility criteria should be included in the sample (Table 2).

These include all children under 5 years of age for anthropometric measures and all women 15-49 years of age for the minimum dietary diversity indicator. No subsampling among eligible members should occur.

Table 2: Sampling Methods for Each Stage of Sampling

Stage 1:

Selection of

EAs

Stage 2:

Selection of segments4

Stage 3:

Selection of households

Stage 4:

Selection of individuals

6 The sampling of segments shall only take place if any of the sampled EAs from the first stage of sampling are found to require segmentation based on the criteria outlined. If no sampled EAs require segmentation, then this second stage of sampling shall not take place.

5 See the Feed the Future Population-Based Survey Sampling Guide and CAPI Household Listing Manual for details and instructions on when and how to segment EAs and how to account for segmentation when calculating sample weights.

4 If the average EA has less than 150 households, the Contractor shall segment EAs that are more than two times the size of the average EA. If the average EA has 150 households or more, the Contractor shall segment EAs that have more than 300 households.

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Method of sampling Systematic PPS PPS Fractional interval systematic

Take all

3.4.2 Sample size

The sample size for the survey has been calculated following guidance developed by REFS. USAID DRC has determined that the sample size should be 1,470 households to ensure that point estimates for P3-ZOI indicators calculated directly from data collected in the P3-ZOI Round 1 Survey can be generated at an acceptable level of statistical accuracy. The parameters and assumptions used to calculate the initial required sample sizes for each of the indicators are presented in Table 3.

Table 3: Parameters Used in the Calculation of the Initial Sample Size

Indicator Estimated prevalence

Margin of error

Confidence level

( )1 − α

Design effect

Initial sample size

(𝑛 𝑖𝑛𝑖𝑡𝑖𝑎𝑙

Prevalence of poverty 79% 5% 97.5% 4.3 1,097

Prevalence of moderate or severe food insecurity (FIES)

50% 5% 97.5% 3.6 1,383

Percent women 15-49 years consuming a diet of minimum diversity (MDD-W)

50% 5% 97.5% 2.4

FIES=Food Insecurity Experience Scale, MDD-W=minimum dietary diversity for women

The indicator values were estimated based on the following data sources and assumptions: 79 percent prevalence of poverty (World Bank Poverty and Inequality Platform7) and 50 percent prevalence for the FIES and MDD-W indicators (Feed the Future estimated base value, given a lack of secondary data sources for these estimates8). Since no P2-ZOI baseline or midline survey was conducted in this country, the estimated design effects are based on the average design effects achieved across all P2-ZOI baseline surveys as this is the most up-to-date information available for estimating design effects in the P3-ZOI Round 1 survey. A margin of error of 5 percent was set for all indicators, with a significance level of α =0.05.

The initial sample sizes were further inflated to ensure that data shall be collected from enough households and individuals to provide estimates for each indicator based on the requirements, taking

8 A 50 percent prevalence results in the highest possible sample size requirement for each indicator and guarantees sufficient sample size to meet reporting needs.

7 World Bank. (2023). Poverty and Inequality Platform (version {version_ID}) [Data set]. World Bank Group.

www.pip.worldbank.org. Accessed March 21, 2024.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 8 into account the expected number of eligible individuals per household for individual-level indicators (i.e., adj1) and households that may not respond or yield any data during the survey (i.e., adj2).9

The final required household sample size for a particular indicator, denoted by , is the initial sample𝑛 𝑓𝑖𝑛𝑎𝑙 size ( ) multiplied by the two adjustments, as follows: 𝑛 𝑖𝑛𝑖𝑡𝑖𝑎𝑙 𝑛 𝑓𝑖𝑛𝑎𝑙

= 𝑛 𝑖𝑛𝑖𝑡𝑖𝑎𝑙

×𝑎𝑑𝑗

× 𝑎𝑑𝑗

= 𝑛 𝑎𝑑𝑗_1

× 𝑎𝑑𝑗

Table 4 presents the parameters and assumptions used to calculate adj1, adj2, and the final required sample size for each indicator.10 The adjustment to determine the number of households to be included in the survey for individual-level indicators is based on the average household size and proportion of the population in the age group underlying the individual-level indicator from the 2013-14 DHS11. . The expected household response rate used here to adjust the sample size mirrors the average gross household response rate of 94.5% achieved for P2-ZOI baseline and midline surveys.

Table 4: Adjustments to the Initial Sample Size to the Obtain the Final Sample Size

Indicator

Initial sample size

(𝑛 𝑖𝑛𝑖𝑡𝑖𝑎𝑙

Proportion of the population in the age group underlying the indicator adj1

Sample size with 𝑎𝑑𝑗_1 𝑛 𝑎𝑑𝑗 1( ) adj2

Final sampl e size

(𝑛 𝑓𝑖𝑛𝑎𝑙

Prevalence of poverty 1,097 n/a n/a n/a 1.058 1,165 Prevalence of moderate or severe food insecurity (FIES) 1,383 n/a n/a n/a 1.058

1,469

Percent women 15-49 years consuming a diet of minimum diversity (MDD-W)

922 22.2

1.21 1,114

1.058 1,183

FIES=Food Insecurity Experience Scale, MDD-W=minimum dietary diversity for women Average household size: 5.3; Anticipated household gross non-response rate: 5.8 percent

11 Ministère du Plan et Suivi de la Mise en œuvre de la Révolution de la Modernité (MPSMRM), Ministère de la Santé Publique (MSP) and ICF International. 2014. Democratic Republic of Congo Demographic and Health Survey 2013-14: Key Findings.

Rockville, Maryland, USA: MPSMRM, MSP et ICF International.

10 Please refer to the Feed the Future ZOI Survey Methods Sampling Manual and Sample Size Calculator in the Feed the Future ZOI Survey Methods Toolkit—Endline/Round 1 (2024–2026) for determining adj1 and adj2.

9 This individual-level indicator is ‘Prevalence of women of reproductive age consuming a diet of minimum diversity’ and also includes the ‘Prevalence of stunted (HAZ < -2) children under five years of age’ indicator, when collected in the survey.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 9

Based on the sample size calculations in Table 4, prevalence of moderate or severe food insecurity has the largest required household sample size. Thus, the final sample for the P3-ZOI Round 1 Survey is 1,470 households.

4. Tasks This section describes the major tasks that the Contractor is expected to perform under this scope of work. The key deliverables associated with each task are listed after the description. A complete list of all required deliverables is provided in Section 6, along with a timeline. The list in Section 6 also specifies deliverables that require approval from the USAID Contracting Officer’s Representative (COR), deliverables that are submitted to USAID but do not require USAID COR approval, and those which are internal to the Contractor.12

4.1 Kick-off and survey preparatory activities

Before undertaking the planning and implementation of this indicator assessment, the Contractor shall read and be familiar with the contents of the Toolkit, which is available on Agrilinks. The Toolkit covers the entire indicator assessment process and comprises various technical guides and templates for all major deliverables, with instructions for customization as appropriate. References to some of these documents are made throughout this scope of work.

As soon as possible after award, the Contractor shall begin preparatory activities for the indicator assessment. Specifically, initial preparatory tasks include the following:

● Convene a virtual kick-off meeting with USAID REFS and USAID DRC to introduce the parties involved and walk through the scope of work for the indicator assessment. The meeting is an opportunity to ensure all parties are in agreement regarding the work to be completed and the associated timelines, as well as to raise any initial questions and gather additional information as needed.

● Meet with USAID DRC staff and government representatives from the National Institute of Statistics, Ministry of Agriculture, Ministry of Health, Ministry of Commerce and provincial governments of Kongo Central and Kasai Central

● Develop a plan to obtain U.S. federal wide-certified and country-mandated Institutional Review Board (IRB) certification. As part of survey implementation, the Contractor shall obtain approval from both a federal wide-certified IRB—one that is registered with the

12 Deliverables designated as internal to the Contractor can be requested by USAID on an as-needed basis.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 10

Office for Human Research Protections in the United States—and from an appropriate ethics committee in the survey country.13

● Obtain necessary information for the P3-ZOI Round 1 Survey sampling design.

● Coordinate with the National Institute of Statistics to review the sampling frame and sample design plan as per the survey protocol and to select primary sampling units.

● Identify and review the capacity and past performance of local SIOs to implement the

P3-ZOI Round 1 Survey and determine whether a subcontracting request for proposals should be issued.14 The Contractor is expected to conduct comprehensive market research and select the local SIO through a competitive procurement process.

● Develop the sample design document, which details the steps undertaken to obtain the sampling frame and develop and implement the sample design for the P3-ZOI Round 1 Survey. The steps are guided by the sample requirements as defined in this document (see Section 3.4) as well as the survey protocol and the sampling methodology recommendations for conducting Feed the Future population-based surveys as provided in the Feed the Future Population-based Sampling Guide (Stukel, 2018). A template for the sampling plan is available in the Toolkit.

● Determine the appropriate source for procuring survey equipment (e.g., tablet devices) and supplies (e.g., personal protective equipment).

● Prepare the indicator assessment Gantt chart, list of deliverables, and timeline. A customizable template for the indicator assessment Gantt chart is available in Appendix 3

Deliverables submitted to USAID include: Customized Gantt chart and list of deliverables, sampling design document

4.2 Selection of in-country subcontractor

The Contractor shall execute the survey by entering into a subcontract for the implementation of specific aspects of the survey. USAID/DRC prefers that the contractor partner with local institutions (preferably university) in implementing the PBS in an effort to build their capacity throughout the lifespan of the survey. The Contractor remains responsible, however, for completing the survey to the quality specified in this document and the Guidance for the Implementation of Zone of Influence Surveys for Feed the Future Target Countries Endline/Round 1.

Criteria for assessing local SIO ability to implement a survey of the size and complexity of the P3-ZOI Round 1 Survey are as follows:

14 National Institute of Statistics should always be included in the request for proposals process unless the USAID [Country] has reasons to exclude them.

13 IRB review process and timeline can vary substantially from country to country, and obtaining ethical approval can be a lengthy process, so a plan should be developed early in the planning process.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 11

● The documented past performance of the SIO in implementing several large-scale household surveys with sample sizes comparable to the survey and resulting in good-quality data

● The capacity of the SIO to carry out specific aspects of the survey process it may be responsible for, such as listing, training, data collection and transmission, and supervision

● The SIO’s experience in using tablet devices for data collection

● Calendar record of usual timelines for survey implementation, and the SIO’s ability to complete surveys on time

● The ability of the SIO to staff the project as needed for the work

● The experience of the SIO’s staff in the requisite roles defined for the survey

● The availability of the SIO to complete work in the required time period

● The status of the SIO’s Unique Entity ID (UEI); SIOs must have a UEI to be eligible to enter into a subcontract with the Contractor15

Deliverables submitted to USAID include: Submission of subcontracting package to the USAID COR and Contracting Officer of the survey award for approval

4.3. Procurement of survey equipment and supplies

The Contractor shall ensure that tablet devices and relevant accessories to be used for the survey are shipped to/available in DRC. The Contractor should plan 10 -12weeks for shipping and customs clearance. Tablet devices shall be consigned to the USAID Mission, a Feed the Future implementing party with duty-free status, or the Contractor if in-country, as applicable for customs clearance.

4.4 Preparation of survey protocol, questionnaire, table shells, fieldwork manuals, and training materials

The Contractor shall use the documents and templates available in the Toolkit to produce customized, country-specific versions of the survey protocol, questionnaire, fieldwork manuals, and training materials.

4.4.1 Survey protocol

The Contractor shall develop a survey protocol using the template available in the Toolkit. The survey protocol shall describe the standards and procedures to implement the P3-ZOI Round 1 Survey in the DRC and include sections on the P3-ZOI indicators and survey content, data collection timing, procedures, and methods, data management and analysis plans, and report preparation and results

15 See SAM.gov | Entity Information for more information.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 12 https://sam.gov/content/entity-information dissemination. The survey protocol shall also include information on handling unexpected or adverse events as well as information on Contractor and local SIO key staff (as applicable).

4.4.2 Survey questionnaire

The Contractor shall develop a customized questionnaire for the DRC P3-ZOI Round 1 Survey using the core questionnaire available in the Toolkit. The questionnaire should include informed consent and assent statements, a household roster, all required modules needed to generate estimates for P3-ZOI Round 1 indicators, and any additional modules or questions required by USAID DRC. The following modules shall be included in the questionnaire:

Module 1: Household roster and demographics Module 2: Dwelling characteristics and household assets Module 2a: Climate adaptation Module 3: Food security and resilience Module 4: Women’s nutrition Module 6: Women’s empowerment in agriculture Module 8: Household consumption expenditure

In addition to ensuring the modules identified above are included in the customized questionnaire, the Contractor shall customize the questionnaire to include country-specific response options and items to be asked about (e.g., assets, farm animals, and shocks and stresses), where needed. For the women’s nutrition module, the Contractor shall use the country-adapted Diet Quality Questionnaire (DQQ) to populate dietary intake questions.16

The Contractor shall ensure that all survey documents and the CSPro system are tailored to reflect all questionnaire customization.

4.4.3 Table shell preparation

In parallel with customizing the questionnaire, the Contractor, in collaboration with USAID DRC, shall customize the core results table shells available in the Toolkit to reflect the required indicators and disaggregates, and other descriptive results to be reported for the indicator assessment. Descriptive results to be included in the results tables include population estimates, survey response rates, household and dwelling characteristics, asset ownership, and women’s empowerment information, all of which are included in the core results table shells in the Toolkit.

16 Global Diet Quality Project

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 13 https://www.dietquality.org/tools

4.4.4 Manuals and training materials

The Contractor shall customize the Interviewer’s Manual and Field Supervisor’s Manual for the training of trainers (TOT) and the main field staff training using the templates available in the Toolkit. The Contractor shall also use the Quality Control and Support (QCS) Team’s Manual and the In-Country Data Manager’s (ICDM) Manual available in the Toolkit to train field staff; however, these are all standard manuals that do not require customization other than the cover page—to indicate that they were used to implement the DRC P3-ZOI Round 1 Survey. Training materials to be customized by the Contractor include training agendas, attendance sheets, quizzes, and role play exercises, templates for which are available in the ZOI Survey Training Manual. Template PowerPoint slides and forms required for fieldwork are also available in the Toolkit.

4.4.5 Translation

The Contractor shall have all survey documentation, including the questionnaire, informed consent forms, manuals, and training materials, translated into French. In addition, the survey questionnaire shall be translated into Lingala, Kikongo, and Tshiluba, which are those spoken by 10 percent or more of the population in areas in which the survey shall be implemented. The Microsoft Excel version of the core questionnaire has a translation sheet at the end of the workbook to facilitate this process.

The Contractor shall coordinate with relevant partners, as necessary, to translate all documents in accordance with Feed the Future’s Translation Protocol, which is available in the Toolkit. All language versions of the questionnaire shall be set up in the CSPro data collection application and loaded onto tablet devices before the TOT. Paper copies of all language versions of the questionnaire shall also be printed for use during the TOT.

In accordance with the protocol, all translation revisions shall be documented as part of the translation team review and adjudication process during the TOT, survey pretest, Interviewers’ training, and the pilot, as needed.

Deliverables submitted to USAID include: Survey protocol; customized survey questionnaire;

translated customized survey questionnaire; final table shells; customized Interviewer’s Manual;17 customized Field Supervisor’s Manual;17 QCS Team’s Manual;17 ICDM’s Manual;17 customized training materials (agendas, attendance sheets, training slides, quizzes, role play exercises, and fieldwork forms)

4.5 Pre-main fieldwork activities

In addition to the activities included in Sections 4.1 through 4.4, the Contractor and SIO (if working with one) shall undertake the activities included in this section before beginning fieldwork for the survey.

17 Including translated versions in countries in which training will be conducted in a language other than English

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 14

4.5.1 Submission of the IRB applications

The Contractor shall submit IRB application packages with all required materials, including the customized survey protocol and the customized questionnaire, to a federal wide-certified IRB and in-country ethics committee for review and approval.

Ideally, IRB approvals should be received prior to survey pretest activities, which occur in Week 3 of training activities (see Section 4.5.6), but must be received before the initiation of the main fieldwork.

4.5.2 Sample weighting protocol

The Sampling Statistician shall prepare a sample weighting protocol that details the steps that will be undertaken in development of the sampling weights for the P3-ZOI Round 1 survey and begin preparations to be ready to implement the protocol when the survey data are available. The protocol shall be prepared following the guidelines in the Feed the Future Population-Based Survey Sampling Guide (Stukel, 2018) and taking into account the sample design and survey objectives as outlined in the sample design document and survey protocol for the survey. The sample weighting protocol is a document internal to the Contractor that does not need to be submitted to USAID.

4.5.4 Data collection application customization and testing

Tablet devices with an Android operating system and a CSPro computer-assisted personal interviewing (CAPI) data collection system shall be used to collect survey data. As such, after the P3-ZOI Round 1 Survey questionnaire has been customized, the Contractor shall begin the process of updating the data collection applications and testing data collection procedures and scenarios. A CSPro CAPI data collection application that corresponds to the core P3-ZOI Round 1 Survey questionnaire has been developed, tested, and made available for use in the Toolkit. The Contractor shall use this as the basis for creating DRC-specific applications. The customized applications shall be tested and revised, as needed. The Contractor shall ensure that the tablet devices are configured and loaded with the CAPI data collection applications before the TOT.

4.5.5 Household listing and community sensitization

The Contractor shall review the CAPI Household Listing Manual found in the Toolkit to plan and conduct the household listing.

The Contractor shall send listing teams to each sampled cluster (or EA) to conduct the household listing and community sensitization. Each listing team shall comprise an experienced Field Supervisor, a Lister, and a Cartographer. In particular, the listing teams shall visit each cluster to map, number, and list all structures, dwelling units, and households in these dwellings in the designated boundaries of the cluster.

The name of a responsible adult household member shall also be recorded for each household.

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 15

The Contractor shall undertake a complete household listing of the sampled clusters approximately 6 weeks before the start of the pilot. After the household listing operation has been completed, the Contractor, in collaboration with the SIO (if working with one), shall develop a household listing operation report using the template available in the Toolkit and submit it to USAID.

During the household listing operation, listing teams shall engage in community sensitization, which entails meeting with community leaders to explain the purpose of the survey and to request community cooperation. The listing teams shall provide community leaders with a letter and materials describing the survey and benefits. More information on the source and contents of the letter should be discussed with USAID DRC prior to starting the listing operation. While in the community and surrounding area, the listing teams should verify the availability of electricity and Internet access and identify options for food and lodging.

4.5.6 Household selection

After household listing information from all clusters has been collected, the data shall be sent to the Contractor for cleaning and analysis by the Sampling Statistician. The Sampling Statistician shall then undertake the random household selection for the survey. The lists of clusters and sampled households shall be used in planning field management tasks and shall be loaded on Interviewers’ tablet devices.

4.5.7 Training of trainers, ICDM training, survey pretest, main field staff training, and pilot

The Contractor shall conduct the TOT, ICDM’s training, survey pretest, main field staff training, and pilot over an 8-week period immediately preceding the start of fieldwork, as follows:

● Weeks 1–2: TOT (~10 days) and ICDM training (~2 days)

● Week 3: Survey pretest (~5 days)

● Week 4: Survey pretest report and adjustments to survey materials (~5 days)

● Weeks 5–6: Main field staff training including Interviewers training (~10 days), QCS team training (~1 day), and Field Supervisors training (~1 day)

● Week 7: Pilot (~5 days)

● Week 8: Pilot report and adjustments to survey materials (~5 days)

Training of trainers

The Contractor shall conduct the TOT, which involves training local SIO staff (if working with one) and any other individuals who will support the main field staff training. Training shall be based on the customized Interviewer’s Manual and shall cover the following:

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 16

● Introduction to the survey: survey objectives, survey methods, , guidelines for conducting interviews, fieldwork procedures

● Questionnaire content: household roster, informed consent, dwelling characteristics and household assets, climate adaptation, food security and resilience, women’s dietary intake, women’s empowerment in agriculture, and household consumption expenditures

● Collecting and managing data on the tablet device: understanding the tablet device and screen components, starting a questionnaire on the tablet device, navigating the questionnaire, advancing through survey modules, entering responses, working with a second Interviewer, transferring data to the server, and troubleshooting issues

● Human subjects protections (See more information in the Training in human subjects protections sub-section later in this section.)

Hands-on training and practice sessions shall cover the use of all technical equipment required for survey implementation, including tablet devices with applications for data collection. Template training schedules, PowerPoint training slides, manuals, and quizzes can be found in the Toolkit; also see Section

4.4 in this scope of work for more information on manual and training material preparation. Issues identified during the TOT will be documented in the Training and Pretesting Change Log, a template for which is available in the Toolkit, and addressed by the Contractor.

ICDM’s training

The ICDM shall be trained on the content of the customized ICDM’s Manual before the survey pretest.

The ICDM shall participate in the TOT and Interviewers’ training.

Survey pretest

At the end of the TOT, a survey pretest shall be implemented in accordance with the survey pretest protocol available in the Toolkit. If possible, the survey pretest shall be conducted in the P3-ZOI in communities that are not part of the survey sample. If it is not possible to conduct the survey pretest in the P3-ZOI, it should be conducted in communities with similar characteristics to those in the P3-ZOI.

The survey pretest shall focus on the survey questionnaire content—whether the flow between questions works well, whether all survey questions are comprehended, and whether the full range of appropriate responses are available. Simultaneously, the survey pretest shall identify any problems with using the data collection applications, such as skip patterns, using menus, and navigation between survey modules. The survey pretest shall also test interview procedures, data transmission, and data quality checks.

During the survey pretest, all issues shall be documented in the Training and Pretesting Change Log, discussed, and managed by the Contractor. After the survey pretest is complete, updates to the questionnaire will be discussed with USAID and incorporated as agreed to across all relevant survey

FEED THE FUTURE | 2024 DRC P3-ZOI Indicator Assessment Scope of Work – Round 1 17 materials and tested before the main field staff training. The Contractor, in collaboration with the SIO (if working with one), shall prepare a TOT and survey pretest report, using the template available in the Toolkit, and submit to USAID.

Main field staff training

Interviewers’ training

The Interviewers’ training shall be led by the Contractor’s training team in collaboration with the SIO (if working with one) over the course of 2 weeks. Training shall be based on the customized Interviewer’s Manual and complementary training materials. The training shall cover the following:

● Introduction to the survey: survey objectives, sample, survey modules, survey implementation, confidentiality, Interviewer’s roles, and payment for services

● Conducting the interview: understanding general instructions, approaching the household, building rapport, handling refusals, obtaining informed consent, ensuring privacy, using translations, asking questions, probing, following interview instructions on the questionnaire and tablet device, noting differences between the printed questionnaire and tablet screens, and flagging issues to be discussed with the Field Supervisor

● Questionnaire content: household roster, informed consent, dwelling characteristics and household assets, climate adaptation, food security and resilience, women’s…