RFP_ SOL 72066323R00006 HEA-U.pdf

RFP Number:

RFP Title:

Issuance Date:

Questions Due Date and Time:

72067423R00006 Household Economy Approach Utilization

(HEA-U)

January 9, 2023 January 19, 2023, 5:00 p.m. Addis Ababa Time

Closing Date and time for Receipt of Proposals: February 23, 2023, 5:00 p.m. Addis Ababa Time

To All Prospective Offerors:

The United States Government, represented by the U.S. Agency for International Development Mission to Ethiopia (USAID/Ethiopia), is seeking to implement the Household Economy Approach Utilization (HEA- U) Activity as described in the attached Request for Proposal (RFP). USAID/Ethiopia anticipates awarding a Cost-Plus Fixed Fee (CPFF) completion type contract with an estimated period of performance of four (4) years.

Subject to the availability of funds, the estimated cost for this procurement is about $3.67 million including option years. Revealing the estimated cost for the contract does not mean that Offerors will necessarily strive to meet the maximum amount estimated. Offerors must propose costs that they believe are realistic and reasonable for the work described herein.

The procurement will be conducted through full and open competition, under which any type of organization (large or small commercial [for profit] firms, educational institutions, and nonprofit organizations) is eligible to compete. The procedures set forth in Federal Acquisition Regulation (FAR) Part 15 apply. The North American Industry Classification System (NAICS) code for this activity is 541990 and the principal geographic Code for this contract is 935.

Offerors should read the entire solicitation, which includes all pertinent technical sections and the terms, conditions and instructions required for submitting a proposal. Section L of the RFP sets forth all instructions for the preparation and submission of required proposal content, including critical dates/times for the submission of questions, and the proposal submission closing date and time. Section M states the criteria by which proposals will be evaluated.

Any questions related to this RFP must be submitted in writing via email to caddis@usaid.gov with a copy to Mr. Belay Teame at bteame@usaid.gov by the date and time specified above. No questions will be accepted after the date and time stated above.

This RFP can be viewed and downloaded from https://sam.gov/content/home, USAID bears no responsibility for data errors resulting from transmission or conversion processes. Further, be aware that amendments to solicitations are occasionally issued and will be posted on the same website from which you downloaded the solicitation. USAID advises to regularly check the above website for amendments.

mailto:caddis@usaid.gov mailto:bteame@usaid.gov https://sam.gov/content/home

RFP #72066320R00006, USAID/ETHIOPIA – Household Economy Approach Utilization (HEA-U)

- ii -

U.S. Agency for International Development Entoto Street Tel.: 251-111-306002 USA Address:

P.O.Box 1014 Fax: 251-111-242438 2030 Addis Ababa Place Addis Ababa, Ethiopia Website: www.usaidethiopia.org Washington, DC 20521-2030

Only electronic submissions will be accepted, at the following address, caddis@usaid.gov. No other forms of submission will be accepted. Proposals submitted in response to this solicitation must be valid for 270 days.

This solicitation in no way obligates USAID to award a contract, nor does it commit USAID to pay any cost incurred in the preparation and submission of a proposal in response hereto. Award of a contract under this RFP is subject to availability of funds and other internal USAID approvals. Furthermore, USAID reserves the right to reject any and all offers, if such action is considered to be in the best interest of USAID. USAID reserves the right to award this contract without discussions.

Sincerely, Admir Serifovic Supervisory Contracting Officer

Encl: RFP #72066323R00006 http://www.usaidethiopia.org/

72066323R00006

SOLICITATION, OFFER AND AWARD

4. TYPE OF SOLICITATION2. CONTRACT NUMBER 3. SOLICITATION NUMBER

7. ISSUED BY CODE 8. ADDRESS OFFER TO (If other than Item 7)

ORDER UNDER DPAS (15 CFR 700)

6. REQUISITION/PURCHASE NUMBER

NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".

NEGOTIATED (RFP)

SEALED BID (IFB)

5. DATE ISSUED

1. THIS CONTRACT IS A RATED RATING PAGE OF PAGES

1 139

C. E-MAIL ADDRESS

EXT.NUMBERAREA CODE

B. TELEPHONE (NO COLLECT CALLS)A. NAME

10. FOR

INFORMATION

CALL:

CAUTION: LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All offers are subject to all terms and conditions contained in this solicitation.

(Date)(Hour) local timeuntildepository located in copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if hand carried, in the

SOLICITATION

9. Sealed offers in original and

PART IV - REPRESENTATIONS AND INSTRUCTIONS

OTHER STATEMENTS OF OFFERORS

EVALUATION FACTORS FOR AWARD

INSTRS., CONDS., AND NOTICES TO OFFERORS

REPRESENTATIONS, CERTIFICATIONS AND

LIST OF ATTACHMENTS

CONTRACT CLAUSES

PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.

I

J

K

L

M SPECIAL CONTRACT REQUIREMENTS

CONTRACT ADMINISTRATION DATA

DELIVERIES OR PERFORMANCE

INSPECTION AND ACCEPTANCE

PACKAGING AND MARKING

DESCRIPTION/SPECS./WORK STATEMENT

SUPPLIES OR SERVICES AND PRICES/COSTS

SOLICITATION/CONTRACT FORM

PART II - CONTRACT CLAUSESPART I - THE SCHEDULE

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G

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SEC. DESCRIPTION PAGE(S) (X) DESCRIPTION SEC. (X)

11. TABLE OF CONTENTS

18. OFFER DATE17. SIGNATURE

SUCH ADDRESS IN SCHEDULE.

IS DIFFERENT FROM ABOVE - ENTER

15C. CHECK IF REMITTANCE ADDRESS

EXT.NUMBERAREA CODE

15B. TELEPHONE NUMBER

(Type or print)AND

ADDRESS

OF

OFFEROR

CODE

FACILITY

16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER15A. NAME

DATEAMENDMENT NO.DATEAMENDMENT NO.

and related documents numbered and dated):

amendments to the SOLICITATION for offerors

(The offeror acknowledges receipt of

14. ACKNOWLEDGEMENT OF AMENDMENTS

CALENDAR DAYS (%)30 CALENDAR DAYS (%)20 CALENDAR DAYS (%)10 CALENDAR DAYS (%)

(See Section I, Clause No. 52.232.8)

13. DISCOUNT FOR PROMPT PAYMENT

designated point(s), within the time specified in the schedule.

by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period.

OFFER (Must be fully completed by offeror)

IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.

28. AWARD DATE

(Signature of Contracting Officer)

27. UNITED STATES OF AMERICA

25. PAYMENT WILL BE MADE BY

26. NAME OF CONTRACTING OFFICER (Type or print)

CODE 24. ADMINISTERED BY (If other than Item 7)

ITEM

(4 copies unless otherwise specified)

23. SUBMIT INVOICES TO ADDRESS SHOWN IN

41 U.S.C. 253 (c) ( 10 U.S.C. 2304 (c) (

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION:

21. ACCOUNTING AND APPROPRIATION20. AMOUNT19. ACCEPTED AS TO ITEMS NUMBERED

AWARD (To be completed by government)

CODE

REQ-663-23-00002601/09/2023

X

720663

USAID/Ethiopia 00000

1730 C 02/23/2023

Belay Teame bteame@usaid.gov

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PAGE(S)

Admir Serifovic

AUTHORIZED FOR LOCAL REPRODUCTION

Previous edition is unusable

STANDARD FORM 33 (Rev. 9-97)

Prescribed by GSA - FAR (48 CFR) 53.214(c)

12. In compliance with the above, the undersigned agrees, if this offer is accepted within _____270_________ calendar days (60 calendar days unless a different period is inserted

Table of Contents

SECTION B - SUPPLIES OR SERVICES/PRICES 3

SECTION C - DESCRIPTION/SPECIFICATIONS 9

SECTION D – PACKAGING AND MARKING 20

SECTION E – INSPECTION AND ACCEPTANCE 21

SECTION F - DELIVERIES OR PERFORMANCE 22

SECTION G - CONTRACT ADMINISTRATION DATA 33

SECTION H – SPECIAL CONTRACT REQUIREMENTS 38

SECTION I – CONTRACT CLAUSES 57

SECTION J – LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACHMENTS 90

SECTION K - REPRESENTATIONS, CERTIFICATIONS, AND OTHER STATEMENTS OF

BIDDERS 91

SECTION L - INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS 109

SECTION M – EVALUATION FACTORS FOR AWARD 134

SECTION B - SUPPLIES OR SERVICES/PRICES

B.1 PURPOSE

The United States Government (USG) represented by the U.S. Agency for International Development Mission to Ethiopia, seeks to develop, and implement a program to support strengthening Government of Ethiopia (GOE’s) capacity for disaster risk management in Ethiopia, titled Household Economy Approach Utilization (HEA-U) Activity. The objective of the new Household Economy Approach Utilization (HEA-U) Activity is to strengthen analytic and information management capacity for disaster risk management through the use of HEA tools.

This will be accomplished through providing the results and performing the services specified in

Section C – Statement of Work of this document.

B.2 CONTRACT TYPE

This is a Cost-Plus-Fixed-Fee (CPFF) Completion-type contract. For the consideration set forth below, the Contractor will provide the performance requirements described in Section C and the deliverables or outputs described in Section F of this document.

B.3 ESTIMATED COST, FIXED FEE, AND OBLIGATED AMOUNT

(a) Base Year (Year 1-3):

1. The estimated cost for the performance of the work required hereunder for, exclusive of fixed fee, if any, is: $TBD. The fixed fee, if any, is $TBF. The estimated cost-plus-fixed-fee, if any, is $TBD.

2. Within the estimated cost-plus fixed fee (if any) specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any, and in accordance with Section B.5 below for performance hereunder is $TBD. The Contractor must not exceed the aforesaid obligated amount in accordance with Federal Acquisition Regulation (“FAR”) 52.232.22, “Limitation of Funds.”

3. Funds obligated hereunder are anticipated to be sufficient through TBD.

(b) OPTION Period: The total estimated cost of option year 4, if exercised, exclusive of fixed fee, if any, is $TBD. The fixed fee, if any, is $TBD. The estimated cost-plus-fixed-fee, if any, is

$TBD.

(c) The estimated cost for the performance of the work required for the base period and option period (four years) hereunder, exclusive of fee is $ TBD. The maximum fee is $ TBD.

The total estimated cost-plus maximum fee, if any, is $ TBD.”

B.4 CONTRACT BUDGET

The following budget sets forth the estimates for individual line items of cost elements: [To be completed prior to award]

CONTRACT LINE-ITEM SCHEDULE

CLIN

Cost Elements

Base Year

Year 1 Year 2

Option 1

(Year 4)

TOTAL

(Year 1-4) Year 3

001a Total Direct Costs $TBD $TBD $TBD $TBD $TBD

001b Indirect Costs $TBD $TBD $TBD $TBD $TBD

Total Estimated Cost $TBD $TBD $TBD $TBD $TBD

001c Fixed Fee $TBD $TBD $TBD $TBD $TBD

Total Estimated Cost-Plus-

Fixed-Fee (CPFF)

$TBD $TBD $TBD $TBD $TBD

(a) The inclusion of any costs in the above budget does not eliminate the requirement for prior approval by the Contracting Officer of cost items designated as requiring prior approval by any of the terms and conditions of this contract, including the applicable cost principles (see FAR 52.2167, “Allowable Cost and Payment”); nor, does it constitute a determination of allowability by the Contracting Officer of any item of cost, unless specifically stated elsewhere in this contract.

(b) The Contractor agrees to furnish data that the Contracting Officer may request on costs expended or accrued under this contract.

(c) Without the prior written approval of the Contracting Officer, the Contractor must not exceed the total estimated cost set forth in the budget or the total obligated amount, whichever is less.

(d) Option to Exercise options and Extend the Term of Contract: Pursuant to FAR 37.111 and to the FAR clause incorporated by full text in Section I entitled “52.217-98 Option to Extend the Term of Contract (MAR 2000)”, the Contractor hereby grants to the U.S.

Government option to extend services under the contract for one additional year period. Such extension options are to be exercisable by issuance of a unilateral modification prior to the expiration of the contract. The one-year extension options may be exercised individually.

Upon exercise of such options by the Government, the costs and fees evaluated at contract award will be increased by the amounts specified above budget table for each option year to extend. Also, except when it is determined in accordance with FAR 17.206(b) not to be in the Government’s best interests, the Government will evaluate the total price for the basic requirement together with any option(s) exercised at the time of award.

B.5 INDIRECT COSTS (DEC 1997)

The contractor’s allowable indirect Cost shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases:

[To be completed prior to award]

Applicable indirect costs (i.e., overhead, G&A, etc.) on other direct costs (ODCs), if it is part of the Contractor’s usual accounting procedures, consistent with FAR Part 31, and Negotiated Indirect Cost Rate Agreement (NICRA). Indirect costs shall not be allowed for organizations that do not have a NICRA; this requirement does not apply to subcontractors.

B.6 COST REIMBURSEMENT

The costs allowable will be limited to reasonable, allocable and necessary costs determined in accordance with FAR 52.216-7 Allowable Cost and Payment, FAR 52.216-8, Fixed Fee, and FAR 52-232-22 Limitations of Funds, and AIDAR 752.7003, “Documentation for Payment”, may be reimbursable under this contract.

B.7 DELIVERABLES AND FIXED FEE SCHEDULE

(a) Payment of fee, referenced above in B.3 and B.4, will be in accordance with FAR 52.216-8.

The Contracting Officer, in consultation with the Contracting Officer’s Representative (COR) and at the request of the contractor upon successful completion of a deliverable, the contractor must provide evidence of its achievement to the COR for verification with the vouchers for which fee is claimed. In the event the contractor does not fulfill a deliverable/result, then the contractor will not be entitled to the corresponding fee. Payment of the base fee will be made as follows. The Contractor’s fixed fee is tied to the accomplishment of the performance objectives and deliverables, or outputs described in Sections C, D and F that are specified in Table 1 below, subject to inspection and acceptance by USAID/Ethiopia as specified in Section E, and otherwise in compliance with the terms of the contract and in accordance with work planning approved by USAID/Ethiopia.

(b) In the event of discontinuance of the work in accordance with the clause of the contract entitled FAR 52.249-6 Termination (Cost Reimbursement), the fee must be re-determined by mutual agreement equitably to reflect the reduction in the work actually performed. The amount by which such fee is less than, or exceeds, payments previously made on account of the fee must be paid to, or repaid by the contractor, as applicable.

(c) In accordance with FAR clause 52.216-8 “Fixed Fee (JUNE 2011)”, USAID reserves the right to withhold a reserve not to exceed 15% of the total fixed fee or $100,000 whichever is less until the required conditions under the referenced clause have been met.

https://www.acquisition.gov/far/subpart-17.2#FAR_17_206

Table 1 – Fixed Fee Payment Schedule

USAID will pay a portion of the fixed fee in accordance with the following delivery schedule:

1. DELIVERABLES AND FEE SCHEDULE for Year 1-4)

[Deliverables and amount of fee to be filled by offerors and approved by USAID - the agreed Fixed Fee for each deliverable will be incorporated in this section upon award]

Refere nce

Key Deliverables

Description and method of verification

Fee Amount ($)

Year 1 Year 2 Year 3 Option Year 4 Total

IR.1 Use of HEA-based tools and analytic approaches to improve understanding of the impact of shocks and support evidence-based decision-making expanded

1.1 HEA-based

tools enhanced and simplified

1. HEA-based tools are more accessible, easier to use, and more relevant; customized HEA analysis software developed

2. HEA analysis software and tools embedded in at least 3 national and 8 regional partners’ ICT facilities.

3. HEA analysis software and tools used by at least 100 stakeholders at local, regional and national level to generate results of scenario analysis directly in the form of reports, charts, geospatial analysis and maps.

1.2 HEA-based

tools inform evidence-based programming

1. At least 3 national and 8 regional partners utilize HEA for food security monitoring, needs assessment and verification, and shock responsive safety net scaling.

2. At least 5 national and 8 regional partners integrate the application and utilization of HEA for other purposes.

3. At least 10 USAID activities use HEA to inform design or support adaptive management that will need to incorporate geospatial data analysis.

1.3 HEA informed

understanding of livelihoods

1. At least 5 national and 8 regional partners conduct analysis using HEA-based tools to inform understanding of livelihoods and tailor programming.

2. At least 100 HEA livelihood zone baselines updated by the end of year two.

3. At least 10 partners use HEA analysis to inform livelihoods programming.

4. One annual analysis report on the progress of PSNP clients towards reaching the graduation threshold in selected PSNP livelihood zones.

5. At least 10 partners use HEA gender analysis to inform gender sensitive programming.

1.4 HEA activity

will build on the recommendatio ns of gender analyses to address barriers and constraints that prevent diverse households from income generation activities.

1. Conducting gender disaggregated seasonal assessments using the LIASs set up to include FHH.

2. Analyzing the needs of poor FHH required levels of support that protect their livelihoods in bad years and that prevent any further erosion of their assets.

Consequently, they may remain on PSNP caseloads longer than poor

MHH.

3. New HEA baseline assessments will continue to collect data on poor FHH to further our understanding of the extent that gender affects livelihood outcomes.

1.5 Offerors to

propose additional Deliverables, if any (add rows as necessary)

- [TBD] ___________ ___________ ___________ __________ __________

IR.2 HEA-based Tools Institutionalized within an early warning systems

2.1 Increase

awareness and understanding of HEA tools increased

1. At least 5 national and 8 regional partners have at least 100 staff with in-depth knowledge of and ability to utilize HEA.

2. At least 10 partnerships forged with relevant sectors, UN agencies, donors, and NGOs, and formalized through MOU or other formal documentation within the first year of the award.

2.2 Ownership of

HEA based tools and Capacity to utilize Strengthened and Sustained

1. HEA functions reflected in annual work plans and budgeted for by relevant stakeholders at national level and in each of the 8 regions.

2. HEA functions performed independently by partners at federal level and in at least 8 regions.

2.3 HEA

incorporated into government systems

1. Regular monitoring and verification assessment processes embedded and budgeted for in Ethiopia’s DRM system at all levels.

2. System for updating HEA livelihood zone baselines established and budgeted for in

EDRMC.

3. Knowledge management system facilitates sharing key information at all levels and used by at least 5 national and 12 regional partners.

4. HEA tools and up-to-date data readily accessible on the web.

Offerors to propose additional Deliverables, if any (add rows as necessary)

TBD __________ __________ __________ __________ __________

Reports

First Year Annual Implementatio n/ Work Plan

LME or CLA Plan

Section C.5 __________ __________ __________ __________ __________

Annual Program Reports

Annual Program Report due 30 days after end of Year

4* Offerors to propose additional Deliverables, if any

[TBD] __________ __________ __________ __________ __________

*As proposed by offeror and subject to approval by USAID (add rows or columns as necessary).

B.8 MULTI-YEAR CONTRACT AND CANCELLATION CEILING

This RFP is subject to the requirements of FAR 17.106. However, this is a Cost-Plus-Fixed- Fee (CPFF) contract where the contractor is authorized to be reimbursed for all costs which are allowable in accordance with FAR 52.216‐7, “Allowable Costs and Payment.” Therefore, the contractor will not incur any costs which would have been amortized over the life of the contract should the contract be cancelled in accordance with FAR 52.217‐2.

The cancellation ceiling for each cancellation date is $0 and there is no requirement to include cancellation dates in the contract.

[END OF SECTION B]

SECTION C - DESCRIPTION/SPECIFICATIONS

HOUSEHOLD ECONOMY APPROACH UTILIZATION (HEA-U) ACTIVITY

C.1. INTRODUCTION

The new Household Economy Approach Utilization (HEA-U) activity is a four (4) year activity with three (3) base years and one (1) option year. It is part of the Strengthening Disaster Risk Management Systems and Institutions (SDRMSI) Project and will contribute to USAID/Ethiopia’s CDCS sub-Intermediate Result (sub IR) 1.2.4 Information management and analytic capacity for evidence-based decision making improved. It builds on USAID’s previous HEA activities, which contributed to improved understanding of the impact of shocks and provided an evidence base to tailor assistance to shock-affected populations. It will complement and support ongoing efforts to establish a multi-hazard, multi-sector early warning system that informs early action.1 It will also collaborate with USAID/Ethiopia’s new Resilience Platform for Adaptive Learning (RPAL) to support the use of HEA in USAID’s resilience activities.2

C.2. BACKGROUND

USAID/Ethiopia is strengthening Ethiopia’s capacity to manage acute and chronic shocks to reduce the impact of these shocks on the Ethiopian people and facilitate timely delivery of humanitarian food assistance. The Household Economy Approach (HEA) is a widely used framework for understanding food security, livelihoods and poverty. Through previous activities, USAID/Ethiopia supported the development of livelihood zone baselines3 and HEA analytical tools that provide unique detailed insights into household livelihoods and vulnerabilities and food needs. Disaggregated data4 is now available and gender analyses5 have explored women’s unique needs to identify gaps and barriers in the implementation of disaster risk reduction activities.

Additional gender analyses will further the understanding of the barriers and constraints that prevent household members from equitably accessing or benefiting from household food and income, and inform the design of programs that empower women and girls.

Since 2021, HEA has been adapted to analyze and present results by annual, quarterly, and monthly caseloads at national, regional, zonal and woreda level. This facilitates Humanitarian Needs Overview (HNO) and Humanitarian Response Plan (HRP) planning and resource allocation for a calendar year cycle. It also introduces additional complexity, integrating current and forecasted seasonal performance. HEA quarterly analysis provides estimates for caseloads and duration of assistance for both the emergency and PSNP transitory food needs. It generates estimated food assistance requirements and supports decisions for the prioritization of

1 “Intervening early to respond to spikes in need – i.e. before negative coping strategies are employed – can deliver significant gains and should be prioritized. While building resilience is the most cost effective option, there will always be spikes in humanitarian need, and having the systems in place to respond early when crises do arise will be critical. The model estimates that cost savings alone could result in total savings of US$965 million over the 15 years.” (Economics of Resilience to Drought: Ethiopia Analysis, January 2018.)

2 HEA-U will provide RPAL with original data sets, access to any tools or existing analysis, and train RPAL staff to effectively be able to navigate and use HEA tools.

3 A livelihood baseline is a set of reference information detailing what and how much people produced, bought, earned and sold in a particular year.

Livelihood baselines comprise sets of quantified data related to distinct geographic areas within the country called ‘livelihood zones’ and for separate wealth groups within each livelihood zone (very poor, poor, middle and better off). Livelihood zones are geographic areas within which people share the same overall options for obtaining food and cash income and the same general market conditions.

4 For poor male and female headed households, the number of polygamous households and women’s resource ownership.

5 Gender and Livelihoods Study - Pastoral and Agro Pastoral Livelihoods Zones and Gender and Livelihoods - Cropping Livelihoods Zones https://drive.google.com/a/usaid.gov/open?id=1ehAxLhbqTb8T7EaG2vF5lgQfx2Jk7kacYe5ZuXyqCGw https://drive.google.com/a/usaid.gov/open?id=1ehAxLhbqTb8T7EaG2vF5lgQfx2Jk7kacYe5ZuXyqCGw https://docs.google.com/spreadsheets/d/1mN_bhdnK76oP7wMRDKAI7mHoUfR0EwPwApoWOVkUQRA/edit?usp=drive_web&ouid=112748989657451205327.

https://docs.google.com/spreadsheets/d/1mN_bhdnK76oP7wMRDKAI7mHoUfR0EwPwApoWOVkUQRA/edit?usp=drive_web&ouid=112748989657451205327.

https://reliefweb.int/report/ethiopia/economics-resilience-drought-ethiopia-analysis-january-2018 https://drive.google.com/file/d/1MtdauvdgxWQKYLEfT6_74w4ktaRdGhnh/view?usp=sharing https://drive.google.com/file/d/171QL2xf7MAoH61ev402xnXreaRRu_xtm/view?usp=sharing humanitarian food assistance and PSNP’s shock responsive safety net. The quarterly analysis allows the Food Cluster to align the HEA food insecure caseloads with food distribution planning in 45 day cycles. Additional extrapolation of the results provides monthly food insecure caseloads based on the timing and duration of food deficits.

This new activity will update the HEA baselines and tools to inform more effective intervention design and implementation of development and humanitarian intervention, and facilitate early action planning. This new activity will contribute to broader efforts underway to strengthen Ethiopia’s early warning system (including through LEAP/LIAS6). As efforts to develop a single multi-hazard early warning system for Ethiopia evolve, the HEA-U activity will need to adapt to maintain a culture of evidence-based decision making, continue to develop transferable analytic skills of stakeholders at all levels, and provide additional data to inform programing.

C.3. STATEMENT OF WORK

The objective of the new Household Economy Approach Utilization (HEA-U) Activity is to strengthen analytic and information management capacity for disaster risk management through the use of HEA tools. It will provide targeted technical assistance to (i) expand capacity to use and apply HEA-based analytic tools and (ii) institutionalize HEA-based tools and approaches within local, national and partner systems. It aims to improve understanding of the impact of shocks and support evidence-based decision-making. The HEA-U activity will be a four (4) year award with three (3) base years and one (1) option year.

This activity falls under the Development Objective (DO1) of the USAID Ethiopia Country Development Cooperation Strategy (CDCS) and directly contributes to the Intermediate Result (IR 1.2): Institutional Risk Management capacity Strengthened. The activity is anticipated to strengthen the analytic capacity and information management through interventions to provide technical assistance to strengthen capacity to use and apply Household Economy Approach tools (including the LEAP/LIAS interface), explore other potential uses of HEA and support their implementation, and update the HEA baselines. This will expand capacity to use and apply HEA, and lead to improved understanding of the impact of shocks on livelihoods.

6 LEAP (Livelihoods, Early Assessment and Protection) is a software platform initiated by WFP. It generates estimates of crop yield, by woreda.

Designed specifically for the local Ethiopian context, LEAP uses satellite-based rainfall data to calculate a range of weather-based indexes.

Livelihoods Impact Analysis Spreadsheet (LIAS) is a tool for storing Household Economy baseline data and running Household Economy Outcome Analyses.

The Intermediate Results (IRs) presented in the above diagram are discussed here below.

IR 1. Use of HEA-based tools and analytic approaches to improve understanding of the impact of shocks and support evidence-based decision-making expanded

The HEA-U activity will expand the use of HEA-based tools and analytical approaches by (i) strengthening HEA-based tools and making them more accessible, easier to use, and more relevant, (ii) supporting the use of HEA tools to inform evidence-based decision-making, and (iii) supporting the use of HEA-based tools to inform understanding of livelihoods. Improvements will include developing new analysis software, updating satellite and price information, and expanding use by sectoral, regional and woreda level users.

Sub IR 1.1. HEA-based tools enhanced and simplified

The HEA-U activity will strengthen and simplify existing HEA-based tools to make them more accessible, easier to use, and more relevant. It will contribute to a more efficient system of hazard detection, risk analysis, and disaster prevention and mitigation, and enable more timely responses.

The HEA-U activity will develop a customized software to integrate existing early warning tools and data systems, and improve data gathering, analysis and reporting protocols. It will automate the integration of hazard data streams7 and link these to baseline livelihoods data to generate early warning and needs assessment estimates throughout the year. Data entry and analysis applications will be tailored to the specific tasks of different types or levels of analysts or decision-makers, and it will include user-friendly, simplified analysis. To calibrate design specifications for software development, the HEA-U activity should conduct a rapid needs

7 Remote-sensing based crop and livestock data, market price data/modeling, satellite supported rainfall estimates, and field based information assessment to explore applications of HEA for humanitarian needs assessment and development program planning and analysis.

Specific enhancements should include (i) the addition of a Productive Safety Net Program (PSNP) component of analysis to LEAP/LIAS (Livelihoods, Early Assessment and Protection) so that IPC phases in LEAP/LIAS results reflect PSNP assistance and are more directly comparable to IPC survey results8; (ii) strengthening the validation of the market model using historical price data and production data to integrate in LEAP/LIAS9;

(iii) integrating modern remote sensing data inputs for crop production as an alternative to LEAP (e.g.

CHIRPS)10. Technical enhancements will be complemented by training of users in local, regional and national DRMC and M/BOA offices, and implementing partners such as OCHA, FAO/IPC, WFP, and international and local NGOs, and technical assistance to strengthen information management and support the utilization of the analysis software and tools by stakeholders at local, regional and national level.

Sub IR 1.2. HEA-based tools informed evidence-based programming

The HEA-U activity will support the application and use of HEA-based tools to inform evidence-based programming and improve decision-making for shock response. It will expand the use of HEA to inform food security, resilience, shock-responsive and emergency programming. Explicit focus on the regions and woredas is important to enhance local ownership and use of the data and software. The new activity will strengthen the collection, analysis and management of regular monitoring data, and its consolidation for the estimation of needs.

With the support of the HEA-U activity, humanitarian and development partners will continue the shift towards regular monitoring of food needs with refined verification assessments and the transition to a shock responsive social safety net. The activity will also explore other applications of the HEA tools. Key partners will include FAO and the IPC community, OCHA, WFP, regional food security partners, and the early warning systems network partners responsible for the development of disaster mitigation and contingency plans and the Woreda Disaster Risk Profiles. This should include proactive effort to support development of a single multi-hazard early warning system.

Sub IR 1.3. HEA informed understanding of livelihoods

The new HEA activity will also improve the understanding of livelihoods in Ethiopia and how they are impacted by shocks. The activity will provide technical assistance and mentorship to support the updating of 100 livelihood zone baselines to reflect major changes that have taken place, updating the National Livelihoods Atlas, and revising woreda posters to inform woreda development planning. The activity will conduct gender analyses of barriers and constraints that may prevent diverse household members from equitably engaging in income generation activities, and equitably accessing or benefiting from their households’ food and income. The HEA-U Activity will conduct a landscaping assessment exercise before any research is conducted to avoid duplication and mitigate the risk that outputs will not be used.

8 The IPC uses data from multiple sources and a ‘convergence of evidence’ approach. The HEA Outcome Analysis results are used alongside other evidence to determine the final phase.

9 The current market model is the weakest feed in the LEAP/LIAS modeling as it uses simple scenarios from mild to severe.

10 Replace with CHIRPS or other open source satellite products if LEAP is unable to resolve resolution and ownership issues (source code). Resolution is currently about 11km by 11km/0.1 by 0.1 degree, which is very wide area coverage for a rugged and mountainous country like Ethiopia where aspect (which side of a mountain the area lies) has a huge effect on quality of the data.

Sub IR 1.4. HEA informed gender based interventions

The HEA-U activity will conduct additional gender analyses to fully understand barriers and constraints that may prevent diverse household members from equitably engaging in income generation activities, and equitably accessing or benefiting from their households’ food and income

IR 2. HEA-based Tools Institutionalized

The HEA-U Activity will institutionalize HEA-based tools within the local and national humanitarian systems by (i) increasing awareness and understanding of HEA, (ii) strengthening ownership and the capacity to sustain application of HEA-based tools, and (iii) incorporating HEA-based tools into early warning systems. All interventions under the HEA-U Activity, including those under IR1, will be undertaken with a view to the early warning network partners assuming all core HEA functions.

The HEA-U Activity will expand utilization of HEA to other local community partners at the regional and sub regional levels. As a result, relevant partners staff will be able to generate charts, reports and maps for broader stakeholder consumption across all partners. OCHA, FAO/IPC and WFP will be able to use the data and software directly to generate reports, inform decision-making and tailor assistance. USAID and its IPs should be able to use the data and software directly to support their understanding of the impact of shocks and tailor their programming.

Sub IR 2.1. Awareness and Understanding of HEA Increased

The HEA-U Activity will develop a communications strategy and provide technical assistance to develop partnerships among stakeholders to increase awareness and understanding of HEA. The communications strategy should include workshops, newsletters, briefing papers such as customized information products on topics of interest emerging from the change analysis and the regional overviews, seasonal assessment results, and analysis on links between humanitarian assistance, resilience, food insecurity trends and PSNP. Key products will be translated into local languages.

Sub IR 2.2. Ownership of the HEA tools and Capacity to utilize Strengthened and Sustained

The HEA-U Activity will develop and implement a strategy for institutionalizing HEA and handover to Early Warning network partners to strengthen ownership and sustainability of activity outcomes. The activity will engage key partners regularly throughout implementation. Key partners include the FAO and the IPC community, OCHA and the stakeholders involved in developing the Humanitarian Needs Overview, Food Security Coordination Directorate and regional Food Security Bureaus, WFP, and subregional, regional and national communities and staff for timely early warning and development of disaster mitigation, contingency and local development plans.

The eventual handover of HEA core functions to partners will require targeted partners to guarantee commitment and fully engage on a phased take over. HEA core functions include both revising baseline data and using HEA-based analytic tools. The HEA-U Activity will set milestones in partnership with stakeholders and adapt its technical support over time to provide the support that the target partners need to institutionalize HEA-based tools and sustain their application.

Sub IR 2.3. HEA incorporated into shock-responsive systems

The HEA-U Activity will incorporate HEA-based tools into shock-responsive systems by supporting partners embed regular monitoring and verification processes in the early warning systems, develop and apply a system for updating baselines, develop a knowledge management system and improve web-based access and to data analysis and tools. It will provide organizational behavior support to develop partners’ confidence in HEA for decision making and adjust as broader EWS work progresses.

The HEA-U Activity will develop and apply a system for updating baselines in partnership with local communities, exploring other techniques, methods and data sources11 beyond HEA-baseline field work. It will support local woreda and regional communities to update the baselines in selected livelihood zones where livelihoods have changed dramatically. It will support formation of a technical team that reviews, responds and activates field work if and when necessary.

The HEA-U Activity will also support partners in developing a knowledge management system to improve the sharing, accessing, and updating of knowledge and information. This may require developing or using an open source knowledge management software that captures information, transforms it into knowledge and delivers it when needed. It will also develop and improve open web-based access to data and analysis tools to improve the accessibility of information. This should include LEAP/LIAS, NatLias, HEA baselines and scenario analyses.

C.4. DELIVERABLE SCHEDULE

The contractor shall provide the following:

IR 1. Use of HEA-based tools and analytic approaches to improve understanding of the impact of shocks and support evidence-based decision-making expanded

Sub IR 1.1. HEA-based tools enhanced and simplified

1. HEA-based tools are more accessible, easier to use, and more relevant; customized HEA analysis software developed.

2. HEA analysis software and tools embedded in at least 3 national and 8 regional partners’ ICT facilities.

3. HEA analysis software and tools used by at least 100 stakeholders at local, regional and national level to generate results of scenario analysis directly in the form of reports, charts, geospatial analysis and maps.

Sub IR 1.2. HEA-based tools informed evidence-based programming

1. At least 3 national and 8 regional partners utilize HEA for food security monitoring, needs assessment and verification, and shock responsive safety net scaling.

2. At least 5 national and 8 regional partners integrate the application and utilization of HEA for other purposes.

3. At least 10 USAID activities use HEA to inform design or support adaptive management that will need to incorporate geospatial data analysis.

Sub IR 1.3. HEA informed understanding of livelihoods

11 Potential data sources include regular monitoring, Central Statistics Agency (CSA) and impact assessments.

1. At least 5 national and 8 regional partners conduct analysis using HEA-based tools to inform understanding of livelihoods and tailor programming.

2. At least 100 HEA livelihood zone baselines updated by the end of year two.

3. At least 10 partners use HEA analysis to inform livelihoods programming.

4. One annual analysis report on the progress of PSNP clients towards reaching the graduation threshold in selected PSNP livelihood zones.

5. At least 10 partners use HEA gender analysis to inform gender sensitive programming.

Sub IR 1.4. HEA activity will build on the recommendations of gender analyses to address barriers and constraints that prevent diverse households from income generation activities.

1. Conducting gender disaggregated seasonal assessments using the LIASs set up to include FHH.

2. Analyzing the needs of poor FHH required levels of support that protect their livelihoods in bad years and that prevent any further erosion of their assets. Consequently, they may remain on PSNP caseloads longer than poor MHH.

3. New HEA baseline assessments will continue to collect data on poor FHH to further our understanding of the extent that gender affects livelihood outcomes.

IR 2. HEA-based Tools Institutionalized within an early warning systems

Sub IR 2.1. Awareness and Understanding of HEA tools Increased

1. At least 5 national and 8 regional partners have at least 100 staff with in-depth knowledge of and ability to utilize HEA.

2. At least 10 partnerships forged with relevant sectors, UN agencies, donors and NGOs, and formalized through MOU or other formal documentation within the first year of the award.

Sub IR 2.2. Ownership of HEA based tools and Capacity to utilize Strengthened and Sustained

1. HEA functions reflected in annual work plans and budgeted for by relevant stakeholders at national level and in each of the 8 regions.

2. HEA functions performed independently by partners at federal level and in at least 8 regions.

Sub IR 2.3. HEA incorporated into early warning and shock responsive systems

1. Regular monitoring and verification assessment processes embedded and budgeted for in Ethiopia’s DRM system at all levels.

2. System for updating HEA livelihood zone baselines established and budgeted for in EDRMC.

3. Knowledge management system facilitates sharing key information at all levels, and used by at least 5 national and 12 regional partners.

4. HEA tools and up-to-date data readily accessible on the web.

Outcomes will be monitored through baseline and endline OCATs to measure the extent to which analytical capacity and information management for evidence-based decision making, and understanding of the impact of shocks has improved.

Progress will be tracked by monitoring decisions made using HEA disaggregated by level and type of shock and type of decision to assess the extent to which HEA is being used, and the amount of HEA analysis done by GOE with or independently of the implementing partner rather than by the IP to assess the sustainability of the interventions and the institutionalization of the tools.

C.5. LEARNING, MONITORING, AND EVALUATION (LME) PLANS

USAID has integrated Collaborating, Learning, and Adapting (CLA) into all aspects of its operations and programming to achieve better development outcomes. This involves strategic collaboration, systematic and continuous learning, and adaptive management. CLA asks:

● Do you take the time to think critically about your work? (Learning)

● Are you strategic in who you collaborate with, what you’re learning? and (Collaborating)

● Do you use those learnings to change accordingly? (Adapting)

● How does geospatial analysis help change learning and change program if needed? (Learning &

Adapting)

USAID expects the Contractor to have a robust LME Plan that is fit-for-purpose to enable evidence-driven adapting by both the Contractor and USAID. The LME Plan outlines the approaches and resources for learning opportunities for adaptation, measuring results and achievements of activity, collaborating, and adapting. Traditional monitoring and evaluation (M&E) approaches including indicator monitoring should be included in this plan.

The Contractor will work closely with its Contracting Officer Representative (COR) to establish fit-for-purpose learning tasks such as establishing indicators, including baseline and performance targets. The LME Plan is due within sixty (60) calendar days from the award start date. The Contractor shall submit an updated LME Plan thirty (30) calendar days before the beginning of each subsequent fiscal or agreement calendar year.

Required sections and brief instructions for the LME Plan include:

● Learning - Guides performance management planning by setting learning and information priorities. It helps in assessing the theory of change (ToC), identifies critical learning gaps important for successful program implementation; reviews the validity of assumptions; monitors the risks.

○ Key Learning Questions - Explain the strategic learning questions around the ToC and learning activities, tools and techniques to answer it and how the learning will be utilized. Learning activities are the means by which we generate, analyze, and synthesize learning to answer our priority learning questions. There are various types of learning activities, including situational analyses, performance and impact evaluations, performance monitoring data, context indicators, literature reviews or syntheses of existing research, generating and capturing tacit and experiential knowledge through facilitated dialogues and other participatory methods (Before Action Reviews, After Action Reviews, mid-course reviews, regular reflection exercises). Determine if a mix of learning activities could best help you answer learning questions. In determining priority learning activities, consider when learning is needed (and at what frequency) to inform key decisions.

The HEA-U activity will contribute to the utilization focused learning agenda of the Strengthening Disaster Risk Management Systems and Institutions (SDRM-SI) project through performance monitoring, learning, and collaboration with other activities under the SDRM-SI project, including the project-level development evaluation (DE). It is anticipated that this activity will contribute to the following illustrative learning questions:

1. To what extent have USAID’s interventions to strengthen disaster risk management reduced the risk and impact of disasters? Which modality (empowering communities, strengthening institutional risk management, improving the effectiveness of humanitarian response) is most effective, why and how?

2. To what extent do the institutional strengthening interventions (to improve coordination structures, early warning systems, preparedness plans, contingency funds, mainstreaming, human resources, organizational structure, utilization of data and information management) lead to better preparedness and response to disasters? Why and how? Why does early warning not trigger a response at the community level? Are there sufficient capacity development investments/interventions at all levels to truly improve systems?

3. Is there a singular system for early warning and response that works for all development actors (local community, civil society, donors, IPs, etc.)? What type of system is realistic and contributes to self-reliance? What are the implications of the chosen system? What types of information outputs (from EWS, etc.) are most useful for different audiences?

4. Which DRM capacities are specific to certain shocks versus transferable across shocks?

● Performance monitoring will be expected to measure progress towards each of the results outlined in the SOW. This will include measuring the strengthening of the HEA-based tools, the strengthening of partners’ analytic capacity, the use of evidence for decision making and the institutionalization of HEA within the EW and Shock Responsive Safety Net (SRSN) systems. The Contractor is expected to include performance indicators; supplemental information about each performance indicator including baseline data; targets; and Performance Indicator Reference Sheets (PIRS).

Illustrative methods include OCAT baseline and endline, performance monitoring for the HEA tool itself and insight into decision making processes, monitoring indicators on number of decisions made using HEA data and on the use of HEA for predictive modeling, and inclusion of learning monitoring in quarterly reports (aggregated in annual and end of project reports).

● Evaluation/Assessments/Studies plan - In case the Contractor wants to conduct an internal evaluation for its own institutional learning or accountability purposes, it is critical to dedicate sufficient funding for evaluation within its application and include the purpose and expected use of the evaluation, the type of evaluation; estimated budget; planned start and end dates; and expected level of USAID involvement.

● Collaboration - Identify the approach and stakeholders who are most critical to achieving the desired development outcomes.

● Adapting - Provide details on how learning and collaboration will be used to adaptively manage.

● Enabling Environment - Describe the culture, processes, and resources (including human and financial) needed to operationalize the LME Plan.

For the proposal submission, the offerer needs to only describe the overall approaches to Learning, Monitoring and Evaluation.

Development Information Solution (DIS) In compliance with ADS 201 and ADS 579 regarding data reporting, once the Activity Monitoring and Evaluation Plan is approved, the Recipient must submit all performance management information into the Development Information Solution (DIS) at the required frequencies outlined below. Data that shall be submitted to DIS include:

1. Indicator results…