DESCRIPTION OF SERVICES

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1 DESCRIPTION OF SERVICES Preparation, Appraisal and Oversight (PAO) Consultant for the Australia Indonesia Infrastructure Grants for Municipal Sanitation (saiig) and Sanitation Hibah CONTENTS 1. BACKGROUND OBJECTIVES DESCRIPTION OF REQUIRED SERVICES Approach Expected Outputs Scope of Activity and Tasks... 4 Task 1 - Mobilisation and Activity Management... 5 Task 2 Support with Project Preparation and Planning... 5 Task 3 Appraisal of Detailed Engineering Design and Implementation Preparedness... 6 Task 4 Governance Development and Target Setting... 7 Task 5 Construction Oversight... 9 Task 6 Baseline and Verification Surveys... 9 Task 7 Reporting REQUIRED DELIVERABLES ESTIMATED INPUTS AND TIMING Resourcing Timing KEY PERSONNEL AND ORGANISATIONAL ARRANGEMENTS Personnel Organisational Arrangements Coordination and Control GENERAL ISSUES Language Task Completion Approval Gender and Disability Inclusive Approaches Environmental and Social Safeguards ATTACHMENTS 1 ACRONYMS USED ATTACHMENT 2 LIST OF PARTICIPATING LOCAL GOVERNMENTS i

2 DESCRIPTION OF SERVICES Preparation, Appraisal and Oversight (PAO) Consultant for the Australia Indonesia Infrastructure Grants for Municipal Sanitation (saiig) and Sanitation Hibah 1. BACKGROUND 1. The Government of Indonesia has agreed with the Government of Australia to extend both the Australia Indonesia Infrastructure Grants for Municipal Sanitation (saiig) and the Sanitation Hibah (Hibah Air Limbah) activities, such that the last grant disbursements of incentive payments should be no later than 30 June Both saiig and sanitation hibah, which began in 2013 under DFAT s Indonesia Infrastructure Initiative (IndII) Facility, are now being managed by DFAT s new Facility, the Indonesia Australia Partnership for Infrastructure (KIAT). 2. Both activities are important activities in the portfolio of the Water and Sanitation Program within the KIAT Facility. KIAT, through saiig, provides funding to local governments (LGs) to establish neighbourhood sewerage schemes for 150 and more households per scheme and implement governance reforms that will lay solid foundations for the delivery of wastewater management services. KIAT, under sanitation hibah, provides grants to local wastewater operating entities (mainly PDAMs) based on numbers of new functional house connections. 3. The saiig program commenced implementation in 2013 and was expected to implement schemes for 90,000 households in 40 LGs over 3 years. Initially grants for the value of $22 million were awarded to 42 LGs. Sanitation hibah makes available AU$5 million to wastewater Operators for up to 8,000 connections. Both programs are being delivered to participating LGs using the Indonesian Government s on-granting regulations and are being disbursed using an output-based modality, upon verification of acceptable sanitation infrastructure outputs. 4. The components of municipal sanitation which will be eligible for grants under the programs are limited to: (i) Neighbourhood sewerage collection and treatment systems under saiig funded by local government budget, where the treatment and network incentive payment is separated from the incentive payment based on functioning connections; (ii) Neighbourhood sewerage under saiig, connected to existing sewerage system developed, so long as the funding is local; (iii) Property/house connections made to any system that has idle capacity in the treatment system, so long as the connections are made with locally sourced funding; and (iv) Connections made by Wastewater Operators under the Sanitation Hibah Program. 5. The saiig neighbourhood sewerage collection and treatment systems are simplified schemes, designed mainly for gravity flow, of shallow depths (less than 1.5 m), with a minimum of manholes or pumping stations. Typically each system will serve between 150 and 400 households. Treatment 1

3 consists of an appropriate anaerobic process but will not be prescribed. Effluent quality must meet Government of Indonesia Ministry of Environment requirements. 6. The second component will be identical to the neighbourhood schemes above except that in saiig cities with existing collection systems the neighbourhood schemes may connect to the live sewer so that treatment will be provided by the existing facilities where there is idle capacity in the existing systems. 7. The third component is similar to the second, except the connections may be made to any system in which there is idle treatment capacity, no matter from what funding source that system was constructed. 8. The fourth component is related to the sanitation hibah program, where the majority of connections are targeted at low-income households. It will be the responsibility of the Preparation, Appraisal and Oversersight (PAO) consultant to review the existing treatment plant and identify the potential household connections within new cities for sanitation hibah, for example Simalungun, Medan, Batam and Cirebon as informed by CPMU to achieve the target number of household connections. 9. As the capacity of LGs to plan, design and implement sanitation services at a city level is quite limited, KIAT will also, besides the PAO, fund a number of technical assistance packages to support the participating LGs. The first of these will be a consultancy to undertake promotion, LG capacity and community development work. 10. The work under this PAO statement of work will include baseline surveys and verification for both programs. A generalised schematic representation of how the technical assistance will be applied is presented in Figure The PAO work is to centre on technical support to participating LGs with the preparation, appraisal and oversight of the implementation of their grant projects. The technical assistance package will cover all LGs, although progress reporting will be divided into two regions eastern and western. 12. This assignment includes a planned installation of up to approximately 23,000 household connections in 28 LG areas under the saiig program and up to 8,000 under sanitation hibah. saiig is currently active in 28 LGs however the consultant should be aware that the number of active LGs may increase during program implementation. A listing of the identified LGs that have expressed an interest so far and the target for the as yet unidentified group are included in Attachment 1. 2

4 Figure 1: saiig and Sanitation Hibah Program Technical Assistance Support LG propose LG / Operator Prepare Program Approved Program LG /Operator Implementation KIAT first stage preparation and appraisal support (by PAO) KIAT Baseline Survey (by PAO) KIAT Implementation support including Oversight (by PAO) KIAT Verification Inspection (by PAO) Grant Agreement 13. In addition to the technical assistance described above, KIAT will likely also provide support with institutional development and capacity building to the service-providing entities to enhance sustainability of sanitation services in LGs. These will be included under separate work packages. 2. OBJECTIVES 14. The aim of this technical assistance is to improve the quality of program preparation and implementation through: a) Assistance to participating LGs with the preparation of their proposed programs for implementation and to the Central Project Management Unit (CPMU) of the Directorate General of Human Settlements (DGHS) with overall program delivery; b) Support to the Directorate PPLP and the CPMU to appraise the quality and readiness of the wastewater programs proposed by the nominated LGs to ensure that they meet the overall requirements of saiig and sanitation hibah; c) Support to the PIUs and implementing agencies within participating LGs and the CPMU by providing quality assurance and technical oversight during implementation from tender stage to handover of the works; and d) Provision of services covering baseline surveys and verification of outputs. 3

5 3. DESCRIPTION OF REQUIRED SERVICES 3.1 Approach 15. The Consultant will support the LGs to prepare proposals and documentation to support their application for a grant under the programs. 16. The grants will explicitly define the areas of responsibility and authority of the parties and the parameters for implementation as well as the geographical areas where the new sewerage schemes are planned to be installed. 17. The Consultant will be required to provide assistance to the LGs with the preparation and planning of the projects, guidance and appraisal with the detailed design and tender documentation of the proposed schemes which will be outsourced by the LGs to local consultants. They will also assist with sectoral governance development and target setting and check the LGs readiness and document preparation for lodging their request for the grant. Where required the Consultant will provide targeted training to LG staff on tariff setting, billing and collection systems. 18. Once the on-granting agreement is signed and the LG engages contractors, the Consultant will assist the LGs by providing level of quality assurance and overseeing of construction to ensure that the work is carried out to a suitable standard and workmanship. The Consultant will encourage LGs to be mindful of the core objective of the Program, which is to provide wastewater management services to the community, including to the poor, women, children and people with disabilities. 19. The Consultant will perform baseline surveys in support of LG proposals and complete verification impartially to agreed standards and in a manner that enables the data to be used in the operations. Baseline tools need to ensure that sex and disability disaggregated data is collected where-ever relevant. 20. The overall methodology, analysis techniques, and precise reporting formats to be adopted will be determined by the Consultant, considering practices developed to date, and will be agreed by KIAT, and should be used consistently at all locations. 3.2 Expected Outputs 21. The primary outputs of the PAO technical assistance will be: (i) Detailed design and tender documentation of the schemes to be funded by the Programs; (ii) A compiled set by the LG of action plans for governance development and progress indicators which will form the basis of the agreed governance targets; and (iii) A report on the quality of construction and lessons learned from the project in each LG. 3.3 Scope of Activity and Tasks 22. The Consultant shall undertake the tasks detailed below to the maximum extent possible, given varying levels of cooperation by and capacities of the LGs. 4

6 Task 1 - Mobilisation and Activity Management 23. At the outset of the activity, the Consultant will contact and meet with the Provincial Project Management Unit (PPMU) to establish communication channels. Then the Consultant will arrange an inaugural meeting in each city (kota) or district (kabupaten) directly with the representatives of the LG to explain the objectives of technical assistance and with expected outputs. The meeting should include senior decision makers and the Consultant should ensure that there is equal opportunity for male and female government officers to participate and access the information. Meetings with Pojka Sanitasi should be implemented. 24. The Consultant will liaise with Bappeda and the LG (as well as Operator in the case of the sanitation hibah program) to establish a working unit which will be maintained throughout the activity and be the key unit to liaise between the Consultant and the local agencies. The working unit should assist the Consultant with obtaining any formal licenses and clearances from all levels of government necessary for conducting its activities under this assignment. 25. The Consultant should work closely with the working units and also maintain good coordination and communication with KIAT, CPMU and Direktorat PLP of the DGHS and the PUPR Gender Secretariat and relevant Pokja throughout the duration of the activity. 26. While not needed to be based in all the cities/districts, the Consultant will ensure a full-time presence in major LGs and that an activity manager will be contactable and responsive at all times throughout the conduct of the preparation, appraisal, baseline surveying, implementation and verification activities. Task 2 Support with Project Preparation and Planning 27. The Consultant will support the LGs or Operator with the preparation and planning of their grant projects. This will include the following. (i) Assistance with identifying data needs for the project and with identification of service areas, suitable locations for the treatment facilities and appropriate receiving waters for the treated effluent discharge. The considerations should also include land acquisition and ownership, constructability and access, potential for expansion of the service areas and the treatment facilities, the prospects for eventual integration of the stand-alone systems at some future date and the absorptive capacity of the receiving waters. Gender equality and social inclusion (GESI) issues in land acquisition also need to be addressed. (ii) The service area identification must include a rapid but informal survey of the willingness to connect of the residents within that area. The Consultant is to assist the LGs or Operators with their socialisation of the project and efforts to generate demand for the service. The LG or Operator should be encouraged to obtain some evidence of the community within the designated service area being willing to connect. This socialisation effort will be coordinated with the separately implemented Community Awareness Technical Assistance to inform the community of the benefits of sewerage to the environment and to the health of the community. The evidence should be obtained prior to the actual start of detailed design at the latest. However, the socialisation process can be spread into the DED consultant procurement phase. Consultations with residents need to ensure that meetings are held at time when women, men 5

7 and members of other vulnerable groups can attend. Strategies may need to be planned an implemented to ensure that consultation is effective and includes those not normally consulted. (iii) While full-scale baseline surveys may not be required at this stage, some early work may be undertaken at this stage by the Consultant in support of improving targeting and selection of project locations, including a rapid assessment of community demand on sanitation when conducting mapping of the area. Diverse voices (women, men, people with disabilities and other vulnerable groups) need to be included in any baseline assessments or rapid assessments of community demand for sanitation. (iv) Once the willingness to connect target is achieved, it will be assumed for planning and design purposes that all of the community, including those that did not indicate a willingness to connect will be included in the scheme. This is essential for the proper functioning of the gravity sewer systems. (v) In the mobilisation period, the Consultant shall formulate a project specific GESI/civil society engagement (CSE) strategy and Action Plan in close consultation with KIAT and Cipta Karya. 28. The Consultant will also assist with determining staging potential and so whether a single year or a two-year project (for 2018 proposals) should be planned. This will involve confirming the available budget of the LGs or Operator, especially for the initial year and after allowing for time and government project financing constraints. The plans should also identify the next stage of development (expansion) of the proposed systems. 29. The Consultant will also need to liaise with other consultants providing specialised TAs and the CPMU to confirm the type of program proposed by the LGs and for providing other information as required from time to time. This will assist with overall management of the Programs and in fine tuning. In liaising with Specialised TA consultants, the Consultant, through its specialist personnel, will collaborate with Specialised TAs and coordinate this work within the PAO, using agreed approaches and methods and ensuring that such approaches and methods take account of the specific physical, institutional and social environment, and stated plans of the LG in which the activities are undertaken. Further, the Consultant will ensure technical and non-technical aspects are integrated and all its personnel communicate a consistent tailored message to the LG. 30. The output of this task should be a simple plan of the project, estimate of the number of properties that will be connected, a first cut budget requirement and a preliminary schedule. Task 3 Appraisal of Detailed Engineering Design and Implementation Preparedness 31. The LGs or Operators will engage a local consultant to prepare the detailed design and tender documentation. In the first instance, the Consultant will review the terms of reference of the design consultant prior to the call for tenders or direct appointment. The Consultant will guide the LG or Operator and appraise the detailed design to ensure they are of an adequate standard. This may involve a quality assurance check of aspects of the work and reviewing and helping the LG and local consultant in revising the designs, technical specifications and tender documents. 32. It is noted that a generic detail of a typical house connection will suffice. The site specific design of house connections will be the responsibility of the contractor, not the LG or Operator, as each property is likely to have different arrangements for its onsite wastewater management system. 33. The Consultant will guide the preparation and evaluate for compliance of the LGs or Operators environmental and social safeguards with the relevant Indonesia and DFAT standards or 6

8 requirements. This will include the preparation of a brief review of environmental factors. 34. The Consultant will also review tender documentation, including the terms of reference/specifications for the construction of the works. The review should take into consideration the type of bidders anticipated local (city) or national level and the time constraints. 35. At the completion of the design, the Consultant will review the cost estimates and construction budgets and the schedule including phasing of two-year or stage projects. This latter aspect should be done with cash flow in mind as, knowing that under the two-stage option, the LGs will only get an incentive payment on a property connected and operating basis. 36. The Consultant will also guide and assist the LGs or Operators in compiling the documents required for the grant project application. This will involve appraising the documentation which, apart from the preliminary engineering plans, will also include a project implementation schedule, confirmed budget allocations, confirmation of community willingness to connect, agreed governance targets and other documentary evidence as required under the Program Management Manuals, which will be provided to the successful Consultant after contract signing. It is noted that completion of the detailed design is not a pre-requisite for lodging of the applications as long as the documentation above is complete. Planning level information is sufficient as long as final key parameters (such as property numbers) stay within the planning framework. 37. The Consultant will also provide support to the CPMU to confirm qualifying programs and updates of the implementation schedules necessary for determining fund disbursement projections. Task 4 Governance Development and Target Setting 38. The Consultant will keep under review the current institutional framework in each participating LG and any plans for change to strengthen the management of wastewater management. Further, the Consultant will provide guidance to each LG in relation to required improvements in sector structure and organizations that ultimately improves governance arrangements. Proactive engagement with related projects in the urban sanitation sector is expected of the Consultant, in close coordination with KIAT. The Consultant will also assist, upon request, the LGs in preparing the nominated organisation for the start of operations. In addition, the Consultant will help the LG to establish governance targets which will be used as part of compliance monitoring and during the verification stage. 39. It is acknowledged that governance development and target setting requires a willingness of the LG to accept the need for institution and organization change and possibly assistance from outside parties. Hence the Consultant will focus on ensuring institutional and organizational baseline conditions are clearly established as a basis for assessing progress, including a focus on GESI issues 40. The Consultant will at all times consistently promote development of a sector structure that clarifies roles and responsibilities, increases the use of performance-based approaches that demonstrate performance has consequences, puts customers at the centre of the Operators efforts and seeks to change the culture from bureaucratic to service deliverer. The support requirements will be as detailed below. 7

9 a) Institutional framework development 41. This element will address the following: (i) Undertake a dialogue to confirm that a dedicated (flexible, semi-autonomous) organisation for the management and operation of sanitation services has been or will be set up by the LG and ensure the LG understand the pros and cons of the type of organisation proposed (UPTD, BLUD or PD or a clearly defined division of the PDAM). (ii) The LG has an implementation schedule drawn up and budget allocated for the necessary preparatory work including drafting of the necessary documentation for the establishment of the legal entity or unit and the associated policies and regulations including those pertaining to the connection of households/properties to the sewerage system.; and (iii) Promote efforts to implement GESI /CSE strategies and actions as well as retribusi / tariffs, which at a minimum, is to establish schedules for their implementation. b) Operator organisational preparedness and operations start up 42. This element will address the planning and implementation of the following: (i) Drawing up of job descriptions and schedules for the recruitment of key management and operations staff. (ii) Preparation and allocation of budget for operation and maintenance during the period of the grant project and up to a year beyond. (iii) Supporting a decision on what activities / functions will be included in the tupoksi of the operating unit. (iv) Identification of the preferred mode of operation of the sewerage system including an action plan and schedule for its establishment. Options many include operation by in-house staff or outsourcing to contractors. (v) Preparation of plans and schedules for implementation of organisational improvements which may include staff motivation and incentive plans, enhanced customer orientation, developing a culture of innovation, skills upgrading, enhanced transparency, the use of e-procurement and promotion of equal gender opportunities, inclusion and diversity in workplace development, among others. (vi) Ensuring that the planned grant project is consistent with the city sanitation strategy. If not, adjustments to the strategy will be required to incorporate and integrate the KIAT funded projects. c) Governance target setting 43. The Consultant will encourage and assist the LG where requested to set its achievement targets under RPJMD and other statutory / mandatory planning documents for parts (a) and (b) above, which the LG plan to meet by the end of the grant project period. Yearly progress targets are also desirable 8

10 if the grant project is to be spread over a two-stage or two-year schedule. The Consultant will emphasize to the LG that the achievement of such intermediate and final targets will be reviewed positively as part of the verification process of completed commitments under the grant. Task 5 Construction Oversight 44. In general, during the construction phase the Consultant will support the PPMU, PIU, implementing Dinas and CPMU with the administration of the Programs, specifically the construction of the works. The Consultant will provide quality assurance and technical oversight of the implementation from tender to hand over. This will involve working with the LGs supervision consultants checking the quality of materials, construction methods and general quality. Particular attention should be paid to the design and construction of the house connections and that the contractor or the LGs supervision consultant documents these with a sketch for future reference. 45. The Consultant will also contribute to the administration by flagging difficulties, including weakness of the local supervision team (strategic and work process level), that may contain useful lessons learned and prepare all documentation required to support verification, such as visit writeups and quality assurance level information on sewer main laying and house connections. 46. The Consultant is also to collect and analyse data and information relating to governance indicators so that significant shortfalls from commitments and targets can be identified early. Task 6 Baseline and Verification Surveys 47. This task is to provide support to LGs with the preparation of baseline surveys and to undertake verification inspections of completed works. It will not include socio economic surveys, or a water quality sampling program. The precise location and amount of work within each LG is not known at this stage, but some indication is given by the tables in Attachment 2. Allowance should be made for survey of approximately 23,000 households (includes ± 10%) in 28 LG areas under the saiig Program, and 8,000 connections under the sanitation hibah program, with Consultant reimbursement based on submission of expenditure claims. saiig is currently active in 28 LGs however the consultant should be aware that the number of active LGs may increase during program implementation. 48. Baseline surveys will identify all properties within areas each LG plan to sewer in 2018 and 2019, and not just those to be connected. The work will be undertaken on an annual cycle, generally once designs are well advanced, and will locate properties in relation to significant landmarks, including sewer access points (actual and designed). Access points will be located in relation to other landmarks and geo-tagged. Precision of geo-tagging shall be sub-metre to enable compilation of accurate records of sewer infrastructure. Baseline surveys will also identify wherever possible civil society organizations in the target communities that can potentially be drawn upon to support saiig implementation. 49. The Consultant is required to undertake two types of verification of LG output (i) the functionality of new wastewater treatment plants and associated network built in 2018 and 2019 and (ii) recommending the number of connections that are eligible for saiig payments. 50. The Consultant s duties include: 9

11 (i) Coordinating with PIU/PPMU on the available data of house connections planned to be financed through a grant program (including referring to any As-built Drawings, List of Beneficiaries and the Property Identification Survey for list of built house connections in each participating LG); (ii) Assessing customer satisfaction of a resident of each property inspected (ensuring that the views of diverse groups are included); (iii) Confirming that for every property for which the LG intends to claim a new connection that in fact it been made and is functioning. The Consultant shall inspect each connection and should confirm directly that (i) the connection has been installed (ii) the connection has been operating (iii) it meets the technical criteria as set out in the Project Implementation Manual (PMM) or elaborations thereof; and (iv) Confirming that the connection has not been previously claimed and grant payment made for it. 51. The Consultant will include in reports all relevant information, focussing on ensuring properties and infrastructure serving them can always be (re) located. Further, the Consultant will establish, maintain and update a database of all new household connections that have or can be made, as part of national efforts to establish sectoral data management systems. Task 7 Reporting 52. The consultant shall prepare the reports listed in Section 4. All reports should be submitted to KIAT for review before any finalisations that may be requested. The Consultant may also be requested, with reasonable notice, by KIAT to make a presentation of the drafts before finalisation. 4. REQUIRED DELIVERABLES 53. The Consultant shall submit to KIAT the following deliverables: (i) Inception Report This report should be brief covering the current status of project implementation, consider the implications for this assignment and provide appropriate recommendations for improving implementation. It should review briefly the results of the FY preparation, appraisal and oversight consultancy for applicable lessons learned for this assignment. The Consultant will prepare a detailed work plan and methodology based on the Consultant s status assessment, resourcing and staffing arrangements and activity schedule. The report should be submitted to KIAT within four weeks after project commencement. The Consultant will make a brief presentation of the report to KIAT and the CPMU. (ii) Back-to-Office Reports A brief report in a standardised format will be prepared on each occasion that a senior person from the Consultant visits a LG. These Reports will focus on recording the completion of the tasks (Task 2-5) and will include the preliminary qualifying projects for each of the 2018 and 2019 programs. They will summarise the key planning parameters, activities and outcomes of the preparation, planning and oversight tasks and include the recommendations for the qualifying projects and follow-up actions. The reports will be prepared for all participating LGs once a visit to that LG has been completed. These reports will provide feedback to the LGs and be disseminated to the KIAT and CPMU. 10

12 (iii) Monitoring and Evaluation (M&E) Framework The M&E Framework will bring together existing monitoring structures of both the saiig and sanitation hibah programs, focussed around the common outcomes of (i) expanded access to sanitation services, particularly for the poor and vulnerable groups; (ii) make sanitation services more sustainable by supporting sector reform through GoI funding to LGs: and, (iii) accelerated investment in the sector through increased flow of funds through the grant mechanism. The framework should include strategic objectives established under the GESI / CSE Strategy and indicators of progress under the Action Plan. The framework will ensure alignment with the overarching KIAT Facility M&E Framework to specify how assistance is contributing to Facility objectives, and detail all necessary resourcing required by the Consultant for M&E activities during implementation. (iv) Baseline Survey (Property Identification) Reports A baseline report of the potential customers surveyed is to be prepared for each LG after field work is completed. The report should cover the methodology for the survey, the data and information collected under Task 5 and brief commentary on the findings and any issues that arose during the survey. Maps shall be included showing the location of all properties identified in relation to landmarks and also using UTM coordinates. These reports will need to be disseminated to the respective LGs, as well as KIAT and the CPMU. (v) Project Appraisal Reports These reports shall be compiled as a stand-alone report for each LG, either annually (if the LG has separate projects each year) or towards the end of 2019 if the LG has a multiyear program. The Reports will contain all relevant documents to support any reexamination of project feasibility. The reports will include the detailed engineering designs and information on tender documentation as well as related appraisal activities. These reports need to be disseminated to the respective LGs as well as KIAT, Dir. PLP and the CPMU. (vi) Verification Reports These reports shall be prepared after each verification activity is completed in each LG. The report shall include copies of the Berita Acara and other formal documents, and have appended to it the data related to the inspection process, the results and data that will be of use going into the operations phase. Maps shall be included plotting the location of all inspected connections. One objective in this reporting will be to ensure that all connection locations can be identified by a third party without further reference to projectrelated persons. These reports need to be disseminated to the PPMU and respective LGs as well as KIAT, Dir.PLP and the CPMU and be suitable for use by BPKP, who will validate results. (vii) Sub-project Completion Reports These reports shall be prepared as a stand-alone report for each LG and, for LGs continuing their saiig Program, update those prepared by the previous PAO consultants. The Sub-project Completion Reports shall detail the outputs for each subproject, noting in particular any changes from the approved project proposals, and future directions. The oversight assessment and commentary on the quality of workmanship requested under Task 4 will also be included in this document. These reports will need to be disseminated to the respective LGs as well as the KIAT and CPMU. (viii) Monthly Progress Report Monthly reports summarizing work progress, issues and remedial actions taken or suggested. These shall be submitted to KIAT and the CPMU. Each Report shall consist of: 11

13 o o o o o o o An Executive Summary A one-page progress reporting on saiig and sanitation hibah which covers: figures (achievements against targets) and qualitative achievements (governance, community awareness and LGs commitments) and key risks/issues; Brief text on inputs, progress and challenges, results, and future plans; Tables showing LG progress in making house connection and more general progress, arranged by participating LG; All BTORs produced in the month, and a running record of all other deliverables submitted; Other attachments of particular interest; and A separate section for the sanitation hibah program. Because of the likely differences and the large amount of data involved, the report will be prepared separately for both the east and the west regions. The content of these reports may be provided in stages in the following month to KIAT and the CPMU. (ix) Activity Completion Report The consultant will be required to prepare a completion report at the end of the activity. This document will need to comply with the KIAT M&E framework, GESI strategy and risk management plan. The report will provide an overview of the activity and evidence progress towards expected outcomes. The report will also need to assess performance against set criteria- for example -effectiveness, efficiency, relevance, GESI, monitoring and evaluation, sustainability, risk- as well as key lessons learnt and the implication for future projects. 54. The Activity Completion Report should be not more than 6,000 words in length should be written so that it is understandable by a wide range of expert and non-expert readers and it should be suitable for uploading to the KIAT website. The Consultant will also prepare a PowerPoint presentation for use by the Consultants, KIAT and DFAT. 55. The Activity Completion Report is to be prepared in the standard KIAT format, but may be adapted to suit the activity. 56. All reports will be provided in electronic copy format. However, the Consultant will provide hard copies of the draft reports if requested by KIAT. The language for the BTORs, Appraisal and Sub- Project Completion Reports shall be Bahasa Indonesia, with the latter two containing English summaries. Other reports will be in English. 57. Final versions of maps, plans and data tables will be provided in editable digital formats as well as hard copy. 5. ESTIMATED INPUTS AND TIMING 5.1 Resourcing 58. The Consultant is to submit details of the proposed resourcing in the tender technical proposal. 12

14 It is envisaged that the Consultant will propose a core team of specialists and field teams mobilised on a regional basis. Indicative specialist skills that may be required are included in Section 6.1 below. 5.2 Timing 59. The duration of the full assignment is expected to be 24 months, commencing in July 2018, with a period of 18 months of a full team, then 6 months (January 2020 to June 2020) of a reduced team focusing on the final round of verification. 60. As the confirmation and identification of all of the participating LGs is still in progress, the availability of the final data including number of connections in each LGs cannot be precisely anticipated. The Consultant will need to have a flexible schedule for mobilising its field teams. The Consultant is requested to place a priority on those LGs that have been participating in the saiig and sanitation hibah programs so far. To complete the full assignment in the allocated time, the Consultant must have sufficient personnel and resources to put more than five teams in the field simultaneously. 6. KEY PERSONNEL AND ORGANISATIONAL ARRANGEMENTS 6.1 Personnel 61. It is envisaged that the Consultant s team will require, at a minimum, the following expertise: Team Leadership- 24 months input ARF C4 Municipal Sanitation Engineering and Sanitation Sector Expertise (collection and treatment)- 24 months input each person Baseline Survey and Verification Manager 22 months input Monitoring and Evaluation- 18 months input; 3 months input of ARF C3 Social marketing and communications- 15 months input Gender Equality and Social and inclusion- 15 months input Institutional and organisational development - 15 months input Information and Technology - 15 months input 62. Team Leadership: this person could be a technical expert with wide experience in the sector. He/she should have at least 15 years relevant international experience in similar works and sector, and with necessary qualifications to serve as a Team Leader. He/she must have experience in project management of teams comprising several work groups and should also have worked in Indonesia or at least the region. Monitoring and evaluation, report preparation, GESI and CSE, institutional and capacity development experience would also be valuable. This position will be engaged at an ARF C Provincial Municipal Sanitation Engineers: Up to seven (7) persons required, with each being assigned a geographical region, based on provincial boundaries. These specialists should be professional engineers with at least 10 years relevant experience in similar works and should also have proven technical experience in wastewater projects, including planning, design and implementation of small-scale distribution and treatment systems. Monitoring and evaluation experience would also be valuable and the ability to lead a team of junior engineers, to be able to communicate well with senior LG counterparts and have wide knowledge of a variety of approaches to management of sanitation service-provision. Shall contribute to routine reporting. One of these 13

15 Sanitation Engineers will also be formally nominated as the contact person for any requests for support from the Directorate PPLP and the CPMU, and to maintain an open communication channel with these organizations. 64. At least one of these specialists will have lengthy experience in the design of domestic wastewater treatment plants and be able to lead an ad-hoc internal sewerage design team created as the demand arises to improve designs from external LG consultants and provide training as needed. 65. Further, at least one other of these specialists shall have lengthy experience with network and connection design and be able to coordinate technical aspects of the baseline and verification surveys. 66. Baseline Survey and Verification Manager: this person will be familiar with the output-based modality and organizing and leading large teams of field surveyors and inspectors. Highly preferable to have experience in wastewater management (sewerage projects) and able to communicate well with LGs. Excellent skills in MSExcel, data manipulation and report writing required. Able to develop cost estimates of work and monitor overall expenditure on the activity. The person in this position will also be required to monitor LG budgets and readiness for baseline surveys and verification of outputs. Shall contribute to routine reporting. 67. Monitoring and Evaluation: the specialist should have at least five years of experience in the design, development and implementation of monitoring and evaluation frameworks and systems. Experience in the use of quantitative and qualitative approaches to monitoring and evaluation, particularly for water and sanitation programs, is important, as well as in at least one aspect of institutional capacity development. The candidate must have extensive experience working with LGs in Indonesia and with the legal and regulatory framework in which the LGs work. Shall contribute to routine reporting. It is envisioned that the long term position would be supported by a short term advisor at an ARF C3 level to facilitate the development of the M&E framework and undertake periodic 6-monthly monitoring visits. 68. Social Marketing and Communications: the nominated person should have at least seven years relevant experience in preparing, detailing, undertaking and evaluating social marketing programs for sanitation and wastewater management projects, or at least infrastructure projects in general. Social marketing approaches should ensure that messaging connects with diverse groups and Civil Society Organisations and diverse community members are targeted. Opportunities for involving Civil Society Organisations in the social marketing should be exploited. The person should be a strong communicator, comfortable with working closely with senior LG officials and LG decision-makers. Able to design and run workshops, and report such matters. Prepared to provide capacity development initiatives for LG personnel and coordinate and critique the work of other consultancies in the field. Preference will be given to candidates with experience on sewerage projects in Indonesia. Shall contribute to routine reporting. 69. Gender Equality and Social Inclusion: the nominated person should have at least seven years relevant experience in preparing, evaluating and assessing gender and social inclusivity for sanitation and wastewater management projects, or at least infrastructure projects in general. They should ensure that GESI is integrated across all aspects of the consultancy and identify opportunities for Civil 14

16 Society Engagement and community inputs, especially through the social marketing approaches. Preference will be given to candidates with experience on sewerage projects in Indonesia. Shall contribute to routine reporting. 70. Institutional and Organisational Development: this person should have at least 5-7 years of experience in the establishment of public institutions and organizations, management of organisations and developing operating policy. Shall contribute to routine reporting. 71. Information and Technology: this person is required to oversee information and technology aspects of baseline surveys and verification inspection, both field and later data processing. Also, experience in processing of data for routine reporting and the development of methods of presentation and communicating project results. Should have at least 5-7 years of experience in the establishment of information systems, GIS, expert skills with MS Excel and databases and analysis of survey data. Able to communicate well within a team and be aware of the strengths and limitations of information and technology in the project environment. Experience with the sector and DGHS systems would be advantageous. Shall contribute to routine reporting. 72. Local Engineers: Up to 15 persons will be required to be located in selected LGs. These persons are preferably water and sanitation or environmental engineers and will have received training to improve their community development / facilitation skills in the sanitation sector. They will be assigned to LGs and be supervised by a Provincial Municipal Sanitation Engineer. Their CVs will not be evaluated in the Consultant selection process. They shall contribute to routine reporting through their manager. 73. This list is indicative only and it is the responsibility of the Consultant to propose a team and specialist skills which will best support its proposed approach and achieve the required deliverables successfully and on schedule. The Consultant will need to plan for and provide personnel with relevant expertise and experience in meeting directly with heads of LGs and who are confident and comfortable in supporting the LGs to implement this activity. All specialist consultants engaged should be fluent in written and spoken English. 6.2 Organisational Arrangements 74. The proposed organisational arrangements and locations of field offices will be up to the Consultant, but should take into account the effectiveness and efficiency of performing the tasks. The Consultant is to nominate its team and resourcing schedule to meet its proposed approach and methodology for achieving the outputs and outcomes of the project/activity and achievement of the target schedule. 6.3 Coordination and Control 75. The Consultant, in implementing the contract, will be responsible directly to the Deputy Director of Water and Sanitation KIAT, or to an officer designated by the Deputy Director, for the performance of the services. The Consultant will nominate one person to be the contact person for the duration of the contract implementation period. 76. The Consultant will also co-ordinate with the CPMU, PPMUs, LGs through the Project Implementation Units, the LGs and / or Operators and related projects in urban sanitation 15

17 throughout the implementation period. The arrangements and procedures for coordination will be clarified during contract negotiations. 7. GENERAL ISSUES 7.1 Language 77. Official correspondence shall be in either English or Indonesian as appropriate. 7.2 Task Completion Approval 78. The acknowledged receipt by KIAT of any deliverable (an electronic file) of reports sent to the Technical Director Water and Sanitation, will be considered an appropriate completion of the tasks or deliverables. 7.3 Gender and Disability Inclusive Approaches 79. A focus of the KIAT design is to empower women and increase their capacity to participate in the economy so that economic and equality objectives are supported. Consistent with the overarching goal of KIAT, the Vision of the GESI & CSE Action Plan is therefore: Indonesian infrastructure policy, planning and operations meet the needs of all citizens including women, the disabled and other vulnerable groups. 80. The GESI and CSE Mission is to: Support effective participation of women, the disabled, other vulnerable groups and all community members in infrastructure planning and operation. 81. Civil Society Engagement is envisaged as the approach to achieve the KIAT goal and above vision and mission. Civil Society Engagement in KIAT aims to empower civil society organisations to achieve the outcomes of more effective, responsive and accountable governance. 82. KIAT will contribute to the two benchmarks identified in the DFAT Indonesia Gender Action Plan for Indonesia: Percentage of investments assessed as effectively addressing gender equality in implementation. Percentage of total spend where gender is a significant objective. 83. Consultants should refer to the KIAT Gender Equality and Civil Society Engagement and Action Plan ( ) for guidance. 7.4 Environmental and Social Safeguards 84. The Department of Foreign Affairs and Trade (DFAT) is committed to promoting sustainable economic development through the Australian aid program. Aid investments funded by DFAT are required to comply with DFAT s Environmental and Social Safeguard Policy for the Aid Program. This policy outlines DFAT s approach to managing the environmental and social impacts of Australian aid investments and enhances DFAT s ability to manage aid program risks; comply with Australian and partner government policies and laws for social and environmental protection; as well as improving 16

18 the consistency, transparency and accountability of decisions Safeguards are measures taken to avoid, or minimise and manage the negative impacts of aid investments on people and the environment. Effective management of impacts requires early identification at the planning stage and management throughout the life of the investment. The following safeguards are covered by the policy: Environmental protection Children, vulnerable and disadvantaged groups Displacement and resettlement Indigenous peoples Health and safety All consulting firms and individuals working with KIAT should be familiar with this key policy and how it applies to their specific activity. The policy is available at 1 The policy assists DFAT meet its obligations under Australian laws which apply to aid investments, including the Environment Protection and Biodiversity Conservation Act 1999 (EPBC Act), the Work Health and Safety Act 2011 (WHS Act) and the Work Health and Safety Regulations Department of Foreign Affairs and Trade, 2018 Environmental and Social Safeguard Policy for the Aid Program 17