description of services -...
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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 ................................................................................................................................. 1
2. OBJECTIVES ..................................................................................................................................... 3
3. DESCRIPTION OF REQUIRED SERVICES............................................................................................ 4
3.1 Approach ................................................................................................................................. 4 3.2 Expected Outputs .................................................................................................................... 4 3.3 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 ................................................................................................................ 10
4. REQUIRED DELIVERABLES ............................................................................................................. 10
5. ESTIMATED INPUTS AND TIMING ................................................................................................. 12
5.1 Resourcing ............................................................................................................................. 12 5.2 Timing .................................................................................................................................... 13
6. KEY PERSONNEL AND ORGANISATIONAL ARRANGEMENTS ......................................................... 13
6.1 Personnel .............................................................................................................................. 13 6.2 Organisational Arrangements ............................................................................................... 15 6.3 Coordination and Control ..................................................................................................... 15
7. GENERAL ISSUES ........................................................................................................................... 16
7.1 Language ............................................................................................................................... 16 7.2 Task Completion Approval .................................................................................................... 16 7.3 Gender and Disability Inclusive Approaches ......................................................................... 16 7.4 Environmental and Social Safeguards ................................................................................... 16
ATTACHMENTS 1 – ACRONYMS USED .................................................................................................. 18
ATTACHMENT 2 – LIST OF PARTICIPATING LOCAL GOVERNMENTS ..................................................... 19
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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 2020. 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
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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 1.
11. 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.
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Figure 1: sAIIG and Sanitation Hibah Program Technical Assistance Support
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.
LG
propose
program
LG / Operator
Prepare
Program
[DED, Land,
EA]
Approved
Program
KIAT Baseline
Survey
(by PAO)
KIAT first stage
preparation and
appraisal support
(by PAO)
Grant
Agreement
KIAT Implementation
support including
Oversight
(by PAO)
LG /Operator
Implementation
KIAT
Verification
Inspection
(by PAO)
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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.
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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
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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
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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.
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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
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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 write-
ups 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:
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(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
FY2013 - 2018 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.
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(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 re-
examination 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 project-
related 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:
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o An Executive Summary
o 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;
o Brief text on inputs, progress and challenges, results, and future plans;
o Tables showing LG progress in making house connection and more general progress,
arranged by participating LG;
o All BTORs produced in the month, and a running record of all other deliverables
submitted;
o Other attachments of particular interest; and
o 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.
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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 C4.
63. 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
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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
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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
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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 (2017-2018) 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
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the consistency, transparency and accountability of decisions1.
85. 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 safety2.
86. 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 http://dfat.gov.au/about-
us/publications/Documents/environmental-social-safeguard-policy-for-the-aid-program.pdf
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 2011. 2 Department of Foreign Affairs and Trade, 2018 Environmental and Social Safeguard Policy for the Aid Program http://dfat.gov.au/about-us/publications/Documents/environmental-social-safeguard-policy-for-the-aid-program.pdf
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ATTACHMENTS TO TERMS OF REFERENCE
ATTACHMENTS 1 – ACRONYMS USED
Acronym Description
BAPPEDA Badan Perencanaan Pembangunan Daerah (Regional Development Planning Agency)
BPPSPAM Badan Pendukung Pengembangan Sistem Penyediaan Air Minum
CBO Community based organisation
CPMU Central Project Management Unit
DAK Dana Alokasi Khusus (Special Allocation Fund)
DGHS Directorate General of Human Settlements (Ditjen Cipta Karya)
FY Fiscal year
GDP Gross domestic product
GoA Government of Australia
GoI Government of Indonesia
IndII Indonesia infrastructure initiative
LG Local government
M&E Monitoring and Evaluation
MBR Masyrakat Berhasilan Rendah ( Poor Households)
MoF Ministry of Finance
MPW Ministry of Public Works
NGO Non government organisation
NAP National action plan
O&M Operational and maintenance
PDAM Perusahaan Daerah Air Minum (Local government-owned water company)
PDPAL Perusahaan Daerah Pengelola Air Limbah (Local government-owned waste water
company) PPH On-granting Agreement (Perjanjian Penerusan Hibah)
PPMU Provincial Project Management Unit
RFT Request for tender
RPJMN National Medium Term Development Plan 2005–2009
TOR Terms of reference
USAID United States of America Agency for International Development
Water Water supply and sanitation
WSI Water and sanitation initiative
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ATTACHMENT 2 – LIST OF PARTICIPATING LOCAL GOVERNMENTS
The list of confirmed participating LGs are tabulated below. The balance to the target number of LGs
and house connections will be supplied at contract negotiations.
Table A2.1: Western Region Participating LGs – sAIIG Program
Ref MOHA
Code Province City/District HC Plan
Build to 28
Feb’18
1 1271 Sumatera Utara Kota Medan 2,309 3,351
2 1276 Sumatera Utara Kota Tebing Tinggi 600 376
3 1572 Jambi Kota Sungai Penuh 400 448
4 1671 Sumatera Selatan Kota Palembang 2,000 576
5 3604 Banten Kab Serang 2,580 1,554
6 3101 DKI-Jakarta Kab Admin Kep Seribu 1,000 550
7 3211 Jawa Barat Kab Sumedang 1,000 34
8 3273 Jawa Barat Kota Bandung 1,200 500
9 3277 Jawa Barat Kota Cimahi 5,000 2,434
10 3311 Jawa Tengah Kab Sukoharjo 450 448
11 3355 Jawa Tengah Kab Kebumen 350 239
12 3372 Jawa Tengah Kota Surakarta 1,500 1,359
13 3402 DI-Yogyakarta Kab Bantul 1,000 1,007
14 3404 DI-Yogyakarta Kab Sleman 1,200 1,125
15 3471 DI-Yogyakarta Kota Yogyakarta 3,089 3,408
Totals for Western Region 23,678 17,409
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Table A2.2: Eastern Region Participating LGs – sAIIG Program
Ref
MOHA
Code
Province
City/District
HC Plan
Build
To 28 Feb’18
1 3522 Jawa Timur Kab Bojonegoro 1,053 315
2 3525 Jawa Timur Kab Gresik 2,101 523
3 3574 Jawa Timur Kab Probolinggo 500 193
4 5107 Bali Kab Karangasem 200 10
5 6306 Kalimantan Selatan Kab Hulu Sungai
Selatan 500 341
6 6371 Kalimantan Selatan Kota Banjarmasin 1,930 335
7 6471 Kalimantan Timur Kota Balikpapan 1,000 568
8 6474 Kalimantan Timur Kota Bontang 1,200 375
9 7108 Sulawesi Utara Kab Bolaang
Mongondow Utara 600 109
10 7174 Sulawesi Utara Kota Kotamobagu 1,000 361
11 7309 Sulawesi Selatan Kab Maros 1,750 329
12 7371 Sulawesi Selatan Kota Makassar 1,520 117
13 8171 Maluku Kota Ambon 600 291
Totals for Eastern Region 13,954 3,867
1. Those LGs which have not constructed any HCs are not expected to continue in the sAIIG
Program.
2. The CPMU is expected to confirm the unconfirmed LGs by the time of contract negotiations. It is
envisaged that the currently unidentified additional LGs and connections will be identified and
finalized by July 2018.
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Table A2.3: Participating LGs and Progress – Hibah Air Limbah Program
1 2 3 4 5
1 Kota Surakarta 10,000 2,000 Additional Proposal
2 DKI Jakarta 2,500 500 Included 415 installed
3 Kota Banjarmasin - -
4 Kota Bandung 15,000 3,000 Additional Proposal
5 Kab. Simalungun 2,500 500 New LG
6 Kota Medan 5,000 1,000 New LG
7 Kota Batam 2,500 500 New LG
8 Kota Cirebon 2,500 500 New LG
Total 40,000 8,000
NO. Local Government (LG) SPPH
REMARK BUDGET
(Million IDR) HC