Proposal Baseline Survey_Ver1.0 (draft)_5 Dec 2011.doc

Consultancy Services for

Baseline Survey and Socialization for Water and Sanitation Hibah

TECHNICAL PROPOSAL

1 ORGANIZATION

1.1 BACKGROUND

This proposal for consulting services for “Water and Sanitation Baseline Survey” is prepared in response to the Request for Tender by the Indonesia Infrastructure Initiative (IndII) dated 25th November 2011.

This volume contains the complete, transparent and concise Technical Proposal for the assignment. A separate volume holds the Financial Proposal for this project.

The specific objective of this assignment is to support the implementation of Water and Sanitation Hibah through activities at each nominated locations. The project is funded by USAID and managed through IndII-AusAID covers 11 Kabupaten/Kota in 8 provinces. It is needed to conduct survey at those nominated locations which amount reach up to up 16,100 households.

1.2 GENERAL CAPACITY

This proposal is prepared by PT Mitra Lingkungan Dutaconsult (MLD), a national firm which posses all the required expertise. The combination of expertise will complement and strengthen the team to come to reliable and sound results. PT Mitra Lingkungan Dutaconsult, which brings in the required social and engineering strength, has extensive experiences in water supply and sanitation projects for more than 15 years. PT MLD is an Indonesian Consultancy & Engineering firm and a member of the Dutch DHV Group that provides worldwide services and sustainable solutions for natural and water resources management. From 1992 onwards MLD is successfully rendering its services in the Indonesian market. MLD offers its recognized expertise to customers in the public and private sector through its closely knit knowledge network built on a strong local presence. MLD’s services include: management, consultancy, design and engineering, project management as well as contract management and operational management. MLD has the head office in Jakarta.

Our consulting services cover a broad spectrum of disciplines in the following fields: Environmental Engineering and Management; Water Resources Development; Regional and Urban Planning and Development; Transportation and Infrastructure; Agriculture and Rural Development; Natural Resources Management; Human Resources and Institutional Developments. For each of these fields, we provide consulting services for all phases of project development, including: Master planning; Identification and pre-feasibility studies; Preliminary and detailed designs; Economic and financial feasibility analysis; Financing arrangements; Environmental assessments; Construction supervision and project management; Manpower training; Monitoring and evaluation.

We are committed to high quality work that meets international standards. At all stages of our work we stay in close touch with our Clients to ensure that work progress in accordance with their expectations. Our services vary in size from short-term ad-hoc requests for advice which may last no longer than a few days or weeks, to longer assignments lasting for several months and longer. Each assignment entrusted by us, regardless of its size is executed with the same thoroughness and attention to detail.

PT MLD is also registered with the World Bank (IBRD), European Economic Commission (EEC), UNDP, the Asian Development Bank (ADB), AusAID, and other International Finance Institutions (IFIs), and the Overseas Economic Cooperation Fund of Japan (OECF) as a Consulting firm qualified to render consulting services for development projects financed by this Bank. The resources of PT MLD are its personnel, skills, experience and management. Its activities are guided by a systematic approach to engineering management.

PT MItra Lingkungan Dutaconsult, December 2011

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TECHNICAL PROPOSAL

1.3 RELEVANT EXPERIENCE

In order to provide adequate expertise and internationally and nationally accepted quality performance, we have proposed well-blended experts for the assignment. Our team is appropriately qualified in water supply and sanitation sectors due to their extensive exposure to such projects.

PT MLD has successfully provided services for many Clients including the following projects: Midterm Review and Verification Survey for Water and Sanitation Hibah (IndII- AusAID), December

2010-September 2011: Undertaking Veriification survey to all new installed household connections of water (77,000 connections) and sanitation (6,000 connections) prior to the disbursement of hibah fund to 38 LGs in 14 provinces.

Indonesia Sanitation Sector Development Program-1 (ISSDP-1), April 2006 – April 2008; and ISSDP-2, May 2008 – December 2009: a national program to assist Central and Local Governments to establish a framework at national/provincial and city level for sustainability poor-inclusive urban sanitation services, under which the Environmental Health Risk Assessment (EHRA) study (household survey) was conducted at 12 cities.

Economic Sanitation Initiatives Phase 2, October 2008 – to date, WSP-EAP: including household survey to identify cost and benefit of sanitation intervention.

Rapid Demand Survey, PT Enviro Nusantara, 2008: household and industrial survey to determine willingness to connect to piped water supply.

Operation and Maintenance Contract for the Ciasem Water Treatment Plant, PDAM Subang, April 2005 - April 2015: partnership for O & M of the system.

Wastewater and Sanitation Development Project under Kalimantan Urban Development Project (IBRD Loan # 3854-IND), Nov 1996 – Oct 1998: support the LGs for sanitation development and prepare DED for WWTP at Banjarmasin and Balikpapan.

Others

For more details on project experiences, refer to Annex 1.

PT MItra Lingkungan Dutaconsult, March 2010

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TECHNICAL PROPOSAL

2 APPROACH AND METHODOLOGY

2.1 UNDERSTANDING OF THE SCOPE OF WORKS

This proposal is aimed to support the implementation of Water and Sanitation Hibah program, two of four components of WSI Program in Indonesia, to pilot the implementation of output-based grant scheme as an incentive for Local Governments to accelerate provision of new PDAM water and sanitation connections. The Water Hibah Program during IndII phase (1) has completed 70,000 and in phase (2) IndII plans to implement a program covering up to 250,000 connections and 50% of which will be for poor households..

USAID proposed to implement a water hibah program through co-financing with AusAID AusAID and USAID have signed a co-financing agreement that will allow AusAID to implement a $US10 million water hibah program on behalf of USAID. The program will cover 22 local governments and approximately 30,000 connections, and will be implemented by IndII using the IndII Water Hibah design and mechanism.

This assignment is for the baseline survey for 11 local governments and 16,100 connections, representing the first stage of USAID program.

Since the program is being implemented as an output-based grant, there is a need to conduct baseline technical and social survey, before implementation take place, to establish the level of unconnected households in the designated expansion areas.

Based on the Terms of Reference and Request for Tender, we understand that the scope of works for the assignment can be summarized as follows:

1. Conducting a baseline survey which consists of a technical survey and a social survey:a. Conducting a Baseline Technical Survey which will identify the unconnected households (water)

within the designated expansion area(s) proposed by LG/PDAM and define the different expansion areas in each Kabupaten/Kota.

The completion of this task in any one location, and its report to LG/PDAM should be accomplished within 4 (four) weeks of being instructed to commence. A rapid assessment of number/percentage of unconnected and poor households should be done in this stage. Upon confirmation from LG and PDAM, a clear basic map is required showing at least existing road networks and residential areas to maximum 1:5,000 scale in the designated area(s), indicating also the location of unconnected households. This map will be prepared by PDAM and the Consultant will prepare the map format in order to reach uniformity for reports and database..

b. Conducting a Baseline Social Economic Survey collecting social data from 20% of the households within the designated expansion area covering information on poverty coverage, gender and people with disabilities, composition of beneficiaries, as well as other social parameters, and identifying the unconnected poor households. This social survey will only apply to the unconnected households which are identified in task 1.a) above.

The survey should be conducted in the designated urban area(s) in 11 Kabupaten/ City covering in total 16,100 household respondents (for water and sanitation). The output is: i) profile of head of households; ii) household size; iii) presence of people with disabilities; iv) existing water supply and sanitation condition; v) cost of daily water vs consumption; vi) waterborne disease; vii) willingness-to-connect; viii) willingness-to-pay for new connection. A database needs to be developed to store and


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TECHNICAL PROPOSAL

analyze data collected and which are used by the social and engineering sectors. The database should be flexible enough to be used for monitoring, evaluation and verification of the Hibah program (by different program).The Consultant will ensure all formal licenses from all level of government are ready in due time before starting the survey.

2. Socializing the information derived from the result of baseline surveys to LG/PDAM/PDPAL in each Kabupaten/Kota and also in Jakarta.

The intention is to disseminate clear picture of water situation in the city and where the PDAM intends to increase the coverage. Challenges to achieve the target will be presented and will develop commitment among parties. Socialization will be at two levels: i) the technical data which will cover the unconnected and the poor households identified; ii) the full result of the technical and social baseline survey. The result will also be disseminated in Jakarta.

3. In addition, the Consultant will consolidate the data obtained in all the baseline surveys into one summary report to be presented at the conclusion of the assignment.

2.2 UNDERSTANDING OF CRITICAL RISKS AND CONSTRAINTS

According to the Consultants, there are several potential risks and constraints that may affect implementation of the project, including:

Delay of the signing of “On-granting Agreement”. It may have the impact especially on technical study which report has to be ready within four weeks.

Data availability from PDAM and delay on delivery. As the time for the technical survey is very tight, delay on data delivery may disturb the schedule as well the quality of the information. Information on map showing the location of unconnected households.

Data validity from PDAM/PDPAL. A revisit might be needed for clarification. The minimum number of MBR should be 50% from the total? Is this will still be followed?? Considering that

in some locations/LGs is hard to find the HH with electricity power less than 1300 VA. Karena hal ini akan berpengaruh terhadap jumlah penggantian dana hibah.

2.3 DEVELOP THE DATABASE

2.4 COMMENTS TO THE QUESTIONNAIRES

The questionnaire’s template has provided more information to the Consultant about the program. However the Consultant indicates some questions which need attention during the social survey and report preparation, i.e.:a. Question on whether the respondent’s name should be the same with name in the database (see the

guidance in the Questioner), this seems to be inappropriate approach, because usually we found that the name in the database (usually the head of the family who will apply as customer to PDAM) mostly will be different with the respondent. .

b. The criteria to determine as MBR (see point B04 of the Questionaire)


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TECHNICAL PROPOSAL

Is this depend of 3 criteria (size of house, quality of house, and electricity power) ?..................................................................

c. ……………………………………………………………………………………..

2.4 UNDERSTANDING OF THE TASKS

Referring to the RFT, the main tasks/activities to be carried out are as follows:

Task # 0: Mobilization and Inception

The commencement date or effective date of the work is within a week (7 calendar days) after signing of contract or Notice to Proceed. Subsequently the Consultant will prepare a detailed work plan to be discussed with the Client. The plan covers confirmation of site visit for the socialization, technical and social survey, including formal letter required from the Central government, and deliverables.

Task # 1: Kick-Off Meeting

Under this task, the Consultant will mobilize the team to initiate Kick-Off meeting with the Local Governments. Pointers of the tasks are: A meeting with (at least) the Head of Bappeda, Chief Director and Technical Director of PDAM to explain the

objective of baseline technical and social survey. Agreed on schedule for the next activities, inform specific supports and cooperation required from the

LG/PDAM, identifies other secondary data required and discuss PDAM proposed plans. PDAM should provide plans showing the location, size and limits of the existing piped network and the location of all customers within the area (supported by maps).

The kick-off meeting will be set-up in such a way in which the LG/PDAM will come to an understanding that the successfulness of the program in the city is fully the responsibility of the LGs, not the Consultant. Our experience in the verification process of the IndII water and sanitation hibah is that by providing the right message, the LGs will feel responsible for the program in their cities, hence increase ownership.

The Consultant proposes to conduct Kick-Off meeting in 2 or 3 cities, while other cities are required to come to the appointed cities. By this arrangement, the meeting can be done in around one week time by two teams in parallel, therefore assure uniformity of the information shared.

Letter of invitation for the meeting is expected to be issued by the Central government.

Task # 2: Baseline Technical Survey

Straight after Kick-Off meeting, the Consultant will mobilize its team to start baseline technical survey in each city. To ensure the reliability of data collected, the Consultant will assign experience (technical) staffs to visit

LGs/PDAM, collect the data, scan and cross-checked it and discuss directly with PDAM staff if discrepancies found, before the data are sent to the main office for further processing. It fact it is a data screening process.

Those staffs will then be assigned as Regional Coordinators (RC) for the baseline social survey. City Coordinator (CC) and one person for Data Entry will work in each city under coordination of the RC. The Consultant will prepare quick evaluation of the technical feasibility of the planned service area

extension by checking all available technical data provided by PDAM/PDPAL.


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TECHNICAL PROPOSAL

Where necessary, together with PDAM the Consultant will prepare priority areas at kelurahan level in the designated areas. Because one of the parameter for prioritizing is the number of poor households in the kelurahan, in fact this activity is already a dissemination of the pro-poor objective.

No technical field survey, i.e. checking of water pressure in the distribution network, will be performed by the Consultant. However limited site survey to the designated area(s) may be required.

A clear basic map with maximum scale 1 : 5000 showing at least existing roads and residential areas need to be prepared. It is a useful map for the enumerators during the social survey as well for other purposes.

Prepare Technical Report part-1.

Task # 3: Database Development

This task will be prepared in parallel with Task-2. The Consultant will develop web based database for social and engineering data using …………………..?? Report numbering system will be developed. Household ID will be generate automatically from the database program.

Task # 4: 1st Socialization and Obtain Confirmation from LGs/PDAM

The result of baseline technical survey (Technical Report-1) needs to be disseminated to the LG/PDAM in a meeting. The LGs/PDAM should give confirmation of the findings. Arrangement of the 1st socialization will be the same as for Kick-Off meeting.

Task # 5: Social Survey

After the confirmation from LGs, at least 19,320 unconnected households spread in 11 Kabupaten/Cities will be surveyed. The Regional Coordinator, City Coordinator and the Core Team will have to consolidate to arrange: i)

training for enumerators; ii) the baseline social survey, iii) data management. The Consultant will assign local personnel as enumerators for this survey. Training material for enumerators will be distributed to City Coordinator who is responsible to deliver 1 – 2

days training in the city prior the social survey. It is estimated one enumerator could interview 15 respondents per day as the maximum. The number of

enumerators will be assigned based on the consideration of the total number of respondents and the maximum working days for one enumerator which should not more than ten days to avoid tiresome.

Data will be collected and cleaned. While data is being up-loaded to the database, the CC will check randomly at minimum 5% of the respondent visited.

All data will be stored and processed at the data base. Baseline Social report will be prepared,

Task # 6: 2nd Socialization

The result and conclusion of Baseline Technical and Social Survey will be presented in front of LGs/PDAM and at Jakarta.To stimulate good discussion between the LGs/PDAM and Jakarta, it is suggested to have socialization workshop in Jakarta for all parties. By this arrangement, miscommunication can be reduce or eliminated as much as possible.??


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TECHNICAL PROPOSAL

Task # 7: Reporting

The report is divided into: Baseline Technical Reports , this will consist of :(i) general picture of the PDAM, (ii) Number of households,

name, address, electricity power classification (900 VA or 1300 VA), location map of households beneficiaries (detailing RT/RW, village, kelurahan and kecamatan). The final map will be represent the location of surveyed household. This report will be prepared within four weeks after commencement date for each locations. This report will be prepared specific for each Local Government.

Baseline Social Reports , this will consist of (i) general picture of the LGs, a description of socio economic situation in the targeted areas and the background to the water situation to these areas; and (ii) social profile of targeting households (including current water status); (iii) picture of beneficiaries according to poverty, gender, children, and disability; and (iv) level of household’s demand and ability to pay. This report will be prepared specific for each Local Government.

Baseline Data Reports , this will consist of data analysis from the PDAM consumer data base covering total number of consumers, categories of consumers, consumption data, billing data, arrears, waiting list, and waiting time to connect, UfW, tariff structure, and history of the last two tariff changes.

Consolidated Report, this will summarized and combine the individual reports into one document and will provide an overview of the situation from each location, region and national perspectives. This report will include a succinct executive summary as agreed with IndII.

Socialization Report . It is the “proceeding” of the Kick-Off Meeting and Socialization. The report is for the consumption of Jakarta.

Monthly Progress Reports and a Completion Report , these reports will be prepared based on the format specified in the “IndII Monitoring and Evaluation Plan Final June 2009”.

All reports will be provided in electronic copy format. In addition, five (5) printed copies of the final reports for each location and the consolidated report will be provided. The numbers of outputs, except for output number four, will be the same as the total number of Kabupatens and Cities. The consultant will develop a report numbering system which will allow for easy identification of the different reports.

2.5 WORK PLAN

The work program activities are based upon combination of the Consultant’s tasks, and a careful selection and timely input of staff to perform these tasks and is designed to fully comply with the requirements of the RFT. The main tasks/activities to be carried out by the Consultant are as follows: Mobilization and Inception Internal consolidation Kick-Off meeting Database development Baseline Technical Survey 1st Socialization Training of enumerators Baseline Social Survey Data processing 2nd Socialization


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TECHNICAL PROPOSAL

Reporting.

A detailed work plan is presented in Annex 3.


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TECHNICAL PROPOSAL

3 PERSONNEL

3.1 SELECTION OF PERSONNEL

The Consultant proposed professional staff and their task assignments have been selected based on their excellent qualifications, their experience in similar projects, and their suitability to this particular project’s job requirements. Our selection criteria for each proposed team member included full consideration of their: Education and training; Leadership and experience; Other experience under similar circumstances; and Language proficiency in English and Bahasa Indonesia.

The staffing schedule for the assignment presented in Annex 4 (Organization and Team Member Inputs).

3.2 ORGANIZATION CHART

Referring to scope of work and indicative personnel requirement, the Consultant proposes the skilled and qualified experts in a team composed of three main categories (Core Team, Field Team and supporting).

The proposed organization chart (Figure 3.1) illustrates the flow of command, data and information.

Figure 3.1 Organization Chart of Project

Chart of Project’s Organization Structure

Diusulkan untuk dibagi menjadi 3 Region, dengan susunan keahlian sebagai berikut: - Tingkat regional : Regional Coodinator dan Data Editor - Tingkat kota : City Coordinator, (untuk Technical Survey: chief surveyor, technical surveyor dan CAD engineer/draftman; untuk Social Survey: Chief Surveyor,Social Surveyor dan Data Entry Operator)

Catatan : Reg 1 : Sumsel, Sumbar dan Lampung Barat ( Total 5520 SR) Reg 2 : Jabar dan Yogya (Total 7800 SR) Reg 3 : Jatim, Kaltim & Kalbar (Total 6000 SR)

3.3 TASK ASSIGNMENT AND RESPONSIBILITY


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TECHNICAL PROPOSAL

Based on our proposed Work Plan and Staffing Schedule, Figure 3.2 presents the Tasks and Responsibility Assignments for each member of the Consultant’s team. To assist in project management and progress monitoring, this summary matrix is directly correlated to the main Work Tasks outlined in our Schedule of Activities.

The matrix format of the Task and Responsibility Assignment figure allows a quick and accurate determination of the duties required of each team member and illustrates the relationship of each task input. This format also clearly indicates which team member is primarily responsible for each task activity and all inputs designed to support the activity.

To maximize utilizations of the available consultant resources, each of the professional staff will be directly or indirectly responsible for completing more than one work task. This is particularly true for the project’s key leadership and management positions.


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Documents

Proposal Baseline Survey_Ver1.0 (draft)_5 Dec 2011.doc