PROJECT DOCUMENT. Capacity Building for the Management of Road Assets at District Level in Aceh

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3 PROJECT DOCUMENT Creating Jobs: Capacity Building for Local Resourcebased Road Works in Selected Districts in NAD UNDP/ILO Project INS/51/071 Phase III Capacity Building for the Management of Road Assets at District Level in Aceh September 2011 to August 2012

4 TABLE OF CONTENTS 1. Situation Analysis Strategy Output and Activities Output 1 Technical and managerial capacity of district governments in undertaking road works is satisfactory Output 2 Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized areas Output 3 Community participation in rural road development, rehabilitation and maintenance strengthened Work Plan Assumptions and Risks Institutional Framework and Management Arrangements Monitoring, Evaluation and Audit Budget Annex 1: Work Plan Annex 2: Staffing Plan from September 2011 to August Annex 3: Logical Framework Annex 4: Budget Table 1: Main Activities to Achieve Output Table 2: Main Activities to Achieve Output Table 3: Main Activities to Achieve Output Table 4: Risks, Risk Assessment and Mitigation Measures Table 5 & 6 : Changes in proposed budget by output Figure 1: Institutional Set-Up... 14

5 1. Situation Analysis Following extensive consultations with district, provincial and national stakeholders, including the Project Board, a comprehensive Exit Strategy for the UNDP/ILO Project Creating Jobs: Capacity Building for Local Resource-based Approach in Road Works in Selected District in NAD and Nias was prepared for the Aceh cluster of the Project (Pidie and Bireuen District). Initial activities under this exit strategy have been implemented in accordance with the approved extension for the period October 2010 to June The current project builds on, and reflects, the outline of the proposal that was already incorporated in an annex of the approved October 2010 June 2011 extension. It also reflects the request from the government of Aceh and local governments of Pidie and Bireuen for the Project to implement additional road rehabilitation infrastructure works to improve the connectivity to support local economic development. The project seeks to ensure that the LRB approaches that have been successfully demonstrated over the last five years will be sustained and that the lessons learned will be mainstreamed not only in Aceh Province but also in other parts of Indonesia and incorporated in the Government s infrastructure investment strategies and programmes, including the Labour-Intensive Infrastructure Programme of the Ministry of Manpower and Transmigration. The Employment-Intensive methods used by the previous project have proven to be very successful and have created large numbers of employment opportunities for the local population, thereby contributing to local economic development and the alleviation of poverty. The project aims to ensure the sustainability of the investments made in developing employmentintensive approaches and in operationalizing assets built under the previous two phases of the project. The main emphasis of the current project is to build capacities for road asset management at district level in particular in Pidie and Bireuen districts where the majority of the investments have been made and on up-scaling and mainstreaming the successfully demonstrated employment-intensive approaches. Another main element of the current project is the rehabilitation of rural and district roads to improve accessibility and connectivity to support local economic development initiatives of the local governments. Infrastructure development, especially road development, is one of the seven priorities of the Government of Aceh for the period Strategy An important element of the project is the development of models and tools that can be replicated in the whole of Aceh and other parts of Indonesia. Considering the importance of the district parliaments in decision-making processes regarding the allocation and approval of investments and investment strategies, the project not only aims at building capacities among concerned executive institutions but also seeks to build capacities among the district-level legislative bodies. Realizing the importance of information dissemination as a key advocacy tool in obtaining wide and national-level recognition of the successfully demonstrated approaches, the project includes various advocacy and information dissemination activities at various levels. The project reflects the priorities of the National and Provincial Government, including those of the Ministry of Manpower and Transmigration and BAPPENAS, and the Governments of Pidie and Bireuen district, and it is closely aligned with the Government of Indonesia s Action Plan for the Continuation of Reconstruction of Aceh and Nias The project addresses key elements of this Action Plan, i.e.: 1 Request for an Extension of the Closing Date until June 30, 2011, Jakarta, dated 9 th August,

6 Developing operational tools and capacities at local government level that are required for effective asset management/maintenance and operational functionality of district and rural road assets; Developing sound investment strategies and approaches that maximize the effectiveness of using the limited available funds in districts road infrastructure budgets to (i) enhance the value of district road assets, (ii) create employment, and (iii) promote local economic development and the recovery of rural livelihoods; Mainstreaming and expanding the successfully demonstrated employment-intensive and environmentally friendly local resource-based (LRB) approaches and technologies. This includes an expansion to other sectors that reflect district Government priorities 2 and provide good opportunities for the application of LRB approaches; Providing support to the Government regarding the transfer of district road assets; Capacity building regarding the establishment and operationalization of effective, community-based road maintenance systems; Assistance in establishing an effective management information system for roads at district level, including the development of functional linkages to existing information systems at provincial and national level, such as the Bappenas-endorsed SIMBADA information system. Considering the importance of the district and village roads in the road network of Aceh for local economic development, and the current capacity constraints related to the management of these roads (in terms of the availability of human resource capacities, management information systems, investment strategies, maintenance arrangements, etc.), the exit strategy will focus on the management of the road assets for which the district governments are responsible. The basic exit strategy, which was financed from the accrued interest of previous Phase I and Phase II Project funds (US$ 357,000), was implemented from October 2010 to June Its main focus was on establishing a basic framework at district level (Pidie and Bireuen district) for capacity building in road asset management. Activities covered included: An assessment of available capacities and tools for planning, budgeting and implementing road management activities; Initial design activities of a basic management information system (including an attribute database and GIS); The design and implementation of basic training regarding the operation of the database systems and the preparation of maps; The preparation of a framework for planning investments in road maintenance at district level; Facilitation support to the local government regarding the transfer of the assets developed by the project to the government; The development of proposals for expanding and mainstreaming successfully demonstrated local resource based implementation approaches; Various advocacy activities involving the concerned executive and legislative district bodies. The implementation of the comprehensive exit strategy under the current Phase III project builds on the achievements of the basic exit strategy that was implemented during the previous phases. It will focus on technical advisory services and implementation support in implementing comprehensive staff capacity development plans and plans for the development and operationalization of required models, systems and tools that have been prepared to this effect. The Project will provide technical advisory services and support in promoting and developing the necessary policy and regulatory framework for sustainability, including support to districts in developing local regulations (i.e. Qanun) that are required to provide an enabling regulatory environment for investments in the maintenance of the district road network and for community-based road maintenance. 2 The local Governments of Pidie and Bireuen have indicated their strong interest in the expansion of the LRB approaches to inland fisheries development and water- and soil conservation activities. 6

7 Lessons learned and best practices of the project will be documented and knowledge management and policy dialogue and advocacy activities will be undertaken within the framework of the project. These activities are aimed at ensuring that the outputs and products produced (e.g. models, tools and guidelines) are incorporated within the government s framework and strategy for the delivery of rural infrastructure investments in the road sector. Funding for the implementation of physical works in the rural roads sector and in other selected priority non-roads sectors (e.g. fisheries development, irrigation, water-and soil conservation) is also included in the project. Of the US$800,000 budget for physical works, US$ 535,000 (two-third) will be allocated for the road sector and the remaining US$ 265,000 will be used for the non-road sector. Given that the previous phases of the project involved providing substantial training to the local governments regarding the implementation of rural road rehabilitation works, the Public Works agency is expected to play a lead role in the delivery of the investments in the roads sector. The project TA team will play a supporting and advisory role in the process. This arrangement will enable the project to assess the effectiveness of the capacity building that has been provided on LRB road rehabilitation over the last 4 years of the project. Limited funding will also be provided to demonstrate the appropriateness and effectiveness of the application of LRB construction methods in non-road rural infrastructure investments. Wherever feasible and relevant, complementarities with the MDF-funded Economic Development Financing Facility (EDFF) project and the MDF-funded AGTP project will be established to ensure synergies and optimum utilization of resources. As such, activities envisaged under the comprehensive exit strategy will be closely aligned with Government needs and priorities as expressed in the Government s mid-term and long-term development plans and specific sector plans. 3. Output and Activities The two main outputs of the project relate to (1) Building capacities for road asset management at district level, (B) Up-scaling and mainstreaming Local Resource-Based (LRB) approaches; and (C) ensuring community participation in rural road development, rehabilitation and maintenance. Further details on these outputs and their related activities are provided below. The cost of implementing these outputs is estimated at US$ 2.1 million. The Governments of Pidie and Bireuen districts and the Provincial Government of Aceh Province have stated their commitment to support the implementation of the project. The local Governments of Pidie and Bireuen districts in particular have confirmed their intention of allocating local Government funds for the future maintenance and management of the road assets that have been created by the Project. In addition, the Governments of Pidie and Bireuen have indicated their commitment to contribute to the allocation of resources required for the establishment and operation of management information systems that are needed for the planning and management of investments in the district and rural road network. Output 1 Technical and managerial capacity of district governments in undertaking road works is satisfactory. Table 1 presents an overview of the proposed activities related to Output 1 of the project. The table also summarizes the status of the activities undertaken during phases I and II (from March 2006 to September 2010) and those implemented within the context of the basic exit strategy during the extension of phase II (from October 2010 to June 2011). Activities under output 1 mainly focus on strengthening Public Works and Bappeda s technical and managerial skills and capacities at district level in particular in Pidie and Bireuen district regarding the planning, budgeting, programming and monitoring of investments in district road maintenance and 7

8 management. In this phase supporting operational tools and procedures will be further developed and tested, and technically support will be provided to ensure their application. At the provincial level the ADB-funded ETESP project has already developed for Bappeda comprehensive tools for the identification and costing of maintenance requirements of the provincial and national road network. Bappeda has indicated that technical advisory services are still required to support the preparation of proposals for road maintenance. To address these needs, a limited amount of technical assistance to Bappeda and Public Works at provincial level will be provided on an ad hoc basis. Table 1: Main Activities to Achieve Output 1 Output 1: Act Description Phase Progress UNDP/ILO Project as of June 2011 Activities from July 2011 to August Engage and coordinate with key stakeholders I & II Continue Continue Undertake training needs assessment and provide I & II Completed - technical construction training Make road inventories and select project roads I & II Completed - Design and prepare contract documentation and award I & II Completed - contracts for road works Undertake tendering and award contracts for road works I & II Completed - Rehabilitate project roads and undertake construction I & II Completed - supervision Maintain project roads and undertake supervision I & II Completed - Prepare two other districts for trial implementation II Completed - TA on infrastructure construction techniques and planning to district Public Works and other local and international organizations in Nias II Completed Strengthen institutional and technical capacities that are required for the preparation of the annual road investment and maintenance budget and plans of Bappeda and Public Works in Pidie and Bireuen district 1.3 Increase awareness about the importance of including maintenance budgets for roads infrastructure among legislative and executive bodies and strengthen their capacities in preparing and analyzing road investment strategies 1.4 Implement limited pilots to demonstrate the feasibility of applying LRB approaches in selected local Government priority sectors 1.5 Rehabilitate selected roads applying LRB techniques and a local government led approach. This will also help to assess the extent of capacity development during phases I and II of the project. Exit strategy (current Phase III) Exit strategy (current Phase III) Exit strategy (current Phase III) Technical and institutional assessment done and recommendations for improvement prepared Basic training provided on DB, GIS and MS Office Comprehensive training plan and budget prepared Strong support secured from local parliaments and executive bodies for the project activities Preliminary identification of locations and sectors done Initial identification of some rural access roads that connect economic productive areas to district road heads Implement comprehensive capacity building plan, including implementation support for preparation of plans and budgets Develop in-house training capacity Implement the institutional development plan Prepare comprehensive training modules/models Continued advocacy and building capacities among legislative and executive bodies regarding the preparation and review of investment strategies Finalize scheme selection Design, cost and implement demonstration schemes Document and disseminate results Prioritization and selection Design and cost-estimation Tendering and contract award Implementation of works Supervision and quality control To foster institutional sustainability, support to develop in-house training capacities within district Public Works and Bappeda offices will be provided as required. The district Public Works and Bappeda offices will respectively assign dedicated focal persons to work closely with the Project s technical assistance team to facilitate the transfer of knowledge and available training facilities to Public Works and Bappeda. Activities under the current project focus on building capacities and systems that will enable a more efficient and effective allocation and utilization of available resources for maintenance, and hence 8

9 positively affect the sustainability of past investments. Close coordination with key stakeholders from the legislative and executive bodies will be maintained during the implementation of these activities. The technical assistance team will assist in facilitating the coordination between the various stakeholders and will provide technical inputs and advisory services in the coordination process. Coordination will take place horizontally and vertically. The envisaged rehabilitation of a limited number of road - using LRB methods - aims at demonstrating the effectiveness of the capacity building activities that have been undertaken during phases I and II. The concerned district government agencies will have a leading role in the delivery of these investments, with a supporting and advisory role by the project TA. Limited numbers of field pilots will also be implemented in selected non-road sectors (e.g. soil and water conservation, irrigation, flood protection and inland fisheries) to demonstrate the feasibility of up-scaling LRB approaches to those sectors. In consultation with the district level stakeholders priority areas for the implementation of such demonstration schemes have already been identified (inland fisheries and water- and soil conservation). At district and provincial level key stakeholders that will be involved in the coordination process include DBMCK, Bappeda, the local government and other relevant actors and projects involved in building capacities for infrastructure planning and programming and the legislative bodies. The key function of the coordination will be to ensure an efficient and effective implementation of the envisaged activities under output 1, taking into account existing capacities, skills, (development) priorities and capacity building plans. Upon the completion of the project, the following key results are expected under output 1: 1. Additional kms of roads are constructed to specified quality/standards and in time, using LRB approaches and technologies 2. Operational staff capacities in place in Pidie and Bireuen district for the preparation of comprehensive proposals and budgets for the maintenance of the district road network 3 ; 3. District road maintenance plans and budgets for 2013 prepared using the developed operational tools, staff capacities and investment strategies and master plans; 4. Demonstrated capacity of concerned district government agencies in the delivery of investments in the rural roads sector, using LRB approaches 5. Demonstrated feasibility and appropriateness of applying LRB approaches in selected non-road sectors Output 2 Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized. Table 2 presents an overview of the activities related to Output 2. The table also summarizes the status of the activities undertaken during phases I and II (from March 2006 to September 2010) and those implemented within the context of the basic exit strategy during the extension of phase II (from October 2010 to June 2011). The development and application of effective systems, procedures and tools required for the planning, budgeting, resource allocation and programming of investments in the district road network is a key activity under output 2. Technical support will also be provided as required for the development of the necessary supporting local regulations. Another important activity is the development of model road maintenance master plans for Pidie and Bireuen district. These master plans will provide practitioners and decision makers at the district level with a framework that will guide infrastructure investment decisions. The intention is that the developed road development and maintenance planning and budgeting tools and road master plans will serve as a model that can be replicated in other districts in Aceh. 3 Including a core group of DBMCK and Bappeda trainers in Pidie and Bireuen specialized in planning, budgeting and programming infrastructure investments with a special emphasis on road investments. 9

10 Table 2: Main Activities to Achieve Output 2 Output 2: Act Description Phase Progress UNDP/ILO Project as of June 2011 Activities from July 2011 to August 2012 Undertake pavement studies I & II Completed - Review and refine manuals and guidelines I & II Completed - Review and refine standards specifications I & II Completed - Refine tendering and procurement procedures I & II Completed - Promote the use of the local resource-based approach I & II Completed - Review areas for support to provincial and district II Completed - Public Works capacity to deliver an in-house training program (NAD only) Develop a training program, including training II Completed - curriculum and materials, with provincial and district Public Works (NAD only) on various aspects of planning, implementing and managing LRB construction works 2.1 Assist provincial and/or district Public Works in II Continue Continue training delivery Provide coaching support to Public Works officials in II Completed - site supervision Review training program implemented by district II Completed - Public works in NAD Submit policy recommendations with regards to training recognition by provincial and/or district Public Works (NAD only) II Completed - Budget planning support to local governments II Completed Prepare and apply operational tools for identifying, prioritizing, budgeting, planning and managing budget investments required for the maintenance of roads at district (Pidie and Bireuen) level. Exit Strategy (current phase III) Basic DB and GIS modules/applications prepared 2.3 Prepare 5-year district road master plans for Pidie and Bireuen 2.4 Develop and demonstrate a model and procedures for community-based routine maintenance of district/village roads on the back of government investments 2.5 Prepare strategy papers and technical guidelines for expanding the successfully demonstrated LRB approaches and technologies in other sectors 4 that can also be used for MOMT s employment-intensive infrastructure programme 2.6 Documentation, wide-scale dissemination and advocacy of achievements, best practices and lessons learned including strategy papers. Exit Strategy (current Phase III) Exit Strategy (current Phase III) Exit Strategy (current Phase III) Exit Strategy (current Basic framework for road master plan developed Basic model for community-based maintenance developed Workshops at district and provincial level District-level hearings Testing modules/applications Further development of modules and applications Comprehensive staff training Additional data collection and data updating Implementation support Link to SIMBADA Documentation of results Completion of road master plan Technical support in implementation of road master plan Finalization of model Development of required legislations and guidelines and manuals Testing, implementation of model Documentation of findings and lessons learned Preparation of strategy papers and draft guidelines Review of guidelines with stakeholders Finalization of guidelines Advocacy regarding application of guidelines Institutionalization of guidelines Development of strategy papers Workshops at district, provincial and national level 4 Including a post-crisis recovery programming module based on LRB-RR experiences, and incorporation of it into the National Rehabilitation and Reconstruction Guidelines (RRG) 10

11 Phase III) with parliament Distribution of technical guidelines Documentation of lessons learned and best practices and dissemination of findings Hearings and advocacy activities at district, provincial and national level Technical advisory services regarding the selection of delivery methods for rural infrastructure investments for road maintenance, vis-à-vis the Government s development objectives 5, will also be provided. In the delivery of investments in infrastructure, various delivery methods can be considered, including implementation modalities using force account, private contracting or community-based contracting. Activities that aim at mainstreaming the community-based routine maintenance approach for district roads will be included. This model can also be tested at provincial and village roads. The technical assistance will be delivered on the back of government investments. Technical assistance and coaching support will be provided in the implementation of training activities on the application of LRB approaches and work methods in selected sectors. Target groups will be Public works engineers, supervisors from the district level, and PNPM facilitators. MOMT staff involved in the implementation of MOMT s employment-intensive infrastructure programme will also be targeted for this training. The technical assistance will build on the already completed capacity building activities. Various advocacy and knowledge management activities will be implemented at different levels. Close horizontal and vertical coordination will be maintained with the key stakeholders. These include Public Works, the Ministry of Manpower and Transmigration, Bappenas and Bappeda, PNPM and communitylevel stakeholders. Where appropriate, activities will also be closely coordinated with other relevant projects and initiatives. The expected key results under output 2 are: 1. A tested and operationalized system including operational tools for the planning, budgeting and programming of road investments for Pidie and Bireuen district; 2. Five-year road management master plan for Pidie and Bireuen district; 3. A tested model for community-based routine maintenance for district roads; 4. Investment strategies and operational and technical guidelines for the delivery of rural infrastructure investments in various sectors using LRB approaches; 5. Documented and disseminated information about lessons learned and best practices related to the application of LRB approaches in the planning and delivery of rural infrastructure/road investments; 3.1. Output 3 Community participation in rural road development, rehabilitation and maintenance strengthened Table 3 presents an overview of the activities related to Output 3. The main emphasis of the activities for output 3 is on the development of a strategy for resource mobilization and the planning and budgeting of investments for rural village and access roads. A key constraint relates to low priority given to the maintenance of rural village and access roads despite their economic importance in the district road access network for the local population. A lack of awareness and insufficient realization of the detrimental effects of a lack of maintenance of these roads among key policy and decision makers is a main constraint which results in the inadequate allocation of funds for the maintenance of these roads. 5 Targeted employment generation, local economic development and poverty alleviation 11

12 Other issues in this respect relate to the apparent confusion regarding the responsibility for the maintenance of these roads which constitute approximately 40-45% of the road network of a district. The Project will address the above mentioned issues and constraints by undertaking advocacy and awareness raising activities with concerned legislative and executive bodies and based on consultations with these stakeholders develop an investment strategy and investment plan for the management of the village and access roads in the districts road network Table 3: Main Activities to Achieve Output 3 Output 3: Community participation in rural road development, rehabilitation and maintenance strengthened Act Description Phase Progress UNDP/ILO Project as of June 2011 Activities from July 2011 to August Engage the local communities in planning and I Continue Continue implementation of investments in village-level infrastructure Develop and test formats and routines for I Completed - maintenance reporting Test maintenance reporting I Completed - Deliver construction skills training program for II Completed - women and men in selected districts (50% women) With PNPM, train PNPM infrastructure personnel on II Completed - supervision and train community supervisor in construction supervision 3.2 Develop a strategy and investment plan for the planning and budgeting of investments for the maintenance of village and access roads at district level Exit Strategy (current Phase III) Assessment of current constraints completed Develop a strategy and investment plan for planning and budgeting investments in rural village and access roads Advocate the application of the strategy and the investment plan The expected key results under output 3 are: 1. Approximately 35,000 work-days of short-term employment generated, of which 30% will be for women. 2. Strategy and investment plan for the maintenance of village roads prepared and endorsed by Bappeda and Public Works at district level 4. Work Plan Annex 1 presents the work plan of the project. The annex also shows the allocation of budgetary resources for the different outputs. The staffing plan is presented in Annex 2. Apart from the investments in physical works, the provision of technical assistance for capacity building on planning, budgeting and programming of road maintenance and management investments (including for developing database and GIS systems, and up-scaling and mainstreaming the application of LRB approaches), is a key component of the project. This is reflected in the composition of the staff inputs. 5. Assumptions and Risks The same assumptions for phase II of the UNDP/ILO Project, and which were contained in the Project Appraisal Document (PAD) remain valid for this phase. Extensive consultations will be held with the stakeholders during the development of prioritization and planning models for the allocation of resources for road maintenance and it is therefore not expected that major conflicting interests will affect the application of recommended strategies, approaches or plans. 12

13 Table 4 provides a comparison of the risk assessment between the previous phase (Phase II) and current phase (Phase III) of the project, as well the mitigation measures. Identified Risks Phase I and II Table 4: Risks, Risk Assessment and Mitigation Measures Assessment of the Risk Previous Current Phases Phase Mitigation Actions for Current Phase 1 Possible lack of interest in getting training. Medium Low Experiences during the implementation of training activities demonstrated the interest in the training activities. It will be ensured that training is needs-based. 2 Potential for non-adherence to procedures in particular for contracting works to small contractors 3 Conflicting interests between stakeholders at local level regarding the transparent selection of road works and contractors 4 Lack of maintenance - a high risk that not all roads rehabilitated will be duly maintained due to funding and capacity constraints. 5 No or little interest from small contractors to undertake road works under the project 6 Security and conflict in Aceh this is an external risk. The risk is rated low as the peace agreement is being implemented without any upheavals. 7 Gender equality there is a risk that women will not be employed and engaged to the extent possible, due to the traditional setting. 8 Potential for corruption during implementation - demands for informal fee payments by government and contract staff and community leaders are possible 9 Lack of political willingness to undertake transparent selection of road works and contractors Not assessed Not assessed Low Low The implementation of field schemes, including contracting, will be closely supervised and will follow procedures that have already been well established during phases I and II and that have proven to be effective and transparent The selection of schemes will be done in close consultation with stakeholders, following agreed selection procedures, and will be based on consensus High Medium Planning models will improve allocation of resources to cover maintenance needs but this process is a gradual one. Advocacy activities are already showing increased realization of the need for maintaining road assets and these activities will be continued Low No risk Experiences during phases I and II indicate that this is not a risk Low Low Continuation of the implementation of the peace agreement by the Government Medium Low The approach of the Project to promote the employment and engagement of women has been fairly successful. High Low to medium Use of transparent and agreed models for planning, budgeting and programming maintenance works to reduce the chances of corruption in selection Medium Low Planning models will be developed in close consultation with political decision makers to reduce this risk 13

14 6. Institutional Framework and Management Arrangements Figure 1 presents a schematic overview of the institutional framework and organization chart of the current Phase III project. In essence the institutional framework for the current Phase III project is the same as that of the previous phase. The framework is maintained because it has proved to be very effective in the provision of both the strategic direction and managerial oversight required by the project team in the implementation of the project. The organizational chart below reflects the exclusion of the districts in Nias given that the Phase III project focuses only two districts in Aceh, i.e. Pidie and Bireuen. Figure 1: Institutional Set-Up National Project Board Senior Beneficiaries BAPPENAS (Vice Chair) Aceh Provincial Government (BAPPEDA & Public Works), Pidie and Bireuen District Governments (Public Works & BAPPEDA) Executive Ministry of Manpower and Transmigration (Chair-NPD) Senior Supplier UNDP, ILO Project Assurance UNDP Jakarta Office UNDP Project Management Unit ILO Banda Aceh Project Support ILO Jakarta Office ILO TEAM Pidie District Advisory Committee Pidie and Bireuen Local Government, BAPPEDA, Public Works, DISNAKER, PNPM ILO TEAM Bireuen Monitoring and Evaluation UNDP 7. Monitoring, Evaluation and Audit The current Project will apply the same monitoring, reporting, evaluation and audit arrangements that have been in place for the previous phases. UNDP, utilizing its expertise in planning and governance, will assume a strong role in involving government offices in project monitoring and facilitating the work of the Steering Committee. UNDP will also ensure an independent final evaluation of the Project. Horizontal and vertical coordination of activities with line ministries, Bappenas/Bappeda, MoMT and PNPM at the national, provincial and district level will be strengthened and much emphasis will also be given to the role of the Project Steering Committee/Project Board in providing policy advisory support to the Project to ensure alignment of interventions with Government s priorities and plans. 14

15 While ILO will continue to implement the Project, a particular set of activities for monitoring and evaluation will be under the direct responsibility of UNDP. This arrangement will enable UNDP to ensure its provision of project assurance to and oversight of the overall project implementation. UNDP will concentrate activities largely on monitoring and evaluation of the project outputs/outcome by its Jakarta Office, and generate a final independent evaluation conducted by an independent consultant. The logical framework for the Phase III Project is presented in Annex 3. The current logical framework appears as a modified version of the Phase II project while incorporating specific changes. Project quality assurance will be performed by the Crisis Prevention and Recovery Unit (CPRU) of the UNDP Country Office in Jakarta. The Unit will ensure, through the use of UNDP s regular monitoring and evaluation tools, that the project is being monitored and evaluated in accordance with the MDFANS Operations Manual. Monitoring and evaluation documentation will be used as a basis for the submission of periodic reports to the MDFANS. UNDP supervision missions will be conducted every four months and will involve the Project Board. UNDP Jakarta, acting in its capacity as the Partner Agency, will organize and participate in the supervision and monitoring missions with staff from the Crisis Prevention and Recovery Unit participating and ensuring that the missions fulfill the Partner Agency role. In compliance with requirements of the MDFANS Operation Manual, the Partner Agency will submit Semi Annual and Annual Reports to the MDFANS Secretariat to be forwarded to the MDFANS donors. UNDP will also share quarterly reports of the Project with the MDFANS Secretariat. All data relevant to the MDFANS Logical Framework as detailed in the Monitoring Arrangements column of the Framework are stated in each Quarterly Report submitted by the Partner Agency to the Secretariat. Project implementation is the responsibility of ILO; it is the Implementing Agency for the Project. Utilizing the outreach facilities of the UNDP Field Programme Office in Banda Aceh, UNDP also provides decentralized coordination, and liaison support. It should be noted however, that as Partner Agency, UNDP s main responsibility is that of monitoring and evaluation of the Project outputs/outcome. The current project will observe Government Regulation 10 of 2011 (PP 10/2011) on the administration and reporting of projects/programs funded by foreign direct grants. In light of the PP 10, the ministry acting as the national partner of the project is required to produce regular progress reports to the Government s leading ministry in grants monitoring, i.e. Bappenas. This regular progress report will be prepared by UNDP/ILO and consulted with the Ministry of Manpower and Transmigration before the ministry submits the report to Bappenas. The progress report will include both substantive and financial information. Based on the information from the progress report, the Ministry will include in its LKPP (Laporan Keuangan Pemerintah Pusat Central Government Financial Report) a reference on the contribution received from the UNDP/ILO project, although the project is directly implemented by UNDP and ILO with a direct oversight from the ministry. 15

16 8. Budget Annex 4 presents the detail budget of the project. Table 5 presents a summary of the budget and the respective allocations. Table 5: Total Budget Allocation (in US$) Description Allocated Budget for period 1 July 2011 to 31 August 2012 (US$) (5) Physical works 800,000 Staff and consultants 628,183 Travel, M&E and backstopping 246,675 Training, advocacy, knowledge management 175,000 Equipment 73,000 Operations and Sundries 54,609 Contingencies and Support Costs 122,533 Total 2,100,000 Within the budget line Travel, M&E and backstopping - US$ 37,500 has been allocated for the final evaluation and US$ 47,500 for PSC monitoring visits and meetings. The budget line Training, advocacy and knowledge management includes US$ 100,000 for national level advocacy and knowledge management activities, which will be executed by UNDP. For UNDP support staff and travel US$ 42,000 has been allocated under the budget line Staff and Consultants. The remaining budget will be executed directly by ILO. Table 6 presents the current project budget allocation per output. As outputs 1 and 2 aim at enhancing road management capacities and mainstreaming demonstrated LRB approaches and technologies (including investments in physical works), these outputs will absorb a larger share of the budget. Table 6: Budget Detail by Output Description Budget for Period 1 July 2011 to 31 August 2012 Staff costs and operations 435,904 Output 1 1,058,735 Output 2 446,376 Output 3 36,452 Project Sup. Cost & Cont. 122,533 Total 2,100,000 16

17 Annex 1: Work Plan Techniques, standard, systems and strategies for road maintenance and for the application of local resources based method in rural roads sector are in place in project operational areas No. Resp. Budget Key Outputs/Activities Party allocation S O N D J F M A M J J A Office operations, travel, backstopping, M&E and Board meetings Staff operations, coordination and office management ILO Staff and travel UNDP Technical backstopping ILO On a regular basis Project monitoring, mid-term (MT) and final (F) evaluation UNDP MT F Project steering committee, monitoring missions UNDP Completion of Project equipment transfer ILO Sub-total ILO 308,905 Sub-total UNDP 127,000 Sub-total office ops, travel, backstopping, M&E, Board meetings 435,905 Output 1: Technical and managerial capacity of district government in undertaking road works is satisfactory TA and training to Bappeda and PW in preparing road maintenance plans & budgets ILO Implement comprehensive staff development plan ILO Develop and test capacity development plan for planning maintenance at village level ILO Demonstrate feasibility of expanding LRB approach other sectors ILO Sub-total Output 1 1,058,735 Output 2: Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized. Develop and apply tools, systems and capacities for planning & budgeting for district road management ILO Prepare model 5-year detailed district road maintenance plan ILO Mainstream LRB model and expand to other sectors, including local level advocacy and knowledge management activities 6 ILO National level advocacy and knowledge management activities to mainstream the LRB approaches, models and technologies UNDP Sub-total Output 2 ILO 346,376 Sub-total Output 2 UNDP 100,000 Sub-total Output 2 446,376 Output 3: Community participation in rural road development, rehabilitation and maintenance strengthened Develop strategy and investment model for management of village road infrastructure ILO Sub-total Output 3 36,451 Total 1,975,833 Programme support costs and contingencies 122,533 Grand total 2,100,000 6 Including the Labour-Intensive Infrastructure Programme of the Ministry of Manpower and Transmigration 17

18 Annex 2: Staffing Plan from September 2011 to August 2012 Staff Category Work Months International ILO 16.6 Staff and Consultants 13 Technical 3.6 Backstopping National ILO 147 Project Coordinator 12 District Engineer 1 12 District Engineer 2 12 Mobile Construction 20 Trainer (2) Admin/Finance 12 Assistant DB Officer 12 GIS Officer 8 Driver (3) 35 Consultants 6 Admin, Finance, Progr 18 Backstop. National UNDP 12 Support Personnel 12 TOTAL Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug 18

19 Annex 3: Logical Framework Target Group: District government, small-scale local contractors, local communities. Specific for Phase III: District Government and Government decision makers involved in budgeting and planning investments in rural roads infrastructure Project title: Creating Jobs: Capacity Building for Local Resource-based Road Works in Selected Districts in NAD and Nias Phase III: Capacity Building and Sustainable Strategy for the Management of Road Assets at District Level in Aceh Current Project Duration: July 2011-August 2012 Project Structure DEVELOPMENT OBJECTIVE To restore the rural livelihoods and communities of disaster affected populations in NAD and Nias IMMEDIATE OBJECTIVE District governments and small scale contractors in project areas adopt and undertake local resourcebased road works thereby providing access to socioeconomic centers and creating job opportunities for rural people OUTPUT 1 Technical and managerial capacity of district Indicator Means of Verification (MoV) Assumptions July July Phase II July 2011-August 2012 Phase II Phase II August 2012 August 2012 Number of communities with access to maintained roads as a result of the project s road rehabilitation and maintenance 90% of project roads (169 kms) constructed to specified quality and standard. 75% of contracts completed within time and budget. District governments in project areas have modalities in place for continuing issuing local resource-based road contracts. Contractors use local resource-based approach in their road works. Annual budgets for 2009 in all target districts show that 70% of investments have been covered with adequate maintenance budget. Annual budgets for 2012 show that 80% of investments have been covered with adequate maintenance budget. At least 25 kms of road rehabilitation, financed by local government budget and other organizations, adopts the project s work approach in bidding process, planning, and quantity assessment methods. Additional kms of roads and selected non-road schemes are constructed to specified quality/standards and in time, using LRB approaches and technologies Adequate maintenance budget allocated in investment plan for 2013 for maintenance of core district roads Adequate road maintenance investment plans prepared Government statistics Project records Monthly Progress reports Project completion report Contract completion documents District governments annual budgets Report on training undertaken and issue of certificates Monthly Progress reports Project completion report Final evaluation Annual budget of PW Final evaluation Political stability remains likely Security and peace in NAD likely Provincial and district governments designate staffs to work closely with the project - likely Government programme and budget data is accessible - likely Provincial and district governments designate staffs to work closely with 19

20 Project Structure governments in undertaking road works is satisfactory. OUTPUT 2 Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized. OUTPUT 3 Community participation Indicator Means of Verification (MoV) Assumptions July July Phase II July 2011-August 2012 Phase II Phase II August 2012 August 2012 Number of contractors receiving more than one contract award. Decrease in the percentage of non-responsive bid prepared by contractors. At least 10 PW and BAPPEDA officials at the provincial and district levels in Pidie and Bireuen actively engaged in development of procedures in preparing road maintenance plans District PW in Aceh allocate budget for staff training in 2009 and And district PW or infrastructure programmes by non-government entities allocate adopt project s training approach for further training of district PW and small scale contractors. Provincial and district PW in Aceh adopt project s training materials and implements a training programme on LRB to district PW. Number of district/ provincial PW officials that are able to serve as trainers. District PW uses the revised specifications and standards in at least 10% and 20% of its rehabilitation budget in 2009 and At least 70% of contractors road supervisors and district PW officials participating in the project training received certificates of competencies from the project. Number of contractors/ Ministry of PW officials trained. An operational framework at provincial level and for Pidie and Bireuen district for road maintenance planning and budgeting adopted by district public works. A strategy for mainstreaming LRB investment approaches for infrastructure development in Aceh province endorsed by the Project Board and tested Aceh: 260,000 worker days generated, 30% performed by women. Nias: 170,000 worker days, 30% by women. Operational capacities and tools available at district level for planning, programming and budgeting for road asset management Strategy and investment plan for the maintenance of village Contract completion documents Tender evaluation reports Project records and Quarterly reports. District government annual budget for 2009 and Manuals Standard specifications Project reports Final evaluation Project gender audit report Project training records Community s satisfaction Inspection of available systems and (master-) plans Inspect maintenance plans the project - likely Government programme and budget data is accessible - likely Continued collaboration with KDP likely 20

21 Project Structure in rural road development, rehabilitation and maintenance strengthened Indicator Means of Verification (MoV) Assumptions July July Phase II July 2011-August 2012 Phase II Phase II August 2012 August 2012 Women s road groups are organized in selected communities where Phase II road rehabilitation takes place in Bireuen and Pidie. At least 50 community road supervisors are trained. Aceh and Nias: At least 70% of communities in the targeted areas are satisfied with project s selected and rehabilitated roads. Km length of village roads received routine maintenance during the project period. roads prepared and endorsed by Bappeda and Public Works at district level About 35,000 workdays of short-term employment generated, of which 30% for women survey done at project completion date. When it is not feasible to survey community satisfaction, satisfaction assessment will be carried out with district Public Works and BAPPEDA. Project reports Final evaluation Inspect capacity development plans Planned activities with KDP can be delivered on scheduled likely 21