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TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2 INCEPTION REPORT

INCEPTION REPORT: INDII ACTIVITY 176: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

INDONESIA INFRASTRUCTURE INITIATIVE April 2011

INDONESIA INFRASTRUCTURE INITIATIVE This document has been published by the Indonesia Infrastructure Initiative (IndII), an Australian Government funded project designed to promote economic growth in Indonesia by enhancing the relevance, quality and quantum of infrastructure investment. The views expressed in this report do not necessarily reflect the views of the Australia Indonesia Partnership or the Australian Government. Please direct any comments or questions to the IndII Director, tel. +62 (21) 230-6063, fax +62 (21) 3190-2994. Website: www.indii.co.id.

ACKNOWLEDGEMENTS This report has been prepared by Neil Robertson, Principal Consultant and Tyrone Indonesia Infrastructure Initiative (IndII) Activity #176, Phase 2, funded by AusAID, as part of the Directorate General of Highways (DGH) Program Development Activity. Any errors of fact or interpretation of previous studies conducted under IndII’s Road Sector Development Program are solely those of ARRB Group Ltd. ……………………………….. Tyrone Toole Team Leader Quality Manager: ……………………………….. Jon Roberts Principal Engineer

Project Office, Ratu Plaza Office Building 26th Floor, Jl. Jendral Sudirman, Kav 9, Jakarta Pusat 10270, INDONESIA Tel: +62 (021) 725 1924 ARRB Group Ltd., 500 Burwood Highway, Vermont South, Vic 3133, AUSTRALIA Tel: +61 (0) 3 98811555

Date: Reference: Status:

16 April 2011 003357/D1 FINAL

© IndII 2011 All original intellectual property contained within this document is the property of the Indonesia Infrastructure Initiative (IndII). It can be used freely without attribution by consultants and IndII partners in preparing IndII documents, reports designs and plans; it can also be used freely by other agencies or organisations, provided attribution is given. Every attempt has been made to ensure that referenced documents within this publication have been correctly attributed. However, IndII would value being advised of any corrections required, or advice concerning source documents and/ or updated data.

TABLE OF CONTENTS ABBREVIATIONS AND ACRONYMS ........................................................................... V EXECUTIVE SUMMARY .......................................................................................... VII CHAPTER 1: INTRODUCTION..................................................................................... 1 1.1 1.2 1.3 1.4

BACKGROUND TO THIS PROJECT .......................................................... 1 1.1.1 Phase 1 Review ...................................................................... 2 ACTIVITY GOAL AND OBJECTIVE........................................................... 3 INSTITUTIONAL RESPONSIBILITIES FOR SUB-NATIONAL ROADS .................... 7 ORGANISATION WITHIN DGH AND ACCOUNTABILITY ................................ 8

CHAPTER 2: CONSULTANT MOBILISATION AND STAFFING ....................................... 10 2.1 2.2 2.3 2.4 2.5

PROJECT START-UP ........................................................................ 10 CONSULTANT TEAM COMPOSITION AND MOBILISATION .......................... 11 AMENDMENTS TO CONSULTANT’S TEAM ............................................. 12 CONTRACT AMENDMENTS ............................................................... 13 OFFICE ESTABLISHMENT .................................................................. 13

CHAPTER 3: INITIAL ACTIVITIES AND PROJECT APPROACH....................................... 14 3.1 3.2 3.3 3.4 3.5

INITIAL TASKS UNDERTAKEN ............................................................. 14 KEY MEETINGS AND VISITS............................................................... 16 TASK 1: PREPARE ROAD MAINTENANCE POLICY AND TECHNICAL GUIDELINES ........................................................................................ 16 TASK 2: DRAFT MAINTENANCE PLANNING PROCEDURES ......................... 18 TASK 3: PREPARE AND UNDERTAKE INITIAL WORK ON PILOTS .................. 19

CHAPTER 4: PROJECT REPORTING ........................................................................... 22 4.1 4.2 4.3 4.4 4.5 4.6

WEEKLY REPORTS .......................................................................... 22 ACTIVITY MONTHLY REPORTS ........................................................... 22 INCEPTION REPORT ........................................................................ 22 ACTIVITY PROGRESS REPORT ............................................................ 22 ACTIVITY COMPLETION REPORT......................................................... 23 WORKING PAPERS/OTHER REPORTS .................................................. 23

CHAPTER 5: MONITORING & EVALUATION FRAMEWORK........................................ 24 6.1 6.2

GENDER AND DISABILITY ................................................................. 26 ENVIRONMENT, GOVERNANCE, HIV/AIDS AND CHILD PROTECTION .......... 26

CHAPTER 7: ADJUSTMENTS TO THE WORK PLAN .................................................... 27 APPENDICES .......................................................................................................... 28 APPENDIX A: TOR .................................................................................. 28

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APPENDIX B: MINUTES OF KICK-OFF MEETINGS IN NTB AND FIELD RECONNAISSANCE VISIT ................................................................................. 39 APPENDIX C: WORK PROGRAM AND STAFFING SCHEDULE ................................. 50 APPENDIX D: MONITORING & EVALUATION FRAMEWORK ................................ 51

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LIST OF TABLES Table 1.1: Activity 176 Component Descriptions, Phase 2 ............................................... 4 Table 2.1: Consultant’s Team .......................................................................................... 11 Table 3.1: Schedule of Deliverables ................................................................................ 15 Table 3.2: Key Meetings and Visits, February 2011 ........................................................ 16 Table 3.3: Summary of approach to Task 3 and progress to date .................................. 20 Table 5.1: M&E Assessment Criteria ............................................................................... 24

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LIST OF FIGURES Figure 1.1: Current Organisation Structure of Directorate General of Highways............. 9 Figure A.1: Activity tasks ................................................................................................. 33 Figure A.2: Approximate scheduling ............................................................................... 38

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ABBREVIATIONS AND ACRONYMS AD AIPD ACR AMR ANTARA ARRB AusAID Bappeda Bipran BMS DFID DGH Dinas PU DOP EcoMAP EINRIP EIRTP 1 GIS GoA Gol GPS GRDP IBRD IndII IRMS Kapet KPWA LA LG LGU LOS LVRMS M&E MEF MoF MPW MTEF Musrenbang NTB NTT

Activity Design Australia Indonesia Partnership for Decentralisation Activity Completion Report Activity Monthly Report Australia-Nusa Tenggara Assistance for Regional Autonomy ARRB Group Ltd (formerly Australian Road Research Board) Australian Agency for International Development Provincial Planning Office Directorate of Planning, DGH Bridge Management System (DGH) Department for International Development (UK) Directorate General of Highways Public Works Office Director of Planning, DGH Environmental Management Plan (IndII) Eastern Indonesia National Road Improvement Project, funded by AusAID and GoI Eastern Indonesia Road Transport Project, Phase 1, funded by IBRD and GoI Geographical Information System Government of Australia Government of Indonesia Global Positioning System Gross Regional Domestic Product International Bank for Reconstruction and Development, The World Bank Indonesia Infrastructure Initiative Interurban Road Management System (DGH) Integrated Development Zone (Kawasan Pengembangan Terpadu) Kabupaten Public Works Agency IndII Lead Adviser to DGH Local Government Local Government Unit Level of Service Low Volume Road Management System (produced under PPBP) Monitoring and Evaluation Monitoring and Evaluation Framework Ministry of Finance Ministry of Public Works Medium Term Expenditure Framework Consultative development planning meeting (Musyawarah Rencana Pembangunan) Nusa Tenggara Barat (West Nusa Tenggara) Nusa Tenggara Timur (East Nusa Tenggara)

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PFM PKRMMP PPBP PPWA PSEK RPF Sekda SK77

SMEC SNRFU SOP TAS TD TOR TRL UGM

Public Financial Management Provincial and Kabupaten Road Maintenance Management Project (this project) Adapting Planning, Programming and Budgeting Procedures to Eastern Indonesia, funded by IBRD and GoI Provincial Public Works Agency Sub-directorate for System Development and Performance Evaluation, Directorate of Planning, DGH Road Preservation Fund Regional Government Secretary 1993 Ministry of Home Affairs Technical Guidelines for Planning and Programming Kabupaten Roads (Instruction No. 050/1/441/S dated 11 February 1993, Jakarta), supported by Secretary General of Public Works Decision (SK) No. 77/KPTS/Db/1990 Snowy Mountain Engineering Corporation Sub-National Road Facilitation Unit Standard Operating Procedures Technical Assistance Support Technical Director of Transportation, IndII Terms of Reference Transport Research Laboratory, UK, also known as TRL Ltd Gadjah Madah University, Jogjakarta

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EXECUTIVE SUMMARY This Inception Report describes the activities being carried out under Indonesia Infrastructure Initiative (IndII) Activity 176, Technical Assistance Support for Provincial and Kabupaten Road Maintenance Management Project (PKRMMP), Phase 2. Regional and local road networks are in poor condition in many parts of Indonesia, yet they provide vital links to services and employment for communities, access to markets and the transport of goods. In response, the Directorate General of Highways (DGH) has been given national responsibility for providing leadership and support to help improve the management of regional roads, which is defined as the third important mission of DGH in its 2010-2014 strategic plan (Renstra). DGH sought support from IndII, which led to an initial project (PKRMMP, Phase 1) to review current road maintenance practices and funding at the sub-national level in order to assist DGH in its mission. A subsequent phase was anticipated to develop and demonstrate a systematic and sustainable approach to planning, programming and budgeting road maintenance activities and provide a model that can be adopted throughout Indonesia. The Phase 1 study drew on extensive consultations with representatives from five provincial road agencies and eight district (kabupaten) road agencies in West Java, Central Java, Bali, West Nusa Tenggara and West Sulawesi, which were selected as being representative of both eastern and western Indonesia, together with senior personnel from DGH, AusAID and IndII, and specialists in the field. The Phase 1 study also sourced data on road conditions and funding, and undertook reviews of national and international practices. Phase 2 builds on progress made during Phase 1, which produced findings and recommendations addressing four main components: 

Needs, practices and capabilities



Delivery of routine maintenance



Procedures and tools



The legal and regulatory framework, procurement and support

From the work undertaken, it became clear that road maintenance at the sub-national level in Indonesia is significantly under-resourced. Conditions have noticeably deteriorated since decentralisation, and the agencies have limited ability to objectively identify road maintenance needs, plan and then program the necessary works. Further, routine and periodic maintenance has received little support even from limited funds because of a lack of political visibility. This Report covers the initial input of the Project Team assigned under Activity 176, matters arising during this inception phase, the development of the work program following mobilisation, and progress to date.

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The goal of Activity 176 is to improve the quality of local government roads, and the specific objective of this Phase 2 Activity is to improve the quality of local government road maintenance planning, programming and budgeting. This will be achieved by: 1. 2. 3.

Reviewing current road maintenance practices and funding at the sub-national level Developing a systematic approach to planning, programming and budgeting road maintenance activities, applying this in a pilot trial in West Nusa Tenggara (NTB) Providing a model that can be adopted throughout Indonesia

The project has made good progress in its early stages, with the following notable achievements: 

Confirmation of support for the project and its long-term aims from DGH, the NTB Public Works Office (Dinas PU), the NTB Provincial Planning Office (Bappeda), and kabupaten (district) agencies



Appreciation of actual field conditions in NTB following a drive-over of roads in West Lombok and Central Lombok



Preparation and trial of field survey procedures, and the initial application of these procedures in surveys of approximately 2,500 km of roads and associated bridges that will be completed under this project. This will provide a comprehensive, good quality database that will be made available to provincial and kabupaten authorities and will be used in this project to develop a set of multi-year work programs for provincial and kabupaten roads and bridges in NTB. These programs will form part of a coordinated plan for the province as a whole.



Progress in other project activities, including discussions on possible alternative funding mechanisms (through a ‘roads hibah daerah’ initiative).

AusAID is interested in providing grant aided support to improve sub-national road maintenance; however, the form this support might take is not yet clear. AusAID, through IndII, has been providing grant aided support for improvements to water supply for regional governments using the hibah system, which provides grant aid based on successful completion of water connections. A similar system could be developed in the road maintenance sector. The practical outcomes of Phase 2 will form the basis for a potential output-based grant funded physical works program to be prepared and delivered under a future phase of this project, initially for selected provincial roads, and then for kabupaten roads. Project resources, program activities, timing and deliverables have been reviewed and revised in agreement with the Executing Agency (DGH) and Client (IndII), and Phase 2 is now fully implemented and on schedule for completion in June 2011.

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RINGKASAN LAPORAN Laporan Pendahuluan ini menjelaskan tentang aktivitas yang sedang dilaksanakan pada Indonesia Infrastructure Initiative (IndII) Activity 176, Technical Assistance Support for Provincial and Kabupaten Road Maintenance Management Plans (PKRMMP) - Phase 2 (Bantuan Teknis Perencanaan Manajemen Pemeliharaan Jalan Provinsi dan Jalan Kabupaten – Tahap 2). Jaringan jalan provinsi dan jalan kabupaten pada umumnya berada dalam kondisi rusak ringan di seluruh Indonesia,, padahal jaringan jalan ini merupakan jalan penghubung yang penting/vital dalam melayani aktivitas sosial dan pekerja, aktivitas pasar dan angkutan barang. Direktorat Jenderal Bina Marga (DJBM) dalam skala nasional bertanggung jawab sebagai pembina jalan daerah serta memberikan dukungan pada peningkatan manajemen jalan daerah, dimana hal ini telah dicanangkan pada misi ke tiga DJBM pada RENSTRA 2010-2014. DJBM mendapatkan dukungan Indonesia Infrastructure Initiative (IndII) dalam melaksanakan misi DJBM tersebut dengan menyelenggarakan proyek pendahuluan (PKRMMP Tahap 1) dalam bentukkaji ulang tata cara pemeliharaan dan sumber pendanaan jalan Provinsi dan Kabupaten saat ini. Pada Tahap 2 ini akan dikembangkan prosedur perencanaan, pemograman dan penganggaran yang sistematis dan berkelanjutan serta menyediakan model prosedur yang dapat diterapkan di seluruh Indonesia. Kajian Tahap 1 telah dilaksanakan dengan konsultasi penuh bersama instansi penyelenggara jalan pada lima provinsi dan delapan kabupaten di Jawa Barat, Jawa Tengah, Bali, Nusa Tenggara Barat dan Sulawesi Barat, yang terpilih sebagai perwakilan wilayah timur dan barat Indonesia, serta bersama pejabat senior DJBM, AusAID, IndII dan ahli-ahli perencanaan jalan. Kajian Tahap 1 ini juga mendapatkan data kondisi jalan dan data sumber pendanaan, serta melaksanakan kaji ulang tata cara pemeliharaan jalan di tingkat nasional maupun intermasional. Kajian Tahap 2 ini merupakan kesinambungan dari kajian Tahap 1 yang telah menghasilkan kesimpulan dan rekomendasi yang terdiri dari empat unsur utama, yaitu: 

Kebutuhan, tata-laksana dan kemampuan



Pelaksanaan pemeliharaan rutin



Prosedur dan perangkat lunak, dan



Undang-undang dan peraturan yang berlaku, sistem pengadaan dan sistem penunjang.

Kesimpulan kajian Tahap 1 menunjukkan bahwa anggaran pemeliharaan jalan Provinsi dan jalan Kabupaten sangat terbatas. Kondisi jalan merosot sejak era desentralisasi dan Dinas Bina Marga mempunyai kemampuan yang sangat terbatas untuk melaksanakan identifikasi kebutuhan secara obyektif, perencanaan dan pemograman pemeliharaan jalan yang diperlukan. Pemeliharaan rutin dan berkala mendapatkan anggaran yang sangat terbatas sebagai akibat dari kurangnya kebijakan yang strategis.

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Laporan Pendahuluan ini mencakup masukan awal dari Tim Proyek yang ditugaskan pada Proyek Activity 176, hal-hal yang didapatkan selama tahap awal, penyusunan program kerja setelahproses mobilisasi, dan kemajuan proyek sampai saat ini. Sasaran Activity 176 adalah untuk meningkatkan kualitas jalan daerah, dan tujuan khusus Activity 176 Tahap 2 ini adalah meningkatkan kualitas perencanaan, pemrograman dan penganggaran pada pemeliharaan jalan daerah, yang akan dicapai melalui: 

mengkaji ulang pelaksanaan dan penganggaran pemeliharaan jalan provinsi dan kabupaten saat ini



mengembangkan pendekatan yang sistematis pada perencanaan, pemrograman dan penganggaran pemeliharaan jalan, serta penerapannya pada proyek percontohan di Nusa Tenggara Barat



pengadaan model prosedur yang dapat diterapkan di seluruh Indonesia.



Kemajuan proyek yang baik di tahap awal dihasilkan dari pencapaian-pencapaian penting sebagai berikut :



Konfirmasi dukungan proyek dan sasaran jangka panjang oleh DJBM, Dinas PU NTB, Bappeda NTB dan Dinas-dinas PU Kabupaten;



Pemahaman kondisi lapangan yang sesungguhnya di NTB setelah peninjauan jalanjalan kabupaten di Lombok Barat dan Lombok Tengah.



Pengembangan dan uji coba prosedur survai lapangan, serta penerapan awal prosedur tersebut pada survai lapangan sepanjang ± 2.500 km pada jalan dan jembatan untuk keperluan proyek ini. Survai ini diharapkan dapat menghasilkan data-base yang lengkap dan menyeluruh yang dapat dimanfaatkan oleh Dinas Provinsi dan Kabupaten, serta oleh proyek ini untuk menyiapkan program multitahun pemeliharaan jalan dan jembatan provinsi dan kabupaten di NTB. Programprogram tersebut akan dikoordinasikan sebagai bagian dari program perencanaan Provinsi NTB.



Penyiapan prosedur penganggaran alternatif melalui program ‘dana hibah jalan daerah’.

AusAID berminat untuk menyediakan dukungan bantuan hibah untuk peningkatan pemeliharaan jalan-jalan daerah, dan bentuk dukungan akan ditentukan di kemudian hari. AusAID, melalui IndII telah memberikan bantuan hibah untuk peningkatan pengadaan air bersih kepada pemerintah-pemerintah daerah yang telah berhasil menyediakan jaringan air bersih. Sistem yang sama dapat dikembangkan pada sektor pemeliharaan jalan Hasil keluaran Tahap 2 ini akan menjadi dasar bagi program pekerjaan fisik dengan pendanaan hibah berbasis kinerja yang akan disiapkan dan dijalankan pada Tahap selanjutnya dari Proyek ini, diawali dengan seleksi terhadap jalan provinsi dan kemudian jalan kabupaten. Sumber daya proyek, aktivitas program, alokasi waktu dan jenis laporan telah dikaji ulang dan diperbaiki dengan persetujuan oleh Instansi Pelaksana (Direktorat Jenderal

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Bina Marga) dan Klien (IndII), dan proyek Tahap 2 yang saat ini sedang dilaksanakan sesuai dengan jadwal waktu serta akan berakhir pada bulan Juni 2011.

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CHAPTER 1: INTRODUCTION

CHAPTER 1: INTRODUCTION This Inception Report describes the activities being carried out under Indonesia Infrastructure Initiative (IndII) Activity 176, Technical Assistance Support for Provincial and Kabupaten Road Maintenance Management Project (PKRMMP) - Phase 2 (the “Project”). The Report covers the initial input of the Project Team assigned under Activity 176, matters arising during this inception phase, development of the work program following mobilisation, and progress to date. The Directorate General of Highways (DGH) is the Executing Agency (EA) for the Project and the IndII Project Manager (SMEC) is the Client. The Terms of Reference (TOR) are attached as Appendix A.

1.1

BACKGROUND TO THIS PROJECT

Rural roads provide vital links to services and employment for communities, access to markets and the transport of goods. Their quality, in terms of providing reliable and efficient access, can also significantly affect socio-economic outcomes. In many parts of Indonesia, poor conditions exist on many regional and local road networks. Consequently, DGH has been given national responsibility for providing leadership and support to local road agencies to help improve the management of regional roads, which is the third important mission of DGH under its 2010-2014 strategic plan (Renstra). DGH sought support from IndII, which led to the PKRMMP Project. Phase 1 of the Project, the aim of which was to review current road maintenance practices and funding at the sub-national level to assist DGH in its mission. It was completed in October 2010. Phase 2 of the Project builds on the Phase 1 findings and recommendations. Phase 2 involves developing and demonstrating a systematic and sustainable approach to planning, programming and budgeting road maintenance activities in a selected province and one kabupaten. The aim is to provide a model that can be adopted throughout Indonesia. DGH’s Sub-National Road Facilitation Unit (SNRFU) is the counterpart work unit, which facilitates a national forum and provides direct support at the agency level.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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1.1.1 Phase 1 Review The Phase 1 study drew on extensive consultations with representatives from five provincial road agencies and eight kabupaten road agencies in West Java, Central Java, Bali, West Nusa Tenggara (NTB) and West Sulawesi, which were selected as being representative of both eastern and western Indonesia, together with senior personnel from DGH, AusAID and IndII, and specialists in the field. It also sourced historical and current data on road conditions and funding, and supplemented this with extensive analysis and reviews of national and international practices. The characteristics of the jurisdictions reviewed displayed significant variety, providing a sound basis for further study and illustrating the main challenges faced in terms of road infrastructure quality and sustainability, as follows: •

• •

•

Surface types vary significantly, with the sealed road proportion varying between 100 and 25 percent for the provincial agencies, and between 90 and 25 percent for the kabupaten agencies. Unpaved earth roads account for significant proportions of roads in the eastern provinces. Stable road conditions vary between 95 and 25 percent for the provincial agencies, and between 80 and 25 percent for the kabupaten agencies. The ratio of road asset value to Gross Regional Domestic Product (GRDP) for the five provinces suggests that capacity to support a sustainable and sufficient network varies considerably, with two provinces having an insufficient economic base, one having borderline insufficiency/adequacy, and two having sufficient capacity/undersupply. Two provinces performed better-than-average, being significantly above a trendbased relationship between GRDP and the proportion of stable network conditions.

The Phase 1 study produced findings and recommendations addressing four main components: • • • •

Needs, practices and capabilities Delivery of routine maintenance Procedures and tools The legal and regulatory framework, procurement and support

The most significant findings and recommendations from Phase 1 were: 1) While budget constraints are common to most agencies, the estimated funding need for essential routine maintenance and periodic maintenance to help preserve existing assets was approximately 75% of the total road sector budget. These maintenance activities should be given highest priority, and additional funds should be sought to help fund renewal of the networks. 2) Overall funding needs for essential maintenance and removal of the backlog of major renewal works are between three and five times current total funding. Needs vary by agency type and location, with the needs of kabupaten agencies being higher, and needs in eastern Indonesia being greatest. The key, however, is

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

CHAPTER 1: INTRODUCTION

to encourage appropriate access standards and therefore funding to meet travel demand, and to focus results on a ‘core’ strategic network. 3) There is a need to socialize the benefits of asset preservation among decision makers and technical cadres, and to encourage more appropriate use of existing and new funds. Too often, decisions are taken without a rigorous technical basis, leading to a cycle of building/renewal and failure. Achieving a change in behaviour will require a different approach to funding and contracting services. A ‘carrot and stick’ approach is being considered in which roads are selected for grant (hibah) funding under multi-year extended warranty or similar contracts, provided that the regional road management agency fulfils its obligation to maintain other parts of the network to a sustainable level. Achieving the desired results will require strong leadership underpinned by appropriate policy and regulations, consistent guidelines and procedures, and appropriate funding instruments and delivery arrangements. 4) Proposals have been developed for taking forward practical demonstrations of a future system, including a full implementation trial, to be preceded by preparation of draft policy, guidelines, trial works programs and funding support. Key issues and actions were also identified, which emphasise: • • • •

1.2

The need for a strong policy-driven environment Commitment to clearly defined maintenance standards and their successful delivery Supportive planning procedures, tools and cost effective solutions Building capacity in outcome-based delivery

ACTIVITY GOAL AND OBJECTIVE

The goal of the Activity is to improve the quality of local government roads. The specific objective of this Phase 2 Activity is to improve the quality of local government road maintenance planning, programming and budgeting. This will be achieved by: • • •

Reviewing current road maintenance practices and funding at the sub-national level Developing a systematic approach to planning, programming and budgeting road maintenance activities in selected provinces and kabupaten Providing a model that can be adopted throughout Indonesia

Table 1.1 describes the Activity components and associated tasks to be carried out.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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Table 1.1: Activity 176 Component Descriptions, Phase 2 TASK 1. Prepare road maintenance policy and accompanying technical guidelines 1

CONSULTANT INPUT

 Draft a complementary set of technical

guidelines which detail appropriate access, design and maintenance standards, performance measures and indicators. These will be complemented by draft maintenance planning procedures (2. below) to be applied in this project and used in the development of the Standard Operating Procedures to be produced during Phase 3 following agreement on policy and regulations.

 Ensure that all procedures comply with

GoI guidelines, on gender equality, disability, environmental protection and road safety and where possible provide recommendations where current GoI guidelines on these issues could be improved.

 Draft recommendations on potential

sources of additional funding, including local revenue collection potential.

 Review and document the latest legal and regulatory framework applicable to output-based grant-funded projects.

 Socialise the draft policy to local

government and DGH (and subsequently seek their agreement) to achieve a better understanding on the cost implications of different levels of delivered service of road maintenance, and the gap between the current level of funding and the needs for road maintenance.

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ANTICIPATED OUTPUT AND DELIVERABLE Agreed road maintenance policy for NTB provincial government and DGH including socioeconomic, safety, gender and disability considerations built into different road maintenance scenarios which are outputs expected from the completion of this task.

 Deliverable 1 - Inception Report

 Deliverable 2 – Road

Maintenance Policy Statement and Technical Guidelines. Road maintenance policy statement and technical guidelines will address any road safety, gender and socioeconomic issues when necessary.

 Deliverable 3 –

Recommendations concerning alternative funding sources, including applicable legal framework.

 Deliverable 4 – Socialisation

strategy. Should there be any significant gender and socioeconomic issues, socialisation strategy will also consider how to socialise these issues to achieve better awareness.

When developing the draft policy, take into account the responsibilities identified in the June 2009 Traffic and Road Transport Law, which places increased liability on the road authorities to provide safe road conditions, and the provisions in the draft Road Preservation Fund regulation currently under preparation by MPW.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

CHAPTER 1: INTRODUCTION

TASK

CONSULTANT INPUT

2. Draft maintenance planning procedures

 Prepare draft maintenance planning

3. Prepare and undertake initial work on pilot

 Confirm detailed program in consultation

procedures which document the processes, data, models, tools and criteria to be applied for all activities necessary to prepare future annual and projected future road and bridge maintenance plans as part of this project. The procedures will form the basis of Standard Operating Procedures (SOP) to be prepared in Phase 3.

with AIPD, IndII, DGH and pilot agencies.

 Confirm staff and available equipment: o Review the background and availability of staff and equipment (both office and field); o Identify the time that available staff can commit to participating in the IndII Activity to enable the work program to be developed to maximise the transfer of knowledge.

 Conduct the field survey for the NTB road

network: o Design surveys and prepare survey forms based on the requirements for the identified decision support tools (e.g., IRMS and an updated LVRMS, BMS, SK77 or appropriate manual systems); o Supervise field work by experienced staff to describe the current condition, road width, drainage and other characteristics of the road including traffic; and the current condition, characteristics and maintenance requirements of bridges; o Train local government staff in survey techniques; o Women will be given equal opportunity with men to participate in the field survey; o Prepare strip maps and GIS outputs summarising the above characteristics and conditions.

ANTICIPATED OUTPUT AND DELIVERABLE Draft maintenance planning procedures. Deliverable 5 – Maintenance Planning Procedures

Demonstration of draft maintenance planning procedures and verification of network funding needs will be the outcomes of this task. The pilot will address staffing and resourcing issues, including capacity building strategies for experienced LG staff. The completion of the deliverables below is required as evidence for the achievement of outputs.

 Deliverable 6 – Survey design, methodology and proforma

 Deliverable 7 – Report on

survey implementation and survey data analysis

 Deliverable 8 – Consultative Workshop on impacts of different funding levels

 Data Analysis and Reporting: o Use the IRMS, an updated LVRMS and appropriate manual procedures to develop programs of road maintenance

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

5

TASK

CONSULTANT INPUT

ANTICIPATED OUTPUT AND DELIVERABLE

based on various investment alternatives, with LGs, and based on/or to shape the road maintenance policy; o Report on budget profiles and performance trends and tabulations of the comparisons between the alternative strategies for the various investment options and road category; o Conduct a workshop to demonstrate the impacts of different levels of funding and potential funding sources to LG administration and local parliament representatives; o Seek feedback from the above participants to develop agreed funding levels for 2012 and forward, which will be prepared in Phase 3. 4. Prepare future Scope of Work

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 Based on the work program carried out in  Deliverable 9 – Report on Phase 2 provide a work program which will Future scope of work to include the following: include required inputs and schedule, which can be o Immediate and Mid-term maintenance developed into a TOR for plans for NTB Provincial Roads; future activity. o Workshops and presentations for the maintenance plans; o Identification of locations for extended piloting; o Development of a program of sustainable maintenance planning, programming and budgeting; o Funding sources and potential grant/hibah program, including incentive schemes to encourage sustainable maintenance practices.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

CHAPTER 1: INTRODUCTION

TASK 5. Complete all required reporting

1.3

CONSULTANT INPUT  Prepare a final technical report at the conclusion of the services documenting all tasks carried out on the project, and recommendations for a Phase 3 project.  Prepare Activity Monthly Reports (AMR) every month and an Activity Completion Report (ACR) to ensure compliance with the IndII M&E Framework.  Ensure AMR and ACR reflect compliance with the IndII Gender Strategy, EcoMAP and Risk Mgt Plan by providing evidence to confirm the achievement of defined cross-cutting indicators.

ANTICIPATED OUTPUT AND DELIVERABLE All necessary IndII reporting requirements completed, using the formats provided in templates available on the IndII website.  Deliverable 10 – Draft (and Final) Technical Report including potential Phase 3 recommendations  Deliverable 11 - Activity Monthly Reports & Activity Completion Report (which provides evidence on achievement of defined indicators for socio-economic, gender and disability)

INSTITUTIONAL RESPONSIBILITIES FOR SUB-NATIONAL ROADS

The Directorate General of Highways (DGH or Bina Marga), which is part of the Ministry of Public Works (MPW), has responsibility for the management and development of the national road network and a supporting advisory role to local government agencies for the management of provincial, district (kabupaten), urban (kota) and village (desa) roads. DGH’s advisory role, as noted earlier, is defined as the third important mission of DGH under the 2010-2014 strategic plan. Its wider role includes: 

A strategic and policy role in establishing the overall policy for development and maintenance of the road network in Indonesia. The provision and maintenance of the road network is currently considered a national responsibility that lies solely within the domain of the GoI. DGH, within MPW, is responsible for setting the strategy and policy objectives for the road network and allocating a budget to implement the strategy.



An infrastructure provider role, engaged in the development and maintenance of the road network. In its service provider role, DGH implements approximately 29 percent of the budget for new construction, and for maintenance of the existing network.



A client for services provided by contractors. A large part of the new construction, including design, is outsourced. In its client role, DGH is responsible for contract management on behalf of the GoI.

DGH’s Sub-National Road Facilitation Unit (SNRFU), which now resides within the Sub Directorate for System Development and Performance Evaluation, is the counterpart

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work unit which facilitates a national forum and provides direct support at an agency level. SNRFU is recognised as the communications hub (Pusat Komunikasi), and discharges its duties in cooperation with other DGH entities, as follows: 

Secretary for Directorate General, responsible for coordination and development of guidelines and dissemination of materials



Sub Directorate of Programming & Budgeting within Directorate of Planning & Programming, responsible for coordination of policy



Sub Directorate of Policy & Strategy within Directorate of Planning & Programming, responsible for coordination of strategic planning



Directorate of Implementation, by region, responsible for coordination of regionbased forum groups involving representatives of sub-national agencies

1.4

ORGANISATION WITHIN DGH AND ACCOUNTABILITY

The Directorate General is organised on a functional basis, which, while having regard to strategy and policy, broadly reflects the different stages in a project life-cycle. The DGH Organisation Structure is provided in Figure 1.1. While the above deals adequately with primarily DGH responsibilities, confirmation of wider institutional responsibilities within central government and the sub-national agencies is necessary.

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CHAPTER 1: INTRODUCTION

Figure 1.1: Current Organisation Structure of Directorate General of Highways

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CHAPTER 2: CONSULTANT MOBILISATION AND STAFFING 2.1

PROJECT START-UP

The initial team mobilisation took place on 24 January 2011, with a Project Start-up meeting taking place on 1 February 2011. The participants in this start-up meeting included: For the Consultant: 

Tyrone Toole, Team Leader



Bowo Besar, National Highway Engineer/Survey Manager

For the Client: 

David Foster, Lead Advisor, IndII-DGH



Andrew Whillas, Advisor, IndII-DGH and 176 Project Manager

A summary of the outcomes of the start-up meeting is provided below.

10



Project mobilisation: Acknowledged date of 24th January 2011 as project commencement for billing and planning purposes.



Project schedule: Timelines are tight and the schedule was revised (based on a week-by-week plan). Activities should be run in parallel where possible and early progress needs to be made in establishing cooperation with SNRFU, NTB province and AusAID. This will be achieved by initiating analysis as soon as results emerge from the surveys.



DGH notification: DGH to be notified of project commencement and cooperation established with Bipran and SNRFU.



Visit to NTB: NTB has been chosen as the pilot province and confirmation of its cooperation was subsequently obtained at kick-off meetings in Mataram held on 21-22 February 2011 (see section 3.1 and Appendix B).



Mobilisation of national specialists: To accelerate progress, ARRB offered to mobilise all national specialists as soon as possible, and had earlier confirmed their availability subject to finalisation of individual contracts.



Mobilisation of international specialists: To commence as soon as possible to facilitate initiation of pilot studies.



Survey equipment and procedures: Purchase of essential survey equipment has been initiated, with one Roughometer, GPS and other minor equipment. Procedures are being reviewed based on PPBP/EINRIP and international practice and will be finalised in time for desired survey start date.



Project briefing note: IndII-DGH to produce a briefing note on the project and how it may develop into a wider Phase 3 (possible preparation activity) and Phase 4 (implementation activity), subject to GoI and AusAID agreement and support. A consistent message is required for the team to communicate without raising hopes

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CHAPTER 2: CONSULTANT MOBILISATION AND STAFFING

too high. Links will be established with the Road Preservation Fund (RPF), Hibah Daerah and the National Forum on Sub National Roads. 

Deliverables and milestones: These should be reviewed as soon as possible in line with the revised delivery schedule and mobilisation dates. Inception report to be submitted as a brief focused document after the initial visit to NTB.



Training: Training activity is likely to be reduced, but the team will seek provincial personnel to be assigned to the ARRB-managed survey and planning team.



Office accommodation: ARRB was approved to seek alternative accommodation, e.g., at Cardno’s Ratu Plaza office, due to space limitations at DGH/MPW. This was subsequently been approved in Contract Variation No. 1, dated 9 March 2011. Accommodation in NTB to be confirmed during the forthcoming visit (see Appendix B).



Regular reporting and catch-up meetings: Weekly note to be produced (on Fridays), followed by a weekly meeting (on Mondays).

2.2

CONSULTANT TEAM COMPOSITION AND MOBILISATION

The international staff is scheduled to provide a total of nine person-months of input, with the key national professionals providing 13 person-months. The Staffing Schedule includes a few minor modifications to the international team which are aimed at strengthening the team during the initial period of the project. Details of the changes are set out in 2.3 below, and a schedule of the Consultant’s team mobilisation is shown in Table 2.1. Table 2.1: Consultant’s Team Name Tyrone Toole

Position

Mobilisation/current input

Demobilisation

International Team Leader/Maintenance Policy & Strategy Specialist

24 January 2011 (*)

3 March 2011

17 March 2011

-

Jon Roberts

International Highway Information/Systems Specialist (Alternate)

23 February 2011

25 March 2011

Lory Noya

International Highway Information/Systems Specialist

28 February 2011

13 March 2011

Max Blacker

International Maintenance Specialist

11 April 2011

-

Bowo Besar

National Highway Engineer/Survey Manager

31 January 2011

-

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Name

Position

Mobilisation/current input

Demobilisation

Budiadi Sukoharjo

National Road Maintenance Specialist

4 February 2011

-

Aberor Dachwan

National Policy & Standards Specialist

25 February 2011

-

Indra Rinaldi

National Information Systems Specialist

28 February 2011 (*)

-

Various

National Transport Advisory Panel

To be advised

-

* Tyrone Toole and Indra Rinaldi have been approved to work on parallel IndII activities, resulting in occasional discontinuous inputs.

2.3

AMENDMENTS TO CONSULTANT’S TEAM

There has been a need to make some changes to the Consultant’s staffing schedule from that proposed and agreed under the Consultancy Agreement. The changes which have so far been requested and approved under Contract Amendment No. 1 dated 9 March 2011 are: 

Jon Roberts to be assigned as an alternate International Highway Information/Systems Specialist to replace Lory Noya as and when required due to Lory’s reduced availability for personal reasons. It has also been agreed that both specialists will overlap as necessary to help aid the initiation of field and desk studies associated with the pilots in NTB.



Additional support from national specialists Budiadi Sukoharjo and Indra Rinaldi by one month each to accommodate the additional kabupaten road surveys requested by the GoI and to be undertaken within the compressed project schedule. The additional time will also help manage risks in completing all surveys, analysis and development of work programs to coincide with the province’s planning cycle, and to ensure all activities are completed within the project timescale.

We believe these changes will strengthen the overall team. Whereas the changes to the international specialists will have no additional cost implications to the Contract, the additional resources sought for the national specialists will result in a modest additional cost. However, we believe substantial implementation benefits will result, with fewer risks in the overall program. A revised staffing schedule showing the duration and timing of the inputs of the team is provided in Appendix C.

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CHAPTER 2: CONSULTANT MOBILISATION AND STAFFING

2.4

CONTRACT AMENDMENTS

Contract Amendment No. 1 was approved on 9 March 2011, with the main changes noted below: 1. 2. 3. 4.

2.5

Amendments to Consultant’s team as noted in section 2.3. Adjustment of local travel and vehicle hire to reflect latest estimates. Additional funds for office provision and support in Jakarta. Increased cost rate for field surveys for the following reasons: a. The three or four week delay in obtaining full approval and cooperation to initiate the pilot program means that a significantly compressed timescale needs to be met to deliver the pilots. This has been out of the Consultants control. b. The GoI’s wish and IndII’s agreement to include, approximately 400 km of kabupaten roads will impact our productivity since it will take longer to survey these roads. c. Provision of a 10-person team in three vehicles, plus the National Information Systems Specialist, as an alternative to the original six-person combined team operating in two survey vehicles to ensure productivity rates and project timescales are met. d. Provision for data preparation and analysis in the province.

OFFICE ESTABLISHMENT

The consultant has established a Project Office at the Ratu Plaza Office Building, 26th Floor, Jl. Jendral Sudirman, Kav 9, Jakarta Pusat 10270. Contact details are as follows: Phone:

+62 21 725 1924

Fax:

+62 21 725 1925

IndII-DGH has also facilitated some temporary office space within DGH, which was used during January and early February, and will continue to be used when team members are required to attend meetings within DGH. However, this space proved inadequate for the team and an in-principle agreement was agreed for ARRB to seek accommodation at Cardno’s Ratu Plaza office. This change to the contract provisions will be incorporated in a variation for increased budget provision. In addition, with a significant amount of activity located in NTB, office accommodation has been provided at the Provincial Public Works Department (Dinas PU). Additional office space has also been offered with the Australia-Indonesia Partnership for Decentralisation (AIPD) team based at the Bappeda offices in Mataram, NTB.

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CHAPTER 3: INITIAL ACTIVITIES AND PROJECT APPROACH 3.1

INITIAL TASKS UNDERTAKEN

The initial project tasks have focused on confirming the commitment of DGH and provincial agencies, the technical approach to the project as set out in our proposals, and further clarification and direction from IndII representatives and DGH on the overall project scope and deliverables. A visit to NTB took place on 20-22 February 2011, with the following outcomes: 

Confirmation and commitment by Dinas PU, Bappeda and kabupaten representatives on their support for the aims and objectives of this project, and the provision of personnel and support facilities.



Agreement to work jointly in preparing a road management plan for provincial roads, and collecting and assembling necessary data for the provincial network and sample lengths of roads in two kabupaten.



A better understanding for the study team on the condition and use of the road network, and first-hand experience of the types and causes of distress on a sample of representative roads.

Meeting notes and observations from the field reconnaissance visit are provided in Appendix B. The following section confirms our approach and proposed changes to the scope of work or deliverables. It first addresses scope and deliverables, then the individual components identified in the TOR, and provides an update on progress to date and suggests revisions where appropriate. The overall scope of the Project, Phase 2 of Activity 176, remains unchanged as set out in the TOR (see Table 1.1 and Appendix A), with the following exceptions: 

The pilot studies, including surveys, will now include two kabupaten in NTB and will concentrate on identified strategic roads. The two kabupaten are West Lombok and Central Lombok. Based on the locations chosen in these kabupaten, the change will increase the survey task by approximately 25 percent.



Training activity will not be a focus of Phase 2. Instead, the team will seek provincial and kabupaten personnel to be assigned to the ARRB-managed survey and planning team, and provide them with on-the-job training.

The deliverables due under this project, and their proposed revised timing are shown in Table 3.1. These changes were requested and approved in order to optimise resources and progress on areas of significant risk (mainly the province-based activities), and to allow time to obtain full commitment from DGH and the sub-national agencies. This commitment is especially critical, since a number of senior DGH staff still perceive the project as simply delivering more procedures. Many procedures already

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CHAPTER 3: INITIAL ACTIVITIES AND PROJECT APPROACH

exist, and there is a need to emphasise and advance the broader aim of demonstrating a new approach to the provision and maintenance of sub-national roads, including policy and funding aspects. This was the basis of a briefing note prepared with input from the IndII-DGH Lead Transport Advisor prior to the visit to NTB. 

The Consultant has also proposed splitting Deliverable 7 (Report on survey implementation and data analysis) into two deliverables: 7a – Survey mobilisation and interim report; and 7b – Survey completion and reporting for internal management purposes. This has been accepted, and does not require a change to the contract. The aim Is to ensure all aspects of the work are progressing and working well – including data acquisition, data storage, analysis and presentation – for a sample of the total data set, such as the island of Lombok. This discipline also helps manage risks and confirm progress, and allows any issues that arise to be addressed promptly. Recommended revisions: Scope and Deliverables  Pilot studies to be extended to include sample lengths of roads in two kabupaten in NTB, as noted above.  Training activity involving sub-national staff to focus on necessary on-the-job training and essential presentations to facilitate participation in the study.  Deliverable 7 to be divided into two parts for internal management purposes, as explained above.

Table 3.1: Schedule of Deliverables Del #

Deliverable

Date Due

1.

Inception Report

28/02/2011

2.

Road Maintenance Policy Statement and Technical Guidelines

25/03/2011

3.

Recommendations concerning alternative funding sources, and legal framework

06/05/2011

4.

Socialisation strategy

25/03/2011

5.

Draft maintenance planning procedures

08/05/2011

6.

Survey design, methodology and proforma

28/02/2011

7.

Report on survey implementation and survey data analysis

20/04/2011

8.

Consultative Workshop on impacts of different funding levels

15/05/2011

9.

Report on future scope of works

31/05/2011

10.

Draft (and Final) Technical Report, including potential Phase 3 recommendations

07/06/2011

11.

Activity Monthly Reports and Activity Completion Report

10/06/2011

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3.2

KEY MEETINGS AND VISITS

A number of meetings, and visits to NTB and Yogyakarta took place in February 2011, during the inception phase. A summary of these meetings and visits is presented in Table 3.2. Table 3.2: Key Meetings and Visits, February 2011 Date

Description

Participants

01/02/2011

Project start-up meeting with IndII-DGH

IndII-DGH and Consultants

01/02/2011 & 02/02/2011

Initial meetings with Head of SNRFU, Mr Darda Daraba, and DGH Project Coordinator, Mr Sugiarto

SNRFU and Consultants

03/02/2011

Meeting on Hibah Daerah

IndII-DGH, AusAID M&E specialist and Maurice Gervais

07/02/2011

Introduction of Andrew Whillas to SNRFU

SNRFU, Andrew Whillas and Consultant

14/02/2011

Briefing to Director of Planning (DOP)

DOP, SNRFU and Consultant

17/02/2011

Review of project milestones and staffing with IndIIDGH

IndII-DGH and Consultant

20/2/2011 to 22/2/2011

Visit to Dinas PU NTB and field visit in Lombok

Head of Dinas PU and staff, Bappeda, Kabupaten Lombok Barat and Consultant

23/2/2011 to 24/2/2011

Visit to Yogyakarta and contribution to UGM workshop and training on ‘Rural transport policy and evaluation’

Tyrone Toole

25/02/2011

Review of project deliverables with IndII-DGH

IndII-DGH and Consultant

25/02/2011

Review of project approach and M&E Framework

Graham Gleave (IndII M&E Specialist) and Tyrone Toole

3.3

TASK 1: PREPARE ROAD MAINTENANCE POLICY AND TECHNICAL GUIDELINES

This task contains three deliverables, in addition to the project inception report, namely:

16



Road maintenance policy statement and technical guidelines



Recommendations concerning alternative funding sources



Socialisation strategy

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This task will commence with production of an outline of the technical guidelines, which will detail appropriate access, design and maintenance standards, and the performance measures and indicators to be produced under this project. It will also identify the key elements that need to be developed and will form the basis of a road maintenance policy statement. For this purpose, all existing guidelines will be reviewed – including the IRMS, BMS and LVRMS procedures and the original SK77 planning and programming guidelines for kabupaten roads – to ensure that any changes are properly justified and build on good practice. Consideration will be given to identifying potential constraints to applying best practice; including issues related to jurisdictional boundaries and related funding. For this reason, it is important that a high-level approach is taken to communicating the benefits of any changes, and informing this through case studies developed during the Project. Once the outline has been developed, we propose that this should form the basis of an initial presentation and workshop that seek to engage both central and regional stakeholders. This means that the socialisation process should commence early, to allow widespread familiarisation with and ownership of eventual solutions. Workshop attendees will be provided with sample policy statements, and will then be asked to produce policy statements during the workshop for consideration for future application. The review activity will also document specific links to existing regulations, and identify how they complement the aims of the draft policy or else need to be modified or extended. Once the scope is agreed, the technical guidelines will be developed to accompany the draft maintenance policy statement, providing any necessary background and amplification. The guidelines will draw on international and national documents in this area, a number of which were reviewed and summarised during the Phase 1 study. They will consider gender equality, disability and environmental protection, and will aim to demonstrate how a holistic maintenance policy can facilitate the adoption of sustainable and equitable solutions. With regard to funding, we anticipate clarifying potential sources of additional funding, including the potential for local revenue collection, in line with current regulations. We will also consult with DGH and relevant central and regional government agencies on the possibility of further changes where examples exist. A critical issue in this regard is the possibility of a regional road grant program, and the question of how this could be formulated and help achieve better transport outcomes at a sub-national level, benefitting local communities and industry. As noted earlier, we have assumed that a fuller review of the latest legal and regulatory framework applicable to output-based grant-funded projects will have been undertaken by IndII, and that this project will focus on the possible application to road-

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specific examples. We also intend to consider whether a ‘carrot-and-stick’ approach would be practical, whereby (i) any road refurbishment or renewal would be accompanied by an ongoing responsibility for maintenance of the refurbished roads, possibly through a performance-based maintenance or extended warranty arrangement; and (ii) disbursement of grants for refurbished roads would be contingent on maintaining the rest of the existing road network at an appropriate standard. To ensure that our advice is consistent, we anticipate drawing on the procurement and contracting work performed under IndII Activity 207, and obtaining additional support from IndII in the preparation of the regional road grant program. We have been advised that additional resources will be provided for this purpose at no extra cost to this project. Further socialisation will take place once the draft policy is more established, and once case studies are available from Task 3 that will help inform a better understanding on (i) the cost implications of different levels of road maintenance service delivery, and (ii) the gap between current funding levels and road maintenance needs. Finally, good cooperation and interaction between central and sub-national agencies, and line ministries, is vitally important. While coordination within DGH has been clarified, and the wider national role of the SNRFU has been confirmed, this needs to be reflected in cross-jurisdictional communications. Furthermore, given the complexity and potentially wider impact of the project goal, a steering committee of experienced sector specialists is required. The project budget offers sufficient resources to support such an activity. Recommended revisions: Task 1 – Road maintenance policy and technical guidelines No changes are necessary, but early progress is required on: 

Engaging national and sub-national agencies through support of SNRFU and other DGH units



Initiating workshop on Task 1



Receiving advice from formal project steering group



Confirming proposed parallel support on review of funding mechanisms

3.4

TASK 2: DRAFT MAINTENANCE PLANNING PROCEDURES

The maintenance planning procedures are intended to document the applicable processes, data, models, tools and criteria for all activities needed to prepare the future annual and projected future road and bridge maintenance plans under this project. Initially, the draft procedures will consist of project documents or instructions to technical staff to undertake specific activities to produce the required project outputs.

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CHAPTER 3: INITIAL ACTIVITIES AND PROJECT APPROACH

The procedures will be the basis for the Standard Operating Procedures (SOP) prepared in Phase 3. The draft procedures will complement the technical guidelines produced in Task 1, and will utilise the results of the international and national documentation review. The key source documents will include: 

Draft PPBP procedures produced in 2006



SK-77 kabupaten road planning procedures



Draft DGH MTEF procedures, and relevant documents from other ministries



International guidelines sourced from The World Bank, DFID, TRL, ARRB and other organisations



Mongolian Road Maintenance Manual, which is a manual-based system for planning, programming and preparing maintenance projects that is a good example of simplified yet comprehensive planning, programming and budgeting procedures and guidance for project preparation and implementation

The procedures will be prepared on a modular basis in order to facilitate early application in the planning and implementation of field data collection. The procedures will then be extended, and will be subject to review and revision. We believe this approach will facilitate early progress and reduce pressure to complete other tasks. Recommended revisions: Task 2 – Draft maintenance planning procedures No changes or clarification required at this stage.

3.5

TASK 3: PREPARE AND UNDERTAKE INITIAL WORK ON PILOTS

The pilots are a significant part of the project, being a practical demonstration of the consequences of adopting the draft guidelines, policy and procedures in terms of planning, programming and budgeting. The pilots also allow an independent quantitative assessment of needs that can inform discussions on policy changes. While the aim is to undertake the work collaboratively, the ARRB-led staff need to provide sufficient technical input to ensure that the results meet the client’s expectations. Benefits of the proposed planning approach include creating as real a situation as possible, while challenges may arise from the need for extended discussions to ensure that this approach is understood by and acceptable to stakeholders.

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With respect to the specific sub-tasks, our proposed approach and progress to date are summarised in Table 3.3. Recommended revisions: Task 3 – Prepare and undertake initial work on pilots No changes or clarification required at this stage.

3.6

TASK 4: PREPARE FUTURE SCOPE OF WORK

The requirements are clear and reflect the limited scope of this activity. Recommended revisions: Task 4 – Prepare future scope of work No changes or clarification required at this stage.

3.7

TASK 5: COMPLETE ALL FINAL REPORTING

The reporting requirements are clear. Recommended revisions: Task 5 – Complete all final reporting No changes or clarification required at this stage.

Table 3.3: Summary of approach to Task 3 and progress to date #

20

Approach

Progress

Required action

1

Confirm detailed program with central and regional stakeholders, including the specific agencies to be involved.

Program prepared and described to DGH and Dinas PU NTB, and broad program endorsed.

Promote and seek wider support from stakeholders in line ministries.

2

Confirm selection of provincial and kabupaten networks

NTB selected as provincial network; Lombok, Sumbawa, and two kabupaten selected.

Follow up directly with agencies.

3

Detailed field equipment needs, including equipment to be supplied by project; collaborating agency to be confirmed.

Agreed in principle during NTB visit, and confirmed during survey initiation.

-

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#

Approach

Progress

4

Describe activities to be undertaken, agree availability of staff, and assess capability of staff from the collaborating agencies to undertake activities.

Coordinators appointed at central and regional levels, and NTB support confirmed. Project to supply senior and assistant engineering resources, surveyors to be provided locally.

-

5

Prepare field survey activities in accordance with agreed survey design and proposed procedures.

Draft survey design and procedures in Deliverable 6 (submitted 28/02/2011), confirmed in field trials.

Continue and report following wider trials.

6

Train project team that will trial the draft procedures.

Project briefing and training held for national specialists and DPU staff in office and field.

Review and extend as activities progress to data storage and analysis.

7

Data acquisition, storage and presentation tools to be established early and presented to all agencies.

Team activities commenced with aim to demonstrate through interim output (7a).

Complete and prepare interim output and undertake demonstration.

8

LVRMS analysis to be supplemented by appropriate digital and manual procedures, drawing on information within the IRMS, BMS and SK-77. Strip maps to be added; GIS outputs to use commercial software.

Initiated by management team and road information specialists.

Finalise LVRMS review and develop essential enhancements, and progress according to program.

9

Analysis of performance trends and budget implications to cover three scenarios: (a) minimum level of service (LOS) approach, (b) desirable LOS or unconstrained case, and (c) constrained budget or holding strategy.

-

Progress in accordance with program.

10

Presentation of information and discussion of merits of each strategy to be undertaken in workshops and policy discussions. Aim is to encourage feedback on the overall approach, realistic target strategies for the pilot province, and implications for more widespread application.

-

Progress in accordance with program.

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Required action

21

CHAPTER 4: PROJECT REPORTING The timeliness of reporting was stressed at the Project Start-up meeting. The Consultant will follow the required reporting as described in the Consultancy Agreement. All the reports will be prepared in the English language and will be clear and concise, making maximum use of graphic presentations (where appropriate) to show progress.

4.1

WEEKLY REPORTS

A brief weekly report is required to be submitted each Friday, outlining activities during the current week so that progress can be monitored, except where this coincides with a Monthly Report. Three weekly reports have been submitted to date.

4.2

ACTIVITY MONTHLY REPORTS

The Team Leader with assistance from the Project Team will prepare monthly Activity Reports. These are to be submitted by the 28th of the reporting month. A standard format has been issued and is being followed. Separate reports are being prepared for each Activity. The report for February 2011 has been issued.

4.3

INCEPTION REPORT

The Consultant is required to submit an Inception Report. Initially this Report was due on 14 February 2011, but it was agreed to extend the submission date to 28 February 2011. There is no standard IndII format for the report, so we have followed our own format for similar development projects.

4.4

ACTIVITY PROGRESS REPORT

As the Project runs for less than six months, there is no requirement to submit an Activity Progress Report.

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4.5

ACTIVITY COMPLETION REPORT

The Team Leader will prepare a comprehensive Activity Completion Report for the Project when activities are complete. The detailed outline of the report will follow the IndII format.

4.6

WORKING PAPERS/OTHER REPORTS

In addition to the Activity Reports documented above, a number of Technical Deliverables need to be prepared and submitted. The Consultant will also ensure that any other reporting needed to ensure compliance with IndII M&E Framework, Gender Strategy and Environmental Guidelines is addressed. We propose some adjustments to the Schedule of Deliverables, including the agreed delivery date for the Inception Report, with corresponding adjustments for milestone payments. These adjustments were set out in Table 3.1.

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CHAPTER 5: MONITORING & EVALUATION FRAMEWORK IndII’s support to GoI central and sub-national agencies will contribute to the Facility’s higher-level objectives (program-level framework). Assessing the level of this contribution will rely on data generated in response to the performance questions on each individual activity as contained in the activity results frameworks. These performance questions are: 

What are the immediate results of the activity (IndII partners will be asked to comment in their own style and based on their own views and impressions)?



What factors have contributed to the success of the activity?



What contribution has the activity made to result areas such as partnerships, policy formulation and improved governance?



Are benefits likely to be sustained?

The proposed IndII M&E activity assessment criteria are outlined in Table 5.1. Table 5.1: M&E Assessment Criteria Efficiency

the outputs of an activity in relation to its inputs, signifying the best approach used to achieve desired results

Effectiveness

the extent to which an activity attains its individual outcomes and purpose

Impact

the positive and negative changes produced by an activity (both intended and unintended)

Relevance

the extent to which an activity is suited to the priorities and development goals of the broader program framework

Sustainability

whether the benefits of the activity are likely to continue after donor funding has been exhausted

To satisfy the M&E requirements, we propose to use a standardised form that encapsulates all the reporting information needed to assess progress from the technical, M&E and contracting perspectives. This will define what is expected from the Consultant and what outputs are achieved, linking these outputs to specific deliverables. The Consultant Task Table for Activity 176 will form the basis for IndII M&E and is a mixture of technical and M&E requirements that aim to address the objectives and key deliverables in the activity design. The Consultant’s Team Leader attended an IndII M&E Workshop held on 9 November 2010 and led by the IndII M&E Advisor. We were informed that the IndII M&E Team will be available to assist the Consultant prepare M&E activity progress and completion

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CHAPTER 5: MONITORING & EVALUATION FRAMEWORK

reports, in particular the measurement of results and outcomes against activity results frameworks and the IndII MEF. The M&E Framework for Activity 176 can be found in Appendix D.

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CHAPTER 6: CROSS CUTTING ISSUES 6.1

GENDER AND DISABILITY

The Consultant attended a briefing on gender issues organised by Ruth Eveline, IndII Gender Specialist, prior to the commencement of the project. However, a further meeting will be needed to agree on any project-specific requirements. IndII requires the Consultant to collect quantitative and qualitative sex-disaggregated data and to analyse and present the results in its reports with respect to the initiatives being used to improve gender equality. The Consultant is also required to identify and address any areas of gender inequality or potential gender inequality in this activity – including issues relating to DGH and other partner agencies – in order to enhance gender equality outcomes. Specific gender issues are relevant to this activity, and the Consultant will ensure that women and men receive equal opportunity to participate in and benefit from any capacity building activities that are carried out. In particular, the Consultant will provide opportunities for direct female participation in project delivery, especially through agency/contractor-managed and community-based rehabilitation and maintenance activities. This is expected to result in better planning and prioritisation, and improved basic road access. At this stage of the Project, no specific gender-related issues have arisen.

6.2

ENVIRONMENT, GOVERNANCE, HIV/AIDS AND CHILD PROTECTION

Work undertaken within the overall scope of this activity will comply with the IndII policy on environment compliance. This policy will be accommodated in any guidelines and project recommendations, particularly through ensuring that the maintenance guidelines do not introduce any negative environmental outcomes and that they make reference to addressing any project- or site-specific remedial actions that may be required. Environmental compliance should be added as a performance compliance measure for maintenance and rehabilitation activities (see IndII Environmental Management Plan, EcoMAP, at www.indii.co.id/ECOMAP). None of the proposed project-specific activities are expected to give rise to any issues related to HIV/AIDs or child protection. Should any such issues arise during the assignment, the Consultant will advise IndII immediately. Risks may nevertheless occur during physical implementation at a later stage, i.e., when the project outputs are applied in practice. Appropriate risk management strategies to mitigate such risks will be advised.

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CHAPTER 7: ADJUSTMENTS TO THE WORK PLAN

CHAPTER 7: ADJUSTMENTS TO THE WORK PLAN The Consultant recommends that the overall focus of the activity remain as set out in the TOR (Appendix A), and has clarified that the various components support the formulation of a new policy direction in maintenance planning at the sub-national level. The work plan is therefore largely unchanged, apart from the need to accommodate additional survey activities in two kabupatens. The work plan is attached as Appendix C.

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APPENDICES APPENDIX A: TOR A. 1 Activity Overview A.1.1 Goal and Objectives A.1.1.1 Road Maintenance in Indonesia Road maintenance in Indonesia is significantly under-resourced at the provincial and kabupaten levels; furthermore the ability of the relevant agencies to objectively identify road maintenance needs, plan and then program works is limited. The Planning, Programming and Budgeting Procedures (PPBP) technical assistance within the Eastern Indonesia Road Transport Project (EIRTP 1) reported that the current data collection process for both provincial and kabupaten roads mainly comprises surveys for road inventory and condition, while maintenance works carried out were more likely to be based on political decisions rather than on the data collected. Discussions with local authorities during the preparation of the Phase 1 Activity Design identified that routine maintenance has very little support, even within the already limited funding levels, because of lack of “political visibility”. The PPBP technical assistance determined that the local road authorities wanted a tool and planning process that could: (a) more easily accommodate local factors including low volume roads; and (b) bridge the gap between their technical requirement and the needs and wants of the local parliament. Consequently, a tool – the Low Volume Road Management System (LVRMS) - was developed for use by provincial and local governments, to assist the above process. The Phase 1 Activity Design proposed a two-phase process be adopted: Phase 1 to concentrate on defining the problems and issues in the funding and delivery of road maintenance in sub-national governments; followed by Phase 2 which will demonstrate the processes and procedures in selected provinces and kabupaten. Due to time constraints for the implementation of Phase 2, which needs to be completed by no later than mid-June 2011, this activity in itself is not planned to develop sustainable processes in the selected pilot locations. It is an interim step which will provide further essential background information and recommendations on whether a longer term activity could provide sustainable systems and processes for sub-national road maintenance planning and programming and which could be used as a model throughout Indonesia.

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APPENDICES

A.1.1.2 Background to Phase 1 Activity Rural roads provide vital links to services and employment for communities, access to markets and the transport of goods. Their quality, in terms of providing reliable and efficient access, can also significantly affect socio-economic outcomes. In many parts of Indonesia, poor conditions exist on many regional and local road networks. Consequently, the Directorate General of Highways (DGH) has been given national responsibility for the provision of leadership and support to local road agencies to help improve management of regional roads, which has been defined as the third important mission of DGH in its 2010-2014 strategic plan (Renstra). The primary Aim of the Phase 1 Activity was to review current road maintenance practices and funding at the sub-national level to assist DGH in its mission, through developing and demonstrating a systematic and sustainable approach to planning, programming and budgeting road maintenance activities. This Activity took place in selected provinces and kabupaten, and was intended to provide a model that can be adopted throughout Indonesia. The Phase 1 Report, completed in November 2010, presented the consolidated findings from the review of current capabilities for the planning and delivery of sub-national road maintenance in provinces and kabupaten. The Report also presented proposals for the scope of future work to strengthen institutional capabilities and practice in this sector. The Report’s findings drew on extensive consultation with representatives from five provincial road agencies and eight kabupaten road agencies, which were selected as being representative of both eastern and western Indonesia; with senior personnel from DGH, AusAID and IndII; and national and international consultants. Among the most significant findings2 of the Phase I Activity were: 1.

2.

2

While budget constraints exist across most agencies, the estimated funding needs for essential routine maintenance and periodic maintenance to help preserve existing assets is approximately 75 percent of the total road sector budget. However, only limited funds are being spent on these preservation works, with the majority of the budget being spent on major rehabilitation and reconstruction. Preservation activities should be given highest priority and additional funds sought to help fund renewal of the networks. Overall funding needs for essential maintenance and removal of the backlog of major renewal works are between three and five times current total funding. Needs vary by agency type and location, with those of kabupaten agencies being highest, and the relative needs in eastern Indonesia being greatest.

See provincial and kabupaten road maintenance management planning; Draft Phase 1 Report; Review of Current Practice and Opportunities, October 2010, page 3.

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3.

There is a need to socialise the benefits of asset preservation amongst decision makers and technical cadres, and encourage a more appropriate use of available and new funds. Too often decisions are taken without a rigorous technical basis, leading to a cycle of building/renewal and failure. Achieving a change in behaviour will require a different approach to funding and contracting services. A “carrot and stick” approach is proposed in which roads are selected for (Hibah) grant funding under multi-year extended warranty type contracts, on the proviso that the regional road managing agency fulfils obligations to maintain other parts of the network to a sustainable level. Achieving the desired results will require strong leadership underpinned by appropriate regulations, policy, consistent guidelines and procedures, and appropriate funding instruments and delivery arrangements.

A.1.1.3 Potential Synergy with ANTARA/AIPD There is important potential synergy of the proposed piloting of the planning, programming and budget preparation or road management in Phase 2 of this proposed program with the ANTARA/AIPD AusAID program. ANTARA is a A$30 million, five-year program which commenced in 2005 with three main objectives, namely, to: (i) improve district and provincial governance, (ii) increase incomes for women and men; and (iii) improve quality of and access to basic services in the four provinces of NTB, NTT, Papua and West Papua, the four least developed provinces in Indonesia. The program has leaned on three main agendas to achieve these objectives – a) promotion of synergies between GoA activities, b) pioneering of initiatives of ‘what works’ in the region and c) to strategically invest in other existing or emerging GoI or donor programs. Following on from ANTARA, the delivery strategy for the Australia Indonesia Partnership for Decentralisation (AIPD) will provide the next phase of support over the next five years (2010-2015). AIPD will focus its work in four targeted provinces (namely NTT, NTB, Papua and West Papua) as well as at the national level. Within these provinces there are a total of 71 districts (NTB 10, NTT 21, Papua 29 and West Papua 11), and clearly AIPD cannot provide support to every one of these. An important part of AIPD’s strategy is therefore to be selective in deciding which districts to work with in terms of providing any significant level of sustained support. Selection of districts will be undertaken in partnership with provincial authorities (e.g., the Governor, Sekda and Bappeda), with a view to identifying districts with a clear commitment (and basic ability) to engage in Public Financial Management (PFM) and related reforms aimed at improving service delivery. Discussions with the AIPD Deputy Program Director (Daniel Hunt) during the preparation of this Activity Design (AD) indicated that there would likely be four kabupaten selected for inclusion in the program in NTB and that the selection would likely be completed in early 2011.

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APPENDICES

The PKRMMP Phase 1 report discussed the potential piloting locations for Phase 2, and clearly there will be mutual benefits if the locations selected for Phase 2 coincide with those for AIPD. This AD for Phase 2 has therefore been developed with the targeted province being NTB (which was the first province that requested support for assistance in the development of the road maintenance plans) and to include the provincial roads as the pilot in Phase 2 up to June 2011. The four kabupaten in NTB to be included in the AIPD program (locations yet to be selected) would follow on after June 2011 if IndII is extended and there is approval to extend this piloting program. The concentration of Phase 2 on NTB will provide a manageable size for the pilot to be achieved in the available time and budget whilst providing important input into the AIPD program for one of the major sectors for local government. It will also have the advantage of working with local governments selected on the basis of their buy-in to improvement in governance and processes. Further geographic expansion of the piloting of the PKRMMP processes to other provinces/kabupaten may occur with future potential expansion of the program.

A.1.1.4 Proposed Scope of Phase 2 Activity The main focus of Phase 2 will be to develop and pilot a comprehensive maintenance policy and planning, programming and budgeting procedures and tools, including their initial application in the province of NTB, and provide and coordinate support in training and dissemination for all activities. During Phase 2, the province-based activity will include a survey of road conditions and a “first-cut” determination of needs – to provide a direct comparison with information supplied during Phase 1, with estimates made by the study team. This will provide a demonstration of the application of the proposed maintenance policy and PPB procedures, including development of a “core” network. Survey work will be carried out on the provincial road network during Phase 2 and could potentially be extended to the four kabupaten after selection by AIPD after July 2011. The executing agency for the activity will be DGH, which is tasked with providing technical guidance and coordination with sub-national road agencies. However, a close working relationship will be developed and maintained by the consultant with the local and provincial government agencies in NTB, in particular with Bappeda and Finance. It is recommended that with IndII’s assistance, a Provincial Working Group be established in the early stages of the project.

A.1.1.5 Infrastructure for Growth The Infrastructure for Growth initiative aims to support growth, increased productivity and employment in the Asia-Pacific region by helping address infrastructure constraints through:

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

High-return investments in economic infrastructure: transport, utilities, and information and communication technologies



More effective governance (improved policy and regulatory environments) and management of infrastructure projects

Proposed IndII support to develop and pilot a maintenance policy and planning, programming and budgeting procedures and tools directly supports increased regional productivity and growth by identifying motivated and committed LGs (provincial and kabupaten), and supporting their enhanced strategic planning approaches. Better maintained roads, supported by scheduled and monitored maintenance expenditure programs will provide greater opportunities for local participation in economic activity, leading to overall higher national economic growth.

A.1.1.6 Activity Goal The goal of this activity is to improve the quality of local government roads.

A.1.1.7 Activity Objective The specific objectives of this Phase 2 Activity is to improve the quality of local government road maintenance planning, programming and budgeting which will be achieved through: 

Review current road maintenance practices and funding at the sub-national level



Develop a systematic approach to planning, programming and budgeting road maintenance activities in selected provinces and kabupaten



Provide a model that can be adopted throughout Indonesia

A.1.2 Activity Tasks This Activity has five main tasks, as described in Figure A.1.

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APPENDICES

Figure A.1: Activity tasks TASKS 1. Prepare road maintenance policy and accompanying technical guidelines 3

CONSULTANT INPUT

 Draft a complementary set of technical

guidelines which detail appropriate access, design and maintenance standards, performance measures and indicators. These will be complemented by draft maintenance planning procedures (2. below) to be applied in this project and used in the development of the Standard Operating Procedures to be produced during Phase 3 following agreement on policy and regulations.

ANTICIPATED OUTPUT AND DELIVERABLE Agreed road maintenance policy for NTB provincial government and DGH including socio-economic, safety, gender and disability considerations built into different road maintenance scenarios which are outputs expected from the completion of this task.

 Deliverable 1 - Inception Report

 Ensure that all procedures comply with  Deliverable 2 – Road GoI guidelines, on gender equality, disability, environmental protection and road safety and where possible provide recommendations where current GoI guidelines on these issues could be improved.

 Draft recommendations on potential

sources of additional funding, including local revenue collection potential.

 Review and document the latest legal

and regulatory framework applicable to output-based grant-funded projects.

 Socialise the draft policy to local

government and DGH (and subsequently seek their agreement) to achieve a better understanding on the cost implications of different levels of delivered service of road maintenance, and the gap between the current level of funding and the needs for road maintenance.

3

Maintenance Policy Statement and Technical Guidelines. Road maintenance policy statement and technical guidelines will address any issues with regards to road safety, gender and socioeconomic when necessary.

 Deliverable 3 –

Recommendations concerning alternative funding sources, including applicable legal framework

 Deliverable 4 – Socialisation strategy. Should there be any significant gender and socio-economic issues, socialisation strategy will also consider how to socialise these issues to achieve better awareness.

When developing the draft policy, take into account the responsibilities identified in the June 2009 Traffic and Road Transport Law, which places increased liability on the road authorities to provide safe road conditions, and provisions in the draft Road Preservation Fund regulation currently under preparation by MPW.

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TASKS

CONSULTANT INPUT

2. Draft maintenance planning procedures

 Prepare draft maintenance planning

3. Prepare and undertake initial work on pilot

 Confirm detailed program in

Draft maintenance planning procedures which document the procedures. processes, data, models, tools and Deliverable 5 – Maintenance criteria to be applied for all activities necessary to prepare future annual and Planning Procedures projected future road and bridge maintenance plans as part of this project. The procedures will form the basis of Standard Operating Procedures (SOP) to be prepared in Phase 3. consultation with AIPD, IndII, DGH and pilot agencies.

 Confirm staff and available equipment: o Review the background and availability of staff and equipment (both office and field); o Identify the time that available staff can commit to participating in the IndII Activity to enable the work program to be developed to maximise the transfer of knowledge.

 Conduct the field survey for the NTB

road network: o Design surveys and prepare survey forms based on the requirements for the identified decision support tools (e.g. IRMS and an updated LVRMS, BMS, SK77 or appropriate manual systems); o Supervise field work by experienced staff to describe: the current condition, road width, drainage and other characteristics of the road including traffic; and the current condition, characteristics and maintenance requirements of bridges; o Train local government staff in survey techniques; o Women will be given equal opportunity with men to participate in the field survey; o Prepare strip maps and GIS outputs summarising the above characteristics and conditions.

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ANTICIPATED OUTPUT AND DELIVERABLE

Demonstration of draft maintenance planning procedures and verification of network funding needs will be the outcomes of this task. The pilot will address staffing and resourcing issues, including capacity building strategies for experienced LG staffs. The completion of the deliverables below is required as evidence for the achievement of outputs.

 Deliverable 6 – Survey

design, methodology and proforma

 Deliverable 7 – Report on

survey implementation and survey data analysis

 Deliverable 8 – Consultative Workshop on impacts of different funding levels

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APPENDICES

TASKS

CONSULTANT INPUT

ANTICIPATED OUTPUT AND DELIVERABLE

 Data Analysis and Reporting: o Use the IRMS, an updated LVRMS and appropriate manual procedures to develop programs of road maintenance based on various investment alternatives, with LGs, and based on / or to shape the road maintenance policy; o Report on budget profiles and performance trends and tabulations of the comparisons between the alternative strategies for the various investment options and road category; o Conduct a workshop to demonstrate the impacts of different levels of funding and potential funding sources to LG administration and local parliament representatives; o Seek feedback from the above participants to develop agreed funding levels for 2012 and forward which will be prepared in Phase 3. 4. Prepare future Scope of Work

 Based on the work program carried out  Deliverable 9 – Report on in Phase 2 provide a work program which will include the following: o Immediate and Mid-term maintenance plans for NTB Provincial Roads; o Workshops and presentations for the maintenance plans; o Identification of locations for extended piloting; o Development of a program of sustainable maintenance planning, programming and budgeting; o Funding sources and potential grant / hibah program including incentive schemes to encourage sustainable maintenance practices.

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Future scope of work to include required inputs and schedule which can be developed into a TOR for future activity.

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TASKS 5. Complete all required reporting

CONSULTANT INPUT

 Prepare a final technical report at the

All necessary IndII reporting requirements completed, using the formats provided in templates available on the IndII website.

 Prepare Activity Monthly Reports

 Deliverable 10 – Draft (and

conclusion of the services documenting all tasks carried out on the project, and recommendations for a Phase 3 project. (AMR) every month and an Activity Completion Report (ACR) to ensure compliance with the IndII M&E Framework.

 Ensure AMR and ACR reflect

compliance with the IndII Gender Strategy, EcoMAP and Risk Mgt Plan by providing evidence to confirm the achievement of defined cross cutting indicators.

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ANTICIPATED OUTPUT AND DELIVERABLE

Final) Technical Report including potential Phase 3 recommendations

 Deliverable 11 - Activity

Monthly Reports & Activity Completion Report (which provide evidence on achievement of defined indicators for socioeconomic, gender and disability)

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APPENDICES

A.1.3 Consultant Deliverables To meet the above activity tasks, the completion of 13 deliverables within the stipulated timeframe is required. These deliverables are: Deliverable 1

Inception Report

Deliverable 2

Road Maintenance Policy Statement and Technical Guidelines including access and maintenance standards, performance measures and indicators

Deliverable 3

Recommendations concerning alternative funding sources, including applicable legal framework

Deliverable 4

Socialisation strategy for local government’s consideration, comment and approval

Deliverable 5

Maintenance Planning Procedures

Deliverable 6

Survey design, methodology and proforma

Deliverable 7

Report on survey implementation and survey data analysis

Deliverable 8

Consultative Workshop to discuss impacts of different funding levels

Deliverable 9

Report on Future scope of work

Deliverable 10

Draft (and Final) Technical Report including potential Phase 3 recommendations

Deliverable 11

Activity Monthly Reports & Activity Completion Report to ensure compliance with the IndII M&E Framework and with the IndII Gender Strategy, EcoMAP and Risk Mgt Plan by providing evidence to confirm the achievement of defined cross-cutting indicators

In addition to assisting with the ongoing monitoring of the project, the Consultant is to prepare a brief weekly report by midday Friday each week which identifies the progress made and issues which have arisen.

A. 2 Implementation Timetable A. 2.1

Activity Timing

Phase 1 was completed with the submission of the consultants’ report in early November 2010. At this stage it is planned that Phase 2 will be conducted over a period of approximately five months – until mid-June 2011, and will concentrate on the provincial road system in NTB. However, the final scheduling arrangements will be negotiated between the IndII Technical Director (Transport) and the appointed consultants. Figure A.2 provides an indicative schedule for the activity.

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Figure A.2: Approximate scheduling

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APPENDICES

APPENDIX B: MINUTES OF KICK-OFF MEETINGS IN NTB AND FIELD RECONNAISSANCE VISIT

B. 1 Minutes of Meeting on 21 February 2011 Location: Provincial Public Works Agency for West Nusa Tenggara Date: 21 February 212011 Attendees:  Head of Provincial Public Works Agency (PPWA) for West Nusa Tenggara  Head of Kabupaten Public Works Agency (KPWA) for West Lombok  Hari Satyawan (DGH, Implementation, Region 2)  Sugiarto (DGH, PSEK, Data, SNRFU)  Bappeda Representative, West Nusa Tenggara  David Foster (IndII DGH)  Andrew Willas (IndII DGH)  Tyrone Toole (ARRB)  Besar Awiat Bowo (ARRB)  Suherman (PPWA, West Nusa Tenggara)  Gde (PPWA, West Nusa Tenggara)  Anton (PPWA, West Nusa Tenggara)  Sakri (KPWA, West Lombok)  Juwana (KPWA ,West Lombok) Minutes:  Head of PPWA for NTB: o Provincial roads status in NTB: 1,842 km, located in Lombok and Sumbawa. o Kabupaten in Lombok are experiencing rapid economic development:  General tourism  Agriculture business (rice, corn)  Fisheries  Beach tourism  Region with integrated economic development (Tambora mountain area). o Central region of Lombok is now becoming a core transportation link that connects to the coastal kabupaten road network, while 35 percent of roads are in poor condition. o When the new Lombok International Airport begins operating, traffic volume in the central region of Lombok will rise.

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o o o o

o

o

o

o

o o o

o

There is a development program funded by a World Bank loan. More incoming funds are required to add to those already allocated (Block Grant, etc.). IndII could provide assistance to the provincial development program. For the potential IndII AusAID assistance, please inform the provincial and kabupaten governments of the administrative procedures for the assistance program so that they can follow the procedures. Coordination and confirmation with the Public Works Agencies concerned with the project location should be done prior to the IndII-AusAID Physical Project Program planning. This is to prevent project overlap. The road links chosen by the IndII program for rehabilitation or reconstruction should be the same roads that have been programmed under the LG’s development plan; this will require future discussion. Field fact-finding and trial survey of a sample of the existing conditions should be held this afternoon (21 February 21 2011). Please see the variation in the condition of roads that are in poor, fair and good condition. It is suggested that at least two implementation project packages be applied to each of Sumbawa and Lombok Islands. It does not matter whether these are Development, Betterment, Periodic or Maintenance Projects. The IndII Roads Project could maintain and improve the road network condition in NTB. To prevent overlap, no LG project should overlap with the links that IndII proposes. The Government has programmed improvements to 455 km of roads through 2013, whereas 800 km of strategic roads require improvements. These roads also serve significant traffic. Concerning the surveys to be held, the public works agency has given priority to surveys of:  South Lombok outer ring road (tourism areas)  North Lombok outer ring road (tourism and agribusiness)  When you have spare time, please consider visiting kabupaten and village roads.

 Head of KPWA, West Lombok: o Road network data in Kabupaten Lombok Barat:  National Road = 29.6 km  Provincial Road = 133.75 km  Kabupaten Road = 446.48 km  Village Roads = 475.77 km  Total = 1,085 km o Condition of road:  Good condition = 62.64 %  Fair to poor condition = 37.36 %

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APPENDICES

o o

Funding problems: Additional funding is required for road maintenance. PWA in West Lombok also maintains village roads.

 IndII-DGH: David Foster o TAS PKRMMP Phase 1: The goal of the Phase 1 activity is to review current road maintenance practices and funding at the sub-national level. o TAS PKRMMP Phase 2: The project is not about making reports. There will be a Pilot Planning, Programming & Budgeting (PPB) Project in Phase 2. It is then intended that there will be a Phase 3 preparation project and potentially a Phase 4 implementation project through ‘hibah’ funding, subject to funding availability. o AusAID is willing to assist in regional development through TAS PKRMMP Project. o IndII project of water supply is underway, funded by ‘hibah’ funding program. o IndII assistance has been approved to be extended for four years, starting 2011. o Implementation projects may start in 2012. o The reason for initially selecting one kabupaten in Phase 2 is that the Phase 2 program has a short -lifespan that ends in June 20114. IndII’s activities end in June 2011, and a new contract will commence in July 2011. o Implementation programs could include Road Betterment/Improvement and Periodic and Routine Maintenance.  Bappeda: o Bappeda sent IndII a letter in 2009 requesting assistance for road maintenance in West Nusa Tenggara. o Bappeda suggested that the assistance take the form of implementation rather than reporting. o Bappeda has also received regional development proposals from the kabupaten in Dompu, Bima and Sumbawa. o There was an important meeting on 17 October 2009 concerning IndII’s water supply program under hibah program funding in Dompu. The Project is now underway (i.e., in 2011). o Consultative development planning meetings, or Musrenbang (Musyawarah Rencana Pembangunan), will be held in June or July 2011 in each kabupaten. By then, both agencies (i.e., IndII/Phase2 and LGs) should have a list of designated projects to be coordinated. o Musrenbang in kecamatan (i.e., sub-kabupaten level) are now underway (February 2011), while the provincial Musrenbang will be held in May 2011.  DGH: Hari S. and Sugiarto o Phase 2 program implementation will also find roads that require maintenance. o It is appropriate to consider two packages in Sumbawa and two packages in Lombok for implementation.

4

Following further discussions two kabupatens were chosen for inclusion in the program, namely West Lombok and Central Lombok. In each case 25% of the road network will be surveyed with the aim of covering strategic roads and a cross section of other roads.

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o o o o o

o o o o o o

Project design process should also be considered. There is an accelerated program in 2011 under the regional budget (APBD) program through 2013. Recent condition of road network: 800 km of road is not in good condition while the accelerated program covers only 70 km of unpaved road. In light of these conditions, please carefully consider the selection criteria. Implementation may start in 2012, meaning that at the end of 2011 coordination between the concerned agencies should be intensive in order to determine the best allocation of projects and avoid project overlap. The list of candidate projects should be prepared by the end of June 2011. Suggest the survey commence in early March 2011. Concerning Sumbawa Island: provincial roads. Consider North Sumbawa corridor. Consider Kapet (Kawasan Pengembangan Terpadu; Integrated Development Zone). Integrate cities.

 ARRB: Tyrone Toole o Agencies involved in the program might actively attend the programmed meetings. o Survey Team will be divided into three Sub Teams. o Survey Team contains experienced engineers and surveyors. o A number of LG surveyors will be invited to accompany the Team, as field conditions dictate. o Survey criteria for today’s visit is to observe all road conditions, namely good, fair and poor/bad. Recorded by Bowo A Besar Highway Engineer/Survey Manager PKRMMP2

B. 2 Minutes of Meeting on 22 February 2011 Location: Provincial Public Works Agency (PPWA), West Nusa Tenggara Date: 22 February 2011 Attendees:  Head of PPWA for West Nusa Tenggara  Head of Kabupaten Public Works Agency (KPWA) for West Lombok

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

APPENDICES

 Hari Satyawan (DGH, Implementation, Region 2)  Sugiarto (DGH, PSEK, Data, SNRF)  David Foster (IndII-DGH)  Andrew Willas (IndII-DGH)  Tyrone Toole (ARRB)  Besar Awiat Bowo (ARRB)  Suherman (PPWA West Nusa Tenggara)  Gde (PPWA West Nusa Tenggara)  Anton (PPWA West Nusa Tenggara)  Sakri (KPWA West Lombok)  Juwana (KPWA West Lombok) Minutes:  Head of Provincial PWA of NTB: o The Survey Team should be formally introduced to PPWA before commencing the survey. o Coordination with PPWA and KPWA should be tight. o Please prepare Survey Schedule before commencing the survey. o PPWA and KPWA are available to deliver any required data. Communication can be via telephone, fax or internet. o Contact Persons of PPWA:  Head of Highways Division: Bpk. Ir. Ashar, and also Bpk H. Syahdan. o Please send an information letter before the Survey Team is mobilised to NTB. o Head of Division has informed Bappeda of the IndII AusAID Program. o Please consider survey as just a beginning, with implementation being what we want to be achieved. o People of NTB welcome IndII’s assistance. o Operations Room will be prepared for IndII Team at PPWA. o Side drain works will be kept bound in Major Contract due to applicable regulation.  DGH: Hari S. and Sugiarto o Please send DGH (SNRFU) any important PPWA and KPWA programs and data for related to IndII Road Programs in NTB. o Please consider roads with significant traffic. o For daily operations and survey coordination between IndII Team and PPWA/KPWA, a room is needed with sufficient space, for example 40 sqm. Preferably the room should be located in the PPWA offices. o The PPWA surveyors’ operations should be funded by ARRB.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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o

o

o

Designs should be done correctly and accurately to prevent major budget increases in response to design review findings. Deviations should not exceed 10 percent. Pleased that everyone involved in the program is focussed and coordinating the Phase 2 program work, to ensure that Phase 2 is successfully completed and we can easily move on to Phases 3 and 4. Side drain construction should be implemented under a separate contract for much better results. This opinion is based on past experience.

 ARRB: Tyrone Toole o Sampling survey was completed successfully. We visited provincial and kabupaten roads reflecting good, fair, and poor/bad conditions. o Thanks to NTB PPWA and the other agencies for their cooperation; we look forward to a successful program. Recorded by Bowo A Besar Highway Engineer/Survey Manager PKRMMP2 Attachment: Examples of road conditions in Lombok

B. 3 Field Visit to Roads in Lombok on 21 February 2011

Provincial road is in very good surface condition south of Mataram, with high adjacent fields.

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

APPENDICES

Poor road conditions with no side drains through village area, and with soft shoulders.

Poor condition of kabupaten road in southern Lombok, built from Macadam construction. No drainage evident, and poor crosssection, but passable.

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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Significant loss of traffickability on southern link road with penetration Macadam pavement. No side drains or protective (up slope) drains. Requires full reconstruction and provision of culverts, special and side drains along 200-300 m.

Poor traffickability/loss of road section at beginning of southern link road, with Macadam construction on either side. Fields to the north drain across the road with no effective side or cross drainage. Reconstruction required along 400 m.

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

APPENDICES

Extremely bad shape on localised section on southern link road adjacent to houses (not shown). Unlikely to be passable in the wet. Complete reconstruction and drainage provision required over a short section.

Better drainage on windy section on southern link road looking south to Mawun. Generally a good road except at spot locations. No evidence of recent maintenance. Children filling potholes!

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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Steep sections approaching Kuta on southern link. Evidence of good drainage and construction (with kerbs) from the 1990’s. However, routine maintenance seems absent. Simple solutions could be applied to clear vegetation, ensure functioning drains, and repair/resurface the carriageway. Loss of cross section on southern link with failed penetration Macadam. Localised full reconstruction, and base/surfacing replacement and drainage needed.

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

APPENDICES

Happy team at Kuta beach prior to return.

PPWA organisation

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

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APPENDIX C: WORK PROGRAM AND STAFFING SCHEDULE Indonesia Infrastructure Initiative Technical Assistance Support for Provincial and Kabupaten Road Maintenance Management Plans - Phase 2 DESCRIPTION / OUTPUT

0. Mobilisation

Timing

Project Month 1

Start week

End week

1

2

3

4

1 24-Jan-11

Project Month 2 2 31-Jan-11

3 7-Feb-11

4 14-Feb-11

5 21-Feb-11

6 28-Feb-11

Project Month 3 7 7-Mar-11

8 14-Mar-11

9 21-Mar-11

10 28-Mar-11

Revised: 18 Feb 2011

Project Month 4 11 4-Apr-11

12 11-Apr-11

13 18-Apr-11

14 25-Apr-11

Project Month 5 15 2-May-11

16 9-May-11

17 16-May-11

18 23-May-11

19 30-May-11

20 6-Jun-11

21 13-Jun-11

22 20-Jun-11

 Project mobilisation  Inception report

1. Prepare road maintenance policy and

 Draft policy

accompanying technical guidelines

4

9

5

11

 Draft technical guidelines  Scenario and options analysis.

9

11

10

11

4

17

13

18

3

5

5

6

5

7

 Draft recommendations on funding and legal and regulatory framework applicable to output-based grant funded project  Socialise draft policy to stakeholders

2. Preparation of standard operating  Prepare a draft maintenance plannng procedures manual procedures 3. Prepare and undertake pilots  Confirm pilot locations and detailed program in consultation with Indii, DGH and pilot agencies; 3.1 Confirm staff and available equipment  Review the background and availability of staff and equipment  Identify and agree counterpart staff. 3.2. Field survey

 Design and prepare surveys for identified decision support tools.;

2

7

6

12

6

12

7

12

6

12

7

13

 Supervise field work by experienced staff o current condition, road width, drainage and other characteristics of the road o current condition, characteristics and maintenance requirements of bridges;  Train local government staff in survey techniques;

TBA

 Da ta e ntry & preparation of strip maps and GIS outputs. 3.3. Data Analysis and Reporting

D evelop programs of road maintenance based on various investment alternatives

8

15

16

17

17

17

18

18

19

20

19

22

 Report on budget profiles and performance trends of alternative strategies  Conduct workshop on impacts of different levels of funding and potential sources.  Seek feedback on funding levels for 2011 and forward. 4. Prepare future scope of Work

 Prepare future work program .

5. Final technical reports & Activity Completion Report

 Prepare final reports and recommendations

DELIVERABLES

 Deliverable 1 - Inception Report  Deliverable 2 – Road Maintenance Policy Statement and Technical Guidelines.  Deliverable 3 – Recommendations concerning alternative funding sources, & legal framework  Deliverable 4 – Socialisation strategy.  Deliverable 4 – Draft maintenance planning procedures  Deliverable 6 – Survey design, methodology and proforma  Deliverable 7 – Report on survey implementation and survey data analysis  Deliverable 8 – Consultative Workshop on impacts of different funding levels  Deliverable 9 – Report on future scope of works  Deliverable 10 – Draft (and Final) Technical Report including potential Phase 3 recommendations  Deliverable 11 - Activity Monthly Reports & Activity Completion Report

Position/Name International Team Leader /Maintenance Policy & Strategy specialist: Tyrone Toole International Highway information /Systems specialist: Lory Noya International Highway information /Systems specialist: Jon Roberts International Maintenance Specialist: Max Blacker National Highway Engineer /Survey Manager: Bowo Besar National Road Maintenance Specialist: Budiadi Sukoharjo National Policy & Standards Specialist: Aberor Dachwan National Information Systems Specialist: Indra Rinaldi National Transport Advisory Panel

-

5

-

9

-

13

-

9

-

17

-

4

-

13

-

17

-

20

-

20 & 22& Monthly 22

Input (Months) 4 0.75 2.25 2 5 4 2 2 1.5

Current plan

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Discontinuous

Original start

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

APPENDICES

APPENDIX D: MONITORING & EVALUATION FRAMEWORK

Provincial and Kabupaten Roads Log Frame (ADD 176) Design Logic

Performance Indicators

Monitoring Mechanism

Assumptions

Goal/Impact: (long-term development objective) Improved quality of local government roads

Improved road quality

LG surveys

Implementation of new SOP

LG reports to IndII

Purpose/Outcome: (immediate development objective) Improved quality of local government road maintenance planning, programming & budgeting

M&E interviews

Adequate funding for maintenance

Outputs Phase 1 1.

Analysis of institutional, financial & physical situation of local government roads in Indonesia

2.

Review of current guidelines & procedures

3.

Recommendations on institutional & legal changes

4.

Revised Scope of Work for Phase 2

Phase 2

Working paper Working paper Working paper

LA / TD approval

Scope of work

5.

Agreed road maintenance policy for selected LGU

6.

New set of agreed standard operating procedures (SOP)

Working paper/formal LGU & GoI acceptance

7.

Demonstration of new procedures in two provinces

Plan & programme prepared

INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2

LA / TD approval

LGs accept SOP LA / TD review; LG acceptance

Staff trained

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Design Logic

Performance Indicators

Monitoring Mechanism

Assumptions

Activities Phase 1 1.

Identify agencies to be covered by Phase 1 investigations

2.

Prepare Interim Report 1

3.

Prepare Interim Report 2

4.

Prepare Interim Report 3

5.

Identify LGU to be covered in Phase 2

6.

Prepare revised Scope of Work for Phase 2

7.

Prepare Phase 1 Report

LGs willing to participate

LGs willing to participate in Phase 2

Phase 2 8.

Review local government finances; prepare and agree road maintenance policy

9.

Field survey

LGs agree policy

10. Develop maintenance program & plans 11. Hold workshops 12. Prepare SOP & secure GoI agreement 13. Prepare training program

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INCEPTION REPORT: TECHNICAL ASSISTANCE SUPPORT FOR PROVINCIAL AND KABUPATEN ROAD MAINTENANCE MANAGEMENT PLANS – PHASE 2