PROJECT DOCUMENT Creating Jobs: Capacity Building for ... Do… · Creating Jobs: Capacity Building for Local Resource-based Road Works in Selected Districts in NAD UNDP/ILO Project

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PROJECT DOCUMENT

Creating Jobs: Capacity Building for Local Resource-

based Road Works in Selected Districts in NAD

UNDP/ILO Project INS/51/071 – Phase III

Capacity Building for the Management of Road Assets at

District Level in Aceh

September 2011 to August 2012

TABLE OF CONTENTS

1. Situation Analysis .............................................................................................................................. 5 2. Strategy .............................................................................................................................................. 5 3. Output and Activities ......................................................................................................................... 7

3.1. Output 1 – Technical and managerial capacity of district governments in undertaking road

works is satisfactory .............................................................................................................................. 7 3.2. Output 2 – Techniques, standard, systems and strategies for road maintenance and LRB

methods developed and operationalized

areas 9 3.3. Output 3 – Community participation in rural road development, rehabilitation and

maintenance strengthened ................................................................................................................... 11 4. Work Plan ........................................................................................................................................ 12 5. Assumptions and Risks .................................................................................................................... 12 6. Institutional Framework and Management Arrangements ............................................................... 14 7. Monitoring, Evaluation and Audit ................................................................................................... 14 8. Budget .............................................................................................................................................. 16

Annex 1: Work Plan ............................................................................................................................ 17 Annex 2: Staffing Plan from September 2011 to August 2012 .......................................................... 18 Annex 3: Logical Framework ............................................................................................................. 19 Annex 4: Budget ................................................................................................................................. 22

Table 1: Main Activities to Achieve Output 1 .......................................................................................... 8 Table 2: Main Activities to Achieve Output 2 ........................................................................................ 10 Table 3: Main Activities to Achieve Output 3 ........................................................................................ 12 Table 4: Risks, Risk Assessment and Mitigation Measures ................................................................... 13 Table 5 & 6 : Changes in proposed budget by output ............................................................................. 16

Figure 1: Institutional Set-Up ................................................................................................................. 14

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1. Situation Analysis

Following extensive consultations with district, provincial and national stakeholders, including the Project

Board, a comprehensive Exit Strategy for the UNDP/ILO Project “Creating Jobs: Capacity Building for

Local Resource-based Approach in Road Works in Selected District in NAD and Nias” was prepared for

the Aceh cluster of the Project (Pidie and Bireuen District). Initial activities under this exit strategy have

been implemented in accordance with the approved extension for the period October 2010 to June 20111.

The current project builds on, and reflects, the outline of the proposal that was already incorporated in an

annex of the approved October 2010 – June 2011 extension. It also reflects the request from the

government of Aceh and local governments of Pidie and Bireuen for the Project to implement additional

road rehabilitation infrastructure works to improve the connectivity to support local economic

development.

The project seeks to ensure that the LRB approaches that have been successfully demonstrated over the

last five years will be sustained and that the lessons learned will be mainstreamed – not only in Aceh

Province but also in other parts of Indonesia – and incorporated in the Government’s infrastructure

investment strategies and programmes, including the Labour-Intensive Infrastructure Programme of the

Ministry of Manpower and Transmigration. The Employment-Intensive methods used by the previous

project have proven to be very successful and have created large numbers of employment opportunities

for the local population, thereby contributing to local economic development and the alleviation of

poverty.

The project aims to ensure the sustainability of the investments made in developing employment-

intensive approaches and in operationalizing assets built under the previous two phases of the project. The

main emphasis of the current project is to build capacities for road asset management at district level – in

particular in Pidie and Bireuen districts where the majority of the investments have been made – and on

up-scaling and mainstreaming the successfully demonstrated employment-intensive approaches. Another

main element of the current project is the rehabilitation of rural and district roads to improve accessibility

and connectivity to support local economic development initiatives of the local governments.

Infrastructure development, especially road development, is one of the seven priorities of the Government

of Aceh for the period 2007-2012.

2. Strategy

An important element of the project is the development of models and tools that can be replicated in the

whole of Aceh and other parts of Indonesia. Considering the importance of the district parliaments in

decision-making processes regarding the allocation and approval of investments and investment

strategies, the project not only aims at building capacities among concerned executive institutions but also

seeks to build capacities among the district-level legislative bodies.

Realizing the importance of information dissemination as a key advocacy tool in obtaining wide and

national-level recognition of the successfully demonstrated approaches, the project includes various

advocacy and information dissemination activities at various levels.

The project reflects the priorities of the National and Provincial Government, including those of the

Ministry of Manpower and Transmigration and BAPPENAS, and the Governments of Pidie and Bireuen

district, and it is closely aligned with the Government of Indonesia’s Action Plan for the Continuation of

Reconstruction of Aceh and Nias 2010-2012. The project addresses key elements of this Action Plan,

i.e.:

1 Request for an Extension of the Closing Date until June 30, 2011, Jakarta, dated 9th August, 2010.

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Developing operational tools and capacities at local government level that are required for effective

asset management/maintenance and operational functionality of district and rural road assets;

Developing sound investment strategies and approaches that maximize the effectiveness of using the

limited available funds in districts’ road infrastructure budgets to (i) enhance the value of district road

assets, (ii) create employment, and (iii) promote local economic development and the recovery of

rural livelihoods;

Mainstreaming and expanding the successfully demonstrated employment-intensive and

environmentally friendly local resource-based (LRB) approaches and technologies. This includes an

expansion to other sectors that reflect district Government priorities2 and provide good opportunities

for the application of LRB approaches;

Providing support to the Government regarding the transfer of district road assets;

Capacity building regarding the establishment and operationalization of effective, community-based

road maintenance systems;

Assistance in establishing an effective management information system for roads at district level,

including the development of functional linkages to existing information systems at provincial and

national level, such as the Bappenas-endorsed SIMBADA information system.

Considering the importance of the district and village roads in the road network of Aceh for local

economic development, and the current capacity constraints related to the management of these roads (in

terms of the availability of human resource capacities, management information systems, investment

strategies, maintenance arrangements, etc.), the exit strategy will focus on the management of the road

assets for which the district governments are responsible.

The basic exit strategy, which was financed from the accrued interest of previous Phase I and Phase II

Project funds (US$ 357,000), was implemented from October 2010 to June 2011. Its main focus was on

establishing a basic framework at district level (Pidie and Bireuen district) for capacity building in road

asset management. Activities covered included:

An assessment of available capacities and tools for planning, budgeting and implementing road

management activities;

Initial design activities of a basic management information system (including an attribute database

and GIS);

The design and implementation of basic training regarding the operation of the database systems and

the preparation of maps;

The preparation of a framework for planning investments in road maintenance at district level;

Facilitation support to the local government regarding the transfer of the assets developed by the

project to the government;

The development of proposals for expanding and mainstreaming successfully demonstrated local

resource based implementation approaches;

Various advocacy activities involving the concerned executive and legislative district bodies.

The implementation of the comprehensive exit strategy under the current Phase III project builds on the

achievements of the basic exit strategy that was implemented during the previous phases. It will focus on

technical advisory services and implementation support in implementing comprehensive staff capacity

development plans and plans for the development and operationalization of required models, systems and

tools that have been prepared to this effect.

The Project will provide technical advisory services and support in promoting and developing the

necessary policy and regulatory framework for sustainability, including support to districts in developing

local regulations (i.e. Qanun) that are required to provide an enabling regulatory environment for

investments in the maintenance of the district road network and for community-based road maintenance.

2 The local Governments of Pidie and Bireuen have indicated their strong interest in the expansion of the LRB approaches to

inland fisheries development and water- and soil conservation activities.

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Lessons learned and best practices of the project will be documented and knowledge management and

policy dialogue and advocacy activities will be undertaken within the framework of the project. These

activities are aimed at ensuring that the outputs and products produced (e.g. models, tools and guidelines)

are incorporated within the government’s framework and strategy for the delivery of rural infrastructure

investments in the road sector.

Funding for the implementation of physical works in the rural roads sector and in other selected priority

non-roads sectors (e.g. fisheries development, irrigation, water-and soil conservation) is also included in

the project. Of the US$800,000 budget for physical works, US$ 535,000 (two-third) will be allocated for

the road sector and the remaining US$ 265,000 will be used for the non-road sector.

Given that the previous phases of the project involved providing substantial training to the local

governments regarding the implementation of rural road rehabilitation works, the Public Works agency is

expected to play a lead role in the delivery of the investments in the roads sector. The project TA team

will play a supporting and advisory role in the process. This arrangement will enable the project to assess

the effectiveness of the capacity building that has been provided on LRB road rehabilitation over the last

4 years of the project. Limited funding will also be provided to demonstrate the appropriateness and

effectiveness of the application of LRB construction methods in non-road rural infrastructure investments.

Wherever feasible and relevant, complementarities with the MDF-funded Economic Development

Financing Facility (EDFF) project and the MDF-funded AGTP project will be established to ensure

synergies and optimum utilization of resources. As such, activities envisaged under the comprehensive

exit strategy will be closely aligned with Government needs and priorities as expressed in the

Government’s mid-term and long-term development plans and specific sector plans.

3. Output and Activities

The two main outputs of the project relate to (1) Building capacities for road asset management at district

level, (B) Up-scaling and mainstreaming Local Resource-Based (LRB) approaches; and (C) ensuring

community participation in rural road development, rehabilitation and maintenance. Further details on

these outputs and their related activities are provided below. The cost of implementing these outputs is

estimated at US$ 2.1 million.

The Governments of Pidie and Bireuen districts and the Provincial Government of Aceh Province have

stated their commitment to support the implementation of the project. The local Governments of Pidie

and Bireuen districts in particular have confirmed their intention of allocating local Government funds for

the future maintenance and management of the road assets that have been created by the Project.

In addition, the Governments of Pidie and Bireuen have indicated their commitment to contribute to the

allocation of resources required for the establishment and operation of management information systems

that are needed for the planning and management of investments in the district and rural road network.

Output 1 – Technical and managerial capacity of district governments in undertaking road works is satisfactory.

Table 1 presents an overview of the proposed activities related to Output 1 of the project. The table also

summarizes the status of the activities undertaken during phases I and II (from March 2006 to September

2010) and those implemented within the context of the basic exit strategy during the extension of phase II

(from October 2010 to June 2011).

Activities under output 1 mainly focus on strengthening Public Works’ and Bappeda’s technical and

managerial skills and capacities at district level – in particular in Pidie and Bireuen district – regarding the

planning, budgeting, programming and monitoring of investments in district road maintenance and

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management. In this phase supporting operational tools and procedures will be further developed and

tested, and technically support will be provided to ensure their application.

At the provincial level the ADB-funded ETESP project has already developed for Bappeda

comprehensive tools for the identification and costing of maintenance requirements of the provincial and

national road network. Bappeda has indicated that technical advisory services are still required to support

the preparation of proposals for road maintenance. To address these needs, a limited amount of technical

assistance to Bappeda and Public Works at provincial level will be provided on an ad hoc basis.

Table 1: Main Activities to Achieve Output 1

Output 1:

Act Description Phase

Progress UNDP/ILO

Project as of June 2011

Activities from July 2011 to

August 2012 1.1 Engage and coordinate with key stakeholders I & II Continue Continue

Undertake training needs assessment and provide

technical construction training

I & II Completed -

Make road inventories and select project roads I & II Completed -

Design and prepare contract documentation and award

contracts for road works

I & II Completed -

Undertake tendering and award contracts for road works I & II Completed -

Rehabilitate project roads and undertake construction

supervision

I & II Completed -

Maintain project roads and undertake supervision I & II Completed -

Prepare two other districts for trial implementation II Completed -

TA on infrastructure construction techniques and

planning to district Public Works and other local and

international organizations in Nias

II Completed -

1.2 Strengthen institutional and technical capacities that are

required for the preparation of the annual road

investment and maintenance budget and plans of

Bappeda and Public Works in Pidie and Bireuen district

Exit

strategy

(current

Phase

III)

Technical and institutional

assessment done and

recommendations for

improvement prepared

Basic training provided on

DB, GIS and MS Office

Comprehensive training

plan and budget prepared

Implement comprehensive

capacity building plan,

including implementation

support for preparation of plans

and budgets

Develop in-house training

capacity

Implement the institutional

development plan

Prepare comprehensive training

modules/models

1.3 Increase awareness about the importance of including

maintenance budgets for roads infrastructure among

legislative and executive bodies and strengthen their

capacities in preparing and analyzing road investment

strategies

Exit

strategy

(current

Phase

III)

Strong support secured

from local parliaments and

executive bodies for the

project activities

Continued advocacy and

building capacities among

legislative and executive bodies

regarding the preparation and

review of investment strategies

1.4 Implement limited pilots to demonstrate the feasibility

of applying LRB approaches in selected local

Government priority sectors

Exit

strategy

(current

Phase

III)

Preliminary identification

of locations and sectors

done

Finalize scheme selection

Design, cost and implement

demonstration schemes

Document and disseminate

results

1.5 Rehabilitate selected roads applying LRB techniques

and a local government led approach. This will also help

to assess the extent of capacity development during

phases I and II of the project.

Initial identification of

some rural access roads

that connect economic

productive areas to district

road heads

Prioritization and selection

Design and cost-estimation

Tendering and contract award

Implementation of works

Supervision and quality control

To foster institutional sustainability, support to develop in-house training capacities within district Public

Works and Bappeda offices will be provided as required. The district Public Works and Bappeda offices

will respectively assign dedicated focal persons to work closely with the Project’s technical assistance

team to facilitate the transfer of knowledge and available training facilities to Public Works and Bappeda.

Activities under the current project focus on building capacities and systems that will enable a more

efficient and effective allocation and utilization of available resources for maintenance, and hence

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positively affect the sustainability of past investments. Close coordination with key stakeholders from the

legislative and executive bodies will be maintained during the implementation of these activities. The

technical assistance team will assist in facilitating the coordination between the various stakeholders and

will provide technical inputs and advisory services in the coordination process. Coordination will take

place horizontally and vertically.

The envisaged rehabilitation of a limited number of road - using LRB methods - aims at demonstrating

the effectiveness of the capacity building activities that have been undertaken during phases I and II. The

concerned district government agencies will have a leading role in the delivery of these investments, with

a supporting and advisory role by the project TA. Limited numbers of field pilots will also be

implemented in selected non-road sectors (e.g. soil and water conservation, irrigation, flood protection

and inland fisheries) to demonstrate the feasibility of up-scaling LRB approaches to those sectors. In

consultation with the district level stakeholders priority areas for the implementation of such

demonstration schemes have already been identified (inland fisheries and water- and soil conservation).

At district and provincial level key stakeholders that will be involved in the coordination process include

DBMCK, Bappeda, the local government and other relevant actors and projects involved in building

capacities for infrastructure planning and programming and the legislative bodies. The key function of the

coordination will be to ensure an efficient and effective implementation of the envisaged activities under

output 1, taking into account existing capacities, skills, (development) priorities and capacity building

plans.

Upon the completion of the project, the following key results are expected under output 1:

1. Additional 10-20 kms of roads are constructed to specified quality/standards and in time, using LRB

approaches and technologies

2. Operational staff capacities in place in Pidie and Bireuen district for the preparation of comprehensive

proposals and budgets for the maintenance of the district road network3;

3. District road maintenance plans and budgets for 2013 prepared using the developed operational tools,

staff capacities and investment strategies and master plans;

4. Demonstrated capacity of concerned district government agencies in the delivery of investments in

the rural roads sector, using LRB approaches

5. Demonstrated feasibility and appropriateness of applying LRB approaches in selected non-road

sectors

Output 2 – Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized.

Table 2 presents an overview of the activities related to Output 2. The table also summarizes the status of

the activities undertaken during phases I and II (from March 2006 to September 2010) and those

implemented within the context of the basic exit strategy during the extension of phase II (from October

2010 to June 2011).

The development and application of effective systems, procedures and tools required for the planning,

budgeting, resource allocation and programming of investments in the district road network is a key

activity under output 2. Technical support will also be provided – as required – for the development of the

necessary supporting local regulations. Another important activity is the development of model road

maintenance master plans for Pidie and Bireuen district.

These master plans will provide practitioners and decision makers at the district level with a framework

that will guide infrastructure investment decisions. The intention is that the developed road development

and maintenance planning and budgeting tools and road master plans will serve as a model that can be

replicated in other districts in Aceh.

3 Including a core group of DBMCK and Bappeda trainers in Pidie and Bireuen specialized in planning, budgeting and

programming infrastructure investments – with a special emphasis on road investments.

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Output 2:


Progress UNDP/ILO



August 2012 Undertake pavement studies I & II Completed -

Review and refine manuals and guidelines I & II Completed -

Review and refine standards specifications I & II Completed -

Refine tendering and procurement procedures I & II Completed -

Promote the use of the local resource-based approach I & II Completed -

Review areas for support to provincial and district

Public Works’ capacity to deliver an in-house

training program (NAD only)

II Completed -

Develop a training program, including training

curriculum and materials, with provincial and district

Public Works (NAD only) on various aspects of

planning, implementing and managing LRB

construction works

II Completed -

2.1 Assist provincial and/or district Public Works in

training delivery

II Continue Continue

Provide coaching support to Public Works officials in

site supervision

II Completed -

Review training program implemented by district

Public works in NAD

II Completed -

Submit policy recommendations with regards to

training recognition by provincial and/or district

Public Works (NAD only)

II Completed -

Budget planning support to local governments II Completed -

2.2 Prepare and apply operational tools for identifying,

prioritizing, budgeting, planning and managing

budget investments required for the maintenance of

roads at district (Pidie and Bireuen) level.

Exit

Strategy

(current

phase

III)

Basic DB and GIS

modules/applications

prepared

Testing modules/applications

Further development of modules and

applications

Comprehensive staff training

Additional data collection and data

updating

Implementation support

Link to SIMBADA

Documentation of results

2.3 Prepare 5-year district road master plans for Pidie and

Bireuen

Exit

Strategy

(current

Phase

III)

Basic framework for road

master plan developed

Completion of road master plan

Technical support in implementation

of road master plan

2.4 Develop and demonstrate a model and procedures for

community-based routine maintenance of

district/village roads – on the back of government

investments

Exit

Strategy

(current

Phase

III)

Basic model for

community-based

maintenance developed

Finalization of model

Development of required legislations

and guidelines and manuals

Testing, implementation of model

Documentation of findings and

lessons learned

2.5 Prepare strategy papers and technical guidelines for

expanding the successfully demonstrated LRB

approaches and technologies in other sectors4 that can

also be used for MOMT’s employment-intensive

infrastructure programme

Exit

Strategy

(current

Phase

III)

Preparation of strategy papers and

draft guidelines

Review of guidelines with

stakeholders

Finalization of guidelines

Advocacy regarding application of

guidelines

Institutionalization of guidelines

2.6 Documentation, wide-scale dissemination and

advocacy of achievements, best practices and lessons

learned – including strategy papers.

Exit

Strategy

(current

Workshops at district and

provincial level

District-level hearings

Development of strategy papers

Workshops at district, provincial and

national level

4 Including a post-crisis recovery programming module based on LRB-RR experiences, and incorporation of it into the National

Rehabilitation and Reconstruction Guidelines (RRG)

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Phase

III)

with parliament

Distribution of technical

guidelines

Documentation of lessons learned

and best practices and dissemination

of findings

Hearings and advocacy activities at

district, provincial and national level

Technical advisory services regarding the selection of delivery methods for rural infrastructure

investments for road maintenance, vis-à-vis the Government’s development objectives5, will also be

provided. In the delivery of investments in infrastructure, various delivery methods can be considered,

including implementation modalities using force account, private contracting or community-based

contracting. Activities that aim at mainstreaming the community-based routine maintenance approach for

district roads will be included. This model can also be tested at provincial and village roads. The technical

assistance will be delivered on the back of government investments.

Technical assistance and coaching support will be provided in the implementation of training activities on

the application of LRB approaches and work methods in selected sectors. Target groups will be Public

works engineers, supervisors from the district level, and PNPM facilitators. MOMT staff involved in the

implementation of MOMT’s employment-intensive infrastructure programme will also be targeted for

this training. The technical assistance will build on the already completed capacity building activities.

Various advocacy and knowledge management activities will be implemented at different levels. Close

horizontal and vertical coordination will be maintained with the key stakeholders. These include Public

Works, the Ministry of Manpower and Transmigration, Bappenas and Bappeda, PNPM and community-

level stakeholders. Where appropriate, activities will also be closely coordinated with other relevant

projects and initiatives.

The expected key results under output 2 are:

1. A tested and operationalized system – including operational tools – for the planning, budgeting and

programming of road investments for Pidie and Bireuen district;

2. Five-year road management master plan for Pidie and Bireuen district;

3. A tested model for community-based routine maintenance for district roads;

4. Investment strategies and operational and technical guidelines for the delivery of rural infrastructure

investments in various sectors using LRB approaches;

5. Documented and disseminated information about lessons learned and best practices related to the

application of LRB approaches in the planning and delivery of rural infrastructure/road investments;

3.1. Output 3 – Community participation in rural road development, rehabilitation and maintenance strengthened

Table 3 presents an overview of the activities related to Output 3. The main emphasis of the activities for

output 3 is on the development of a strategy for resource mobilization and the planning and budgeting of

investments for rural village and access roads.

A key constraint relates to low priority given to the maintenance of rural village and access roads despite

their economic importance in the district road access network for the local population. A lack of

awareness and insufficient realization of the detrimental effects of a lack of maintenance of these roads

among key policy and decision makers is a main constraint which results in the inadequate allocation of

funds for the maintenance of these roads.

5 Targeted employment generation, local economic development and poverty alleviation

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Other issues in this respect relate to the apparent confusion regarding the responsibility for the

maintenance of these roads which constitute approximately 40-45% of the road network of a district.

The Project will address the above mentioned issues and constraints by undertaking advocacy and

awareness raising activities with concerned legislative and executive bodies and – based on consultations

with these stakeholders – develop an investment strategy and investment plan for the management of the

village and access roads in the districts’ road network


Output 3: Community participation in rural road development, rehabilitation and maintenance strengthened


Progress UNDP/ILO



August 2012 3.1 Engage the local communities in planning and

implementation of investments in village-level

infrastructure

I Continue Continue

Develop and test formats and routines for

maintenance reporting

I Completed -

Test maintenance reporting I Completed -

Deliver construction skills training program for

women and men in selected districts (50% women)

II Completed -

With PNPM, train PNPM infrastructure personnel on

supervision and train community supervisor in

construction supervision

II Completed -

3.2 Develop a strategy and investment plan for the

planning and budgeting of investments for the

maintenance of village and access roads at district

level

Exit

Strategy

(current

Phase III)

Assessment of current

constraints completed

Develop a strategy and

investment plan for planning

and budgeting investments in

rural village and access roads

Advocate the application of the

strategy and the investment

plan

The expected key results under output 3 are:

1. Approximately 35,000 work-days of short-term employment generated, of which 30% will be for

women.

2. Strategy and investment plan for the maintenance of village roads prepared and endorsed by Bappeda

and Public Works at district level

4. Work Plan

Annex 1 presents the work plan of the project. The annex also shows the allocation of budgetary

resources for the different outputs.

The staffing plan is presented in Annex 2. Apart from the investments in physical works, the provision of

technical assistance for capacity building on planning, budgeting and programming of road maintenance

and management investments (including for developing database and GIS systems, and up-scaling and

mainstreaming the application of LRB approaches), is a key component of the project. This is reflected in

the composition of the staff inputs.

5. Assumptions and Risks

The same assumptions for phase II of the UNDP/ILO Project, and which were contained in the Project

Appraisal Document (PAD) remain valid for this phase. Extensive consultations will be held with the

stakeholders during the development of prioritization and planning models for the allocation of resources

for road maintenance and it is therefore not expected that major conflicting interests will affect the

application of recommended strategies, approaches or plans.

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Table 4 provides a comparison of the risk assessment between the previous phase (Phase II) and current

phase (Phase III) of the project, as well the mitigation measures.

Table 4: Risks, Risk Assessment and Mitigation Measures

Identified Risks Phase I and II Assessment of the

Risk

Mitigation Actions for Current

Phase

Previous

Phases

Current

Phase

1 Possible lack of interest in getting training. Medium Low Experiences during the

implementation of training activities

demonstrated the interest in the

training activities. It will be ensured

that training is needs-based.

2 Potential for non-adherence to procedures

– in particular for contracting works to

small contractors

Not

assessed

Low The implementation of field schemes,

including contracting, will be closely

supervised and will follow procedures

that have already been well

established during phases I and II and

that have proven to be effective and

transparent

3 Conflicting interests between stakeholders

at local level regarding the transparent

selection of road works and contractors

Not

assessed

Low The selection of schemes will be done

in close consultation with

stakeholders, following agreed

selection procedures, and will be

based on consensus

4 Lack of maintenance - a high risk that not

all roads rehabilitated will be duly

maintained due to funding and capacity

constraints.

High Medium Planning models will improve

allocation of resources to cover

maintenance needs but this process is

a gradual one. Advocacy activities are

already showing increased realization

of the need for maintaining road

assets and these activities will be

continued

5 No or little interest from small contractors

to undertake road works under the project

Low No risk Experiences during phases I and II

indicate that this is not a risk

6 Security and conflict in Aceh –this is an

external risk. The risk is rated low as the

peace agreement is being implemented

without any upheavals.

Low Low Continuation of the implementation of

the peace agreement by the

Government

7 Gender equality – there is a risk that

women will not be employed and engaged

to the extent possible, due to the traditional

setting.

Medium Low The approach of the Project to

promote the employment and

engagement of women has been fairly

successful.

8 Potential for corruption during

implementation - demands for informal fee

payments by government and contract staff

and community leaders are possible

High Low to

medium

Use of transparent and agreed models

for planning, budgeting and

programming maintenance works to

reduce the chances of ‘corruption’ in

selection

9 Lack of political willingness to undertake

transparent selection of road works and

contractors

Medium Low Planning models will be developed in

close consultation with political

decision makers to reduce this risk

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6. Institutional Framework and Management Arrangements

Figure 1 presents a schematic overview of the institutional framework and organization chart of the

current Phase III project. In essence the institutional framework for the current Phase III project is the

same as that of the previous phase. The framework is maintained because it has proved to be very

effective in the provision of both the strategic direction and managerial oversight required by the project

team in the implementation of the project. The organizational chart below reflects the exclusion of the

districts in Nias given that the Phase III project focuses only two districts in Aceh, i.e. Pidie and Bireuen.

Figure 1: Institutional Set-Up

7. Monitoring, Evaluation and Audit

The current Project will apply the same monitoring, reporting, evaluation and audit arrangements that

have been in place for the previous phases. UNDP, utilizing its expertise in planning and governance, will

assume a strong role in involving government offices in project monitoring and facilitating the work of

the Steering Committee. UNDP will also ensure an independent final evaluation of the Project.

Horizontal and vertical coordination of activities with line ministries, Bappenas/Bappeda, MoMT and

PNPM at the national, provincial and district level will be strengthened and much emphasis will also be

given to the role of the Project Steering Committee/Project Board in providing policy advisory support to

the Project to ensure alignment of interventions with Government’s priorities and plans.

Project Management Unit

ILO Banda Aceh

National Project Board

Senior Beneficiaries BAPPENAS (Vice Chair)

Aceh Provincial Government (BAPPEDA & Public Works), Pidie

and Bireuen District Governments (Public Works & BAPPEDA)

Executive Ministry of Manpower and Transmigration (Chair-NPD)

Senior Supplier UNDP, ILO

Project Assurance UNDP Jakarta Office

UNDP

ILO TEAM Pidie

ILO TEAM Bireuen

District Advisory Committee Pidie and Bireuen

Local Government,

BAPPEDA, Public Works, DISNAKER, PNPM

Project Support ILO Jakarta Office

Monitoring and Evaluation UNDP

15

While ILO will continue to implement the Project, a particular set of activities for monitoring and

evaluation will be under the direct responsibility of UNDP. This arrangement will enable UNDP to ensure

its provision of project assurance to and oversight of the overall project implementation. UNDP will

concentrate activities largely on monitoring and evaluation of the project outputs/outcome by its Jakarta

Office, and generate a final independent evaluation conducted by an independent consultant.

The logical framework for the Phase III Project is presented in Annex 3. The current logical framework

appears as a modified version of the Phase II project while incorporating specific changes.

Project quality assurance will be performed by the Crisis Prevention and Recovery Unit (CPRU) of the

UNDP Country Office in Jakarta. The Unit will ensure, through the use of UNDP’s regular monitoring

and evaluation tools, that the project is being monitored and evaluated in accordance with the MDFANS

Operations Manual.

Monitoring and evaluation documentation will be used as a basis for the submission of periodic reports to

the MDFANS.

UNDP “supervision” missions will be conducted every four months and will involve the Project Board.

UNDP Jakarta, acting in its capacity as the Partner Agency, will organize and participate in the

supervision and monitoring missions with staff from the Crisis Prevention and Recovery Unit

participating and ensuring that the missions fulfill the Partner Agency role.

In compliance with requirements of the MDFANS Operation Manual, the Partner Agency will submit

Semi Annual and Annual Reports to the MDFANS Secretariat to be forwarded to the MDFANS donors.

UNDP will also share quarterly reports of the Project with the MDFANS Secretariat. All data relevant to

the MDFANS Logical Framework as detailed in the Monitoring Arrangements column of the Framework

are stated in each Quarterly Report submitted by the Partner Agency to the Secretariat.

Project implementation is the responsibility of ILO; it is the Implementing Agency for the Project.

Utilizing the outreach facilities of the UNDP Field Programme Office in Banda Aceh, UNDP also

provides decentralized coordination, and liaison support. It should be noted however, that as Partner

Agency, UNDP’s main responsibility is that of monitoring and evaluation of the Project outputs/outcome.

The current project will observe Government Regulation 10 of 2011 (PP 10/2011) on the administration

and reporting of projects/programs funded by foreign direct grants. In light of the PP 10, the ministry

acting as the national partner of the project is required to produce regular progress reports to the

Government’s leading ministry in grants monitoring, i.e. Bappenas. This regular progress report will be

prepared by UNDP/ILO and consulted with the Ministry of Manpower and Transmigration before the

ministry submits the report to Bappenas. The progress report will include both substantive and financial

information. Based on the information from the progress report, the Ministry will include in its LKPP

(Laporan Keuangan Pemerintah Pusat – Central Government Financial Report) a reference on the

contribution received from the UNDP/ILO project, although the project is directly implemented by

UNDP and ILO with a direct oversight from the ministry.

16

8. Budget

Annex 4 presents the detail budget of the project. Table 5 presents a summary of the budget and the

respective allocations.

Table 5: Total Budget Allocation (in US$)

Description

Allocated Budget for

period 1 July 2011 to

31 August 2012

(US$)

(5)

Physical works 800,000

Staff and consultants 628,183

Travel, M&E and backstopping 246,675

Training, advocacy, knowledge management 175,000

Equipment 73,000

Operations and Sundries 54,609

Contingencies and Support Costs 122,533

Total 2,100,000

Within the budget line Travel, M&E and backstopping - US$ 37,500 has been allocated for the final

evaluation and US$ 47,500 for PSC monitoring visits and meetings. The budget line ‘Training, advocacy

and knowledge management’ includes US$ 100,000 for national level advocacy and knowledge

management activities, which will be executed by UNDP. For UNDP support staff and travel US$ 42,000

has been allocated under the budget line Staff and Consultants. The remaining budget will be executed

directly by ILO.

Table 6 presents the current project budget allocation per output. As outputs 1 and 2 aim at enhancing

road management capacities and mainstreaming demonstrated LRB approaches and technologies

(including investments in physical works), these outputs will absorb a larger share of the budget.

Table 6: Budget Detail by Output

Description

Budget for Period 1

July 2011 to 31

August 2012

Staff costs and operations 435,904

Output 1 1,058,735

Output 2 446,376

Output 3 36,452

Project Sup. Cost & Cont. 122,533

Total 2,100,000

17

Annex 1: Work Plan Techniques, standard, systems and strategies for road maintenance and for the application of local resources based method in rural roads sector are in place in project operational areas

No. Key Outputs/Activities

Resp.

Party

Budget

allocation

2011 2012

S O N D J F M A M J J A

Office operations, travel, backstopping, M&E and Board meetings

Staff operations, coordination and office management ILO

Staff and travel UNDP

Technical backstopping ILO On a regular basis

Project monitoring, mid-term (MT) and final (F) evaluation UNDP MT F

Project steering committee, monitoring missions UNDP

Completion of Project equipment transfer ILO

Sub-total ILO 308,905

Sub-total UNDP 127,000

Sub-total office ops, travel, backstopping, M&E, Board meetings 435,905

Output 1: Technical and managerial capacity of district government in undertaking road works is satisfactory

TA and training to Bappeda and PW in preparing road maintenance plans & budgets ILO

Implement comprehensive staff development plan ILO

Develop and test capacity development plan for planning maintenance at village level ILO

Demonstrate feasibility of expanding LRB approach other sectors ILO

Sub-total Output 1 1,058,735

Output 2: Techniques, standard, systems and strategies for road maintenance and LRB methods developed and operationalized.

Develop and apply tools, systems and capacities for planning & budgeting for district

road management ILO

Prepare model 5-year detailed district road maintenance plan ILO

Mainstream LRB model and expand to other sectors, including local level advocacy and knowledge management activities6 ILO

National level advocacy and knowledge management activities to mainstream the LRB

approaches, models and technologies UNDP

Sub-total Output 2 ILO 346,376

Sub-total Output 2 UNDP 100,000

Sub-total Output 2 446,376

Output 3: Community participation in rural road development, rehabilitation and maintenance strengthened

Develop strategy and investment model for management of village road infrastructure ILO

Sub-total Output 3 36,451

Total 1,975,833

Programme support costs and contingencies 122,533

Grand total 2,100,000

6 Including the Labour-Intensive Infrastructure Programme of the Ministry of Manpower and Transmigration

18

Annex 2: Staffing Plan from September 2011 to August 2012

Staff Category

Work

Months

2011 2012 Sep Oct Nov Dec Jan Feb Mar Apr May Jun Jul Aug

International ILO 16.6

Staff and Consultants 13

Technical

Backstopping

3.6

National ILO 147

Project Coordinator 12

District Engineer 1 12

District Engineer 2 12

Mobile Construction

Trainer (2)

20

Admin/Finance

Assistant

12

DB Officer 12

GIS Officer 8

Driver (3) 35

Consultants 6

Admin, Finance, Progr

Backstop.

18

National UNDP 12

Support Personnel 12

TOTAL 175.6

19

Annex 3: Logical Framework

Target Group: District government, small-scale local contractors, local communities.

Specific for Phase III: District Government and Government decision makers involved in budgeting and planning investments in rural

roads infrastructure

Project title: Creating Jobs: Capacity Building for Local Resource-based Road Works in Selected Districts in NAD and

Nias – Phase III: Capacity Building and Sustainable Strategy for the Management of Road Assets at District Level in Aceh

Current Project Duration:

July 2011-August 2012

Project Structure

Indicator Means of Verification (MoV) Assumptions

Phase II July 2011-August 2012 Phase II July 2011-

August 2012 Phase II

July 2011-

August 2012

DEVELOPMENT

OBJECTIVE

To restore the rural

livelihoods and

communities of disaster

affected populations in

NAD and Nias

Number of communities with access to maintained

roads as a result of the project’s road rehabilitation and

maintenance

Government statistics

Project records

Political stability

remains – likely

IMMEDIATE

OBJECTIVE

District governments and

small scale contractors in

project areas adopt and

undertake local resource-

based road works thereby

providing access to socio-

economic centers and

creating job opportunities

for rural people

90% of project roads (169 kms) constructed to

specified quality and standard.

75% of contracts completed within time and budget.

District governments in project areas have modalities

in place for continuing issuing local resource-based

road contracts.

Contractors use local resource-based approach in their

road works.

Annual budgets for 2009 in all target districts show

that 70% of investments have been covered with

adequate maintenance budget.

Annual budgets for 2012 show that 80% of

investments have been covered with adequate

maintenance budget.

Additional 10-20 kms

of roads and selected

non-road schemes are

constructed to specified

quality/standards and in

time, using LRB

approaches and

technologies

Adequate maintenance

budget allocated in

investment plan for

2013 for maintenance

of core district roads

Monthly Progress reports

Project completion report

Contract completion

documents

District governments’ annual

budgets

Final evaluation Security and peace

in NAD – likely

Provincial and

district governments

designate staffs to

work closely with

the project - likely

Government

programme and

budget data is

accessible - likely

OUTPUT 1

Technical and managerial

capacity of district

At least 25 kms of road rehabilitation, financed by

local government budget and other organizations,

adopts the project’s work approach in bidding process,

planning, and quantity assessment methods.

Adequate road

maintenance investment

plans prepared

Report on training undertaken

and issue of certificates

Monthly Progress reports

Project completion report

Annual budget of

PW

Final evaluation

Provincial and

district governments

designate staffs to

work closely with

20

Project Structure




July 2011-

August 2012

governments in

undertaking road works is

satisfactory.

Number of contractors receiving more than one

contract award.

Decrease in the percentage of non-responsive bid

prepared by contractors.

At least 10 PW and BAPPEDA officials at the

provincial and district levels in Pidie and Bireuen

actively engaged in development of procedures in

preparing road maintenance plans

Contract completion

documents

Tender evaluation reports

Project records and Quarterly

reports.

District government annual

budget for 2009 and 2010.

the project - likely

OUTPUT 2

Techniques, standard,

systems and strategies for

road maintenance and

LRB methods developed

and operationalized.

District PW in Aceh allocate budget for staff training

in 2009 and 2010. And district PW or infrastructure

programmes by non-government entities allocate adopt

project’s training approach for further training of

district PW and small scale contractors.

Provincial and district PW in Aceh adopt project’s

training materials and implements a training

programme on LRB to district PW.

Number of district/ provincial PW officials that are

able to serve as trainers.

District PW uses the revised specifications and

standards in at least 10% and 20% of its rehabilitation

budget in 2009 and 2010.

At least 70% of contractors’ road supervisors and

district PW officials participating in the project

training received certificates of competencies from the

project.

Number of contractors/ Ministry of PW officials

trained.

An operational framework at provincial level and for

Pidie and Bireuen district for road maintenance

planning and budgeting adopted by district public

works.

A strategy for mainstreaming LRB investment

approaches for infrastructure development in Aceh

province endorsed by the Project Board and tested

Operational capacities

and tools available at

district level for

planning, programming

and budgeting for road

asset management

Manuals

Standard specifications

Project reports

Final evaluation

Inspection of

available systems

and (master-)

plans

Government

programme and

budget data is

accessible - likely

OUTPUT 3

Community participation

Aceh: 260,000 worker days generated, 30% performed

by women.

Nias: 170,000 worker days, 30% by women.

Strategy and investment

plan for the

maintenance of village

Project gender audit report

Project training records

Community’s satisfaction

Inspect

maintenance

plans

Continued

collaboration with

KDP – likely

21

Project Structure




July 2011-

August 2012

in rural road

development,

rehabilitation and

maintenance strengthened

Women’s road groups are organized in selected

communities where Phase II road rehabilitation takes

place in Bireuen and Pidie.

At least 50 community road supervisors are trained.

Aceh and Nias: At least 70% of communities in the

targeted areas are satisfied with project’s selected and

rehabilitated roads.

Km length of village roads received routine

maintenance during the project period.

roads prepared and

endorsed by Bappeda

and Public Works at

district level

About 35,000 work-

days of short-term

employment generated,

of which 30% for

women

survey done at project

completion date. When it is

not feasible to survey

community satisfaction,

satisfaction assessment will

be carried out with district

Public Works and

BAPPEDA.

Project reports

Final evaluation

Inspect capacity

development

plans

Planned activities

with KDP can be

delivered on

scheduled – likely

22

Annex 4: Budget

Description

Budget

Estimate July

2011 to Aug

2012

Responsible

Party

(1) Physical Works 800,000 ILO

(2) Staff and Consultants 586,183 ILO

(3) Travel and Backstopping 161,675 ILO

(4) Training 75,000 ILO

(5) Equipment 73,000 ILO

(6) Operations and Sundries 54,609 ILO

(7) Program Support Costs (5% of (1) to (6)) and contingencies 122,533 ILO

(8) Policy Advocacy and Development 50,000 UNDP

(9) Knowledge Sharing 50,000 UNDP

(10) PSC Monitoring Visits & Meetings 47,500 UNDP

(11) Final Independent Evaluation 37,500 UNDP

(12) Support Personnel and Travel 42,000 UNDP

Grand Total ILO + UNDP 2,100,000

Documents

PROJECT DOCUMENT Creating Jobs: Capacity Building for ... Do… · Creating Jobs: Capacity Building for Local Resource-based Road Works in Selected Districts in NAD UNDP/ILO Project