Sub-Consultancy Agreement - INDII sAIIG... · Sub-Consultancy Agreement . Sub-Consultancy – IndII...

Sub-Consultancy Agreement

Dated:

SMEC INTERNATIONAL PTY LTD (“SMEC”) ABN 32 065 440 619

AND

(the “Sub-Consultant”)


Sub-Consultancy – IndII Standard – June 2010 Page 1

Details Interpretation – definitions are at the end of the General terms

Parties “SMEC” and “Sub-Consultant”

SMEC Name SMEC International Pty Ltd

ABN 32 065 440 619

Address Sun Micro Building Suite 2, Level 1, 243 Northbourne Avenue Lyneham ACT 2602

Telephone +61 2 6234 1900

Fax +61 2 6234 1966

Attention Trevor Temple, General Manager – Social Development Group

Sub-Consultant Name .......................................................

Address .......................................................

Telephone .......................................................

Fax .......................................................

Attention .......................................................

Recitals SMEC has signed a contract with Commonwealth of Australia, represented by the Department of Foreign Affairs and Trade - DFAT (the “Client”) for the provision of services for the Indonesia Infrastructure Initiative (the “Project”) dated the 28th day of June 2010 (the “Main Contract”). The Sub-Consultant has agreed to provide services as described in Schedule 2 (the “Services”) to SMEC to assist in carrying out the Main Contract on the terms and conditions of this Agreement (including all schedules and attachments) (“Agreement”).

Governing law Laws of Australia

Date of agreement See Signing page



CONTENTS

1 Agreement Effective 3

2 Main Contract 3

3 Services 3

4 Instructions and Directions 4

5 Program of Work 4

6 Confidentiality and Conflict of Interest 4

7 Obligations of SMEC 5

8 Representatives 5

9 Liability 5

10 Insurance 6

11 Termination 6

12 Changed Circumstances 7

13 Exceptional Services 8

14 Dispute Resolution 8

15 Variations 8

16 Assignment and Sub-Contracts 8

17 Notices 8



General Terms

1 Agreement Effective 1.1 Subject to this Agreement, the Services will be commenced and completed within the

periods set out in Schedule 1.

2 Main Contract 2.1 The Sub-Consultant will comply with such the terms of the Main Contract as are set

out in Schedule 5.

2.2 The Sub-Consultant must not hinder the SMEC from complying with its obligations under the Main Contract. The Sub-Consultant will do its best to assist such compliance.

2.3 The Sub-Consultant must comply with all provisions of the Main Contract governing the ownership and confidentiality of information disclosed, developed or obtained during the course of the project (refer to Schedule 5).

2.4 Unless otherwise provided under the Main Contract, copyright in any intellectual property arising from the performance of the Services shall vest in the SMEC on creation.

2.5 In case of conflict between the provisions of the Main Contract which are expressed to form part of this Agreement and the other clauses of this Agreement, then unless provided otherwise, the clauses of this Agreement have precedence.

3 Services 3.1 The Sub-Consultant shall perform the services in good faith and in the interests of

SMEC.

3.2 For the purposes of this Agreement, services include normal services, additional services and exceptional services.

3.3 Normal services are set out in Schedule 2.

3.4 Additional services are those set out in Schedule 2 and those which SMEC and the Sub-Consultant agree in writing are additional to normal services.

3.5 Exceptional services are those which are not normal or additional services but which are necessarily performed by the Sub-Consultant in accordance with Clause 13.

3.6 The Sub-Consultant will exercise reasonable skill, care and diligence in the performance of the services and its obligations under this Agreement.

3.7 The Sub-Consultant will carry out the services so that no act or omission of the Sub-Consultant shall cause or contribute to any breach by SMEC of its responsibilities, obligations or liabilities under the clauses of the Main Contract expressed to form part of this Agreement.

3.8 If SMEC forms the opinion on reasonable grounds that work carried out by the Sub-Consultant is not in accordance with the standards required by this Agreement or the Main Contract, it shall give written notice of such opinion to the Sub-Consultant specifying the nature of the deficiency and if appropriate requiring the Sub-Consultant to rectify or reinstate the work within a reasonable period of time to the satisfaction of SMEC provided the deficient work was attributable to the failure on the part of the Sub-Consultant, its employees, or agents to exercise the standard of diligence, skill and care normally exercised by duly qualified personnel in the performance of comparable work,



the Sub-Consultant must, if required by SMEC, bear the complete costs and expenses of rectification or reinstatement.

4 Instructions and Directions 4.1 The Sub-Consultant shall comply with all reasonable instructions and directions from

SMEC in relation to the Services and this Agreement.

4.2 The Sub-Consultant shall not comply with any instructions or directions which are issued by the Client directly to the Sub-Consultant. If the Sub-Consultant receives any such direct instructions or directions, it will immediately inform SMEC and provide a copy of the instruction or direction, if it were given in writing.

5 Program of Work 5.1 The Sub-Consultant will, so far as is practicable, provide the services in accordance

with the program of work set out in Schedule 2.

5.2 Notwithstanding Clause 5.1, SMEC may direct the Sub-Consultant to amend the periods or modify the sequence of work shown in the program of work if, in the opinion of SMEC, such amendment or modification is necessary.

5.3 SMEC may direct the Sub-Consultant to amend the times or the periods in Schedule 1 or 2. If SMEC makes such directions, the Sub-Consultant will be entitled to the reasonable costs and damages arising from and relating to the directions.

5.4 The reimbursement due to the Sub-Consultant under this Agreement will be adjusted equitably in respect of any such amendments or variations.

6 Confidentiality and Conflict of Interest 6.1 The Sub-Consultant acknowledges that information disclosed to it by SMEC under this

Agreement may be proprietary, confidential or a trade secret of SMEC or the Client.

6.2 Unless it is in accordance with this Agreement, the Sub-Consultant must not and must not permit any of its officers, employees, agents, contractors, or related companies to use or to disclose to any person any information disclosed to it by SMEC under this Agreement without the prior written consent of SMEC.

6.3 Clause 6.2 does not apply to any information which:

(a) is generally available to the public (other than as a result of the wrongful disclosure by the Sub-Consultant); or

(b) is required to be disclosed by any law.

6.4 Clauses 6.1 and 6.2 continue despite the termination of this Agreement.

6.5 Unless otherwise agreed in writing by SMEC, the Sub-Consultant will not engage in any activity which might conflict with the interests of SMEC or the Client under this Agreement or the Main Contract.

6.6 The Sub-Consultant must disclose in writing to SMEC the fact, nature and extent of any interest which is or may be or become in conflict with the duties or obligations of the Sub-Consultant under this Agreement, whether direct or indirect, and whether as a partner, contractor, servant, shareholder, principal, agent, officer or otherwise.

6.7 If the interest is acquired, or the potential conflict arises, after this Agreement is signed, the disclosure in writing must be made immediately the interest is acquired, or the potential conflict arises, as the case may be.



6.8 Neither party may disclose to any person (other than the Client in the case of SMEC) anything contained in this Agreement without the prior written authority of the other party.

7 Obligations of SMEC 7.1 SMEC will give its prompt comments on all sketches, drawings, reports,

recommendations and other matters referred to it for decision by the Sub-Consultant where required.

7.2 SMEC will pay the Sub-Consultant at the intervals and stages, within the times, at the places and in the currencies as set out in Schedule 4 against written invoices from the Sub-Consultant of the amounts due to the Sub-Consultant, calculated in accordance with the payment provisions in Schedule 4 and any other provisions of this Agreement.

7.3 Invoices will be in the form and contain such details as SMEC may reasonably require from time to time.

7.4 SMEC shall provide the equipment and facilities stated in Schedule 3 for use by the Sub-Consultant for as long as may be necessary for the performance of the services.

7.5 Equipment provided by SMEC for the use of the Sub-Consultant or purchased by the Sub-Consultant with funds wholly supplied or reimbursed by SMEC shall become the property of SMEC and shall be so marked. Upon completion or termination of the services the Sub-Consultant shall furnish to SMEC inventories of this equipment and dispose of the equipment as directed by SMEC.

7.6 If SMEC is in breach of its obligations under Clause 7.5, it will reimburse the Sub-Consultant, on demand, for any expenses reasonably incurred by the Sub-Consultant by reason of such breach, or if incurred by the Sub-Consultant to avoid delay resulting from such breach. The Sub-Consultant must give SMEC at least 14 days written notice of intent to provide the equipment and facilities as stated in Schedule 3. The Sub-Consultant will not be able to claim under this clause if SMEC is making the necessary steps to obtain the equipment and facilities but is delayed by a third party.

8 Representatives 8.1 For the administration of this Agreement the Sub-Consultant shall designate an

individual as its representative. The representative shall have written authority to act on behalf of the Sub-Consultant for all purposes in connection with this Agreement. The Sub-Consultant’s representative from the date of this Agreement will be the person so designated in Schedule 1.

8.2 The Sub-Consultant may from time to time replace the Representative and will give SMEC prior notice of the replacement.

8.3 SMEC will designate an individual to be its Representative. SMEC’s Representative will have full written authority to act on behalf of SMEC for all purposes in connection with this Agreement. SMEC's Representative will be the person so designated in Schedule 1.

8.4 SMEC may from time to time replace its Representative and will give the Sub-Consultant notice of any such replacement.

9 Liability 9.1 The Sub-Consultant indemnifies SMEC against:



(a) all losses suffered by the SMEC;

(b) all liabilities incurred by the SMEC; and

(c) all legal costs (on a solicitor and own client or full indemnity basis, whichever is the greater) and other costs and expenses incurred by the SMEC in connection with a demand, action, arbitration or other proceeding (including mediation, compromise, out of court settlement or appeal);

arising from the death or injury of any employee or agent of the Sub-Consultant, directly or indirectly as a result of or in connection with a breach of contract or any negligent act or omission or non-performance of this Agreement by the Sub-Consultant, its agents and officers.

9.2 The Sub-Consultant assumes all liability for, and indemnifies SMEC and its staff against, all claims, damages, liabilities and expenses, including the cost of defence of suits, arising from any breach of copyright, or from any violation of literary property, intellectual property or patented invention, article or appliance, used by the Sub-Consultant or its personnel in respect of the provision of the services or the project.

10 Insurance 10.1 The Sub-Consultant will effect and maintain a professional indemnity insurance policy

in a form and content reasonably acceptable to SMEC with a reputable insurer for the currency of this Agreement for an amount not less than that stated in Schedule 1.

10.2 The Sub-Consultant will maintain a public liability policy of insurance in a form and content reasonably acceptable to SMEC with a reputable insurer for the currency of this Agreement and for an amount not less than that stated in Schedule 1 covering the Sub-Consultant in respect of any claim or loss or damage arising from any negligent act, error or omission of the Sub-Consultant in relation to the Project and the provision of the Services.

10.3 The Sub-Consultant will effect and maintain a suitable insurance policy for its employees and agents against any liability, loss, damage, claim, costs and expenses arising at common law or under any statute as a result of personal injury to or death of any person employed by the Sub-Consultant or the Sub-Consultant’s agent in or about the project.

10.4 The Sub-Consultant will also effect and maintain a suitable insurance policy covering:

(a) any other risks or events stipulated in the Agreement or required by the laws of the Country in which the Project is being undertaken or the Services provided;

(b) third Party motor vehicle liability insurance in respect of motor vehicles operated by the Sub-Consultant or its personnel in relation to the Project; and

(c) insurance against loss of or damage to equipment purchased in whole or in part with funds provided under this Agreement and the Sub-Consultant's property used in the performance of the Services.

10.5 The Sub-Consultant will provide certificates of insurance or other evidence of insurance as may be required by SMEC from time to time.

11 Termination 11.1 SMEC may, by prior written notice to the Sub-Consultant, at any time, required the

Sub-Consultant to cease the provision of Services, in whole or in part, or terminate this



Agreement. The date of termination of this Agreement will be 7 days after receipt of the notice by the Sub-Consultant. Upon receipt of the notice the Sub-Consultant will take immediate steps to cease the Services and to reduce expenditure.

11.2 If the Main Contract with the Client is terminated for any reason or if the engagement of the Sub-Consultant is terminated by either SMEC or the Client in accordance with the provisions of the Main Contract, then SMEC may terminate this Agreement immediately by notice to the Sub-Consultant.

11.3 If the Sub-Consultant is in material breach of this Agreement and does not rectify such breach within 14 days of receiving written notice requesting it to do so from SMEC, SMEC may terminated this Agreement by delivery of a written notice of termination with immediate effect.

11.4 If either party suffers an insolvency event or is wound up or becomes subject to administration or any form of receivership or external control then the other party may immediately terminate this Agreement.

11.5 Upon termination of this Agreement under Clauses 11.1, 11.2 or 11.3 and subject to the obligation of the Sub-Consultant to reduce expenditure to a minimum, the Sub-Consultant is entitled to be paid:

(a) all amounts which are due to it for services already performed under this Agreement up to the date of such termination or postponement, less the amounts previously paid by SMEC to the Sub-Consultant in respect of them;

(b) all costs reasonably incurred for the orderly termination of the Services (except where termination of the Agreement was caused by material breach by the Sub-Consultant of its obligations under this Agreement); and

(c) an agreed amount, (except where termination of the Agreement was caused by material breach by the Sub-Consultant of its obligations under this Agreement), in respect of any loss or damage suffered by the Sub-Consultant as a direct result.

11.6 The Sub-Consultant shall not be entitled to any compensation for loss of profit on uncompleted services.

11.7 Termination of this Agreement by either party is without prejudice to the rights and remedies which either party may have against the other party at the time of termination.

12 Changed Circumstances 12.1 If circumstances arise for which the Sub-Consultant is not responsible and which make

it irresponsible or impossible for the services to be performed in whole or in part in accordance with this agreement, the Sub-Consultant must immediately notify the SMEC in writing.

12.2 In these circumstances, if services have to be suspended, the time for their completion shall be extended until the circumstances no longer apply, plus a reasonable period not exceeding one month for resumption of them.

12.3 If the speed of performing certain services has to be reduced, the time for the completion of the services will be extended as required by the circumstances.



13 Exceptional Services 13.1 Upon the occurrence of circumstances described in Clause 12 or abandonment or

suspension or resumption of services or upon termination of this Agreement otherwise than for material breach by the Sub-Consultant, any necessary work or expense by the Sub-Consultant extra to the normal and additional services will be regarded as exceptional services.

13.2 The performance of exceptional services may entitle the Sub-Consultant to extra time necessary for their performance and to such reasonable payment as agreed by the SMEC for the provision of the exceptional services.

14 Dispute Resolution 14.1 The parties will enter into negotiations to try and resolve in good faith any dispute

relating to or arising under this Agreement.

15 Variations 15.1 This Agreement can be varied, by written Agreement of SMEC and the Sub-Consultant.

16 Assignment and Sub-Contracts 16.1 The Sub-Consultant shall not without the written consent of SMEC assign the benefits

of this Agreement, other than by a charge in favour of the Sub-Consultant's bankers of any monies due or to become due under this Agreement.

16.2 Neither party may assign obligations under this Agreement without the written consent of the other party.

16.3 The Sub-Consultant shall not, without the prior written consent of SMEC (on terms and conditions to be agreed by SMEC), sub-contract the performance of any of the services. Any sub-contract made by the Sub-Consultant with the consent of SMEC shall not subsequently be modified without the prior written consent of the SMEC.

16.4 Consent by SMEC to any sub-contract does not relieve the Sub-Consultant from any liability or obligation under this Agreement.

17 Notices 17.1 A notice or other communication ("notice") connected with this Agreement has no legal

effect unless it is in writing and is:

(a) delivered by hand at the address for service of the Representative;

(b) sent by facsimile to the facsimile number of the Representative; or

(c) sent by e-mail to the e-mail address of the Representative and is acknowledged by the Representative either by e-mail, facsimile or post.

17.2 A notice is deemed given and received:

(a) if delivered by hand, upon delivery; or

(b) if sent by facsimile before 4 pm on a Business Day (not a weekend or a public holiday), on the day it is sent at the place of receipt and otherwise on the next Business Day at the place of receipt.

(c) if the Representative sends an acknowledgement that the e-mail was received.



17.3 Despite Clause 17.2(b), a facsimile is not deemed given or received unless at the conclusion of the transmission the sender's facsimile machine issues a transmission report which indicates that the relevant number of pages comprised in the notice have been sent.

17.4 A party may change its address for service or facsimile number by giving notice of that change to each other party.

17.5 The address for service of the parties is set out in Schedule 1.



SIGNING PAGE EXECUTED as an agreement

IN WITNESS WHEREOF the parties have set their hands on the ....... and both parties have initialled all pages of the

Agreement including the Schedules.

…………………………………………………………………………………..

Signed for and on behalf of SMEC International Pty Ltd

……………………………………………………………………………….….


Sub-Consultancy – IndII Standard – June 2010 Schedule 1 - Page 1

SCHEDULE 1

AGREEMENT PARTICULARS

Client: SMEC International Pty Ltd Project Name: Indonesia Infrastructure Initiative Location: Jakarta, Indonesia Commencement Date: ........................................................... Completion Date: ........................................................... SMEC’s Representative:

Name: Nicholas Hermes Address: Ratu Plaza Office Tower, 20th Floor, Jl. Jenderal Sudirman No. 9, Jakarta Selatan 10270 Indonesia Facsimile Number: +62 21 72780539 E-mail address: [email protected]

Sub-Consultant’s Representative:

Name: ........................................................... Address: ........................................................... Facsimile Number: ........................................................... E-mail address: ...........................................................

Professional Indemnity Insurance Cover to a Value of: $5,000,000 Public Liability Insurance Cover to a Value of: $10,000,000



SCHEDULE 2

SCOPE AND PROGRAM OF THE SUB CONSULTANCY SERVICES

1. BACKGROUND

The Government of Australia extended the Indonesia Infrastructure Initiative (IndII) facility into phase 2 from July 2011 to June 2015. A central component of the IndII facility is the Australia Indonesia Infrastructure Grants for sanitation (sAIIG) under which IndII provides funding to local governments (LGs) to establish neighbourhood sewerage schemes.

Under sAIIG AUD$40 million will be provided in grants, over a two-year period, to approximately 60 selected LGs for implementing municipal sanitation infrastructure, which will result in improved sanitation for approximately 90,000 households. The sAIIG program will be delivered to participating LGs using the Government of Indonesia’s on-granting regulations and will be disbursed through an output-based modality, upon verification of acceptable sanitation infrastructure outputs and progress with attaining agreed governance targets.

The program goal of sAIIG is to increase the provision of improved sanitation facilities by LGs through investment in the implementation of public sanitation infrastructure and to develop and test new funding mechanisms for the delivery of such investments.

The components of municipal sanitation which will be eligible for grants under sAIIG will be limited to:

• Neighbourhood sewage collection and treatment systems.

• Neighbourhood sewerage connected to an existing sewerage system.

• Intermediate solid waste transfer stations.

The neighbourhood sewage collection and treatment systems will be simplified schemes, designed for gravity flow only, of shallow depths (less than 1.5 m), with no manholes or pumping stations but with inspection chambers and cleanouts. Typically each system will serve between 200 and 400 households. Treatment will consist of an appropriate anaerobic process but will not be prescribed. Effluent quality must meet Government of Indonesia Ministry of Environment requirements.

The second component will be identical to the neighbourhood schemes above except that in cities with existing collection systems the neighbourhood schemes may connect to the live sewer so that treatment will be provided by the existing facilities where there is spare capacity in the existing systems.

Intermediate solid waste transfer stations (stasiun peralihan antara, or SPA) receive solid waste from various sources, aggregate and compact it for haulage to the final disposal site. These facilities may vary in size from 5,000 m2 to more than 10,000 m2.

IndII is funding two technical assistance packages to support the participating LGs. These are:

• Activity W254.01 – Preparation, appraisal and oversight

• Activity W254.02 – Baseline surveys and Verification



A schematic representation of how the technical assistance will be applied is presented in Figure 1.

Package W254.01 is to provide technical support to participating LGs with the preparation, appraisal and oversight of the implementation of their grant projects. The technical assistance Package is divided into two work packages – eastern and western regional packages.

Package W254.02 is to provide technical support to participating LGs with the preparation of baseline and verification surveys, including identification and technical surveys, a socio economic survey and a water quality sampling program in the same LGs. This assignment includes an identification and location (technical) survey of approximately 32,000 households (includes ± 10%) in 42 LG areas, a socio economic survey and a water quality sampling program in the same LGs.

With reference to the baseline data prepared, this package of work also includes a planned installation of approximately 50,000 household connections in 42 LG areas. The LGs which have expressed interest as well as the target for those unidentified group are included in Annex 2.

Figure 1 sAIIG Program Technical Assistance Support

In addition, to the technical assistance described above, IndII will also provide support with institutional development and capacity building to the service providing entities to enhance sustainability of sanitation services in the LGs. These are included under separate sAIIG work packages.

2. OBJECTIVES

The aim of this technical assistance is to establish a reference level of pre-project conditions for subsequently measuring and verifying that the physical works under the grant project has been completed. This involves undertaking baseline surveys to assess conditions. Following this, consultants will verify all house connections that have been installed, and make sure that the house connections are functioning in accordance with the Project Implementation Manual.

LG Prepare Program

[DED, Land, EA]

Grant Agreement

Approved Program ImplementationLG proposes

program

IndII Preparation & Implementation

Oversight TA(preparation support)

IndII Baseline and Verification

Consultant - TA

IndII Baseline and Verification

Consultant

IndII Preparation & Implementation

Oversight TA(oversight support)



3. DESCRIPTION OF REQUIRED SERVICES

3.1 Approach

As part of the procedure for implementing the sAIIG, LGs will be required to sign an “on- granting agreement” which will explicitly define the areas of responsibility and authority of the parties and the parameters for implementation as well as the areas where the new neighbourhood sewerage schemes are planned to be installed.

Upon notification from IndII/CPMU, the consultant will conduct the baseline surveys within the designated areas, and provide a midterm review. The consultant will also prepare the reports and socialize the results to the LGs, encouraging them to be mindful of the core objective of the sAIIG Program which is to demonstrate to the communities that neighbourhood sewerage systems are an effective way to solve sanitation needs in urban.

Reference for verification activities are appraisal of Detailed Engineering Design (DED), and baseline survey data. DEDs appraisal has been conducted by consultants on package W254.01.

The approved beneficiaries from the baseline survey, will be verified by the CPMU, assisted by consultant verification is as a requirement for payment of grants to LGs.

3.2 Expected Outputs

Baseline Survey The primary outputs of the baseline survey will be:

• A compiled dataset of customers to identify location of the property;

• A socio-economic and attitude survey of a 5% sample of the new customers to be connected to the system and of an equivalent sample from a non-connected control group.

• A compiled record of water quality in the aquifers and/or surface water ways in the service areas prior to commissioning of the sewerage systems.

Verification The primary output of the work is verification through survey and evaluation:

• A verification data set on the new service connections which have been installed and have been operating.

3.3 Scope of Activity and Tasks

Baseline Surveys

It is envisaged that background briefing, review and advice will be provided by specialists from the preparation, appraisal and oversight consultants (Packet A) who have detailed knowledge of the works to be implemented. The baseline consultant shall undertake the tasks detailed below.

Task 1 - Mobilisation and Activity Management

At the outset of the activity, the consultant will contact and meet with the Provincial Project Management Unit (PPMU) to establish communication channels. Then the consultant will arrange an inaugural meeting in each city (kota) or district (kabupaten) directly with the representatives of the LG to explain the objectives of



technical assistance and with expected outputs. The meeting should include senior decision makers and the consultant should ensure that there is equal opportunity for male and female government officers to participate and access the information.

The consultant should work closely with the working units and also maintain good coordination and communication with IndII and CPMU throughout the duration of the activity. The working units will assist the consultant with obtaining formal licenses and clearances from all levels of government necessary for conducting its activities under this assignment.

While the consultant does not need to be based in the city/district, the consultant will ensure that the activity manager will be contactable and responsive at all times throughout the conduct of the preparation, appraisal and implementation work package.

The consultant is encouraged to make use of information technology systems for the surveys which will also enable real time monitoring of implementation progress by IndII and CPMU as well as the consultant.

Task 2 – Property Identification Survey The consultant will conduct a property identification survey to confirm the designated areas for the sewerage system, including number and locations of proposed household connections and their locations. The house positions and existing nearby roads should be plotted on the base maps provided by the detailed engineering consultants. Key Elements of the Identification Survey

• The survey will focus on identification of proposed new household connections in the targeted area. The survey will collect information of: name of house owner and occupier, address of property, willingness to connect to the sAIIG program.

• Identification survey will identify the location of targeted Households using a proprietary hand held geographical positioning system (GPS) technology and software to produce geographical co-ordinates and visual identification of the targeted house/beneficiary using digital imagery.

• The database should integrate geographical positioning data, digital imagery, and locality on a (google map) or similar.

The final outputs of the database of the Technical survey will be: (i) Number of households in each city complete with GPS location, unique identifying code, visual image, and map location; (ii) Numbers of respondents willing and unwilling to connect. The Consultant will provide the data and database with visual user interface software to interrogate and access household data, and to readily indicate location of households.

The target number of connections in the designated areas for each participating LG is tabulated in Annex 2. While the overall target of approximately 65,000 property connections and the number of LGs is fixed, the information on the number of connections in each LG is tentative and subject to confirmation by the LGs once their grant project plans are completed. The identified LGs have been grouped into two categories: confirmed and interested.



The baseline survey consultant is requested to assume that overall 65,000 connections will be built in the identified LGs but the actual number of connections in each LG is subject to variation. It is noted that the interim solid waste transfer stations are not included in this task.

The collected information is to be compiled and catalogued into a database for each city/district and also presented on the base maps mentioned above. The use of preferred. Alternatively, the consultant may prepare other types of base maps in digital format such as licensed “Google maps professional” marked with the GPS coordinates that allow re-tracing of the household positions for the purpose of future verification or re-identification.

Task 3 –Socio-economic and Attitude Survey

The consultant will conduct a socio-economic survey of a sample of the customers in each city/district. The information will be used as reference indicators for future monitoring and evaluation of the benefits of the grant program. The attitude profiles will also be used to evaluate the LGs’ responsiveness to gender and disability issues in the implementation of the sAIIG Program.

The profiling will be based on socio-economic and attitude surveys of a randomly selected sample of customers within the designated service areas. The number of households to be surveyed in each participating LG area is also presented in Annex 2. approximately, 5,000 households are to be surveyed as part of the target group under this assignment.

In addition, the consultant will conduct the same socio-economic survey on a control group which will be selected from a community with similar conditions as the target group – comparable socio-economic level, state of environment and water needs. The control group sample size will be the same as that of the combined target groups within the LGs; 5,000 households for this assignment.

The consultant will be responsible for quality control of the data collection. This will include the management and supervision of the interviewers. The field supervisors should check randomly whether the interviews are done properly and verify the results by revisiting at least five percent(5%) of respondents. Gender and disability inclusiveness training should be included when conducting training for the interviewers to ensure that they comprehend poverty, gender and disability problems regarding access to water services.

On completion of the interviews, the consultant will ensure that data from the field is entered into a standard format data packages and the data should be checked for consistency.

The consultant will need to develop a database suite to store and analyse all the data from the field. The data compilation should be in such a way as to enable evaluations and conclusions to be performed aggregated for all customers combined or separately on a gender basis. The databases should be created with commonly available software used in the social-engineering sectors and must be flexible as they will be employed for monitoring, evaluation and verification of the Water Hibah Program. The cross-cutting data may be needed to support the analyses of the program. The technical proposal should include an outline of the database that the consultant intends to use.



Task 4 – Water Quality Sampling and Testing

The consultant will conduct water quality sampling and testing program comprising surface and/or groundwater water quality parameters (BOD and E.coli) which will be used as indicators for monitoring and evaluation of the benefits of the schemes. The survey will comprise four episodes (3- monthly) of daily measures over a 4-day period which will be repeated four times in a 12-month period to form an annual benchmark level. The number of episodes may be reduced when commissioning of the sewerage systems is within 12 months of commencement.

The locations for the water quality survey will be determined by provided by the preparation, appraisal and oversight consultants (Activity W254.01). These will typically be located upstream and downstream of the service area. For budgeting purposes it has been assumed an overall target of 1,500 samples for budgeting purposes. It is noted that any interim solid waste transfer stations are also included in this task.

The consultant shall review and interpret the findings of the water quality testing program and shall present the findings in a compiled report at the completion of the program. Task 5 – Reporting

The consultant shall prepare the reports listed in Section 4. All reports should be submitted to IndII as drafts for review before finalization. The consultant may also requested by IndII to make a presentation of the drafts before finalization.

Verification

The following description of the scope of activities is for one package and applies equally to both. The location of the LGs is the only difference. The consultant shall undertake the tasks detailed below.

Task 1 - Mobilisation and Activity Management

From outset, the consultant will contact and meet with the Provincial Project Management Unit (PPMU) to establish communication channels. Then arrange an inaugural meeting in each city (kota) or district (kabupaten) directly with the representatives of the LG explaining the objectives of technical assistance and expected outputs. The consultant should invite senior decision makers ensuring equal opportunity for male and female government officers to participate and access information.

The consultant will liaise with Bappeda and the LG to establish a key unit for liaison with local agencies throughout the activity. The working unit should assist the consultant with obtaining formal licenses and clearances from all levels of government necessary for conducting its activities under this assignment.

The consultant should work closely with the working units and also maintain good coordination and communication with IndII and CPMU.

While the consultant will not necessarily be based in the city/district, they will ensure that the activity manager will be in contact and responsive at all times throughout the preparation, appraisal and implementation work package.

Task 2 – Governance Development and Target Setting The consultant will review the current institutional framework and plans for change to support the management of sanitation. Guidance will be provided to each LG in



relation to required improvements in governance arrangements and assist the LG in preparing the nominated organisation for the start of operations. In addition, the consultant will help the LG to establish governance targets which will be used for compliance monitoring during the verification stage. The support requirements are detailed below.

a) Institutional framework development The following points to be noted.

• Confirm that a dedicated organisation for the management and operation of sanitation services been set up by the LG and the type of organisation proposed (UPTD, BLUD or PD or a clearly defined division of the PDAM) should be clearly identified.

• Has an implementation schedule been drawn up and budget allocated for the necessary preparatory work including drafting of the necessary documentation for the establishment of the legal entity or unit and the associated policies and regulations including those pertaining to the connection of households/properties to the sewerage system?

• Is a tariff study planned and if so is there a schedule for its implementation?

b) Organisational preparedness and operations start up The following points to be noted.

• Develop position descriptions and schedules for key management and operational staff recruitment.

• Prepare, allocate and monitor an operational budget during the period of the grant project.

• Identify the preferred mode of operation for the sewerage system and establishment articulated in an action plan and schedule. Some options may include the operation of in-house staff or outsourcing to contractors.

• Identify organisational improvements through the development of plans and schedules for implementation. These may include staff motivation and incentive plans, enhanced customer service, innovative culture, skill development, enhanced transparency, e-procurement and equal gender opportunities.

• Ensure that the planned grant project is consistent with the City Sanitation Strategy and align with the sAIIG funded project directions.

c) Governance target setting The consultant will assist the LG to set its achievement targets for parts (a) and (b) above which the LG will have to meet by the end of the grant project period. Two year grant projects or two-year schedule projects require intermediate progress targets. The consultant will need to communicate with LG that meeting such intermediate and final targets is critical to ensuring payment in full for completed works under the grant.

Task 3 – Verification The Consultant is required to recommend the number of connections that are eligible for sAIIG payments. The consultant tasks are:

• Coordinate with PIU/PPMU on the available data of house connections planned



to be financed through a grant program (refer to the Baseline Survey for list of potential house connections in each city/district kota/kabupaten).

• During coordination with PIU/PPMU, the Consultant will also monitor and evaluate the progress of household connections installed in each kota/kabupaten. Also to maintain and update the database of all new household connections to contain relevant information and data.

• Assess promotion strategy by LG to attract new customers to connect and conduct a Customer Satisfactory Survey using a sampling method.

• Confirm every household for which the LG has claimed a new connection. The Consultant should also confirm directly with the householder that: (i). sAIIG connection has been installed and working satisfactorily; (ii) the connection has been operating; (iii) all new connections installed have met the technical criteria as set out in the Project Implementation Manual (PMM).

Task 4 – Reporting The consultant shall prepare the reports listed in Section 4. All reports should be submitted to IndII as drafts for review before finalisation. The consultant may also requested by IndII to make a presentation of the drafts before finalization.

4. REQUIRED DELIVERABLES

The consultant shall submit to IndII the following deliverables:

• Inception Report – This report should be brief covering the work plan, survey methodology, current status of implementation, description of the approach strategy, recommendations for improving implementation, and resourcing and staffing arrangements and activity schedule. It should also review the results of the FY2012 appraisal to inform the progress and learning from the project. The report should be submitted to IndII and CPMU within four weeks after project commencement. The consultant will make a brief presentation of the report to IndII and CPMU.

• Property Identification Survey Reports – A baseline report of the customers surveyed is to be prepared for each LG. The report should cover the methodology for the survey, the data and information collected under Baseline Surveys,Task 2 and commentary on the findings and any issues that arose during the survey. These reports will need to be disseminated to the respective LGs, as well as the CPMU and IndII for review.

• Social-Economic Baseline Survey Reports – A baseline report on the findings of the socio-economic and attitude survey is to be prepared for each LG. The report should cover the methodology for the survey, the data and information collected under Baseline Surveys Task 3, analysis and interpretation of the data including commentary on on any implementation issues that arose during the survey so that they may be used to improve such surveys in the future, and any cross cutting issues, such as gender impacts, should be highlighted. These reports will also need to be disseminated to the respective LGs, as well as the CPMU and IndII for review.

• Water Quality Baseline Reports – Report on the findings under Task 4, including the compiled data and analysis of the water quality in each service area. As with the baseline reports, these reports will also need to be disseminated to the



respective LGs as well as the CPMU and IndII for review.

• Monthly Management Reports – brief monthly reports summarizing work progress, issues and remedial actions taken or suggested. These shall be submitted to IndII.

• Activity Completion Report – a report comprising two parts; activity completion document which complies with the IndII M&E Framework IndII Gender Strategy and IndII Risk Management Plan by providing evidence of defined outputs and indicators; and an abridged document providing, in brief, an overview of the activity including the overall assignment, findings, the relevance and implications for future project implementation using this sAIIG approach, and follow up actions for each participating LG. The Activity completion Report should also include a discussion of the national level perspectives and significance of what has been found. It shall be submitted initially in draft format two months prior to assignment completion. The format and structure of this report shall be in accordance with IndII requirements.

The abridged document should be not more than 6,000 words in length should be written so that it is understandable by a wide range of expert and non-expert readers and it should be suitable for uploading to the IndII website. The consultant will also prepare a PowerPoint presentation for use by the consultants, IndII and DFAT.

All reports will be provided in electronic copy format. However, the consultant will provide hard copies of the draft reports if requested by IndII. The language for the reports will be English. In addition, the consultant will provide translations of the final reports and PowerPoint presentation into Indonesian.

The monthly management reports and the activity completion reports are to be prepared in the standard IndII format1, but may be adapted to suit the activity.

The consultant will provide five printed copies of all of the final reports. Final versions of maps will be provided in editable digital formats as well as hard copy.

5. ESTIMATED INPUTS AND TIMING

5.1 Resourcing

The consultant is to submit details of the proposed resourcing in the tender technical proposal. It is envisaged that the consultant will propose a core team of specialists and several field teams mobilised on a regional basis. Indicative specialist skills that may be required are included in Section 6.1 below.

5.2 Timing

The duration of the full assignment is expected to be 13 months, commencing in January 2016. As the confirmation and identification of all of the LGs is still in progress, the availability of the final data including number of connections from the LGs and cannot be precisely provided.

The consultant will therefore need to have a flexible schedule for mobilising field teams. It is important that the consultant prioritise those LGs not confirmed to date.

1 IndII Monitoring and Evaluation Plan Final June 2009 (www.indii.co.id/mon-eval)

http://www.indii.co.id/mon-eval



To achieve project targets within timeframe the consultant must have sufficient personnel and resources to place more than two teams in the field simultaneously.

6. KEY PERSONNEL AND ORGANISATIONAL ARRANGEMENTS

6.1 Personnel

It is envisaged that the consultant team will require, at a minimum, the following expertise:

• Team Leadership

• Socio-econmic survey design and implementation

• Water quality sampling and evaluation

• Statistical and/or database analyses

• Social and gender inclusivity

• Municipal Sanitation engineering (collection and treatment)

International Experts to be at ARF C3 or B3 level.

Team Leadership: this person could be any of member of the team. He/she should have at least 10 years relevant international experience in similar works, and with necessary qualifications to serve as a Team Leader. He/she must have experience in project management of teams comprising several work groups and should also have worked in Indonesia or at least the region. Monitoring and evaluation experience would also be valuable.

Socio-economic survey implementation: this person should have at least 5-7 years of experience in planning and conducting socio-economic and attitude surveys for sanitation or water supply projects, including management and quality control of field teams. Typically, the field teams to be managed by the specialist should include, but should not be limited to, field coordinators, interviewers and data entry and processing persons.

Water quality sampling and evaluation: this person should have at least seven years relevant experience in of the planning, design and implementation of field sampling for water quality testing and should be capable of supervision or overseeing the field teams and interpret the results.

Statistical and/or database analyses: the person should have at least five years experience in developing databases, managing, compiling and analysing results of socio- economic field surveys. He/she should have a capability of data processing and analyses by using appropriate application software.

Social and Gender Inclusivity: the nominated person should have at least seven years relevant experience in preparing, evaluating and assessing gender and social inclusivity for water supply and/or sanitation projects (preferably), or at least infrastructure projects in general. Preference will be given to candidates with experience on projects in Indonesia.

Municipal Sanitation Engineering: A professional engineer/s with at least 10 years relevant international experience in similar work. S/he should have proven technical experience in wastewater projects, including planning, design and implementation of small-scale distribution and treatment systems. Monitoring and evaluation experience would also be valuable.



This list is indicative only. It is the consultant’s responsibility to propose a team with specialist skills to respond to the particular planned approach and achieve the required deliverables successfully and on schedule. The consultant will need to plan for and provide personnel with relevant expertise and experience in meeting directly with heads of LGs and confident in supporting LGs to implement the project. All specialist consultants engaged should be fluent in written and spoken English.

6.2 Organisational Arrangements

The proposed organisational arrangements and locations of field offices will be up to the consultant, but should take into account the effectiveness and efficiency of performing the tasks. The consultant is to nominate its team and resourcing schedule to meet its proposed approach and methodology for achieving the outputs and outcomes of the project/activity and meeting on the target schedule.

6.3 Coordination and Control

The consultant, in implementing the contract, will be responsible directly to the Technical Director of Water and Sanitation IndII, or to an officer designated by the Technical Director, for the performance of the services. The consultant will nominate one person to be the contact person for the duration of the contract implementation period.

The consultant will also be required to co-ordinate with the CPMU, PPMU, LGs through the Project Implementation Units, and the LGs throughout the implementation period. The arrangements and procedures for coordination will be clarified during contract negotiations.

7. GENERAL ISSUES

7.1 Language

Official correspondence shall be in either English or Indonesian as appropriate.

7.2 Task Completion Approval The acknowledged acceptance by the Technical Director Water and Sanitation, of an electronic file copy of all reports will be considered an appropriate completion of the tasks or deliverables.

7.3 Gender and Disability Inclusive Approaches

The consultant will need to be fully aware of gender and disability matters2 when undertaking consultations, preparing designs and implementing the baseline surveys. Legislation has recently been enacted in Indonesia to protect the rights of women and support the country’s move towards an increasingly democratic and civil society. The Technical Guideline of INPRES 9/2000 is considered to be the key reference document for the implementation of gender mainstreaming in national development. Indonesia has also signed the United Nations Convention on the Rights of Persons with Disability on 31 March 2007.

2 Reference to DFAT Gender Guidelines: Water Supply and Sanitation – Supplement to the

Guide to Gender and Development – March 2011, updated April 2005, and IndII’s Gender Strategy and Plan (www.indii.co.id/gender)

http://www.indii.co.id/gender



DFAT’s Country Program Strategy3 also identifies a number of cross-cutting issues that need to be addressed as part of the implementation of all DFAT activities in Indonesia. Among these is gender in development issues and development for all principles which will be verified through data collected from the meeting records and community socialization sessions.

In the spirit of DFAT’s policy, the consultant will embrace gender and social inclusivity in the design of the socialization sessions. The consultant should also ensure equal opportunity between men and women for participation in such sessions.

3 Country Program Strategy



ANNEXES TO SCOPE AND PROGRAM OF THE SUB-CONSULTANCY SERVICES ANNEX 1 – ACRONYMS USED ANNEX 2 – LIST OF PARTICIPATING LOCAL GOVERNMENTS ANNEX 3 – INDII ACTIVITY REPORT TEMPLATE ANNEX 4 – GUIDELINES FOR FULFILLING COMMUNICATIONS

RELATED DELIVERABLES ANNEX 5 – ADVISER PERFORMANCE ASSESSMENT

ANNEX 6 – INDII INITIAL ENVIRONMENTAL MANAGEMENT PLANNING

CHECKLIST

ANNEX 7 – KEY PERSONNEL SCHEDULE ANNEX 8 – STAFF SCHEDULE ANNEX 9 – WORK PLAN



ANNEX 1

ACRONYMS USED

Acronym Description AMDAL Analisis dampak lingkungan (environmental impact assessment process) BAPPEDA Badan Perencanaan Pembangunan Daerah (Regional Development Planning Agency) BPPSPAM Badan Pendukung Pengembangan Sistem Penyediaan Air Minum CBO Community based organisation CPMU Central Project Management Unit DAK Dana Alokasi Khusus (Special Allocation Fund) DGHS Directorate General of Human Settlements (Ditjen Cipta Karya) EOI Expression of interest

FY Fiscal year GDP Gross domestic product GoA Government of Australia GoI Government of Indonesia IndII Indonesia infrastructure initiative LG Local government M&E Monitoring and Evaluation MBR Masyrakat Berhasilan Rendah ( Poor Households) MoF Ministry of Finance MPW Ministry of Public Works NGO Non government organisation NAP National action plan O&M Operational and maintenance PDAM Perusahaan Daerah Air Minum (Local government-owned water company) PDPAL Perusahaan Daerah Pengelola Air Limbah (Local government-owned waste water company) PPH On-granting Agreement (Perjanjian Penerusan Hibah) PPMU Provincial Project Management Unit RFT Request for tender RPJMN National Medium Term Development Plan 2005–2009 TD Technical Director (IndII) TOR Terms of reference USAID United States of America Agency for International Development Water Water supply and sanitation WSI Water and sanitation initiative



ANNEX 2

LIST OF PARTICIPATING LOCAL GOVERNMENTS

Identified confirmed and interested additional LGs and the balance to the target number of LGs and house connections are tabulated below.

No. ProvinceDistrict/Town

(Kabupaten/Kota) Property Identification & Verification Surveys

Socio Economic SurveySample size & Control Group

Confirmed Local Governments1 Sumatera Utara Kota Medan 3,000 2 Sumatera Utara Kota Tebing Tinggi 800 3 Sumatera Utara Kota Tanjung Balai 828 4 Sumatera Barat Kota Pariaman 600 5 Sumatera Barat Kota Sawahlunto 650 6 Jambi Kota Sungai Penuh 400 7 Bengkulu Kab Rejang Lebong 200 8 Sumatera Selatan Kab Musi Banyuasin 3,000 9 Sumatera Selatan Kab. Muara Enim 400

10 Sumatera Selatan Kota Palembang 2,000 11 Bangka Belitung Kab Bangka Tengah 200 12 Bangka Belitung Kota Pangkal Pinang 650 13 Banten Kab Serang 2,580 14 DKI Jakarta Kab Admin Kep Seribu 1,000 15 Jawa Barat Kota Cimahi 5,000 16 Jawa Barat Kab Sumedang 1,000 17 Jawa Tengah Kota Tegal 400 18 Jawa Tengah Kab Kebumen 700 19 Jawa Tengah Kab Sukoharjo 460 20 Jawa Tengah Kota Surakarta 1,500 21 DI Jogjakarta Kota Jogjakarta 3,089 22 Jawa Timur Kab. Ngawi 3,800 23 Jawa Timur Kab. Bojonegoro 1,050 24 Jawa Timur Kab. Gresik 3,750 25 Jawa Timur Kab. Probolinggo 500 26 Kalimantan Timur Kota Balikpapan 1,000 27 Kalimantan Timur Kota Bontang 1,200 28 Kalimantan Timur Kota Tarakan 2,100 29 Kalimantan Selatan Kota Banjarmasin 1,930 30 Kalimantan Selatan Kab. Banjar 825 31 Kalimantan Selatan Kab. Hulu Sungai Selatan 1,970 32 Sulawesi Utara Kota Bolaang Mongondow Utara 1,200 33 Sulawesi Utara Kota Kotamobagu 1,000 34 Sulawesi Utara Kota Manado 2,424 35 Sulawesi Utara Kota Minahasa Utara 2,800 36 Sulawesi Barat Kab. Polewali Mandar 1,200 37 Sulawesi Selatan Kota Makassar 1,520 38 Sulawesi Selatan Kab Maros 1,750 39 Sulawesi Selatan Kab. Kepulauan Selayar 2,600 40 Maluku Kota Ambon 600 41 Bali Kab. Karangasem 200 42 NTB Kota Sumbawa barat 200

Sub Total 62,076

Interested Additional Local Governments43 Jawa Barat Kota Bandung 1,200 44 DI Jogjakarta Kab Bantul 1,000 45 DI Jogjakarta Kab Sleman 1,200



ANNEX 3

INDII ACTIVITY REPORT TEMPLATE

Activity Completion Report • To enter data in cells, click inside the grey-shaded section and key in your data; the table

cells will expand to fit contents. • Program Officers’ assistance might be required to complete some data in cells. • Each IndII Activity Completion Report should be a maximum of ten pages, plus attachments

where necessary. • For the description of short, medium, and long term outcomes, please refer to the Logic

Model developed for the activity 1. Activity Summary

Activity title

Activity number

GoI partner organisation(s)

Other key stakeholders

Date of commencement Date: SELECT MONTH SELECT YEAR

Expected completion date Date: SELECT MONTH SELECT YEAR

Actual completion date Date: SELECT MONTH SELECT YEAR

1.1 M&E Snapshot4 Short-Term Outcome

IndII PO to Insert colour

Output

1.2 Executive Summary

2. Activity Description 2.1 Provide a brief description of the Activity based on the Activity Design. In short, what is the

Activity trying to achieve? (Include goal, key outcome(s), outputs and activities planned to achieve the desired result).

4 The IndII PO is to complete this table following analysis of the report and associated documents.



3. Activity outputs achieved 3.1 Report on all the outputs achieved against Activity Design/Logic Model (for example, number of training workshops delivered, policy document prepared - number and

reach etc.)

Outputs Indicators Reasons for Achievement or Non-Achievement (discuss number and reach)

Reference or Link to Evidence (i.e. where can

we find documents?)

Progress - Colour



4. Outcomes achieved by completion of activity 4.1 Report on all outcomes achieved against the Activity Design (e.g. policies adopted, capacities adopted, improved services/systems etc.) using the following headings.

Please refer to the Logic Model for this activity.

Outcome Statement(s) Indicators Analysis and Discussion of Outcome Achievement/ Non-

Achievement

Reference or Link to Evidence (i.e.

where can we find documents?)

Progress - Colour



4.2 Outline the key factors supporting the success of activity implementation (e.g. what worked well and why)?

4.3 Report on any significant challenges or issues that influenced the non-achievement of outputs/outcomes. How did you address these?

4.4 Were there any unexpected outcomes or results that impacted the Activity in a positive or negative way? If so, please provide an outline and analysis of their influence and impact.

4.5 Provide an outline of the major contextual factors that influenced the achievement/non-

achievement of the Activity's outputs/outcomes. Did the "context" in which the Activity operates influence the relevance of the Activity in any way? How?

4.6 Describe how the activity ensured appropriate gender and other social inclusiveness measures were incorporated into activity implementation? (that men and women had an equal opportunity to participate, and to take leadership role(s); or benefit in any other way and outline any policy or document(s) produced or published by the activity that reflect gender perspectives).

4.7 Are there any other relevant management or technical issue(s) that need to be noted?

5. Expected Long-Term Benefits and Sustainability 5.1 During the next two-three years, what benefits would you expect to see continuing as a result of the

activity? (Note: Evidence of claims is not required, but an effort should be made to support claims with a description of factors that are in place and that could reasonably be considered to result in the expected benefits or impacts.)

5.2 What potential long-term benefits do you expect with regards to gender and other social

inclusiveness aspects? Explain why you think this.

6. Risk Management 6.1 Did any risks originally identified in the Activity Design occur? If yes, were the proposed

strategies also identified in the design appropriate to mitigate these risks? Was there any change in risk management strategies?



7. Lessons Learned 7.1 Identify key lessons learned (include lessons for this activity, as well as broader key lessons for

overall IndII program. 7.2 Indicate how relevant key lessons have been responded to and/or disseminated to key

stakeholders.

8. Budget 8.1 Please attach a detailed breakdown of the Activity budget including - planned costs/budget (using

approved budget figures), actual expenditure and discussion of variances of greater than 20% (under-or-over spent)?

9. Recommendations for Further Engagements 9.1 Describe what further engagement in the area of this activity would be beneficial to the GoI; and

what needs to be considered in relation to risk management in any such future engagement.



ANNEX 4

GUIDELINES FOR FULFILLING COMMUNICATIONS RELATED DELIVERABLES

Standard communications requirements include:

• Photographs: A minimum of 6 high-resolution photographs suitable for use in IndII communications efforts. Consult guidance below. Ideally, photos should support DFAT policies with respect to gender equality and disabilities – photos of women or the disabled in “take-charge” roles (or of men doing activities stereotypically associated with women) are especially welcome.

• Reports: The final completion report should be suitable for uploading to the IndII website, and prefaced by an Executive Summary. See guidance below.

• PowerPoint presentations: A PowerPoint presentation should be submitted summarising key issues being addressed, and key findings/recommendations. See guidance below.

• Briefing notes: The consultant will submit briefing notes (number and substance to be determined after discussion with Technical Director) designed to give decision-makers in the Indonesian government an easy-to-digest but technically sound message, based on the activity and findings, that will help them better understand their policy options and the ramifications of their decisions. See guidance below.

Guidelines for Providing Photographs

Photographs should be high-resolution (in other words, photos taken with mobile devices are usually not of adequate quality) and provided as separate jpg, gif, tiff, png or bmp files – not embedded in Word or other files. When possible, the photos should be taken outside of Jakarta and should show beneficiaries of IndII activities (if you take pictures of children, obtain permission from the parents). Be on the lookout for opportunities to support DFAT policies with respect to gender equality and disabilities – photos of women or the disabled in “take-charge” roles (or of men doing activities stereotypically associated with women) are especially welcome. If taking photos at events, try to get close-ups of speakers or reaction shots, rather than photos of a lot of people sitting at tables.

Guidelines for Preparing Reports and PowerPoints

1. Templates for Reports and PowerPoints

All reports and PowerPoint presentations need to be developed using an up-to-date version of the relevant template. Fresh copies of the templates for final, inception and interim reports, as well as for PowerPoint, should be obtained from the Program Officer. Do not rely on old versions of the templates as these may not reflect current Australian Government rules for branding. Templates should not be modified in any way and reports should not include the consultant’s logo. Reports should be submitted as a Microsoft word document (not a PDF).



2. Style guide

All reports and documents prepared for IndII, GoI agencies or DFAT are subject to an internal edit by IndII staff so that they conform to the IndII Style Guide. A copy of this guide can be obtained from the Program Officer or IndII’s communications team.

3. Language

The language for all reports will be English. The consultant will provide translations into Indonesian of all documents that will (or have the potential to) be included in subsequent government legislative and policy documents. All official correspondence shall be in both languages. Names of recommended translators are available from the IndII communications team, as is a technical glossary offering recommended Indonesian translations for some of the technical terms IndII uses.

4. Table of Contents

The table of contents should list all sections (topical headings) within the report with the corresponding page numbers.

5. List of Figures and Tables

This list should include the name of each individual figure and table with the corresponding page number. Figures and tables should be listed in the order in which they appear in the report.

6. Annexes

Annexes should include necessary supporting data, presentations, project correspondence and related content. If they are needed in the report, the project’s scope of work/terms of reference should be included as an annexe instead of including in the body of the report.

7. Acronyms

All reports – final, inception, interim etc. must include a list of acronyms.

8. Executive Summary

All final consultant reports must include an Executive Summary. The consultant will provide the ES in both English and Indonesian. This is a brief overview of a report designed to give readers a quick preview of its contents. Following are guidelines while writing an executive summary:

• The length of an executive summary will vary depending on the size of the report. However, as far as possible, an executive summary should be no longer than 10 percent of the entire report.

• An executive summary can be organised into paragraphs using information in the same sequence as contained in the report. An executive summary will have the issue/problem



and purpose in the first paragraph. The project’s scope and limitations as well as the procedures to carry out the activity will go in the next paragraphs. The significant considerations, analysis, recommendations and key conclusions will comprise the final paragraphs.

• An executive summary should not contain information that is not presented in the report, rather consolidating key concepts in a concise manner.

• Executive summaries should be able to communicate independently of the report.

9. Introductory Chapter/Terms of Reference

Do not restate the Terms of Reference (TOR) in the body of the report. If the full TOR or a detailed summary is necessary, put it into an annex.

10. Key Points

All final reports should be accompanied by a short list of key points suitable for use by the Facility Director in a covering letter to transmit the report to IndII counterparts such as Government of Indonesia officials. These may be identical to the key points in the PowerPoint presentation.

Guidelines for PowerPoint Presentations

If possible, minimize the amount of text on individual slides. As Microsoft advocates: Creating slides that grab viewers’ attention is not about fitting as much as you can on the screen. It's about using the space on your slides effectively. Don't crowd your slides, and only include elements that contribute to the points you want to make. Guidelines for Preparing IndII “Briefing Notes”

IndII “Briefing Notes” are concise documents designed to give decision-makers in the Indonesian government an easy-to-digest but technically sound message, based on IndII activities and findings,that will help them better understand their policy options and the ramifications of their decisions. The Notes are prepared using a standard two-page MS Word template so that they maintain an easily recognised look and feel. There is adequate space in the template for approximately 800 words and one graphic element.

Because the purpose of individual Notes can vary (some Notes focus on clarifying a complex issue while others offer specific recommendations), these guidelines take a modular approach to the content, meaning that authors can choose the most suitable section headings from among a list of possibilities.

Required Elements

• Number (in the banner). To avoid duplication, numbers will be centrally assigned by Communications staff.

• Date (month/year). • High-impact headline. Avoid long-winded, academic-style titles. The headline should state

the central question or problem in simple language. Think in terms of headlines like these:



o “Will xxx Solve Indonesia’s xxx Problem?” o “Does xxx Make Sense?” o “Handling the Deepening xxx Crisis” o “Three Strategies to Promote Better xxx” o “The Key to Improving xxx”

• Key-point statements in the right hand column. These should succinctly state the main thought of the paragraph to the left.

• Contact person with telephone number and e-mail.

Flexible Elements

Authors should choose subheadings from the list below based on which ones are most appropriate to the message being delivered.

The Concern

Other options are: The Issue, The Problem, The Need – or don’t use any subheading on the opening paragraph. Beware of beginning with “Introduction” or “Background”, as these terms are invitations to provide excess detail. The opening paragraph should tell policy makers immediately why the issue is important, not lay out history or platitudes.

The Context

Avoid this section if possible, but if it is not realistic to present technical findings/recom-mendations without giving some background, provide it here.

Progress to Date

Other options are: What’s Been Done So Far, Attempted Solutions, or a topic-specific variation such as “The Current Configuration.” The text under this subheading can be used, if appropriate, to acknowledge existing counterpart efforts to address a problem – something that may be important if political sensitivities are involved.

Best Practice

This is a good way to introduce solutions from the international arena that are recommended for implementation in Indonesia.

Future Concerns

Do not use this heading if it leads to a re-statement of point made in the opening paragraph. Assuming it is not repetitive, text under this heading can describe what will happen if no (further) steps are taken. Alternative headings: if Nothing More is Done, A Growing Crisis, or a topic-specific variation.



Recommendations

Self-explanatory. Not all Notes will need this section.

Expected Benefits

This is a nice follow-up to a “recommendations” section and a positive note on which to end, but if you are afraid of overpromising, alternative possibilities include “Potential Benefits” or even “Pros and Cons” or “More Research Needed.”

Graphic Element or Photo

Include a chart, graphic, or photo if it adds information. Avoid window-dressing; space is too limited to use it on material that doesn’t enhance reader understanding. Photos should most likely be captioned so that they contribute substance.

Style, Formatting and Editing Considerations

• Remember that what you write will be translated into Indonesian by people who are not technical experts in your field. Use simple sentences and everyday vocabulary whenever possible. Complex phrases and esoteric jargon in English will most likely result in difficult-to-understand Indonesian versions that may not preserve your intended meaning or nuance.

• The template is designed to permit technical experts to compose properly formatted Briefing Notes without assistance. However, the Communications Team can help if needed. Ideally, all Notes should be submitted to the Communications Team for a copyedit/style check before being circulated outside IndII.

• The template uses Calibri 10 point font. You may enlarge this up to 12 point if necessary to fill the pages, but do not make it smaller.

• If there is no initial subheading, the first phrase in the opening paragraph should be in all-caps.

• Use book-style capitalization for all titles and headings. (In other words, the first letter of all words should be capital except for prepositions/conjunctions/determiners of four or fewer letters. Common words that are not capitalised are: to, of, from, and, or, but, the, a).

• You may use “%” instead of “percent” as a space-saving measure. • IndII uses British spellings (with an S instead of a Z in words like organise, emphasise,

etc).



ANNEX 5

ADVISER PERFORMANCE ASSESSMENT

Adviser Performance

The Sub-consultant acknowledges and agrees that SMEC / DFAT will undertake an annual Adviser Performance Assessment in relation to this Contract.

The performance assessments will be substantially in accordance with the assessment sheet in Annex 2. The Sub-consultant will sign and return the Adviser Performance Assessment together with any response within 28 days of receipt.



NOTE TO USER: Adviser Performance Assessments are mandatory for all DFAT Adviser engagements, and must be conducted either annually (for engagements longer than one year) or on completion (for shorter engagements). This form is intended to assist and record the assessment of an Adviser. A separate template is used to assess overall performance of a Contractor, available here. The Contractor and Adviser Performance Assessments Guideline provides further information on this process for DFAT staff. This form may be used by DFAT staff or by a Managing Contractor (MC), depending on who is responsible under the Contract for managing the Adviser’s performance. Where an MC conducts the assessment, the DFAT officer responsible for managing the activity must receive a copy and sign it. Where a DFAT officer assesses an Adviser engaged by an MC, the MC must receive a copy and sign it. This ensures all parties are meeting mandatory reporting responsibilities, allows an opportunity to identify current or emerging issues and confirms all parties are aware of the outcome. In all cases, the completed Adviser Assessment must be provided to the Adviser and the Adviser must be given 28 days in which to make written comment and sign the form. Do not use this form to assess the performance of the firm or facility for which an adviser may be working for or contracted to. A separate form for these assessments is available here. There are 6 questions in the assessment sheet. Only answer questions that are relevant having regard to the Adviser’s terms of reference. To obtain an average score in the final question, add all scores together and divide by the number of questions answered. If a score for all 6 questions was entered, the entry for Overall Rating would be the total divided by 6. Answers of “N/A” are not counted – for example, if a score was entered for 6 questions and “N/A” for one, the Overall Rating would be the total divided by 6. The original of the completed assessment can be kept on the activity file. A copy must be sent to [email protected]. NOTE AND PRIVACY STATEMENT FOR ADVISER: You are required to sign this assessment within 28 days of receipt. You are entitled to respond to any issues raised in this assessment. Any responses must be in writing and returned to the party responsible for conducting the assessment (i.e. DFAT or your Managing Contractor) within 28 days of receipt together with the signed copy of the assessment. Failure to respond within 28 days of receipt is deemed to indicate your acceptance of the assessment. DFAT or the Managing Contractor may also seek the views of Partner Government personnel involved in the activity in making this assessment. A copy of this assessment and your response (if you choose to make one) will be provided to the relevant section of DFAT for placement on your performance file and on a performance register available to DFAT staff. Information from the assessment, including your response, can be used by DFAT as part of any future adviser selection process including but not limited to consideration by Tender Assessment Panels convened by DFAT to evaluate tender proposals. The assessment is considered current for a period of five (5) years from the date of signature and may be referred to within that period. Information from the assessment, including your response, may also be provided to relevant Partner Government personnel, only for the purpose of a Partner Government managed procurement exercise using DFAT funds.

http://www.ausaid.gov.au/business/performance.cfm

http://www.ausaid.gov.au/business/performance.cfm

mailto:[email protected]



A consistent record of Very Good to Outstanding performance will be considered highly in future DFAT adviser selections. A record of underperformance (defined as an overall rating of “Less than Satisfactory” or below in any DFAT activity over the past five (5) years or equivalent assessments from other referees/employers) will be taken into account if you are considered for future work with DFAT. DISPUTES: If an adviser disputes any ratings or comments, the DFAT Agreement Manager or Managing Contractor who conducted the assessment will escalate the assessment to the responsible Director or Counsellor for the DFAT – Australian Aid Program. DFAT will make all reasonable attempts to resolve disputes at this level before the assessment is finalised. DFAT – Australian Aid Program’s complaints policy may be used where attempts to resolve disputes are unsuccessful. Further information on handling disputes is available for DFAT staff in the Contractor and Adviser Performance Assessments Guideline.



Adviser Name: Adviser Firm or Facility: Activity: Agreement No.: ARF level:Choose from list Activity Manager: Country: Engagement Period from until Assessment date: Nature of Assignment:

Adviser performance ratings

1 Very Weak Serious underperformance, not meeting most contract/terms of reference deliverables 2 Weak Major effort needed to improve delivery of core responsibilities identified in the

contract/terms of reference; DFAT very hands on in managing areas where contractor is not delivering

3 Less than satisfactory

Effort needed to improve delivery of one or more core responsibilities identified in the contract/terms of reference

4 Satisfactory Minor effort needed to improve delivery of some areas of responsibility identified in the contract/terms of reference

5 Very Good All responsibilities identified in the contract/terms of reference delivered efficiently and effectively

6 Outstanding All responsibilities identified in the contract/terms of reference delivered with a high degree of efficiency and effectiveness, efficiently, and proactive steps taken to achieve outcomes above and beyond identified responsibilities

Assessment Criteria Performance Rating* Comments* 1 Understanding of the requirements of

Terms of Reference or Scope of Services Choose from list

2

Awareness and response to assignment risks, issues and problems

Choose from list

3

Effectiveness of communications with counterparts, DFAT and other stakeholders

Choose from list

4

Responsiveness to requests and instructions

Choose from list

5 Quality of contract milestones & deliverables (including reports, assessments & advice)

Choose from list

6 Assignment completed within time and budget

Choose from list

7 Overall rating (average of all scores) Choose from list - round * Ratings of 1 (Very Weak), 2 (Weak), 3 (Less than Satisfactory) or 6 (Outstanding) must be supported by further comments.

Assessed by Facility Representative

Assessed by DFAT Representative

Adviser Name

David Ray Date: Date: Date:

Signature

_______________________

Signature

_______________________

Signature

_______________________



ANNEX 6

INDII INITIAL ENVIRONMENTAL MANAGEMENT PLANNING CHECKLIST The table below is generic in character and aims to canvass the steps in IndII activities’ environmental planning with broad overarching questions. It is expected that different activities may require a further interpretation and, in some cases, a more specific and tailored approach.



ANNEX 7

KEY PERSONNEL SCHEDULE



ANNEX 8

STAFF SCHEDULE



ANNEX 9 WORK PLAN



SCHEDULE 3

FACILITIES AND EQUIPMENT TO BE PROVIDED BY SMEC

and

FACILITIES AND EQUIPMENT TO BE PROVIDED BY THE SUB-CONSULTANT

The Sub-Consultant will provide the necessary facilities and equipment.



SCHEDULE 4

PAYMENT TO THE SUB-CONSULTANT

1. MAXIMUM AMOUNT PAYABLE

1.1. The total maximum payable of this Contract is AUD ......... excluding GST.

2. BASIS OF PAYMENT

2.1. The maximum amount payable outline in Clause 1.1 of this Schedule 4 is comprised of the following elements:

(a) Management Fee (see Clause 3); and

(b) Reimbursable Costs:

(i) Long Term Adviser Costs (see Clause 4);

(ii) Short Term Adviser Costs (see Clause 5);

(iii) Adviser Support Costs (see Clause 6);

(iv) Operational Cost (see Clause 7)

2.2. SMEC shall not be liable for any Cost or expenditure incurred by the Contractor in excess of the amount specified in Clause 1.1.

2.3. The total amount payable is summarised in Table 1 below.

Table 1: Maximum Amount Payable

Item Total amount payable (AUD)

Management Fee (Clause 3 and Annex 1) ........... Long Term Adviser Costs (Clause 4 and Annex 2) ……… Short Term Adviser Costs (Clause 5 and Annex 3) ........... Adviser Support Costs (Clause 6 and Annex 4) ……… Operational Cost (Clause 7 and Annex 5) ………

TOTAL AMOUNT PAYABLE ...........

3. MANAGEMENT FEES

3.1. The maximum amount payable to the Sub-Consultant in Management Fee shall not exceed the sum of AUD ......... (excluding GST).

3.2. The Management Fee should include the Sub-Consultant profit and operating overhead costs associated with providing the Services. SMEC will pay the Management Fee based on Clause 3.3 below and in accordance with Annex 1 of Schedule 4. The Management Fee is fixed and is payable against the satisfactory achievement of Milestones as detailed in Clause 3.4 – 3.5 below.



3.3. The Management Fee comprises (but will not be limited to):

(a) All personnel costs (except for approved Long and Short Term Personnel costs as per Annexe 2 and 3 to this Schedule 4, which shall be separately reimbursable in accordance with Clause 4 and 5 of this Schedule 4);

(b) All necessary communication costs;

(c) All aspects of profit, including commercial margins/mark-up for all personnel;

(d) All overheads;

(e) Financial management costs;

(f) All management support costs for all personnel, including Long Term and Short Term Personnel (other than that approved as an activity to support Lead Advisers), all locally engaged personnel and all Contractor administrative and high level head office management and administrative staff;

(g) Security costs for all personnel, including any contractor staff, all Long Term and Short Term Personnel and locally engaged personnel that may be appointed in-country;

(h) Insurance costs (including but not limited to, professional indemnity, worker’s compensation, public liability, and any other insurances as required under the Contract or deemed necessary by the Contractor) in accordance with Clause 10 (Insurance) of the Sub-Consultancy agreement;

(i) Taxation, as applicable;

(j) Costs of complying with the Contractor’s reporting and liaison obligations under the Contract;

(k) Any costs associated with personnel recruitment, other procurement and subcontracting any services;

(l) Costs for monitoring & assessment of the quality of activities by the Contractor;

(m) Costs, including domestic and international travel, accommodation, per diems, and local transport costs where required for all Contractor Head Office personnel (other than those listed as Long and Short Term Personnel costs at Clauses 4 and 5 of this Schedule 4);

(n) All escalators for the Term of Contract;

(o) All other costs not specifically identified as Reimbursable Costs;

(p) Allowances for risks and contingencies; and

(q) Any other costs not listed under Professional Fees or Reimbursable.



3.4. SMEC shall pay the Management Fees as follows within thirty (30) days of its receipt of a correctly rendered invoice:

(a) After SMEC’s acceptance of the satisfactory achievement of a Milestone, the percentage of the Management Fees specified in the Milestone table at Annex 1 to this Schedule 4 for achievement of the relevant Milestone (“Milestone Payment”).

3.5. In the event that SMEC learns that a Milestone for which SMEC has already made a payment, has not been achieved to the specifications required by this contract, the amount paid for that Milestone will become an overpayment and will be recoverable.

4. LONG TERM ADVISER COSTS

4.1. SMEC shall reimburse the Sub-Consultant at actual cost up to a maximum of AUD .......... (excluding GST) for Long Term Adviser Costs.

4.2. For each Long Term Personnel, SMEC shall pay the Contractor, monthly on a reimbursable basis in arrears, an all-inclusive Professional Fee detailed in Annex 2 to this Schedule 4, the following item:

(a) The Monthly remuneration Rate in accordance with the Job Level and Professional Discipline Category specified in the position Terms of Reference and calculated in accordance with the Adviser Remuneration Framework. The Monthly Remuneration shall be:

(i) Inclusive of base salary;

(ii) Inclusive of superannuation levy, if any;

(iii) Inclusive of paid annual leave allowances of up to twenty (20) days per annum to accrue on a pro rata basis per twelve (12) months’ continuous engagement

(iv) Inclusive of up to thirteen (13) public holidays per annum as designated by the Australian Embassy in Jakarta, which includes a mixture of Australian and Indonesian holidays;

(v) Inclusive of all escalators for the term of this Contract; BUT

(vi) Exclusive of any profit, overheads, administration or management fee, or any other mark-up/margins on the part of the Sub-Consultant.

(b) Mobility allowance.

4.3. Leave accrued during the assignment for Long Term Advisers shall be deemed to be taken in the 12 months period it falls due and cannot be accumulated or paid out.

4.4. Where Sub-Consultant leave entitlements for Personnel exceed a total of twenty (20) days per twelve month period, a satisfactory justification must be provided to SMEC of how the Contractor will ensure, during Specified Personnel absences, the continued quality of the Services. SMEC will not reimburse leave costs in excess of those specified at Clause 4.2 (a) (iii) and (iv) of this Schedule.



4.5. If a Long Term Personnel member is absent for any period, aside for the periods of leave permitted in Clause 4.2 (a) (iii) and (iv) of this Schedule 4, the Monthly Rate Payable will be adjusted in accordance with the following formula:

Adjustable Monthly Rate = Number of Days Worked x Monthly Rate 30

5. SHORT TERM ADVISER COSTS

5.1. SMEC shall reimburse the Sub-Consultant at actual cost up to a maximum of AUD......... (excluding GST) for Short Term Adviser Costs.

5.2. For each Short Term Personnel, SMEC shall pay the Contractor, monthly on a reimbursable basis in arrears, an all-inclusive Daily Professional Fee detailed in Annex 3 to this Schedule 4, the following item:

(a) The daily Remuneration Rate in accordance with the Job Level and Professional Discipline Category specified in the position Terms of Reference and calculated in accordance with the Adviser Remuneration Framework. The daily Remuneration shall be:

(i) Inclusive of base salary;

(ii) Inclusive of all personnel-related taxes, levies and insurances incurred in Indonesia and Australia, with the exception of GST for services performed in Australia;

(iii) Inclusive of superannuation levy, if any;

(iv) Inclusive of all escalators for the term of this Contract; BUT

(v) Exclusive of any profit, overheads, administration or management fee, or any other mark-up/margins on the part of the Sub-Consultant.

6. ADVISER SUPPORT COSTS

6.1. SMEC shall reimburse the Sub-Consultant at actual cost up to a maximum of AUD ......... (excluding GST) for Support Cost for Short Term Advisers and Long Term Advisers detailed in Annex 4 of this Schedule 4.

6.2. SMEC shall pay the Sub-Consultant, monthly on a reimbursable basis in arrears Adviser Support Costs including the following items:

(a) Any reasonable costs related to security;

(b) Work related travel and accommodation costs at the rates determined by SMEC from time to time;

(c) Reasonable costs for medical insurance;

(d) Fixed, non-acquittable per diems in accordance with the rates prescribed by SMEC for the relevant location for the Short Term Advisers;



(e) Expenses associated with housing Costs for Long Term Advisers. Long Term Advisers with spouses or partners who are already in receipt of an expatriate accommodation allowance will not be eligible to reimbursement for Housing Costs; and

(f) Mobilisation/demobilisation costs for Long Term Advisers including all reasonable one-off costs associated with mobilisation and demobilisation including any necessary medical clearances and inoculations; uplift of effects; passport and visa costs; storage; and the cost of one return international flight from home location for the Long Term Adviser and dependents.

6.3. The cost of any airfares will be reimbursed at the cost of economy class for each flight sector of four (4) hours or less and business class for each flight sector greater than four (4) hours duration. Any travel undertaken at cheaper rates (eg discount fare) does not entitle the Contractor to reimbursement of the cost of any higher class of travel. Travel must be via the most direct and cost effective route. A ‘flight sector’ means from any one flight departure point to any one flight landing point.

6.4. Adviser Support Costs will be reimbursed at cost on a monthly basis in arrears within thirty (30) days of SMEC’s receipt of a correctly rendered invoice.

7. OPERATIONAL COSTS

7.1. SMEC shall reimburse the Sub-Consultant at actual cost up to maximum of AUD ....... (excluding GST) for Operational Costs.

7.2. For the purposes of this Contract, Operational Costs means goods and services such as office rent, outfitting, office furniture, computers, ground transport hire (taxis and vehicle hire when travelling for business within and outside Jakarta), domestic flights and transfers, and associated accommodation and per diem for long-term personnel when away from their permanent base for management purposes, office supplies/stationary, recurrent office costs (phone, fax, printers, papers, photocopier and software), communications (excluding head office and international), promotional events, seminars and activities, personnel training/professional development costs, counterpart support costs, any equipment and utilities and office rent required by the Sub-Consultant for the day-to-day administration of the Activity.

7.3. The Sub-Consultant will be reimbursed at cost on a monthly basis in arrears for items identified as reimbursable detailed in Annex 5 of this Schedule 4, within thirty (30) days of SMEC’s receipt of a correctly rendered invoice. Reimbursement is subject to:

(a) Details of the items purchased or expenses incurred contained in a monthly payment invoice; and

(b) Original receipts and invoices maintained to substantiate any claim.

7.4. The actual cost will be exclusive of any procurement costs, all profits, all overheads, administration or management fee, or any other commercial margins/mark-up on the part of the Contractor, as these costs are assumed to be covered by the Management Fee detailed in Clause 3 above.



7.5. The Sub-Consultant may vary the sums assigned against individual line items within a Category in Annex 6 to this Schedule 4, subject to SMEC approval. Such changes will not require a contract amendment.

8. CLAIM FOR PAYMENT

8.1. The Sub-Consultant’s tax invoices must be submitted when due pursuant to this Schedule in a form identifiable with the Services.

8.2. All tax invoices must include a certification by a Company director of the Sub-Consultant, or their delegate:

(a) That the invoices has been correctly calculated; and

(b) That the Services included in it have been performed in accordance with the Contract;

8.3. All claims for payment must be made out to the SMEC Representative.



ANNEX 1 – MANAGEMENT FEE MILESTONE PAYMENTS

Milestone Deliverables; to a standard acceptable by SMEC % of MF Cost (AUD) Approval

by Due date

1 Deliverable 1: .............

2 Deliverable 2: .............

3 Deliverable 3: ...............

TOTAL



ANNEX 2 – Long Term Adviser Costs5

Position6 Name Number of Months Input

Job Level and Professional Discipline Category7

Monthly Fee

(AUD)8

Mobility Allowance9

(AUD)

Total Remuneration

(AUD)

Total Mobility

Allowance (AUD)

Total Fee (AUD)10

TOTAL

5 Long term position as defined by the ARF – 6 months or greater continuous input 6 Positions of personnel shall coincide with the ones in the Personnel Schedule and Staff Schedule. 7 Only for advisers. The term “adviser” is defined in DFAT’s Adviser Remuneration Framework. Not applicable for national positions. 8 The upper limit is defined here as the market reference point (MRP) as SMEC has no discretion to agree to rates that exceed the market reference point (MRP). 9 Not applicable for national positions 10 Upper Limits Payable = (Monthly Fee + Monthly Mobility Allowance) x Input



ANNEX 3 – Short-Term11 Adviser Costs

Position12 Name Job Level and Professional Discipline Category13

Maximum Input Payable (days)

Daily Fee14 (AUD)

Upper Limits Payable (AUD)

TOTAL

11 Short-term is defined in DFAT’s Adviser Remuneration Framework. 12 Positions of personnel shall coincide with the ones in the Personnel Schedule and Staff Schedule. 13 Only for advisers. The term “adviser” is defined in DFAT’s Adviser Remuneration Framework. Not applicable for national positions 14 The upper limit is defined here as the market reference point (MRP) as SMEC has no discretion to agree to rates that exceed the market reference point (MRP).



ANNEX 4 – Adviser Support Costs – Long Term Advisers15

Position Name Medical Insurance

(AUD)16

Accommodation Allowance

Up to (AUD)17

Mobilisation/ Demobilisation (including airfare, work permits and

inoculations) (AUD)18

Upper Limit Payable

(AUD)

TOTAL

15 Not applicable for national positions. Long term position as defined by the ARF – 6 months or greater continuous input 16 Reimbursed at cost. Not applicable for national positions 17 Reimbursed at cost. Not applicable for national positions. Cannot exceed USD 4,500 per month based on DFAT ARF requirements. 18 Reimbursed at cost. Not applicable for national positions



Short-Term19 Adviser Support Costs

Position Name Return Trips (no.)

Airfares (AUD) 20

Hotel and Per Diems21

(AUD)

Visa and Taxes22 (AUD)

Transfers23 (AUD)

Communication24 (AUD)

Upper Limit Payable (AUD)

TOTAL

19 Short-term is defined in DFAT’s Adviser Remuneration Framework. 20 Airfares for sectors less than 4 hours are to be economy class; sectors greater than 4 hours are to be business class; all reimbursed at cost. 21 Per diem is AUD93; Accommodation is to be AUD181 maximum, reimbursed at cost. 22 Reimbursed at cost. 23 Reimbursed at cost. 24 Lump sum.



ANNEX 5 – Operational Costs25

Description26 Unit

Unit Cost (AUD)

Quantity Upper Limits Payable27 (AUD)

Domestic travel

Communication

Office operational costs

Equipment (computers etc)

Reproduction of reports

Training, workshops and meeting costs

Provisional Sum28 Lump Sum 50,000 1 50,000

Add or delete rows as required

TOTAL29

25 Reimbursed at cost 26 Delete items that are not applicable or add other items as necessary. It is the Tenderer’s responsibility to ensure that all costs are included. 27 Upper Limits Payable = Unit cost x Quantity 28 The Tenderer shall include AUD 50,000 as a provisional sum in their bid for a selection of up to 3 additional local governments and 3,000 households from the remaining interested additional

local governments. Use of provisional sums is subject to approval of the IndII Water and Sanitation Technical Director. 29 Total Reimbursable Costs must be inclusive of all taxes.



SCHEDULE 5

RELEVANT CLAUSES OF MAIN CONTRACT Relevant Excepts from the Main Contract – No. 46379: 7. CONTRACTOR PERSONNEL a. The Contractor must ensure that Contractor Personnel are aware of, and use their best

endeavours to ensure Contractor Personnel comply with, the requirements of the Contract.

b. The Contractor must use their best endeavours to ensure that all Contractor Personnel conduct themselves in a manner consistent with the Public Service Act 1999, and in accordance with APS Values and the APS Code of Conduct.

c. The Contractor must use its best endeavours to ensure that no Contractor Personnel or their

accompanying family members:

(a) become involved in the political affairs of the Partner Country (unless citizens of the Partner Country);

(b) interfere in the religious affairs of the Partner Country (unless citizens of the Partner Country); or

(c) share information known as a result of their work on, or relationship to, the

Project, in a way that a reasonable person could foresee may be detrimental to the relationship between the Australian and Partner Governments.

d. The Contractor must not employ a currently serving Commonwealth employee in any

capacity in connection with the Services without the prior written approval of AusAID.

e. The Contractor must ensure that media advertisements placed by the Contractor for personnel to fill a Project position acknowledge that the Project is funded by AusAID as part of the Australian Government’s official overseas aid program.

f. AusAID may give notice to the Contractor requiring the Contractor to remove any

Contractor Personnel from work in respect of the Services. The Contractor must promptly arrange for the removal of such Contractor Personnel from work in respect of the Services and their replacement (if required) with Contractor Personnel acceptable to AusAID.

g. The Contractor must advise AusAID promptly in writing of any change in the

circumstances of any Contractor Personnel that, in the Contractor’s reasonable opinion, is likely to affect AusAID’s assessment of the person under the Contract.

11. SUB-CONTRACTING 11.1 The Contractor may not sub-contract the whole of the Services. The sub-contracting of

parts or elements of the performance of the Services is subject to compliance with the following requirements:



(a) the sub-contracting of any of the Services shall not relieve the Contractor from any responsibility under this Contract; (b) the Contractor must implement procedures that are consistent with the principles of the Commonwealth Procurement Guidelines for the engagement of all sub-contracting of the Services, with the exception of Associates; (c) the Contractor must ensure that sub-contracts include equivalent provisions regarding the Contractor’s relevant obligations under this Contract. In particular sub-contractors must:

(i) comply with relevant and applicable laws, regulations and development policies, both in Australia and in the Partner Country; (ii) be insured to at least the minimum of their statutory obligations and that they carry all commercially prudent insurances for the activities to be undertaken as part of the Services;

(iii) be bound by the same obligations regarding Clauses 15 (Accounts and Records), 18 (Audits), 19 (Access to Premises), 26 (Privacy), and 35.4 (Anti-corruption) below and as required by Project Specific Conditions Clause 3 (Accounts and Records) as the Contractor; and (iv) be bound by appropriate obligations in relation to ongoing software licensing, computer maintenance requirements and handover arrangements to the Partner Country;

(d) if requested by AusAID, the Contractor must provide to AusAID an executed Deed of Novation and Substitution in the form at Schedule 5 (Deed of Novation), contemporaneously with or within 10 Business Days of execution of the sub-contract by the Contractor; (e) the sub-contract must include the right of AusAID, in the event of AusAID issuing a notice of substitution under the Deed of Novation at Schedule 5 (Deed of Novation), to further novate the sub-contract to another contractor;

(f) the Contractor must maintain records as to the performance of each of the sub-contractors engaged by the Contractor including details of any defects in such performance and the steps taken to ensure compliance with the Contract and provide to AusAID if requested; and (g) if requested by AusAID, the Contractor must provide to AusAID a copy of any proposed or executed sub-contract.

11.2 The obligations of Clause 11.1 above apply equally to Associates. 11.3 Despite any consent or approval given by AusAID, the Contractor shall remain at all

times responsible for ensuring the suitability of Associates and sub-contractors and for ensuring that the Services are performed in accordance with the Contract.



15. ACCOUNTS AND RECORDS 15.1 The Contractor must at all times maintain full, true, separate and up-to-date accounts and

records in relation to the Fees, Supplies and the Services. Such accounts and records must:

(a) record all receipts and expenses in relation to the Supplies and Services, including those involving foreign exchange transactions; (b) be kept in a manner that permits them to be conveniently and properly audited; (c) enable the extraction of all information relevant to this Contract; (d) contain details of the disposition of Supplies as agreed to by AusAID such as replacement, write-off or transfer to the Partner Country; and (e) the Contractor shall provide to AusAID a statement of Project expenditure on a regular basis for the duration of the Project. The details of the timing and content of the statement of expenditure are defined in Part A Project Specific Contract Conditions.

15.2 Accounts and records must be provided for inspection by AusAID immediately upon the

request of AusAID. 15.3 The accounts and records must be held for the term of this Contract and for a period of

seven (7) years from the date of expiry or termination of this Contract. 18. AUDITS 18.1 Where AusAID has reasonable concerns regarding the Contractor's financial

management systems AusAID must provide the Contractor with written notification of those concerns and what action is required of the Contractor. This may include:

(a) that the Company Director must provide a Statutory Declaration confirming that they have sighted the necessary supporting documentation and confirm the veracity of the claim for payment; (b) providing AusAID with additional documentation to support the claim for payment; or (c) a direction that the Contractor engage an independent, suitable organisation to undertake an audit of those financial management systems, including invoicing procedures and practices.

18.2 The Contractor must respond to any notice received under Clause 18.1 above within 14

days. 18.3 Where the Contractor does not respond within 14 days, or the response does not alleviate

AusAID’s concern, AusAID reserves the right, if it has not already done so, to direct the



Contractor to provide AusAID with certification from an independent auditor as described in Clause 18.1(c) above.

18.4 If AusAID directs the Contractor to undertake an independent audit under this clause:

(a) the terms of reference must be agreed in writing by AusAID; (b) the audit must be undertaken according to the standards of the professional body relevant to the particular audit and those standards must be detailed in the terms of reference; (c) the Contractor will bear the total cost of the audit; and (d) AusAID will not make any further payments owed to the Contractor pending certification of the reliability of the Contractor’s financial management systems and the veracity of the invoicing procedures and practices.

19. ACCESS TO THE CONTRACTOR’S PREMISES, DATA AND RECORDS 19.1 The Contractor must grant AusAID and/or its nominees (including the Auditor-General

or the Privacy Commissioner or their delegates), access to the Contractor's premises, the Data, records, accounts and other financial material or material relevant to the Services, however and wherever stored, in the Contractor's or its sub-contractors’ custody, possession or control, for inspection and copying.

19.2 Such access must be available to AusAID and its nominees:

(a) during the hours of 9 am and 5 pm on a Business Day; (b) except in the case of a breach of this Contract, subject to reasonable prior notice; and (c) at no additional charge to AusAID.

19.3 In the case of documents or records stored on a medium other than in writing, the

Contractor must make available on request such reasonable facilities as may be necessary to enable a legible reproduction to be created at no additional cost to AusAID.

19.4 This clause applies for the term of this Contract and for a period of seven (7) years from

the date of its expiration or termination. 22. INTELLECTUAL PROPERTY RIGHTS 22.1 Subject to Clause 22.2, the title to all Intellectual Property rights in or in relation to

Contract Material shall vest upon its creation in AusAID. If required by AusAID, the Contractor must bring into existence, sign, execute or otherwise deal with any document which may be necessary to enable the vesting of such title or rights in AusAID.

22.2 Clause 22.1 does not affect the ownership of Intellectual Property in any Prior Material

incorporated into the Contract Material, but the Contractor grants to AusAID a



permanent, irrevocable, royalty-free worldwide, non-exclusive licence to use, reproduce, adapt and otherwise exploit such Prior Material in conjunction with the Contract Material. The licence granted under this Clause 22.2 includes the right of AusAID to sub-licence any of its employees, agents or contractors to use, reproduce, adapt and otherwise exploit the Prior Material incorporated into the Contract Material for the purposes of performing functions, responsibilities, activities or services for, or on behalf of, AusAID.

22.3 The Contractor must ensure that the Contract Material is used, copied, supplied or

reproduced only for the purposes of this Contract. 22.4 The Contractor must deliver all Contract Material to AusAID or 25. CONFIDENTIALITY 25.1 Subject to this clause, the Contractor must not, without the prior written approval of

AusAID, make public or disclose to any person any AusAID Confidential Information. In giving written approval, AusAID may impose such terms and conditions as in AusAID's opinion are appropriate.

25.2 The Contractor must take all reasonable steps to ensure Contractor Personnel do not make

public or disclose the AusAID Confidential Information and must promptly notify AusAID of any unauthorised possession, use or disclosure of AusAID Confidential Information.

25.3 The Contractor must ensure that any Contract Personnel who will have access to AusAID

Confidential Information complete a written undertaking in the form set out at Schedule 3, relating to the non-disclosure of that information.

25.4 The Contractor may disclose AusAID Confidential Information:

(a) to its legal advisers in order to obtain advice in relation to its rights under this Contract, but only to the extent necessary for that purpose; (b) to the extent required by law or by a lawful requirement of any government or governmental body, authority or agency having authority over the first-mentioned party; or (c) if required in connection with legal proceedings, but in the case of (b) and/or (c) above, subject to the Contractor giving AusAID sufficient notice of any proposed disclosure to enable AusAID to seek a protective order or other remedy to prevent the disclosure.

25.5 The Contractor must not transfer AusAID Confidential Information outside Australia,

except to the Partner Country, or allow parties outside Australia to have access to it, without the prior approval of AusAID.

25.6 The Contractor must use AusAID Confidential Information held, acquired or which the

Contractor may have had access to in connection with this Contract only for the purposes



of fulfilling its obligations under this Contract. Upon expiry or earlier termination of this Contract the Contractor must either destroy or deliver to AusAID all AusAID Confidential Information, as required by AusAID.

25.7 This clause shall survive expiration or termination of this Contract. 26. PRIVACY 26.1 This clause applies only where the Contractor deals with Personal Information when, and

for the purpose of, providing the Services. 26.2 In this clause, the terms ‘agency’, ‘Information Privacy Principles’ (IPPs), and ‘National

Privacy Principles’ (NPPs) have the same meaning as they have in section 6 of the Privacy Act 1988.

26.3 The Contractor acknowledges that it is a ‘contracted service provider’ within the meaning

of section 6 of the Privacy Act 1988 (the Privacy Act), and agrees in respect of the provision of the Services:

(a) to use or disclose Personal Information obtained during the course of providing the Services, only for the purposes of this Contract; (b) not to do any act or engage in any practice that would breach an IPP contained in section 14 of the Privacy Act, which if done or engaged in by an agency, would be a breach of that IPP; (c) to carry out and discharge the obligations contained in the IPPs as if it were an agency under that Act; (d) to notify individuals whose Personal Information the Contractor holds, that complaints about acts or practices of the Contractor may be investigated by the Privacy Commissioner who has power to award compensation against the Contractor in appropriate circumstances; (e) not to use or disclose Personal Information or engage in an act or practice that would breach section 16F of the Privacy Act (direct marketing), a NPP (particularly NPPs 7 to10) where that section or NPP is applicable to the Contractor, unless:

(i) in the case of section 16F – the use or disclosure is necessary, directly or indirectly, to discharge an obligation under this Contract; or (ii) in the case of a NPP – where the activity or practice is engaged in for the purpose of discharging, directly or indirectly, an obligation under this Contract, and the activity or practice which is authorized by this Contract is inconsistent with the NPP;

(f) to disclose in writing to any person who asks, the content of the provisions of this Contract (if any) that are inconsistent with a NPP binding a party to this Contract;



(g) to immediately notify AusAID if the Contractor becomes aware of a breach or possible breach of any of the obligations contained in, or referred to in, this clause, whether by the Contractor or any subcontractor; (h) not to transfer such information outside Australia, except to the Partner Country, or to allow parties outside Australia or the Partner Country to have access to it, without the prior approval of AusAID; and (i) to ensure that any employee of the Contractor who is required to deal with Personal Information for the purposes of this Contract is made aware of the obligations of the Contractor set out in this clause.

26.4 The Contractor agrees to ensure that any subcontract entered into for the purpose of fulfilling its obligations under this Contract contains provisions to ensure that the subcontractor has the same awareness and obligations as the Contractor has under this clause, including the requirement in relation to subcontracts.

26.5 The Contractor agrees to indemnify AusAID in respect of any loss, liability or expense

suffered or incurred by AusAID which arises directly or indirectly from a breach of any of the obligations of the Contractor under this clause, or a subcontractor under the subcontract provisions referred to in Clause 26.4 above.

26.6 This clause shall survive expiration or termination of this Contract. 28. PUBLICITY 28.1 The Contractor must identify and implement appropriate opportunities for publicising the

Project. 28.2 The Contractor must not make any press, media or other announcements or releases

relating to this Contract and the Services without the prior approval of AusAID Public Affairs Group as to the form, content and manner of the announcement or release.

28.3 The Contractor must only use the Australian Government/AusAID logo (in-line version)

to denote association with Australia, the Australian Government or AusAID in any publicity or other project related materials. The Contractor must comply with the “AusAID Logo Guidelines for Managing Contractors” at all times, including when advertising for sub-contractors or personnel. The Guidelines are available from the AusAID Business website.

28.4 The Contractor shall, if appropriate, erect a sign at each Project site that acknowledges

the contributions of the Australian and Partner Governments. Such signs shall in all cases be discussed and agreed between AusAID and the Partner Government. Signs should use the Australian Government/AusAID logo (in-line version). No independent project or program logos or emblems are to be used. Contractor signs may also be displayed, but not in greater number or prominence than acknowledgments to either the Australian or Partner Governments.



35. CONFLICT OF INTEREST Conflict of Interest 35.1 The Contractor warrants that, at the date of signing this Contract, no conflict of interest

exists or is likely to arise in the performance of its obligations under this Contract. 35.2 The Contractor must use best endeavours to ensure that a situation does not arise which

may result in a conflict of interest. The Contractor must not engage in any activity, subject to Clause 35.3 below, that may result in a conflict of interest arising or continuing.

35.3 Where a conflict of interest arises in the performance of the Contractor's obligations

under this Contract, the Contractor must notify AusAID immediately, and may request permission from AusAID to undertake the work despite that conflict of interest.

Anti-Corruption 35.4 The Contractor warrants that the Contractor shall not make or cause to be made, nor shall

the Contractor receive or seek to receive, any offer, gift or payment, consideration or benefit of any kind, which would or could be construed as an illegal or corrupt act, either directly or indirectly to any party, as an inducement or reward in relation to the execution of this Contract. In addition, the Contractor shall not bribe public officials and shall ensure that all Contractor Personnel comply with this provision. Any breach of this clause shall be grounds for immediate termination of this Contract under Standard Conditions Clause 31 (Termination for Contractor Default) by notice from AusAID.

36. FRAUD 36.1 For the purpose of this clause, 'fraudulent activity' or 'fraud' means: Dishonestly obtaining

a benefit by deception or other means. 36.2 The Contractor and its subcontractors must not engage in any fraudulent activity.



SCHEDULE 6

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