Sustainable Transport Infrastructure Improvement Program (RRP SOL 46499)

INSTITUTIONAL ASSESSMENT

Objective and Methodology ................................................................................................... 3

Background ........................................................................................................................... 3

National Transport Plan ........................................................................................................ 4

National Transport Fund ....................................................................................................... 4

Ministry of Infrastructure Development .................................................................................. 5

Staffing ...................................................................................................................... 5

Organizational Structure ............................................................................................ 5

Staffing Numbers: ...................................................................................................... 7

Strengthening of Institutional Capacity .................................................................................. 8

The Imminent Challenge ............................................................................................ 8

Technical Capacity .................................................................................................... 8

Financial Capacity ..................................................................................................... 8

Competency Development ......................................................................................... 9

Capacity Issues ......................................................................................................... 9

Assessment Findings and Gaps ............................................................................................ 9

NTF/NTFB ................................................................................................................. 9

MID Finance and Accounting ................................................................................... 10

Safeguards: ............................................................................................................. 10

CPIU Organizational Structure ................................................................................. 11

Management Capacity ............................................................................................. 11

Technical Capacity .................................................................................................. 12

Function Capacity .................................................................................................... 12

Assessment Summary ............................................................................................. 14

Technical Assistance .......................................................................................................... 19

TA and Capacity Building......................................................................................... 19

Training ................................................................................................................... 20

Indicative Arrangements .......................................................................................... 21

TA and consulting services ................................................................................................. 22

Capacity Development Goal .................................................................................... 22

The technical assistance and capacity building model ............................................. 23

Attached Technical Assistance ................................................................................ 23

International Capacity Building Specialists ............................................................... 24

National Operational Specialists .............................................................................. 25

Outsourced Technical Expertise .............................................................................. 25

Competency Strengthening ..................................................................................... 25

2

Appendix 1: Organizational Structure for CPIU including proposed STIIP TA ..................... 27

Appendix 2: Indicative Terns of Reference for Technical Assistance and Consulting Services

Capacity Building ................................................................................................................ 28

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Objective and Methodology 1. The objective of this institutional assessment is to (i) review the institutions implementing the Solomon Islands government’s National Transport Plan: 2011-2030 (NTP)1, i.e. reviewing relevant aspects of their rules, procedures, incentives, capacity resources, interagency relations, past implementation practice and performance; (ii) assess mechanisms in place for the National Transport Fund (NTF), i.e. to set policy, make planning decisions, finance and coordinate implementation, (iii) review the ongoing support to strengthen institutions; (iv) document the remaining gaps identified based on a diagnostic and capacity assessment; and (v) use the gap assessment to design capacity building and training. The Sustainable Transport Infrastructure Improvement Program (STIIP) will support institutional development based on the findings of this assessment. 2. The methodology used for making the assessments and developing the documentation was iterative in style, drawing on the inputs from a variety of parties. The process covered missions in Solomon Islands in April-May and November 2014 and February 2015. For each mission, the steps taken more or less followed the following pattern:

3. This assessment benefited from a number of earlier reviews.2 The final assessment has again been amended to incorporate findings from the February Fact Finding Mission.

Background 4. The NTF was established by an Act of Parliament in 2009 for the purposes of “developing, managing and maintaining transport infrastructure and services in the Solomon

1 Ministry of Infrastructure Development, 2010. National Transport Plan 2011-2030.

2 SIG, ADB, & ADFAT, 2013, “Joint Review of the Solomon Islands National Transport Fund:

Executive Summary” and ADB, 2013, “Mid term Review Mission”

OBSERVE & CONSULT

ASSESS & REPORT

CONSULT & MODIFY

REWORK & FINALIZE

PROCESS FOR EACH MISSION

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Islands”3. Under the Act, all projects approved for funding must be specified in the National Transport Plan (NTP) prepared by the MID (or be consistent with a clear statement of policy in the NTP). The NTF is managed by the National Transport Fund Board (NTFB) which is established by a Regulation under the Act. The NTFB comprises a decision-making Board and a supporting Secretariat. The MID comprises a number of infrastructure departments including Transport Infrastructure Management Services (TIMS) which operates as a Central Project Implementation Unit (CPIU), and the Transport Sector Development Project (TSDP) is integrated into the CPIU.

National Transport Plan 5. In 2006 the NTP was first adopted, and then was updated in 2010 applicable for the period 2011 – 2030, in order to reflect changes in the transport sector, including institutional reform and a substantial works program. The NTP details the key policy objectives for the sector, and includes priorities for investment in the sector, including prioritised lists of infrastructure maintenance, rehabilitation and expansion projects. 6. In 2010 the “2011 – 2013 Transport Sector Action Plan” was also adopted to assist putting the NTP into effect. This Three Year Action Plan (3YAP) has since been extended to 2015, but is not annually updated. The 3YAP and the CPIU’s Annual Work Plan (AWP) represent the key implementation instruments for the NTP. The NTP provides sector strategy and policy, while the 3YAP provides selection criteria and prioritization by sector and type of works. The planning for annual works to be managed by the CPIU is documented in the AWP and submitted to the NTFB. Drawn from the 3YAP priorities and other policy-based priorities are the chosen subprojects for the year, with a parallel Annual Budget for the work plan also to be approved by the NTFB.

National Transport Fund 7. The National Transport Fund Board (NTFB) manages the NTF. It is responsible for national transport policy and planning and in particular for the approval and oversight of the NTP and subordinate plans. The Board determines these matters, as well as monitoring and approving NTF-funded subprojects and monitors NTF disbursements, reserves and cash flow. The NTF, NTFB, NTP, TSDP, MID, and CPIU, and the development partners collectively form a sector based approach. 8. In 2010, regulations were approved under the NTF Act establishing the functions and membership of the NTFB, the role of the Secretariat, and NTF management arrangements.

9. Membership of the NTFB includes:

Permanent Secretary, Ministry of Finance and Treasury (MOFT) or nominee (Chair)

Permanent Secretary, MID or nominee (Deputy Chair)

Permanent Secretary, Ministry of Communication and Aviation (MCA) or nominee

Permanent Secretary, Ministry of Development Planning and Aid Coordination (MDPAC) or nominee

Permanent Secretary, Ministry of Provincial Government and Institutional Strengthening (MPGIS) or nominee

Representative of Development Banks and International Agencies

3 National Transport Fund Act 2009 (No 3 of 2009), National Parliament of Solomon Islands, S3.

5

10. The NTFB Secretariat includes an international advisor funded by ADFAT, and two national positions (transport infrastructure specialist and administrator) which are currently in the process of recruitment.

Ministry of Infrastructure Development

11. The MID is responsible for infrastructure development in the Solomon Islands. One of its main responsibilities is planning transport infrastructure development, providing transport infrastructure asset management, and contracting transport infrastructure works including road, wharf and airstrip routine maintenance, periodic maintenance, rehabilitation and upgrading and new construction. The TIMS Division (TIMSD) performs these responsibilities through the CPIU. MID also regulates land and sea transport through Solomon Islands Marine Safety Administration (SIMSA), with the Ministry of Communications and Aviation (MCA) being responsible for the regulation of air transport. The Architectural and Building Services Department (ABSD) and Mechanical Department (MD) oversee government buildings and vehicles respectively.

12. Staffing: MID staffing in the CPIU was projected to grow significantly, as

summarized below, with the actual staffing figures also included.

MID staffing establishment for the CPIU

2010 2011 2012 2013 2014 2015

Planned 20 24 42 64 68 86

Actual 18 26 36 53* * Number of positions recommended by MID and is pending approval.

13. The MID has been undergoing a number of significant changes, notably in responsibility and methodology, with a shift to increased outsourcing rather than works conducted in-house. The Public Service development budget is also being allocated to line ministries affecting all departments. Consequential staff reductions were planned for other MID departments at a time when staff increases were planned for TIMSD (and parts of Corporate Services). Submissions for staffing increases for the CPIU have been submitted for approval to the Ministries of Public Service and Finance and Treasury and through the former to the Public Service Commission (PSC). The number of approved MID staff in the CPIU has increased from 26 by to 36 during 2014, and position-filling is nearly completed for the increase of 10 posts. An additional 17 posts have been requested but not yet approved - they are to be considered as part of the government’s budget deliberations in 2015.

14. Organizational Structure: Organizational restructuring of MID has been

continuing in recent years in parallel with TSDP, inter alia addressing the need for the MID-CPIU to better perform the required functions and to be in a position to gain approval for necessary increased staffing. A new CPIU structure based on a standard administrative model has been provided to MID, and includes the provision for externally funded positions most of which are funded through the TSDP. 15. The current CPIU organisational structure includes three sections each led by a Deputy Director reporting to the CPIU Director:

Policy and Planning, with functions of asset management, planning, policy, technical design, and safeguards planning and monitoring

Quality Assurance, including the functions of subproject quality control, performance monitoring and reporting and materials testing

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Operations and Maintenance, internally structured by three geographical regions covering the country, with functions of project and contract management and works supervision allocated to each region.

16. Many of the TSDP officers (including procurement, M&E, subproject finance and administration) report directly to the CPIU Director and are not attached to any one of the three sections. 17. The CPIU structure circulated for 2014 with the 36 MID staff positions is presented below, without any additional externally-funded project positions inserted.

18. The key functions to be performed by the MID in managing transport infrastructure maintenance, rehabilitation and development, and implementing the NTP include:

NTFB and Secretariat o Governance of the NTF including policy approval o Development of the 3YAP o Approval of the AWP funded by the NTF o Decision-making for budgeting and expenditure o Operation of Board functions

Policy and Planning: o Preparation of the AWP (NTF and other funding) including scoping, surveys

and costing of subprojects o Policy development o Infrastructure designs o Safeguards and Community Liaison o Asset inventory management

Operations and Maintenance: o AWP (NTF and other funding) implementation and management and

reporting on subprojects o Preparation and procurement of contracts with detailed works specifications o Contract management o Works supervision and invoice processing o Integration of Safeguards practices and requirements

Undersecretary, Technical

Director, CPIU

Deputy Director,

Quality

Assurance

Deputy Director,

Operations &

Maintenance

Deputy Director,

Policy and

Planning

Technical Design

1 post

Safeguards &

Community

Liaison

2 posts

Asset

Management

7 posts

Laboratory

(CCE)

2 posts

Region 2

4 Engineers

3 Supervisors

Region 3

3 Engineers

4 Supervisors

Region 1

3 Engineers

3 Supervisors

New Organizational Structure for the MID TIMSD - 2014

This is reduced from the draft MID

2014 version, and only includes

SIG-approved MID posts (36)

Note: The three Deputy Director positions were

approved in 2013 by PSC as shown in the chart,

but since then there has been further design

ongoing, with the following titles emerging:

Ø Deputy Director, Planning & Design

Ø Deputy Director, Quality Control & Assurance

Ø Deputy Director, Construction & Maintenance

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Quality Assurance: o Monitoring and reporting quality of works o Materials testing and management of soils laboratory

Director Responsibility o M&E and CPIU performance monitoring and reporting o Integrating NTF funded AWP and other work programs o Procurement o Financial management o Communication and public relations o Compliance monitoring and fiduciary audit o Regular reporting o HRM and Administration o Integration of donor requirements and new projects

19. Staffing Numbers: As shown in the chart above, the Operations and Maintenance

section is allocated 21 positions of which 11 are engineers or regional managers and 10 are works supervisors or related roles. The Operations and Maintenance section is regionalized, and several staff members are deployed out of the CPIU headquarters. The remaining CPIU posts are deployed across the Quality Assurance and Policy and Planning sections, with the Asset Management group being the largest sub-section with 7 staff, including Asset Manager, Senior Asset Engineer, Infrastructure Surveyor, Asset Systems Engineer, Asset Administration Officer and Librarian. 20. In addition to the MID staff in the CPIU, development projects have been supporting the CPIU by providing officers for capacity building as well as in operational areas. The TSDP provides specialists for various operational services, notably for Safeguards for which there are now 2 approved MID posts, and for Procurement for which there are no currently approved MID posts. There are also no MID posts dedicated to CPIU subproject accounting, M&E, and media communications. The NTF funds the outsourcing of additional needed activities, thereby enabling supplementing of the CPIU staffing establishment for the provision of specialist services.

21. International capacity building advisors currently advise and assist MID staff in the CPIU. TSDP has provided functional and systems advisors for raising technical and managerial capacity. Other MID advisors have covered institutional development, country safeguards systems, traffic safety planning, and financial management. Of these, the ADFAT has now approved and funded an extension for 2015 of the Financial Management Specialist in the Finance and Accounting section of the Corporate Services of MID. This consultant undertakes monitoring compliance for expenditure of the NTF and raising capacity within the function. 22. As stated, the level of MID staffing has been increasing following Public Service approval for an expanded staffing establishment, most recently for 2014. When the TSDP finishes, their officers will no longer be available for the CPIU. The MID originally requested approval of an additional 17 new positions, but the likelihood of this gaining SIG approval is still not known. There is no MID replacement plan for consultants working alongside or supporting MID staff in needed operational roles and to further improve and implement new systems for project, contract and asset management, to comply with procurement and safeguards requirements and for reporting and quality assurance.

23. New MID staff appointed in 2014 and thereafter will require considerable training to bring their skills up to the required level and to have adequate knowledge to deal with problems independently, a frequent requirement for staff working in or travelling to remote areas.

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Strengthening of Institutional Capacity

24. The Imminent Challenge: The MID is in a state of transition from doing all the

work to outsourcing non-core services, but growth in the TIMSD was always envisaged. Its staffing target has not been met over recent years, and the TSDP has helped by filling of key staffing gaps with contracted consultants. In some areas, the MID gaps have been or are soon to be filled following the approved increase of 10 posts. There will be continuing gaps in some areas, but these may not all be problematic as alternative approaches to the undertaking of certain tasks are available. Some tasks can be wholly or in part outsourced to local engineering consulting firms (or the like), eg works supervision. However there are tasks and functions that are better performed in-house eg procurement, and once TSDP finishes there will be a significant capacity reduction impacting the CPIU caused by these staffing gaps. It will be essential that the MID retains capability for planning, programming, contracting, asset management, safeguards, communications and reporting with the key positions occupied by staff holding necessary qualifications and competencies able to maintain required technical standards and systems. 25. As previously stated, recent projects have provided capacity building support through systems development and implementation, and competency development to many MID staff. Support has been provided across all functions, particularly focussing on managerial, organizational, financial and technical issues. There has also been project support provided in the form of staffing to fill gaps through provision of national experts. Many of the positions filled under development projects are regarded as essential in implementing NTF reforms. 26. Significant project resources have been and continue to be provided in support of filling positions strengthening planning, policy, restructuring, LBES maintenance and MB civil works, procurement, asset management, financial management, training, and M&E.

27. Technical Capacity: CPIU technical capacity has improved in recent years, as a

result of this external support. However the increasing civil works workload means that engineers continue to struggle to implement procedures in full in implementing the AWP.

28. Financial Capacity: The MID financial administration is now centralized. To further

improve on procedural effectiveness, the TSDP accountant was transferred from the CPIU to the Finance and Accounting Section of MID Corporate Services. The accountant supports the ADFAT Financial Management Specialist with inputting of NTF financial transactions into the SAGE accounting software as part of the compliance review mechanism setup by ADFAT. The generation of NTF financial statements, that will be subjected to external audits, now rests with the MID instead of the CPIU. The TSDP International Finance specialist continues to operate within the CPIU and be responsible for all NTF payment requests (PRs). The PRs are then forwarded to MID for compliance review before inputting into SAGE and sent to MOFT payment section for processing. Finance and accounting capacity within MID remains weak. 29. For civil works and goods and services procurement, the CPIU is bound by the SIG Procurement Manual and the standard bidding document. Country procurement systems are contained in the interim Financial Instructions under the Financial Management Act 2013 which took effect from 1 January 2014. These meet the standard principles for procurement, and are being implemented by the CPIU for contracts funded from the NTF. These contracts are also subjected to additional audit through DFAT representatives and require a “No Objection Letter” when exceeding a threshold.

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30. While MID’s system development, procedural compliance, and technical skill to implement co-financed civil works has strengthened as a result of recent projects, there remains a dependence on development projects for staff resources and for capacity building. Development projects have contributed to supporting the implementation of the NTP, providing technical and advisory services, and undertaking capacity development within and beyond the CPIU, but the need for these services continues.

31. Competency Development: The NTFB annually approves the CPIU training

program, based on a training needs analysis and a five year HRD Plan for 2011 to 2015, and all CPIU staff have received on- and off-the-job training in many areas. Over this plan period, training has been provided by international consultants, the Solomon Islands Institute of Public Administration and Management (IPAM), and by other providers. Evaluations indicate that there has been competency and qualifications development progress over this period but that there remains a significant capacity gap in CPIU. Understaffing has led in the past to maximizing the time for staff to be spent performing high priority work tasks, but with consequential limits necessarily being imposed on the implementation of individualized training plans. This was counter-productive for capacity building in the long term. Recent increases to MID staffing, improved work planning, efficiency gains and strengthened performance management will help address this issue, but the competency gaps remain an issue for the CPIU.

32. Capacity Issues: There is a continuing need to strengthen capacity for the CPIU to

manage a number of significant challenges, including:

Achieving planned growth in infrastructure development

Increasing staffing to fill key positions in MID

Moving from project-based PMU to sector-based CPIU

Adopting new systems and procedures

Undertaking and benefitting from competency development

Absorbing incoming experts and new staff

Adapting to a new organizational structure, and

Adjusting work, reporting, decision-making, performance-monitoring and communication processes for all of the above

Assessment Findings and Gaps

33. NTF/NTFB: There are identified concerns about the NTF, particularly in respect to

governance, and financial management. Amongst other things, the joint NTF review indicated concerns with governance, noting “limited direction given by the NTFB, the lack of a fully functional Secretariat, and the weakness of reporting systems are contributing to lower than required delivery of works, and increasing concerns about the effectiveness of the NTF.”4 The NTFB is working to resolve such issues and approved a recommendation from the Secretariat establishing an Action Plan. The Secretariat positions are filled or expected to be filled soon. It is expected that MID will eventually seek approval to add the two national positions to its Establishment. 34. Support delivered to the NTFB has not been well aligned with current requirements of NTFB and MID, and is not focused on the achievement of the targets for maintenance and rehabilitation works. It has also been noted that financial information and controls are not effective in meeting the needs of the NTFB, TSDP and SIG regulations, and pose serious risks for SIG and its development partners. The table below presents the approved NTFB response as proposed by the Secretariat:

4 SIG, ADB, & ADFAT, 2013, “Joint Review of the Solomon Islands National Transport Fund:

Executive Summary” p.3

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Board Response to the Joint NTF Review5

Key actions that are underway or proposed in response to the Review include: a. Resourcing the NTF Board Secretariat, under its current head, with an international Transport Policy and Planning Specialist and at least two local staff (one in a specialist role the other in an administrative role). While in the longer term these staff could be provided by SIG, at least in the first instance it is likely that they will need to be engaged as local consultants funded from the NTF. A provision to fund the two local positions has been included in the NTF 2014 Budget Update submitted to the February 2014 Board meeting. b. Updating the NTP 3YAP, probably to a five-year plan in line with the SIG planning cycle. The current 3YAP is now out of date and needs to be simplified so that it can be updated annually as originally intended. The NTF Secretariat would coordinate this update, with inputs from MID CPIU, other SIG ministries, Ministers and MPs, community and private sector stakeholders, and development partners. The revised action plan would guide the NTF priorities but also transport sector investments by any development partners not contributing to the NTF. c. Following both the NTF Review and the ADB-led Mid-Term Review of TSDP, actions are underway to improve the performance of MID CPIU, including the consultant team. Output-based TORs for consultants have been prepared, and revised output-based job descriptions for MID staff are proposed, as measures to improve performance. d. Efforts are underway to improve the financial management of the NTF. Monthly reports on expenditure are now available as well as quarterly reporting to the Board. MID Finance Division (supported by a new Financial Management Specialist) is working with MID CPIU and MoFT to develop and implement an improved system for controlling and accounting for NTF payments, consistent with MoFT processes. e. Implementation of the Review recommendations regarding procurement would be done through consultation between MID and MoFT as part of reforms to SIG procurement led by MoFT. In line with the Review recommendations it is proposed that MID write to MoFT requesting an increase in the threshold for MoFT review of contracts using standard bidding documents (to speed up procurements) and that MoFT review Central Tender Board processes in light of some problems observed by the Review team.

35. It is clear from the above response, as well as from the decisions to support staffing of the Secretariat and from inspection of the NTFB’s detailed Action Plan, that the NTFB is moving in the right direction to respond constructively to the Joint Review. Implementation of STIIP will benefit from resolution of the issues raised.

36. MID Finance and Accounting: The Finance and Accounting section of Corporate

Services has weak capacity, with gaps in staffing and the lack of technical skills in general accounting and financial management. The CPIU is dependent on the section for the provision of finance and accounting services. Strengthening for this function through finance manual development, training, compliance monitoring and fiduciary controls is needed. There have been instances of a lack of staff motivation for capacity building, and withdrawal from involvement in further study.

37. Safeguards: The national safeguards staffing currently comprises five contracted

specialists structured as a team within the CPIU. During 2014, two MID positions were approved with titles: Principal Safeguards (Social) and Community Liaison Officer, with the former now filled and the latter soon to be filled. A further two MID positions are part of the staffing request for consideration in 2015, but no decision has been made for that. There is

5 AGENDA Project Steering Committee Meeting, 2014, NTFB, Agenda Item 11, 26 February 2014

11

envisaged a gradual transition from the use of TSDP positions to MID staff positions, however the transition has been slower than anticipated. There is a continuing need for this level of staffing, although there may be merit in redeploying one member of the team so that there is monitoring support available to support Job Managers.

38. Adoption of the MID Environmental Management System (EMS) has gradually improved the practices within MID and among contractors. Largely prior to implementation of these EMS procedures, there were instances where government-funded subproject contracts were issued without due application of the CSS and PSS. There are also ongoing weaknesses in implementation of CEMP’s for Tier 2 MBMC subprojects due to a lack of staff resources, adequate supervision and monitoring of compliance and enforcement of contract conditions.

39. The safeguards function is responsible for implementing environmental, social, gender, land acquisition, compensation, and resettlement safeguards procedures. They will need to raise capacity for Job Managers, site supervisors and contractors using the SPM developing their capacity to perform their safeguards responsibility, and within the CPIU developing processes for quality assurance, supervision and monitoring. MID has requested approval for an additional two safeguards staff, bringing the MID complement to four staff. In addition to MID staffing, it is proposed the STIIP consulting services make available three national specialists and access to outsourced services if required.

40. CPIU Organizational Structure: The CPIU was established to facilitate a move

away from traditional functionally-based structural models, and in particular to introduce a new arrangement in which civil works functions operate in an integrated fashion. The current structure has strengths, particularly in respect to regionalizing the roles of engineering and supervision, and is more integrated than a functional model based on maintenance, refurbishment, etc. However the current structure has weaknesses, not only because of the staffing gaps and lack of integration of technical assistance, but also in its separation of some of the Policy & Planning roles from Operations & Maintenance (eg in separating a safeguards monitoring role from Operations and Maintenance, and resisting linking of procurement work with contract management). After an initial period of STIIP implementation, a move towards a more integrated structure may be considered, along with moving staff internally to fill continuing gaps in priority areas (eg from Asset Management to Operations & Maintenance) and by using increased flexibility in staff roles (eg engineers having rotated involvement in procurement).

41. By integrating some functions or sub-functions with Operations and Maintenance, staff would hopefully become more supportive of “subproject” quality, and may strengthen CPIU effectiveness, efficiency, integration, teamwork, and communication. The aim would be for functional activities involved in completion of a subproject to be structurally and procedurally aligned. In a CPIU, project management should as much as possible be at the driver for sub-functions. Also, a minor adjustment in the design would also allow CPIU staff to be shifted from one area of diminishing in-house need, notably with the right timing from Asset Management to Operations and Maintenance where the staffing needs are greater.

42. Management Capacity: There is a lack of management capacity in the CPIU.

Attendance, completion of work requests, meeting of deadlines, and lack of monitoring and reporting on technical and administrative activities are management issues that have gone on unchecked and not been addressed by previous TA. In general, management systems have not been developed nor has management practice been systematic. 43. As currently structured, the CPIU features a rather narrow division of labour, with the Team Leader overseeing a flat structure of international technical assistance. The

12

international consultants’ TOR design is focussed on a narrow breadth of responsibility. This is normally a reasonable approach, but in this case has been impacted by weakness in the CPIU managerial role, identity, system, competence, and decision-making. It has led to a vacuum in which strategic management actions and focus have been missing. One key consequence has been that no one has been responsible for ensuring that expenditure, efficiency, cost effectiveness, and related management interventions are addressed.

44. Few CPIU officers with supervisory authority act assertively and take on responsibility for directing or mentoring staff, and this is an issue that has not been addressed sufficiently. Even though some progress has been made in management development, e.g. with two senior MID officers undertaking MBA studies, there is a continuing need to strengthen managerial capacity. Developing manuals, databases, and technical capacity are important goals, the benefits from which are often not realized when accompanied by lack of managerial capacity and diligence. There is a need for training in management and supervision.

45. Instigating and supporting a performance management program will be the first step in addressing this capacity issue. This will allow the MID executive to monitor and enforce the role of manager and supervisor at CPIU level, as well as providing a tool for managers and supervisors to commence a proper process of employee management for goal achievement, productivity, compliance, and competency development.

46. Technical Capacity: MID has been attempting to build sufficient independent

technical capacity across all functions through skills training, mentoring and qualifications development for the staff to eventually become more capable of the delivery of the increased volume of contracts to be funded through the NTF. While there has been staffing increases, some key positions remain unfilled by MID. While MID staff have developed competency and qualifications, further development of technical skills is required.

47. There remains a need for on-the-job training for procedural compliance, for some specialist post graduate training for one or two experienced engineers, and for competency development in certain knowledge areas. There should be a prioritisation of skill development in the central areas of project management, planning, programming and budgeting of the outputs, and safeguards management.

48. While there is now solid experience in operating broadly for the sector, in some areas there have been issues in internal communication, and involvement and work integration between MID and project officers. In order to strengthen capacity of MID engineers, it is essential that their international advisors act effectively as genuine counterparts with a close involvement in processes and through attendance with engineers on worksites. This is a key lesson for STIIP.

49. On-the-job and other training has helped improve staff performance in prescribed duties with trainees. A recent evaluation report6 indicated that staff and their supervisors agreed that that their level of knowledge, skills and attitude was either adequate or reached the required level, following training undertaken in 2012 and 2013. It was also recognized that further job-relevant competency development is required.

50. Function Capacity: There is a need for better quality planning and programming,

construction techniques, project management, contract management, project progress reporting, development of documentation that is commensurate with the scale and 6 CPIU, “2012-13 Training Evaluation Report”, 2014

13

complexity of the works being undertaken, development of the capacity of the CPIU -TIMSD, and strengthening of financial management and monitoring. 51. Functions are now being directed more specifically towards delivery of outputs particularly road maintenance. After a period of slow output early in the life of the TSDP, the rollout of maintenance contracts has built momentum now with increased numbers of contracts being awarded, with some system and capacity issues being resolved. However there remains the potential for further increases in the processing speed, as well as for gaining improved procedural efficiency. Contract management and procurement benefit from close alignment, and closer structural integration of these would benefit the CPIU in terms of accountability and output.

52. Supervision of works remains problematic. While it has been a positive development to be progressing towards targets for awarding of contracts, it is also important to ensure that the resulting works are properly undertaken and contractor payments are subject to documented performance against plan. The inspecting of worksites, documenting progress and issues, collating the information in the database, and reporting findings is weak, even with the addition of outsourced supervision.

53. The asset management function of the CPIU is comparatively well staffed following an influx of new MID positions in 2013, and is now building up a valuable asset inventory while surveys and data entry have been outsourced to a local contractor. After one year about 70% of the road network was inventoried and the condition of the road network has been surveyed and recorded. Reporting needs to be developed. Once the bulk of the tasks are completed, benefits will be gained throughout the project cycle. The need for the current level of dedicated staff will then diminish, and further restructuring and outsourcing of the asset management function will be warranted.

54. The Quality Assurance section has a limited statement of responsibility, and a Deputy Director appointment has not yet commenced. The section’s main role is in monitoring subproject quality but little is actually being formally monitored and reported. Systems need to be developed in support of quality control, including an intervention authority. The materials testing undertaken in the Soils Laboratory is limited. Materials testing issues are being addressed or will need to be addressed during STIIP in management competency, staffing, competence, equipment, and compliance, the aim being to improve capacity so as to gain NATA accreditation.

55. Overall, there remain substantial capacity gaps in the CPIU functions. Systems need refining or developing, as well as implementation, monitoring and training. Employees often have competency gaps and limitations in their qualifications. Procedures to fulfil the functions performed by MID for transport infrastructure maintenance, rehabilitation and development are time consuming and there is a lack of specialist staff in certain functions. The situation will be critical when TSDP TA is withdrawn. These gaps will need to be filled by STIIP. 56. The below Assessment Table summarizes capacity assessments:

Table Key

Capacity Adequate Capacity

Some Capacity

Low Capacity

Functions Structure Design

Staffing Levels

Staff Competence

Systems & Compliance

NTFB and Secretariat

Governance of the NTF including policy

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approval

Development of the 3YAP

Approval of the AWP

Decision-making for budgeting and expenditure

Operation of Board functions

Policy and Planning

Preparation of AWP including scoping, surveys and costing of subprojects

Policy development

Infrastructure designs

Safeguards and Community Liaison

Asset inventory management

Operations and Maintenance

AWP implementation and management and reporting on subprojects

Preparation of contracts with detailed works specifications

Contract management

Works supervision and invoice processing

Contracting processes

Integration of Safeguards practices and requirements

Quality Assurance

Monitoring and reporting quality of works

Materials testing and management of soils laboratory

Director Responsibility

M&E and CPIU performance monitoring and reporting

Procurement

Financial management

Communication and public relations

Compliance monitoring and fiduciary audit

Regular reporting

Administration

Integration of donor requirements and new projects

57. Assessment Summary: Based on this analysis, the following table summarizes

the key assessments:

Factors Assessments Recommended Action

Capacity Building Progress

MID capacity has developed in the last five years with assistance, moving from service and works delivery mode to outsourcing and contract management, restructuring the organization, strengthening training systems and delivery, expanding works, and strengthening procedural compliance. Progress has been made, but capacity building remains incomplete with gaps in managerial capacity, contract and project

Attached TA to strengthen managerial and CPIU-wide functioning. International and national consulting services to be directed at further building of capacity through systems development, compliance monitoring, competency development, implementation support, and filling gaps in MID

15

Factors Assessments Recommended Action

management, procurement capacity, safeguards capacity, work processes and reporting. The most significant need is for capacity building for the role, decisions and performance of managers.

staffing for the CPIU to achieve the NTP and properly disburse the NTF.

Performance Management

There is a lack of capacity of the CPIU evident through unfilled key positions and weak staff and managerial performance. The CPIU has talented senior officers and they should be implementing the government’s performance management process (PMP), ensuring that annual development plans for every staff member are discussed, documented, actioned, monitored, and reviewed.

All staff to be involved in performance management, as a means of assisting productivity, compliance and development for the full range of staff – from the most talented to the least capable.

CPIU Management

The MID head of the TIMSD leads the CPIU as Director and will act as the Project Manager of STIIP. The management of the CPIU needs support from highly qualified international consultants providing a range of technical assistance to strengthen the general management of the CPIU. The traditional “team leader” concept and other factors has resulted in some communication and decision-making breakdown, partly arising from concerns about the extent that the TL can or should be directing SIG staff. There is a need to re-formulate the TL concept and role to ensure the appointee works more closely with the CPIU Director and senior officers, and is able to have proper influence through acceptable authority and decision-making arrangements. With support, the CPIU Director should be more active in managing strategy, decisions, staff, resources, outsourcing and processes, and work closely with the CPIU management team. Management systems, notably a management information system, is needed for more consistent reporting and improved decision-making

Attached TA to include key managerial-focussed positions working with the CPIU management team and developing systems and processes to strengthen the quality of CPIU management and the CPIU outputs. To effectively support the CPIU Director, the traditional team leader concept to be modified to strengthen integration of the position in day-to-day CPIU management, with a closer working relationship established with the CPIU Director. The title “Program Lead” is appropriate. Attached TA to include a Management Accounting and Operations Specialist and a Procurement & Contract Management Specialist to support the Program Lead in the CPIU Management Team

Functional Capacity

Key functions lack capacity and need international capacity building. The quality of documented and practiced procedures varies from function to function. On-the-job and other training has helped improve staff performance in prescribed duties for proper operations in functions, however there remains further competency development required for staff to perform necessary functions and processes effectively and efficiently. In particular there is a need to review and strengthen contracting processes. In particular MB and LBES maintenance contracts should be reviewed by the key specialists working together in the management team. The current costs of

Function systems refinement, implementation and management to be supported with high quality international specialists providing capacity building.

16

Factors Assessments Recommended Action

these contracts should be reviewed, and cost savings may be possible thereby strengthening the viability of the works program. Efficiency may be gained through contracts that provide for increased lengths of roads and through consolidation of road rehabilitation packages to encourage regional bidders. There is potential for increased competition between bidders, strengthened supervision, and improved quality of works.

NTF The NTFB has been operating well but with limited opportunity to consider strategic and policy issues, in part because the planned Secretariat was delayed in being established. The NTP and 3YAPs were well developed but the 3YAP needs to be regularly updated.

The 3YAP to be annually updated, incorporating funding projections, strategic and policy directions as well as asset condition reports and operational capacity analysis. This will ensure that AWPs are well devised commensurate with the funding and absorptive capacity, and will serve as a sensible guide for implementing.

Staffing Levels

Staffing establishment growth for MID-TIMSD did not increase to the extent planned. There remain, staffing imbalances that will need to be rectified, e.g. excess of asset management engineers and deficit of project management engineers, lack of procurement and safeguards staff. With limits on MID staffing, some services could be obtained through outsourcing, but for key core MID functions it is preferable to appoint and locate contracted individuals within the CPIU.

Gaps to be filled by STIIP TA in the form of fulltime embedded national experts, including procurement, safeguards and communications, to ensure proper functioning of the MID-TIMSD. Contracting out to be an option for use for providing other short term non-core services.

Staff Competencies

Fiduciary, safeguards and procurement systems will not operate to the required standards with the present level of CPIU staffing, and specialist knowledge is not held by existing staff. There are competency and performance issues in project management, contract management including oversight of works supervision, complying with or aware of procedures, reporting, soil and materials testing, planning, programming and budgeting, employee performance management, and specific job-relevant skills for individuals.

Competency and performance gaps in the CPIU to be met by a continued program of on-the-job and off-the-job training through STIIP as well as a more proactive management culture promoting competency development. Additional training to support LBES pre- and post-bid skills, competencies of contractor’s key employees, and community members involved in safeguards processes.

Subproject systems

While subproject systems have now improved, there remain issues in writing appropriate specifications, contract management and works supervision. There is a need for strengthening capacity of in-house engineers (lacking competency, knowledge and systems) and works supervisors (lacking experience, knowledge, and direction). There is a need to maintain quality of works, to make the right and timely decision, and to avert or

The STIIP Program Lead to develop capacity for works supervision by strengthening the procedures and competency, and achieving a further move away from the in-house maintenance supervision by outsourcing it to qualified consultants placed under tight oversight.

17

Factors Assessments Recommended Action

contain costly contract variation. Supervisors (for maintenance) and engineers (for rehabilitation), both in-house and outsourced, must be managed to ensure they regularly inspect worksites, documenting progress and issues, collating the information in the database, and reporting findings.

Procurement and Contract Management

The CPIU procurement function has increased the number of contracts awarded and decreased the administrative time. There is a strict system, particularly for maintenance contracts that represent the bulk of the work. There are further important improvements possible for the procurement function, including contractor evaluation, specification design, and contract size. With contracts being mainly for maintenance works, there should be benefits from strengthened standardization.

Further improvements to procurement and contract management to be investigated to increase standardization, efficiency, compliance, tender evaluation, and speed, early in STIIP. National specialists to be provided for procurement operations.

Safeguards Collectively the safeguards team will be responsible for implementing environmental, social, gender, land acquisition, compensation, and resettlement safeguards procedures. During STIIP, capacity building and training will be required for Job Managers, site supervisors and contractors using the Safeguards Procedures Manual (SPM) so that they understand their safeguards responsibility, and to clarify aspects of quality control, supervision and process-driven quality assurance and auditing. MID may not gain approval to appoint an additional two safeguards staff in 2015 to bring the MID complement to four staff, and it would be beneficial to incentivise at least one further appointment later during the program. An International Safeguards Specialist is needed and should be focussed on the CPIU as a whole.

DLI requiring 1 additional safeguards officer to be included. The international safeguards expert TOR to be defined broad across the CPIU and to be included in the attached TA. In addition, the program consulting services to provide for an additional three national specialists and access to outsourced services if required.

Asset Inventory The aim is for the asset inventory to be maintained properly for management reporting and planning. It will be used in developing the 3YAP and AWP, and for construction engineers to be able to access accurate infrastructure records for planning, designing and specifying works. It is anticipated that the need for the current level of dedicated staff involved in developing the asset management system will diminish once it is fully developed and when reporting is mainstreamed.

The CPIU Management Team to support completion of the assets inventory so that its full potential is realized, and to investigate a transition for redeploying excess staff once this has been achieved.

Organizational Restructuring

The structure is supported by CPIU management and has positive features, but as a traditional government structure it runs the risk of creating rigidity and lack of adaptability to an evolving workload. It

The Program Lead to consult the CPIU managers on the organizational structure to find a way to strengthen work integration around subprojects.

18

Factors Assessments Recommended Action

would be better for management and structural arrangements in the CPIU to facilitate closer working relations between subproject management, civil works studies and design, procurement, safeguards, and asset management functions. There may be merit in a CPIU structure designed to achieve strengthened CPIU effectiveness, efficiency, integration, teamwork and communication by aligning sub-functions and some services under the concept of “subproject”. The aim would be for sub-function activities involved in completion of a subproject to be structurally and procedurally aligned. The MID has quite properly retained the regionalization of subprojects, and this should be supported with competency development to ensure the full range of tasks can be completed within each region. Subprojects are the priority for the CPIU.

Any new positions approved for filling in 2015 to be redesigned to suit this new context. Competency development to be provided for engineers to perform the full range of tasks in each region to ensure that the regional structure is supported.

Consulting Services

There is a need for both TA and consulting services for the CPIU, to support the management strengthening, to finalize the institutional change process, to plug gaps in the government-funded establishment, and to address capacity development needs. The Attached TA positions of Program Lead, Management Accounting and Operations Specialist and Procurement & Contract Management Specialist will represent a core management team forming part of and advising the CPIU management team. Other needs will be met through international and national consulting services and using outsourced services. Naturally there will be likely to be emergent needs during the life of the STIIP, and the consulting services should be flexibly structured and managed.

International expertise to be contracted through Attached TA. Attached TA to be administered by ADB in consultation with MID and ADFAT. The 3 positions of Program Lead, Management Accounting and Operations Specialist and Procurement & Contract Management Specialist to be held accountable for their performance. International technical consulting services to be provided, and to be better integrated in the CPIU so as to improve the impact and accountability of their inputs. The Program Lead to ensure international consultants are accountable and linked to one or more counterparts in the CPIU. National experts to be provided, operating as part of a designated operational system or process, and embedded in the hierarchy with full transactional or decision-making responsibility, authority, and indemnity. Outsourcing to be available as a means for obtaining both international and national services. The CPIU Director to be responsible for consulting services with strategic and day-to-day support from the Program Lead.

58. In order to address documented assessments the priorities for STIIP will include:

19

Strengthening MID management systems

Building capacity for the CPIU and for the Finance and HR functions

Ensuring that the NTP 3YAP is regularly updated and used

Implementing a new CPIU structure designed to better integrate the project management sub-functions

Outsourcing the detailed scoping and supervision of works to qualified national and if necessary international consultants

Improving procedural documentation and compliance

Delivering skills and compliance-based training and qualifications development

Strengthening the external stakeholders in the private sector and community

Achieving effective works supervision, technical audit, contractor evaluation, tracking contractors’ performance, and improving the quality of civil works

Gaining more efficient operations and faster transactions and decisions,

Integrating TA with the systemic, individual and operational needs of MID-CPIU

Outsource works supervision, scoping works, feasibility studies and detailed design studies currently done in-house using the TA package. (MID and CPIU should operate in an oversight mode which also requires technical skills and capacity but reduces demand for permanent staff.)

Outsource asset management activities including road and wharves physical inventory, road and wharves condition surveys, road and wharves traffic and calls counts, data entry, GIS and mapping, and data and software upkeep. (CPIU would access and query the database from a dedicated terminal, and on that basis determine road investment decisions.)

Set up an effective contract management system including oversight of and interaction with the contracted out supervising engineer aimed at increasing the quality of works and completing the works in time and under budget.

Set up a unit price monitoring system, including price breakdown analyses and cost index for material and labour, to contain the cost inflation of civil works

Technical Assistance

59. TA and Capacity Building: It is concluded that managerial, systems and

operational activity in the CPIU should be supported by international specialists, consultants and national experts. They should be attached to the MID and deployed to the CPIU (or in one case Corporate Services) with the aim of supporting MID through the provision of technical assistance and consulting services for capacity building. Benefits will include strengthened management of the CPIU to perform the planned works using efficient, effective, transparent and compliant processes and decision-making as well as strengthening the private sector and community participation. 60. A team of senior international specialists should be engaged through the ADB using Attached TA, in order to support and be part of the CPIU management team. They will address weaknesses in management and technical capacity. The team will need to cover the essential CPIU management disciplines of engineering leadership, procurement and contract management, and administration and operations management.

61. In addition to the Attached TA, a model of consulting specialist services will be provided outlining proposed international consultant positions and gap-filling national specialists. The Program Lead should manage the international consulting services to ensure that the capacity needs of the CPIU are addressed, ensuring that consultants achieve Terms of Reference and in particular that they produce required outputs at an

20

appropriate standard. It is proposed that national specialists be contracted to participate in the same performance management program as the MID staff.

62. The international consultants are expected to be embedded in the CPIU, covering the functions of engineering, safeguards and asset management. Other gaps to be filled by outsourced international consulting services include finance manual development, annual external audit of NTF financial statements and annual fiduciary review to monitor and follow up all external audit recommendations. 63. To ensure that consultants can travel to work sites as required, the program should include an allocation to cover the cost of their domestic professional travel. 64. National expertise is required to cover staffing gaps in MID, including procurement, finance, safeguards, and communications. National TA positions will each be oriented to an operational role, and clearly should be appropriately embedded in the CPIU structure in a way that does not happen at the moment. They should also have full transactional and/or decision-making responsibility, authority, and indemnity.

65. Country or MID systems, functions and processing may also need occasional support from outsourced activity.

66. The staffing gaps may exist because of insufficient staff numbers or expertise in MID, but they could also result from inefficient work practices causing heavy workloads in some areas. Gap filling should be accompanied by system simplification and procedural training. In the event it is possible to achieve efficiency improvements in the first 2 or 3 years of STIIP, possible drawback of planned national specialist support could give MID more options.

67. Training: Support through STIIP for training will be appropriate. MID staff will benefit

from on-the-job training and other modes of skills and professional development. Staff will benefit from training conducted off- and on-the-job, in competency areas including:

management development

contract management

technical skills development

procedural compliance implementation and management 68. There may also be support for qualification development targeting certificate level acquisition for technical supervision staff, professional development through undergraduate level study for MID accounting staff, and/or professional development through graduate level study in structural engineering.

69. While IPAM does offer improved management training in its current schedule, this is limited in the number of staff who can be enrolled. There is also a place for agency-specific management training programs, and these can be provided by international specialists. The Ministry of Public Service is well placed to provide this support for performance management training. The MID-CPIU general management development program should potentially cover such topics as management concepts, processes, decision-making, mentoring, employee supervision, performance management, team building, change management, process mapping, project management, assertive supervision, and leadership. It should aim to develop a variety of management competencies.

70. As part of capacity building, the STIIP training will also support identified gaps in capacity in the private sector and involved communities. LBES bidders and contractors lack competency, and training will continue to support their participation in tendering and contract

21

management. Machine based contractors also lack competency in a number of key engineering and contract management functions, and training will be provided for key personnel. As part of safeguards activity, there will also be training at community level to meet needs for community participation and advancement in safeguards practices. 71. The CPIU Director with advice from the senior TA team should determine training priorities, and annual training plans should be presented to and approved by NTFB.

72. Indicative Arrangements: It is clear that capacity building is needed during STIIP.

The Attached TA should support management across key knowledge domains, with more integrated practices than the past. These specialists should support better management and achieve more efficient and effective staff practices and outputs and will be able to support outsourced functionality when appropriate. International consultants should be contracted to provide competency building, system development and refinement, and operational oversight and monitoring. Even with staffing increases, it is clear that there will continue to be staffing gaps in MID which should be filled through contracting of national expertise.

73. Circumstances and needs are of course subject to change during STIIP. New problems may emerge and existing issues may be resolved. Hence the proposed international and national consulting services model is presented as indicative. The Program Lead working with the CPIU Director will determine the priorities for filling positions, taking into account confirmed capacity building needs for international experts and by assessing the gaps that exist at the time after MID staffing decisions are determined and enacted. 74. The following concept diagram suggests the basis for an amended organizational structure. At the centre of the activity is representation of the core activity of subproject management. The current regional model is retained, but strengthened with other activities being integrated under the authority of each Regional Manager, (as illustrated in the inner grey-coloured oval shape). Other CPIU activities should operate across all three regions or are more akin to general management activity as they serve, assist or guide subproject management, (as illustrated in the outer, green-coloured oval shape):

CPIU Organizational Structure Concept

INFRASTRUCTURE DEVELOPMENT

Region 3 SubprojectsRegion 2

SubprojectsRegion 1 Subprojects

Policy and Planning

Management Information

Safeguards

Quality Assurance

Project Accounting

Training

Subproject Management

Design Procurement Contract

Management Geotechnical Asset Inventory

Regional Manager

Ø LBES and MB

Maintenance

Ø Rehabilitation and

new Construction

CPIU MANAGEMENT

ACTIVITY

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75. There are a number of versions of the CPIU organizational structure. The current structure was sent to the Public Service Commission (PSC) in 2013, and this remains in effect. As part of the CPIU restructuring process, a new draft version was developed. 76. A request for additional staffing was also submitted to the PSC. It is understood that from this request there were 10 positions approved for addition to the 2014 Establishment, with 17 positions not being approved. Some but not all of these 10 positions have been recruited and filled. With the additional 10, the TIMSD establishment reaches 36. Should the additional 17 be approved, the Establishment will reach 53, but no decision on these has been made. The national TA and training budget has been developed assuming that there will be no additional staffing approved. If there are additional positions approved, the MID management with advice from the CPIU Management Team will have flexibility to fill CPIU positions that are the highest priority. 77. Amongst the 17 recommended positions were:

1 safeguards officer

1 community liaison officer

7 works supervisors

1 survey technician

2 procurement officers

1 FSS manager

1 M & E officer

78. Filling of the safeguards officer, community liaison officer, and procurement officers will be important steps forward for the CPIU and will potentially enable reduced TA in these areas. The M&E position will also be essential, but it will need to be classified at around level 10 in order to attract a suitably qualified and experienced applicant pool. There is a shortage of engineers to fill roles in Operations and maintenance and these should be a priority. The 7 works supervisors are needed but rather than employment they may be better obtained and managed through outsourcing. 79. If the positions are not approved for 205, they may be approved in later years during STIIP. One approach that has been suggested is that the TA officers appointed in these positions convert to SIG public service employment at an appropriate time once posts are approved. 80. The PPTA prepared an organizational chart under STIIP, (see Appendix 1) based on the existing structure with the 36 known MID posts (not including the additional 17), and with indicative areas of TA support from STIIP. This is indicative, and it is recommended that the Program Lead work with the CPIU Director to create a more integrated model soon after commencement of STIIP.

TA and consulting services

81. Capacity Development Goal: On the completion of the planned TA and proposed

consulting services, there should be: 81.1 Achievement of relevant DLIs 81.2 Strengthened management capacity of the CPIU, with performance management

operating and informed decision-making by managers

23

81.3 Strengthened technical capacity, with staff adequately capable of performing their stipulated duties consistent with required documented procedures

82. The technical assistance and capacity building model: The total technical

assistance and capacity building budget is USD 9.24m (13%), of which USD 620,000 is estimated to cover training costs. 83. This amount covers (i) the provision of a core management team supporting the CPIU management team and an international safeguards specialist supporting the CPIU, contracted through an attached TA managed by ADB, (ii) an indicative proposal for international specialists and consultants providing capacity building in specific areas of need, (iii) an indicative proposal for national experts to fill assessed gaps in the MID staffing and working in-line to ensure key functions operate effectively, and (iv) a broadly-defined training program to improve MID competencies and qualifications relevant to key CPIU functions.

84. International capacity building and national experts will normally be embedded in a particular function or process, and be either individually contracted or contracted through a firm. Outsourced work can also be obtained as required for non-core CPIU activity.

85. The details of the composition, timing, appointment and contracting mode of capacity building will be reviewed progressively taking into account identified issues and priorities at the time, and will be advised by the Program Lead in consultation with the CPIU Director.

86. Attached Technical Assistance: The CPIU management team will be

strengthened by the appointment of three highly competent international consultants operating inclusively at the level of strategy and managerial decision-making in the CPIU. Collectively they represent a core management team of TA for the CPIU management team.

87. ADB will recruit the TA, while payment will be made out of ADFAT’s baseline contribution to STIIP in the NTF. MID will be the executing agency for the TA. The TA activities will be directed to and monitored by the TIMSD. Consultants under the TA will also support the NTFB and liaise within the MID as well as externally including the MOFT.

88. The core management team of TA will include a Program Lead who will work with, for and on behalf of the CPIU Director, a Management Accounting and Operations Specialist who will oversee CPIU accounts administration and the management of operations, and a Procurement & Contract Management Specialist who will oversee strengthened and aligned management of contract administration and procurement activity. These positions will be required to be filled for 11 months each year for 5 years.

89. An International Safeguards Specialist is also included in the Attached TA, because of the need for safeguards to be managed with a broad scope across the whole of the CPIU.

90. The Attached TA will be beneficial through its prompt recruitment and thereby facilitating of a smooth transition by overlapping with the TSDP.

91. Once mobilized, the core management team will organize procurement of the international consultants and national specialists as well as any outsourcing of national expertise. The Program Lead will be responsible for finalizing terms of reference, recruitment, selection and appointment of experts, scheduling and organizing mobilization, and for assisting, monitoring and assessing their quality performance.

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92. ADB will engage individuals or a firm to provide a total of 191 person-months of consulting inputs. The selection and engagement of the consulting inputs will be carried out in accordance with ADB’s Guidelines on the Use of Consultants (2013, as amended from time to time). A consulting firm would be selected on the basis of full technical proposal in accordance with the quality- and cost-based selection procedures. Given the highly specialized nature of some of the tasks proposed under the capacity development TA, a quality to cost ratio of 90:10 will be followed. All disbursements under the TA will be done in accordance with ADB's Technical Assistance Disbursement Handbook (2010, as amended from time to time). The TA will be implemented over 60 months from the fielding of the consultants, which is anticipated in July 2015. Thus, the TA is expected to be completed in June 2020. 93. The Attached TA is outlined below:

Attached International Technical Assistance No Person Months

Program Lead 1 55

Management Accounting and Operations Specialist 1 55

Procurement & Contract Management Specialist 1 55

Safeguards Specialist 1 26

Total 4 191

94. International Capacity Building Specialists: Further international technical

experts will be needed in support of capacity building, and should be engaged as required. It is proposed for indicative purposes that the specialists include three civil engineers (one senior roads engineer, one medium-level roads engineer and one medium-level wharf engineer), and one asset management expert. In addition there could be provision for review and if necessary further development of a Finance Manual early in STIIP. There should also be provision for outsourced annual fiduciary auditing. There may be further requirements identified by the Program Lead for short term international experts to strengthen management systems and technical functions in the CPIU. 95. Some of the international experts are likely to be required for 11 months a year for the first 2 or 3 years, and up to 6 months per year for the remainder of the project, however this may vary for each specialty. Individual specialists could be appointed for the first year and re-contracted annually as required.

96. The Program Lead will manage hiring of international technical specialists, and the responsibility for contracting will be with MID. The international experts are to be embedded with counterparts working closely both in the office and on work-sites, and should advise and assist on systems, capacity building and operations.

97. The indicative profile proposed for international consultants is outlined below:

International Consulting Services No Person Months

Civil Engineer - Roads 2 90

Civil Engineer - Wharves 1 40

Asset Management Expert 1 31

Finance Manual Developer 1 6

Fiduciary Review 1 10

External Finance Auditor 1

Total 7 177

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98. National Operational Specialists: There will be need to appoint national

technical specialists to work in-line and fill gaps remaining in MID, depending on the resolution of the CPIU structure and MID Establishment, and not necessarily for the full 5 years. Based on current assessments of the likely gaps, the indicative proposal is that contracted officers include two procurement officers undertaking processing and operations, one finance officer located within the Finance Office of MID, one communications expert supporting MID in media and public relations management, and three safeguards officers implementing environmental, social, gender, land acquisition, compensation, and resettlement safeguards procedures. There may also be need for provision for administrative support to assist recruitment of international and national experts in the first year of STIIP. 99. The Program Lead will manage hiring of the national technical specialists, with the responsibility for contracting with MID. The national experts will be embedded in MID processes. Even if they are required for the life of the project, they should be initially contracted on a two or three year renewable contract so as to build in flexibility for the CPIU decision-making. There may be further requirements identified by the Program Lead during the STIIP for short term national technical experts.

National Specialists In-line and Filling MID Gaps No Person Months

TA Recruitment Administrator 1 6

Procurement Officer x 2 2 110

Finance Officer 1 55

Safeguards Specialists x 3 3 165

Communications Expert 1 55

Total 8 391

100. Outsourced Technical Expertise: It is likely that some additional short term

technical expertise will be required during the life of the project. This will be assessed and recommended by the Program Lead on an as-needed basis, but would possibly include supervision of LBES, MBC and wharves, FS, DDE and BD for roads and wharves, asset management surveys, and safeguards field work. These activities would be contracted in direct support of the related work program and their cost would be borne by the work program.

101. As stated the need for and performance of international and national consultants and outsourced services should be progressively reviewed, evaluated and determined. If the indicative positions are filled, the total picture would be as follows:

All Positions No Person Months

Total International Specialists 11 368 Total National Specialists 8 391

Total 19 759

102. Competency Strengthening: The institutional and private sector assessments

demonstrate that competency of the MID, private sector consultants and contractors, and community representatives has advanced as a result of TSDP capacity building, and that further competency and qualifications development will be required during STIIP. 103. MID-CPIU staff will benefit from training including off- and on-the-job training, coaching and modelling, in competency areas including:

management development

contract management

26

technical skills development

procedural compliance implementation and management

professional development through undergraduate study for MID accounting staff, and

professional development through graduate level study in structural engineering for at least one engineer.

104. Contractors and their key employees and community representatives will benefit from participation in appropriately targeted training programs, including:

tender development training for key LBES personnel through pre-tender training

contract management training for successful LBES contractors through post-tender training

contract management, skills development and general management training for machine based contractors’ key staff in on- and off-the-job programs delivered by international experts or through a course of study

qualification development targeting certificate acquisition for a second cohort of works supervisors, and

community participation, gender and environmental awareness and skills development training for community members involved in safeguards processes.

105. International capacity building consultants will be expected to contribute to on- and off-the-job training of MID and private sector staff as deemed appropriate during STIIP.

Sustainable Transport Infrastructure Improvement Program (RRP SOL 8596)

Appendix 1: Organizational Structure for CPIU including proposed STIIP TA

Director, CPIU

Deputy Director,

Operations &

Maintenance

Deputy Director,

Policy and

Planning

Technical

Design

Safeguards

Asset

Management

Laboratory

Region 2

Region 3

Region 1

This includes SIG-approved MID

posts (36), and indicative STIIP-

funded consultants / specialists

Program Leader,

STIIP

Ø Finance

Ø Communications

Attached Technical Assistance

International Experts

National Specialists

Co

rpo

rate

Se

rvic

es

External Finance Auditor

Ø Finance Manual

Review

Ø Fiduciary Review

Government approved, MID Established Posts

CPIU Management

Team

7 Officers

Expert

2 Officers

1 Designer

Expert

Planning

Safeguards Monitoring

2 Technicians

3 Engineers

3 Supervisors

4 Engineers

3 Supervisors

3 Engineers

4 Supervisors

Road and Wharf Engineers

Deputy Director,

Quality Control &

Assurance

CPIU Technical & Operational

Team

Officers

Procurement

Permanent Secretary

Undersecretary Technical

Management

Accounting &

Operations Specialist

Procurement &

Contract Management

Specialist

Sustainable Transport Infrastructure Improvement Program (RRP SOL 8596)

Appendix 2: Indicative Terns of Reference for Technical Assistance

and Consulting Services Capacity Building

Attached TA

Program Lead (International, 55 Person Months)

The Program Lead will support the CPIU Director in strategic, systems, functions, staff and consultants to ensure that compliant, efficient, and effective actions are taken to achieve improved and more economical transport infrastructure for nationwide access to social services and inclusive growth. S/he will advise and assist the CPIU Director in all engineering matters, act on their behalf as needed, coordinate the work of all TA consultants and STIIP consultancy services, and strengthen management teamwork.

Within the overall scope, the key tasks of the Program Lead will be, to: (i) Strengthen capacity in the role, decision-making and performance of the Director and Deputy Directors of the CPIU, ensuring that MID’s performance and their learning and development is enhanced, (ii) Lead work program planning and scheduling for MID’s work program and identify financial and personal resource and system needs, (iii) Lead and manage technical assistance and capacity building so that consultants and experts are mobilized as and when needed and planned mission outputs are achieved, (iv) As Technical Lead, advise MID on transport infrastructure civil works and maintenance, so that engineering decisions reflect best possible practice for the context, (v) Contribute to the process for the annual rollover of the 3YAP and preparation of the AWP and monitor and report progress to stakeholders, (vi) Lead improvements and utilize systems for planning (including asset management), design (including gender responsive features), implementation, supervision and quality assurance of maintenance, rehabilitation and new works, according to MID guidelines and operations manuals, as required; (vii) Lead studies such as technical, safety audits, (viii) Lead CPIU in the development and monitoring of annual budgets, (ix) Work with Regional Managers and Job Managers, coaching and improving their knowledge and performance in managing subprojects, (x) Manage administration, integration of work processes across functions (eg engineering, procurement, safeguards and finance), implementation, monitoring and reporting of capacity building provided under STIIP, (xi) Ensure the development of reports for monthly progress of subprojects against plan, as well as environmental, social, and gender aspects, (xii) Submit regular and timely reports as required (monthly, quarterly, annual and project completion, STIIP results verification reports) to MID, NTF Board, and development partners, and (viii) Oversee management of the M&E system for the CPIU.

Outputs: The Program Lead is expected to produce these outputs, achievements/delivery of which is clearly demonstrated: Advice and assistance provided in support of the CPIU Director on strategy and management; Management systems Implemented to improve processes and decisions; TA and capacity building consultants are well managed, respond to MID needs and achieve contracted requirements; Leadership provided to the CPIU team and consultants work closely with staff building their capacity; Engineering capability in CPIU increased through advice and assistance provided; Effective subproject management, monitoring and reporting; Leadership on design and management of subprojects; MID annual work plan targets, STIIP Program Action Plan and DMF milestones achieved; Capacity development in MID and private sector; Improved systems for monitoring and acting on evidence; Special studies’ (labor based maintenance review, asset management review, technical and safety audit) findings/recommendations implemented; System

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developed for monitoring and evaluating processes, products and outcomes for maintaining and rehabilitating transport infrastructure; Improved efficiency, effectiveness, accountability, transparency and value for money in the expenditure of NTF funds.

Minimum Qualification Requirements: The Program Lead will have a background appropriate to the tasks and output set out above, with at least 10 years successful experience in a leadership role in relevant transport infrastructure projects, a degree in transport engineering, civil engineering, or the equivalent from a recognized university, a comprehensive understanding of good management practice in developing countries, and demonstrably skilled trainer, coach and mentor for changed behaviour.

Management Accounting and Operations Specialist (International, 55 person-months)

The Management Accounting and Operations Specialist will support the Program Lead to ensure compliant, efficient, and effective accounting, administration and operations for improved management of CPIU subprojects. S/he will work by applying cross-functional expertise, building capacity and performance in and through the MID-CPIU management team, and work closely with the Procurement and Contract Management Specialist.

Within this overall scope, the key tasks of the specialist are to: (i) Analyse and strengthen the financial management of projects including project tracking, monitoring, supervision, reporting and payments; (ii) Manage CPIU budgets and expenditure accounting for subprojects and program administration, and provide reports for CPIU management decision-making; (iii) Lead and improve the operation of the project performance monitoring system, reporting on the DMF and disbursement linked indicators (DLIs) as appropriate as well as subproject progress and problems, and train engineers in data entry and report creation; (iv) Monitor and interpret subproject expenditure regularly; (v) In consultation with the project engineers and the Contract Management Specialist, integrate current reporting systems in a CPIU management information system and train users to deliver coordinated, consistent, accurate and timely decision-support reporting for management on DMF and DLI progress through M&E, physical and financial project performance, procurement progress, and asset inventory and condition data; (vi) Maintain the M&E system with agreed indicators, targets, sources of baseline and progress data, and frequency of reporting; (vii) Lead in the development and administration of systems for preparation of NTF payment requests ensuring that all documents are complete, BOQ calculations, progress of works, and monthly payment certificates are accurate prior to submission of payment requests to MID finance and accounting section for pre-audit by the ADFAT financial management specialist; (viii) Lead, advise and assist CPIU administration and operations, providing support for compliant implementation of the work program ensuring that it is within budget and timeframe and sound administration procedures; and (ix) Strengthen capacity of CPIU Director, Deputy Directors and Chief Engineers in managing project accounting and related processes and decision-making; and all financial management, administration and operations matters, ensuring that their learning and development is enhanced.

Outputs: The specialist is expected to produce these outputs, achievements/delivery of which is clearly demonstrated: Problem analyses leading to improved decisions and more cost effective operations; Transparent and accurate accounting for the subprojects; Contract administration and monitoring system in CPIU set up and managed; Contract accounting data prepared and verified; Effective office administration and operations; Reports of progress on DMF and DLIs produced; Accessible record keeping; Tracking and monitoring systems operational, including those needed for DLIs achievement and verification; Contract financials reconciled; MOFT and MID systems, guidelines and manuals used and revised to meet MID CPIU requirements to deliver work program; Anticorruption corruption systems fully operational to detect, verify, and report according to established procedures and

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agreements; Capacity developed in the CPIU on administration and operational matters; and Cooperation with and from MID Finance team, MOFT, and auditors.

Minimum Qualification Requirements: The Management Accounting and Operations Specialist will have a background appropriate to the tasks and output set out above, with at least 10 years successful experience in management accounting and operations management in relevant international development projects, a degree in accounting, commerce, economics, business or other related fields from a recognized university, a good understanding of management information systems and their use in decision-making in a government agency responsible for infrastructure maintenance and civil works in developing countries, and demonstrably skilled trainer, coach and mentor for changed behaviour.

Procurement & Contract Management Specialist (International, 55 person-months)

The Procurement and Contract Management Specialist will support the Program Lead to ensure compliant, efficient, and effective procurement and contract management through the contract life cycle. S/he will apply cross-functional expertise and building capacity and performance in and through the MID-CPIU management team and will also work closely with the Management Accounting and Operations Specialist.

Within this overall scope, the key tasks of the specialist will be to: (i) Advise and assist the CPIU Director in all procurement and contract management matters; (ii) Strengthen capacity of Director, Deputy Directors and CPIU staff in all procurement and contract management matters, ensuring that they have a sound understanding of the country systems and good practices; (iii) Develop and manage the CPIU Procurement Plan in alignment with the AWP and annual budget; (iv) Lead CPIU’s management of the life cycle including bid invitation, bid evaluation, contract award, contract implementation, works supervision and reporting, computation of payments, communications with contractors, assessing suggested contract variations; (v) Work with the Management Accounting and Operations Specialist in consolidating and refining current information provision to establish a CPIU management information system, and be specifically responsible to set up and implement the components for Procurement Performance Monitoring based on conformity indices and Contract Management based on subproject progress; (vi) Ensure that procurement procedures in use comply with legislation, policies, systems and procedures of SIG, and the relevant updates; (vii) Monitor and report compliance with required procurement and contract management systems; (viii) Review tender documents for correctness and compliance with applicable documentation requirements; (ix) Provide technical advice on procurement strategies for packaging works for subprojects and consultant services; (x) Monitor and advise on the performance of the Tender Evaluation Committee processes and outputs; (xi) Mentor, coach and train MID-CPIU personnel in good practice contract management including procurement as appropriate to their needs and context; and (xii) In consultation with the Management Accounting and Operations Specialist and the project engineers, set up and implement a system to analyse, track and control unit rates and use it for bid evaluation purposes (liaising with MOFT Procurement Unit as appropriate).

Outputs: The specialist is expected to achieve the following outputs, achievements/delivery of which is clearly demonstrated: Effective integration of procurement and contract management in the CPIU for efficient and cost effective procurement of works, services and goods to deliver transport infrastructure and services; Procurement Plan developed and implemented timely; Procurement Performance Monitoring system in place and implemented, and follow-up actions taken as appropriate; Bidding documents properly prepared; Contracts for projects properly managed and administered through the contract life cycle ensuring full compliance with procurement regulations and contract clauses and conditions; Tender documents reviewed for compliance with country system requirements and accuracy; System to analyse, track and control unit rates set up and implemented; Advice provided on packaging of works and consultant services for subprojects;

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Tender Evaluation Committee processes and outputs regularly monitored and reported; Capacity developed in the CPIU on contract management and procurement performance systems, and skill development for MID procurement officers; Any areas of non-compliance in procurement and contract management are detected and reported to MID management, MOFT Procurement Unit and others based on agreements.

Minimum Qualification Requirements: The Procurement and Contract Management Specialist will have a background appropriate to the tasks and output set out above, with at least 10 years successful experience in procurement and contract management in relevant international development projects, a degree in engineering, commerce, economics, business or other related fields from a recognized university, a good understanding of contract management systems and their use in procuring and managing infrastructure maintenance and civil works contracts in developing countries including demonstrated ability to manage and monitor contracted works, and demonstrably skilled trainer, coach and mentor for changed behaviour.

Safeguards Specialist (International, 26 person-months)

The Safeguards Specialist will support the Program Lead and build capacity in the MID-CPIU management team in order to ensure compliant, efficient, and effective safeguards planning, consultations and reporting across the CPIU. S/he will apply specialist functional expertise and build capacity and performance in and through the MID-CPIU management team and technical CPIU members so that a fully compliant and proactive safeguards system is delivered at all levels.

Within the overall scope, the key tasks of the Safeguards Specialist will be, to: (i) Coach and motivate MID and CPIU to apply the Safeguards Procedures Manual (SPM) at all levels, (ii) Ensure that all activities under STIIP recognize and conform to country safeguards systems, ADB SPS safeguards principles, and international good practices, (iii) Address issues arising from changes in environmental and land acquisition and resettlement (LAR) procedures (e.g. proposed under TA 8217 Solomon Islands: Strengthening Country Safeguard Systems in the Transport Sector), (iv) Ensure smooth co-ordination between the MID and other relevant ministries (MLHS, MECDM), (v) Conduct training and other capacity building support so as to ensure that relevant procedures are recognized, adopted and implemented, (vi) Develop, review, update and oversee the implementation of a Consultation and Communication Plan, (vii) Ensure that routine monitoring of contractors is undertaken and reported so as to respect the rights, expectations, culture and property of local communities, and that corrective actions are further monitored and reported, (viii) Supervise and review preparation of safeguard documents (including LARP and PER) for subprojects, and control and improve quality of documents prepared by national safeguards staff/consultants, (ix) Ensure integration of appropriate level of environmental management plan (EMPs) and development consent conditions into contract documentation prior to tender and contractors’ compliance with each level of EMP (simple EMP for LBES, developed EMP for MBMC and full EMP for rehabilitation and major works) and community advisory committee (CAC), Climate Change and other guidelines as set out in the SPM, and ensure compliance with safeguards assurances under the Loan/Grant Agreements, (x) Oversee, monitor and report progress on the implementation of the Gender Action Plan [GAP], (xi) Support national staff/consultants, CPIU counterparts and contractors with community liaising, environmental concerns, social and development concerns, community education, and implementation of grievance-redress mechanism (GRM) (xii) Coach, train and support safeguards staff/consultants, all CPIU staff, and contractors on their safeguards responsibilities.

Outputs: Compliant and proactive safeguards system in place; Capacity developed for the SPM and management team fully competent in use of SPM; Safeguards systems meet required standards; Implementation of safeguards in compliance with CSS and SPS; Strengthened competency for CPIU members, communities and contractors involved in environment and social safeguards and gender; System and

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process development across the CPIU; CPIU staff capacity strengthened to ensure that all staff are proactive in safeguards monitoring.

Minimum Qualification Requirements: The Safeguards Specialist will have a background appropriate to the tasks and output set out above, with at least 10 years successful experience in safeguards management in relevant international development projects, a degree in engineering, economics, development or other related fields from a recognized university, a strong knowledge and understanding of safeguards systems, planning and implementation in developing countries, a strong familiarity with ADB safeguards systems and expectations, and demonstrably skilled trainer, coach and mentor for changed behaviour.

Indicative International Capacity Building Specialists

Senior Civil Engineer, Roads and Wharves (International, 45 person-months)

1. Develop capacity in road and wharf engineering for outsourcing transport infrastructure maintenance and civil works through the contract management cycle, in conjunction with the Program Lead

2. Lead review, design, documenting, implementation, monitoring and reporting of system development of outsourced road, bridge and wharf design and construction

3. Manage design/construction issue-resolution and ensure improvements for subproject works

4. Ensure that CPIU officers establish and maintain contract administration systems, documentation, and procedures, in conjunction with the Procurement and Contract Administration Specialist

5. Carry out and supervise scoping work and feasibility studies for investigation and design for roads, bridges and wharves

6. Prepare design brief, design reports and technical designs and specifications for relevant subprojects

7. Lead field inspections to ensure engineering designs are adequately implemented by contractors

8. Guide CPIU officers involved in related/service functions for subprojects eg procurement officers in estimating, and community officers in engineering designs

9. Mentor, coach and train CPIU staff, private sector personnel and community representatives to develop competencies for road, bridge and wharf design and construction as needed to their role and context

10. Lead and participate in CPIU operations, providing support for outsourced road, bridge and wharf design and construction

Outputs: Capacity developed in road and wharf engineering for outsourcing transport infrastructure maintenance and civil works, and contract management; Engineering systems and decisions monitored and strengthened

Civil Engineer, Roads (International, 45 person-months)

1. Lead review, design, documenting, implementation, monitoring and reporting of system development of outsourced road and bridge design and construction

2. Resolve design/construction issues and suggest improvements, as required, for subproject works

3. Oversee, guide and support CPIU officers in establishing and maintaining contract administration documentation systems and procedures to ensure good quality contract files, record keeping, payments, claims, variations and periodic reporting

4. Carry out scoping work and feasibility studies for investigation and design for roads, and bridges

5. Prepare design brief, design reports and technical designs and specifications for relevant subprojects

6. Undertake field inspections to ensure engineering designs are adequately implemented by contractors

7. Guide CPIU officers involved in related/service functions for subprojects eg procurement officers in estimating, and community officers in engineering designs

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8. Mentor, coach and train CPIU staff, private sector personnel and community representatives to develop competencies for road design and construction as needed to their role and context

9. Lead and participate in CPIU operations, providing support for outsourced road and bridge design and construction

Outputs: System improvement, knowledge dissemination and assistance provided in outsourcing design and construction for road rehabilitation and maintenance

Civil Engineer, Wharves (International, 40 person-months)

1. Lead review, design, documenting, implementation, monitoring and reporting of system development of outsourced wharf design and construction

2. Resolve design/construction issues and suggest improvements, as required, for subproject works

3. Oversee, guide and support CPIU officers in establishing and maintaining contract administration documentation systems and procedures to ensure good quality contract files, record keeping, payments, claims, variations and periodic reporting

4. Carry out scoping work and feasibility studies for investigation and design for wharves

5. Prepare design brief, design reports and technical designs and specifications for relevant subprojects

6. Undertake field inspections to ensure engineering designs are adequately implemented by contractors

7. Guide CPIU officers involved in related/service functions for subprojects eg procurement officers in estimating, and community officers in engineering designs

8. Mentor, coach and train CPIU staff, private sector personnel and community representatives to develop competencies for wharf design and construction as needed to their role and context

9. Lead and participate in CPIU operations, providing support for outsourced wharf design and construction

Outputs: System improvement, knowledge dissemination and assistance provided in outsourcing design and construction for wharf rehabilitation and maintenance

Asset Management Specialist (International, 31 person-months)

1. Ensure implementation of asset management manuals, guidelines and procedures as required

2. Ensure the conduct of asset management surveys, updating the database, and provision of up-to-date condition reports

3. Support the introduction of new procedures for monthly monitoring and reporting of physical and financial progress of subprojects

4. Provide reports of progress and budgets against the NTP AWP and related SIG funded subproject works utilising information provided by Job Managers and in accordance with the CPIU management information system

5. Lead preparation of data sheets for all sub-projects in agreed format. 6. Lead production by AMU of high quality map outputs utilising SITAMS and GIS

tools to meet the cartographic needs of CPIU 7. Initiate and lead the implementation of quality audits by AMU of asset inventory

and condition data 8. Ensure asset inventory data is available to plan and implement annual

maintenance works 9. Deliver training in inventory and condition data collection, data processing, quality

assurance, and ongoing management and use of the SITAMS database 10. Support MID counterparts and consultants with maintenance of the asset

management data and regular updating of condition data

Outputs: Improved systems and activities implemented in asset management for planning, maintaining and rehabilitating traffic infrastructure

Finance Manual Developer (International, 6 person-months)

1. Review MID-CPIU Finance Manual and amend as required

Outputs: Country finance systems fully adopted by MID/CPIU; finance procedures documented and in-practice procedures reviewed; Finance Manual developed for the MID/CPIU; and implementation extent and issues reported

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Fiduciary Review (International, 10 person-months)

1. Conduct fiduciary review and report findings

Outputs: Annual fiduciary review conducted and reported

External Finance Auditor

1. Conduct regular external audit and report findings

Outputs: Independent external finance conducted and reported

Indicative National Specialists

Technical Assistance Recruitment Administrator (National, 6 person-months)

1. Liaise with MOFT and support tender for appointment of an international recruitment firm search for international consultants

2. Prepare documentation for tender of a local firm to employ national consultants 3. Ensure that administration and documentation for recruitment, selection and

mobilization of first round of consultants and experts is compliant

Outputs: Transport Team Leader assisted in administration and documentation for recruitment, selection and mobilization of first round of international and national consultants, specialists and experts

Procurement Officer (National, 55 person-months x 2)

1. Ensure compliant and efficient processes and documents for invitations for expressions of interest and evaluation of submissions, contract and tender documentation for works, goods and services as allocated, and bid evaluation reports, in accordance with the applicable procurement guidelines, forms and criteria

2. Assist in the administrative process leading to the award of contracts 3. Ensure that full and complete procurement records are properly maintained and

accessible, including minutes from bid opening, bid evaluation committees, and tender boards, as well as contract files, bids, proposals, expressions of interest, advertisements, correspondence, and invoices

4. Assist in reviewing the contractors’ claims and administration for the certifying for payment

5. Ensure that procurement processes are in accordance with policies, systems and procedures of SIG and development partners

6. Review tender documents for correctness and compliance with applicable documentation requirements prior to submission

7. Monitor and track contractual payment obligations, support complaints resolution mechanisms, and record procurement decisions and disputes (by written narratives such as minutes of evaluation, minutes of negotiation, notices of default/withheld payment)

8. Ensure there is a written auditable trail of procurement decisions attributable to individuals and committees

Outputs: Compliant procurement documentation completed and efficiently processed

Finance Officer (National, 55 person-months)

1. Keep and maintain separate project accounts 2. Prepare project accounts for annual audits 3. Manage project finances as directed by Financial Management Specialist 4. Prepare monthly cash flow statements, reconcile project accounts 5. Review claims and prepare withdrawal applications 6. Provide the necessary accounting services to ensure effective project

administration 7. Manage and facilitate the timely disbursement of project funds in accordance with

the government’s Financial Instructions 8. File all the project records 9. Assist arrangements and preparation for audits

Outputs: Compliant and efficient accounting services to ensure effective project administration undertaken as member of Ministry Finance and Accounting Unit

Environmental and Gender Specialist (National, 55

1. Ensure implementation of Program Gender Action Plans (GAP) 2. Work with Community Advisory Committees (CACs) on improving gender equity

for employment and payment

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person-months) 3. Prepare Baseline Surveys in affected communities to assess gender equity situation using sex-disaggregated data

4. Identify pilot infrastructure add-on gender mitigation subprojects 5. Build relationships within the SIG and donor community on gender issues 6. Prepare screening and scoping documents for all projects 7. Prepare project descriptions and development consent and/or development

consent waiver applications as required 8. Liaise and coordinate with MECDM 9. Prepare public environmental reports (PER) for tier 2 and tier 3 projects as

required by the SPM and after consultation with MECDM 10. Prepare guidance for each level of environmental management plans (EMP) i.e.

simple EMP for LBES, developed EMP for MBMC and full EMP for rehabilitation and major works, and assist with integration of appropriate EMPs and any development consent conditions into bid documentation prior to tender)

11. Provide support to contractors, as required, as they prepare EMP in response to bid documentation requirements

12. Clear contractors’ EMPs prior to start of any physical works and advise Program Lead that physical work may commence

13. Supervise contractor implementation of EMP and report on compliance, advise of need for corrective actions as required and report on implementation of corrective actions

14. Implementation of MID’s EMS including routine monitoring and spot-checks of contracts

15. Prepare inputs for quarterly progress report and safeguards monitoring reports 16. Assist with disclosure of PER, EMP, and monitoring reports

Outputs: Assessments and appropriate EMPs prepared, reviewed, cleared and implemented; GAP implemented; gender related mitigations identified, prepared and implemented; CAC’s improve gender equity for employment and payment, environmental quality and climate change

Community Education, Stakeholder and Governance Specialist (National, 55 person-months)

1. Prepare training materials on governance and community education issues 2. Provide ongoing support to project management consultants and communities 3. Facilitate community consultations and assist in establishing CACs 4. Conduct negotiation and conflict resolution using the program Grievance Redress

Mechanism (GRM) 5. Identify community boundaries and stakeholder structure 6. Establish a key contact person for CPIU with each affected community and

maintain ongoing communications 7. Prepare stakeholder analysis at MID corporate and subproject level 8. Provide initial stakeholder engagement with all urban and rural subprojects 9. Build relationships with the Communications Expert and provide regular updates

on the status/profiles of affected communities 10. Prepare initial scoping reports on affected communities and provide project

information 11. Maintain documentation and supervision of meeting minutes and follow through

actions

Outputs: CACs established and ongoing; Community Education provided for joint Contractor and Community resolution of implementation issues (such as proposal and tender preparation), dispute resolution, and for raising awareness of risks such as HIV Aids; Program Communications and Consultation Plan prepared and implemented at MID HQ and at subproject level

Land Acquisition, Resettlement and Compensation Specialist (National, 55 person-months)

1. Implement the Land Acquisition and Resettlement activities, plan and procedural requirements following the SPM

2. Ensure compliance with the SPM and train MID staff when necessary 3. Liaise with Ministry of Lands as required 4. Coordinate any resettlement/relocation activity, support identification of alternative

housing, liaise with relevant authorities, and monitor actual relocations

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5. Participate in negotiations for land use or acquisition 6. Coordinate support to vulnerable people 7. Collect and verify data using surveys 8. Support the establishment of compensation agreements 9. Prepare and implement livelihood restoration plan for affected businesses and

employees 10. Prepare monitoring reports as required

Outputs: LARP, MOA and monitoring reports prepared; LAR activities including assessments, consultations, negotiations, compensation, and grievance redress implemented in compliance implemented in line with SPM; LAR system and implementation capacity strengthened

Communications Expert (National, 55 person-months)

1. Advise, coordinate, plan and support interactions by MID managers, both reactively and proactively so that media interviews, press releases, and other media interactions present the MID with a positive image

2. Develop media management systems and train senior officers in dealing with media

3. Liaise with media organizations, other Ministries, private sector organizations and others to promote the reputation of MID

4. Collate, record, analyse and advise on media coverage 5. Plan, develop, and implement PR strategies, and contribute to the writing of public

documents as required 6. Research, write and distribute press releases to targeted media and liaise with

and answer enquiries from media, individuals and other organizations, often via telephone and email

7. In cooperation with relevant managers, prepare and supervise the production of newsletters, radio programs, publicity brochures, handouts, promotional videos, photographs, films and multimedia programs, and innovative communication tools

8. Organize events including press conferences, exhibitions, open days and press tours

9. Create, maintain, monitor and update information on the MID public website as required by the Permanent Secretary

10. Act as editor of internal and external news bulletins as required by the Permanent Secretary, reporting through case studies, speeches, and articles

11. Support managers with internal communications regarding public service policy and procedure, MID procedural requirements, special events, and management tasks (eg in performance management, Corporate Planning, policy initiatives, and acting on government requirements)

Outputs: Positive image and reputation for MID, by the creation of appropriate internal and external communications, by dealing with the media, and through the exercise of sound public relations practices; Systems developed and senior officers trained in dealing with media

Indicative Trainer

Private Sector Engineering Trainer (International, 3 person-months)

1. Build private sector capacity that strengthens the delivery of civil works and maintenance projects and contract compliance

2. Mentor, coach and train private sector staff to develop their competencies in civil engineering as needed to their role and context

3. Advise the CPIU on private sector capacity, problems faced, and generic solutions for the industry to enhance private sector performance in maintaining and rehabilitating transport infrastructure

Outputs: Private sector training conducted; Capacity developed; Performance of private sector enhanced