Inception Report 2012

8/13/2019 Inception Report 2012

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Sher Afzal Banda, Swabi District, 16.2.2012

HELVETAS SWISS INTERCOOPERATION

LIVELIHOOD SUPPORT & PROMOTION OF SMALLCOMMUNITY INFRASTRUCTURE PROJECT (LACI-P)

Inception Report

April 24, 2012


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Livelihood Support & Promotion of Small Community Infrastructure Project

Inception Report, April 24, 2012 ii

4.4.1 Work Programming/Implementation Schedule ....................................................... 214.4.2 Staffing Schedule .................................................................................................... 21

5 STAFF ARRANGEMENTS AND STAFF PROFILES ............................................................. 225.1 General Provisions ......................................................................................................... 225.2 Long-term Staff Profiles .................................................................................................. 225.3 The Advisory Review Team (ART) Members ................................................................. 225.4 Short-term Expert Pool ................................................................................................... 225.5 Duty Station .................................................................................................................... 23

6 REPORTING ........................................................................................................................... 246.1 Short Monthly Progress Reports (SMR) ......................................................................... 246.2 Quarterly Progress Reports (QPR)................................................................................. 246.3 Advisory Review Reports (ARR) .................................................................................... 246.4 Project Completion Report (PCR) .................................................................................. 246.5 Special Studies and Reports .......................................................................................... 24

7 ISSUES AND CHALLENGES ................................................................................................. 26

LIST OF ANNEXES

Annex 1 Funding Phase One

Annex 2 PO Profiles

Annex 3 District Profiles and exposure to natural disastersAnnex 4 Revised Organization Chart

Annex 5 Funding Phase One with 6 POs and 17 UCs

Annex 6 Activities of DPM

Annex 7 Revised Work Programme

Annex 8 Revised Staffing Schedule

Annex 9 ART Members and STCs

Annex 10 TOR Senior International Expert

Annex 11 Curriculum Vitae Klaus Euler


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Inception Report, April 24, 2012 iii

LIST OF ABBREVIATIONS

ACO Assistant Coordination Officer

ADB Asian Development Bank

AKRSP Aga Khan Rural Support ProgrammeARR Advisory Review Report

ART Assignment Review Team

BMZ (German) Federal Ministry for Economic Cooperation and Development

BoD Board of Directors

CBO Community Based Organization

CC Climate Change

CCB Citizen Community Board

CO Community Organisation

CPI Community Physical Infrastructure

CS Conflict Sensitivity

CSO Civil Society OrganizationCSPM Conflict Sensitive Programme Management

CUP Community Uplift Program

CV Curriculum Vitae

DDP District Development Plan

DNH Do No Harm

DPM Disaster Preparedness Mitigation

DRM Disaster Risk Management

DRR Disaster Risk Reduction

DRU District Response Unit

EAD Economic Affairs Division (Federal Government)EIDM Energy, Infrastructure & Disaster Management

ESMF Environment & Social Management Framework

EU European Union

GBI Grant-Based Intervention

GoP Government of Pakistan

HDI Human Development Index

HED Health Education & People with Special Needs

HQ Headquarter

HSI HELVETAS Swiss Intercooperation

IR Inception Report

IUCN International Union for the Conservation of Nature

KfW Kreditanstalt fr Wiederaufbau (German Development Bank)

KP Khyber Pakhtunkhwa Province (previously NWFP)

LACI-P Livelihood Support & Promotion of Small Community Infrastructure Project

LEP Livelihood Enhancement & Protection

LFM Logical Framework Matrix

LSO Local Support Organization

M&E Monitoring & Evaluation

MER Monitoring, Evaluation & Research

MIS Management Information System


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Inception Report, April 24, 2012 iv

MOU Memorandum of Understanding

MTDF Mid-Term Development Framework

NDMA National Disaster Management Authority

NGO Non Governmental Organization

NOC No Objection Certificate

NRSP National Rural Support Programme

NWFP North West Frontier Province (officially renamed as Khyber Pakhtunkhwa Province)

O&M Operation and Maintenance

PCR Project Completion Report

PMU Project Management Unit

PO Partner Organization (of PPAF)

PMD Pakistan Meteorological Department

PPAF Pakistan Poverty Alleviation Fund

PRA Participatory Rural Appraisal

QPR Quarterly Progress ReportRDP Rural Development Project

SAP-PAK South Asia Partnership-Pakistan

SDC Swiss Agency for Development and Cooperation

SERVE Sustainable Development, Education, Rural Infrastructure, Veterinary Care and

SIE Senior International Expert

SMR Short Monthly Progress Report

SNE Senior National Expert

SRSP Sarhad Rural Support Programme

STEP Short-Term Expert Pool

SWO Social Welfare Officer

SWWS Support With Working Solution

TL Team Leader

TOR Terms of Reference

TOT Training of Trainers

UC Union Council

UNDP United Nations Development Programme

UNHCR United Nations High Commissioner for Refugees

VDP Village Development Plan

VO Village Organization

VSWA Voluntary Social Welfare Agency Ordinance

WB World BankW&E Water & Energy


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Inception Report, April 24, 2012 v

EXECUTIVE SUMMARY

This Inception Report was prepared by the Consultant of the Livelihood Support & Promotion ofSmall Community Infrastructure Project which is executed by the Pakistan Poverty AlleviationFund and co-financed by the Federal Republic of Germany through KfW. The report is based onthe first three months of the Project and the collaboration between PPAF and the Consultant. Itprovides an analysis of the present situation, gives an updated Project Implementation Conceptand reviews the scope of the Consulting Services including staff arrangements and the reportingschedule. The report concludes with a discussion of issues and challenges encountered.

At the end of the Inception Phase a full time PPAF Project General Manager is in charge,professional staff of the relevant Units are nominated and the Consultants staff are mobilized andhave taken up offices at the PPAF office in Islamabad. The selection process of the first fundingphase is also completed and 6 POs are approved working in 17 UCs of the 5 Project Districts.The selection for the second funding phase is under way and appraisal of POs is in its finalstage.

The Project Objectives remain unchanged and the Project Implementation Concept still follows

basically the outline of the project planning phase. Main changes concern the geographicalcoverage which has been extended to five Districts from originally three, the final inclusion ofhealth, education and livelihood schemes which were originally only tentatively included andDisaster Preparedness and Management measures as a new component. The timeframe for theexecution of the Project is 36 months, from February 2012 to the end of January 2015. The sametimeframe applies to the Consulting Services.

The scope of the Consulting Services has undergone a slight shift with a stronger focus onlivelihoods. The profile of the Senior International Expert has been adjusted to reflect that and anadditional Senior National Advisor on Climate Change / Disaster Risk Reduction was added witha 50% time allocation. The Senior National Expert, a full time post, has remained unchanged.

The Reporting Schedule is unchanged with the exception that the first Advisory and ReviewTeam Assignment was postponed until July 2012 and in April only an assignment of the

International Team Leader took place because of the fact that field implementation had not yetstarted at that time. ART assignments will take place twice per year.

Major issues regarding Project management and implementation could be solved in early Aprilbut the fact that for most of the time of the Inception Phase no Project General Manager wasappointed yet hampered communication between PPAF and the Consultant. Also the approval ofthe Partner Organisations by the Board of Directors took place only in early April, therefore funddisbursement could be done only towards the end of April and field activities will only startthereafter.

The planning phase of up to 6 months with setting up Community Organisations and communitybased planning is considered crucial and it will provide a first opportunity to assess training andcoaching needs of POs as well as COs. Setting up of the results framework and defining the

appropriate indicators are other important issues that need to be addressed as well asestablishing the required baselines to monitor progress later.

Regarding the allocation of funds to the different funding phases it is observed that much of theHealth and Education schemes are now in the third phase (75%) which has a duration of only 24months. This is considered a rather short timeframe since these schemes (HED) require anoperation phase before handing over. On the other hand, most of the livelihood activities whichrequire less time for implementation are in the longer first and second funding phases.


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Inception Report, April 24, 2012 vi


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Inception Report, April 24, 2012 1

1 INTRODUCTION

1.1 BackgroundThe Consulting Contract between the Pakistan Poverty Alleviation Fund (PPAF, Employer) andHELVETAS Swiss Intercooperation (Helvetas, Consultant) for the latters services relating tothe implementation of the KfW-funded Livelihood Support & Promotion of Small CommunityInfrastructure Project (LACI-P) in Khyber Pakhtunkwa Province (KP) had been signed on 5th ofMay 2011. The Project started from February 1, 2012 after signing the MoU between theGovernment of Pakistan and the PPAF in December 2011. The commencement of theConsulting Services is accordingly from February 2012, when HELVETAS SwissIntercooperation mobilized the Consultant team for the Project. The Project implementationperiod is for 36 months ending January 2015.

The overall objective of the Project is to contribute to the improvement of the general living

conditions and quality of life of the poor population in the five selected project districts of KP

1

witha special focus on the poorest targeting approximately 600,000 people in those districts.

The Project objectives are

(i) increased access to and sustainable utilization of social and economic infrastructureby the population of the project region,

(ii) increased employment and income opportunities, especially for the poor(iii) strengthening of the local civil society and enhanced participation of the population in

the decision making process including building the target community disasterpreparedness and mitigation capacities.

PPAF is the Executing Agency for the Project which will be implemented in line with the PPAF-IIIprogramme launched in August 2009. PPAF-III is funded through a loan of $250 million providedby the World Bank and it focuses on social mobilization, institution building, enhancement andprotection of livelihood, access to microcredit, basic services and infrastructure over the next fiveyears (ref. KfW Request for Tenders).

The LACI-P activities will be implemented in close coordination and complimentary to activities ofthe PPAF III. However, microcredit will not be provided through this project. Where appropriatethe Consultant will co-ordinate activities with the operations of the World Bank funded PPAF-IIIand other relevant stakeholders to ensure that the proposed standards, systems, methods, etc.are compatible and complementary as much as possible and to avoid duplication of efforts orinconsistencies of the approach.

The implementation of the LACI-P may require PPAF to adjust and develop its managementsystems and structures to suit the implementation of the projects. PPAF can already draw on itsprevious experience for the management of the new community infrastructure schemes and

particularly on the Operational Policies Manual for Grant-Based Interventions (GBIs). However,processes and systems may need adaptation and updating and skills and capacities will need tobe reactivated and extended. The same applies for the work of the implementing PartnerOrganizations (POs) of LACI-P.

In addition to the small infrastructure schemes, livelihood support has become a majorcomponent in both this Project and the PPAF III. PPAF has acquired useful and valuableexperience in the livelihood sector with a limited number of well targeted initiatives. However, thesetting up of this scale of livelihood support (7000 units) with successful implementation andeffective control of this overall component is considered a major challenge for all parties involved.

1The target districts for the project are Chitral, Buner, Charsadda, Swab, and D.I. Khan.


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2 SITUATION ANALYSIS

2.1 Current Project Status

The 3-months Inception Phase started in February 2012 and will end with the approval of theInception Report at the end of April 2012. During this period, the PPAF Credit Committee hasapproved the Funding Phase One on March12, 2012 and the Board of Directors has approved iton April 3, 2012. Six POs will work in the 5 Districts and in 17 Union Councils. Program costs ofFunding Phase One are EUR 12.13 million or about 45% of the total budget for InvestmentCosts. Mobilisation for Project implementation is thus ready to start immediately with setting up ofCommunity Organisations (COs), initiating the need based planning process and establishing ofMulti Sector Plans (MSP) in the target UCs.

Desk appraisal of Funding Phase Two is completed, field appraisals are under way and approvalis expected shortly.

2.2 Project Institutional Setup

The PPAF BoD has approved a revised organogram which places the HID Unit directly under theCEO. The other five major Technical Units relevant for this Project are CPI, W&E. LEP, HED andDPM. The Group Head Energy, Infrastructure & Disaster Management (EIDM), Mr.Zaffar PervezSabri, is PPAFs Focal Point for this Project. A full time Project General Manager, Mr. MasoodKhalid, has been appointed for this project on April 9, 2012 and he has assumed responsibilitieswith immediate effect. He will report to the Focal Point and coordinate all Project activities,including the Consulting Services.

The Consultant Team Leader, Mr.Chris Morger, is based at the headoffice in Switzerland. TheSenior International Expert (SIE)/Deputy Team Leader, Mr.Klaus Euler, and the Senior NationalExpert (SNE, both fulltime), Mr.Hayatullah Khan are based at the PPAF office in Islamabad. Inaddition, HELVETAS Swiss Intercooperation also placed a Senior National Advisor for DPM(50% time), Mr.Syed Sajidin Hussain, with the Consultant team.

Besides the Technical Units, the Project and the Consultant work also closely together with theMonitoring, Evaluation and Research Unit (MER) of the Quality Assurance and ComplianceGroup (QAC) while also exchanging with the Communication & Media Unit (C&M) as well as theEnvironmental & Social Management Unit (ESM), both also part of the QAC Group. All of theseUnits have an important role for the overall implementation, particularly MER who is responsiblefor compliance of the Projects with the PPAF Results Framework (Annex 12 of the OPsManual) and overall monitoring. MER also plays an important role in the preparation of theQuarterly Progress Reports (QPR).

2.3 Progress during the Pre/Inception Phase

2.3.1 Pre-Inception Activities

After signing of the MOU between PPAF and the Ministry of Finance of the Government ofPakistan in December 2011, the Consultant Team Leader visited the country from January 08 to14, 2012 to get acquainted with the PPAF management structure and to get an understanding ofthe ground situation and discuss the mobilization of the of the Consultant team. Severaldiscussions were held by the TL with PPAF to clarify the scope of the Consultancy, its approachand methodology and to get an understanding about the PPAF vision of Project implementationin the overall PPAF framework. During this visit, Sher Afzal Banda village in Swabi District wasvisited where pilot activities under HED, LED and CPI are implemented. A second field visit wasmade to an Integrated Area Upgrading Project (IAUP) near Islamabad.

At the end, the TL shared a first outline of the Inception Report and the way forward with thePPAF senior management in the debriefing session.


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2.3.2 Inception Phase Activities

The Consultant team was mobilized and started work from February 1, 2012; they took up officeat the PPAF premises in Banigala.

During the Inception Period progress has been made by PPAF and the Consultant assummarized below:

POs have submitted their applications for intervention along with 30-months GrantProposals; these technical and financial proposals have been reviewed by the Multi-Sector Review Team and have been cleared by the PPAF Credit Committee for approvalby the BoD. The PPAF has prepared Inter-PO/ Inter-District financial apportionments onthe basis of the proposals of the POs. For a comprehensive overview on the FundingPhase One see Annex 1;

Six POs (AKRSP, NRSP, SRSP, RDP, SWWS and SERVE) were officially approved bythe PPAF BoD on April 3, 2012 to implement Projects and Financing Agreements will besigned with them. Profiles of these POs are given in Annex 2.

Seventeen UCs have been selected for Project implementation in the five Districts and a

poverty assessment survey of communities will be conducted using the Poverty ScoreCard methodology. The selected POs have mobilized their staff for effectiveimplementation and supervision of the Project and an orientation workshop for theselected POs has been conducted by PPAF;

Two Short Monthly Progress Reports (SMRs) for February and March 2012 have beensubmitted to KfW as per agreement; the SMR for April and the first Quarterly ProgressReport (QPR) are due soon after the end of the Inception Phase.

2.3.3 Identification and Selection of Target Districts

PPAF prioritizes grant funding for poor districts with low human development indices. Within thedistricts, a particular emphasis is given to poor households, equally ensuring access to Projectbenefits to women who are given a priority in all decisions regarding interventions. Similarly,

selection of target villages is based on poverty criteria defined by PPAF. Social mobilizationensures participation of the poor while interventions comprise cost effective, pro-poor andcontext relevant multi-sector packages.

A country-wide assessment was conducted by PPAF in order to identify the priority Districts interms of food insecurity and human development index values. In total 15 Districts wereprioritised in Khyber Pakhtunkhwa (List of Priority Districts in Annex 7, PPAF OPs Manual).These Districts were also included in the governments Mid Term Development Framework(MTDF 2005-10). Five Districts were then selected for this Project namely Chitral, Buner,Charsadda, Swabi and D.I. Khan and approved by KfW.

It is important to mention that prior to the floods, the Project Districts included Buner, Haripur andSwabi. However, in response to the humanitarian crisis caused by the floods in 2010, theGerman Ministry for Economic Cooperation and Development (BMZ) together with the Pakistani

Government agreed to alter the Project Districts. The five Project Districts selected are presentlyconsidered sensitive due to the recent history of violent conflict and a likely risk of being engulfedwith such troubles again. Large areas in these Districts were also affected by the floods of 2010.It is expected that a tangible improvement of the living conditions of the poor in these Districts willcontribute to reducing the risk of further social and political unrest, instability, furthermarginalization of poor and exacerbating poverty. A snapshot of the characteristics of theselected Districts is given under section 3.1 and a summary is provided in Annex 3.


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2.3.4 Identification and Selection of Partner Organizations (POs)

The procedures to be followed for Grant Proposals and Appraisals are described in Chapter 4 ofthe PPAF OPs Manual and Chapter 4.2.2 provides the Eligibility Criteria for PartnerOrganisations.

Six POs have been approved for implementing the Project interventions under Funding PhaseOne comprising EUR 12.132 million in 17 UCs of the 5 target Districts. Details are given in Annex1 and short profiles of the six POs are presented in Annex 2.

The selection process of these first six POs was conducted by PPAF prior to the commencementof the Consulting Services. The information was officially communicated on March 12, 2012 afterthe appraisal by the PPAF Multi-Sector Review Team was completed and the grant proposalswere approved by the PPAF Credit Committee.

The selection for another 6 new POs for Funding Phase Two is under way, desk appraisals arecompleted and field appraisals are on-going with participation of the SNE of the Consultantsteam. It is expected that Funding Phase Two will be approved shortly and implementation willstart in July 2012.

The third Funding Phase will tentatively comprise up to 10 POs, some already from the first twoFunding Phases and some new ones. It is expected that the total number of POs will not exceed15. The start of Funding Phase Three implementation is expected in January 2013.

The first and second Funding Phases will be for a duration of 30 months each whereas 24months are foreseen for Funding Phase Three. Details of the Funding Phases are in Annex 5.

2.3.5 Identification and Selection of Union Councils, Villages and Target Communities

The identification and selection of the UCs is made by the POs based on their experiences andconsultation with District officials. The baseline for identification of households will be done usingPoverty Score Card (PSC) technique. A situation analysis of the infrastructure and an analysis ofinstitutions present in the identified UCs is also carried out. At least 50% coverage of the ruralhouseholds is mandatory in a selected Union Council to comply with the saturation approachstipulated in the OPs Manual.

Selection of villages and target communities is part of the recommended social mobilizationprocess as described in Annex 8 of the OPs Manual. The planning and establishment of a Multi-Sector Plan (MSP) for the priority UCs are the steps that follow this selection.

Funding Phase One has been approved for six POs working in 17 proposed Union Councils ofthe 5 Districts in KP Province. Details are given in Annex 1. Funding Phase Two foresees to workin 17 Union Councils as well and the proposals are undergoing the final appraisal at the timebeing. Funding Phase Three is expected to work in 13-19 UCs. Nevertheless, some of theFunding Phases may have overlapping UCs and the total number of UCs that will benefit fromthe Project is expected to be between 30 and 36.

2.3.6 Poverty Assessment of CommunitiesBased on criteria described in the PPAF OPs Manual, the poor and ultra poor households in acommunity are targeted using the Poverty Score Card technique. This tool applies a Proxy MeanApproach to Poverty Tracking aiming to find a weighted combination of proxyvariables/indicators that together identify whether a household is poor or not. The data collectedis then shared and confirmed with the Community Organizations (COs) to obtain theirendorsement. This ensures ownership of the process as well as authenticity of the informationcollected. Households with a score of 0-23 on the Poverty Score Card are considered poor, andthose in the 0-18 range are classified as ultra poor.


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2.3.7 Project Proposals by the POs

The Project proposals approved under the Funding Phase One by the PPAF BoD are frameproposals. Each proposal indicates programme-wise budget, the coverage of priority Districtsand Union Councils and total beneficiaries. Community based detailed planning of specific

activities under the LACI-P and the formulation of MSPs at UC level are the next steps. TheConsultant will assist PPAF and work closely with the POs and the COs during the process ofProject formulation and the elaboration of MSPs. This detailed planning usually takes up to sixmonths after approval and it follows Annex 8 of the OPs Manual, Recommended Steps in SocialMobilization and Multi-sector Planning and Implementation.

2.3.8 Essential Findings of the PPAF Selection Process

In order to speed up the selection process at least for the First Funding Phase the followingselection criteria were adopted by PPAF:

Accordingly, the POs should:-

Be an existing and experienced partner of PPAF;

Have a presence in at least one of the five LACI-P Districts or in Districts with similarsocio economic and environmental conditions;

Alternatively, they can be specialised organisations in a particular topic or in an areawhere other existing partners may not have the necessary experience; and

Ideally the group of selected POs should be a mix of larger and smaller PPAF partners tocreate synergies.


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3 REVISED PROJECT IMPLEMENTATION CONCEPT

3.1 Project Area

The Project covers five target Districts of KP, namely Chitral, Swabi, Buner, Charsadda and D.I.Khan. The selected Districts represent topographical differences varying from high altitudes inthe north to irrigated plains in the central valley and dry lands in the south. The total area covers26,580 sq. km with a population of more than 4 million people. Generally, land holdings arerelatively small and self operated. With the exception of Charsadda, these Districts are spatiallyand economically marginalized, but all experienced recurring natural disasters (ref: Note ofMarch 2011on adjustments of the Technical Proposal).

A brief description of the 5 selected Districts based on their HDI value, food insecurity andsusceptibility to natural disasters, a susceptibility that is likely to increase in the future due toclimate change and variability effects, is provided in Annex 3.

3.2 Project Components

The Project follows an integrated approach, which means that a range of interventions will becarried out simultaneously in the selected Union Councils and Villages. The selection ofinterventions will be determined in a demand based, participatory process by the communitieswith the support of the POs and in accordance with PPAFs Operational Policies Manual forGrant-Based Interventions. Special focus will be given to women and women-headedhouseholds entailing the formation of women community organizations and their activeparticipation. Vulnerable groups, such as orphans, disabled community members and minoritiesare other focus beneficiaries.

The Project will finance the following components:

3.2.1 Community Physical Infrastructure (CPI)

Community Physical Infrastructure will respond to a community demand and follow a CommunityDriven Development approach. Approximately 68% of the overall investment cost budget of EUR22 million will be used for the provision of CPI projects. In total approximately 2,350 CPIschemes (2000 conventional and 350 innovative) will be implemented through the Project in the5 target Districts. In Funding Phase One, Rs.704 million has been approved for CPIinterventions.

Local contribution to any intervention scheme shall be in accordance with PPAF standardprocedures, but with more flexibility towards poorest communities; In general this comprises 0%contribution in very poor communities for the first scheme, 10% for the second and third schemeand 20% for any additional schemes. However, in the case of natural disaster or in war hit zonesthe CO contribution may be waived but on the average a 10-15% contribution is expected.

CPI projects include both conventional and technological innovative schemes as follows:

The conventional CPI include the construction and/or rehabilitation of i) irrigation watermanagement schemes2 ii) road sector3iii) soil conservation, DRR, mitigation and preparednessstructures4; vi) water supply and sanitation v) school buildings and renovation and /or repair ofexisting school infrastructures; xiii) health centre buildings and renovation and or/ repair ofexisting health infrastructures.

2 open channel (surface), pipe and lift irrigation schemes, storage reservoirs, tube-wells and open wells, drip,sprinkler and bubbler irrigation schemes, delay action and check dams

3 rural roads ii) short to medium scale bridges and culverts4 flood protection structures, earth retaining walls, retrofitting of structures for earthquake resistance, watershed

management, community based early warning systems and community shelters


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Preference will be given to rehabilitation, modernization and/or extension of existing schemes.Where not possible, new schemes will be implemented using low cost local materials. Suchschemes are relatively simple and can be constructed to a great extent by the communitiesthemselves with technical support of the POs. Average cost is assumed to be EUR 6000. The

criteria for a CPI scheme to be eligible for PPAF funding are given in Paragraphs 36 and 37 (p.31) of the PPAF OPs Manual.

The innovative CPIschemes require more technical assistance and in some cases are larger inscale and they are usually more costly. An average cost of EUR 9000, excluding communitycontributions, has been allocated for such schemes.

Schemes in this sub-category will include, but are not limited to, renewable energy schemessuch as solar/wind pumps, wind turbines and mini/micro hydro-electric power projects with up to200 Kw capacity, slope stabilisation, drought mitigation and high efficiency irrigation systemsincluding drip and sprinkler etc. They are to be implemented in coordination with the upcoming,also KfW-funded, Renewable Energy project.

Due to the higher cost and complexity and the lower involvement of unskilled labour in theconstruction of these schemes, their number shall be limited to a maximum of 15% (350 units) ofthe overall number of schemes or 20% of overall costs (EUR 3.15 million).

An Operation and Maintenance (O&M) plan for each scheme will be established and discussedwith the CO beforehand to ensure sustainability of the interventions. Consultants and PPAF willinspect the operation and maintenance of projects during their joint field visits. The existingmonitoring procedures will be reviewed, e.g. by using the PPAF O&M Technical Guidelines.These guidelines will be updated and/or developed with the assistance of the Consultant. Thisapplies particularly to complex and innovative CPI projects, as well as to health and educationfacilities.

3.2.2 Community Health and Education Schemes and Interventions (HED)

HED interventions had previously been included tentatively in the project (EUR 2 million) subject

to final approval. In the trilateral meeting between KfW, PPAF and the Consultant on November23, 2011, KfW approved funding of HED interventions on the basis of the August 2011 version ofthe PPAF OPs Manual and with the condition that separate Technical Guidelines for the sectorwill still be developed (see Separate Agreement, Chapter 4. Special ImplementationAgreements).

Through this component, support would be rendered to villages with existing health or educationfacilities operated by the government or community organisations requiring physical andfunctional improvements. New schools or health facilities would only be provided in rare cases(e.g. if there is no facility within a 2 km radius) and if the sustainable operation of the facilities canbe guaranteed. PPAFs strict and very specific criteriaabout when to support such investmentsmust be applied to ensure sustainability and to avoid replacing the role of the Government. Priorto constructing new health and/or education facilities coordination with the relevant district and

provincial departments is mandatory. However some innovative interventions may be introducedwith interested communities to initiate establishing self operated schools. To this effect servicesof the reputed model school will be engaged for skills training.3.2.3 Livelihood measures including Skills Training of Beneficiaries (LEP)

Livelihood initiatives have been included within the project (approx. EUR 5 million, sameconditions as under HED above). Measures include targeted and appropriate skills- andenterprise trainings (Ustaad-Shagird principle5) and targeted asset transfers for beneficiaries

5Literally means teacher-pupil relationship for learning as apprentice


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with PSC scores up to 18 whereas households with scores up to 23 on the Poverty Score Cardare eligible for trainings. Initiatives include advice on agricultural intensification, awarenessraising on entitlements, local job opportunity analyses, etc. The formation of Common InterestGroups is one of the tested approachesfollowed including the formation of youth forums that will

be provided with information on scholarships, judiciary matters, job opportunities, health andhygiene, etc. Mechanisms will be developed to run these youth forums on a self sustained basis.PPAF supports innovative approaches to promote best practices and a thorough value chainanalysis. The experiences of HELVETAS Swiss Intercooperation in livelihoods enhancementapproaches and value chains will add value to this component.

All these measures are part of the overall strategy to help the targeted communities and familiesto graduate out of poverty..

3.2.4 Disaster Preparedness and Management measures (DPM)

DPM has been added to the project in view of its importance country-wide but also under PPAFIII. The DRM expert of the Consultant will closely work with the DPM Unit to integrate andmainstream DRR in the design and the construction of the CPI and HED projects. Where

necessary, he will advise on special DRR structural and non-structural as well as bio-engineeringmeasures.

Focus will also be put on strengthening disaster preparedness capacities of the vulnerablecommunities (both women and men) in the target Districts by introducing a package of activitiessuch as raising community awareness on DPM, formation/training of Emergency ResponseTeams, systematic vulnerability assessments and the implementation of early warning systems.The Consultants activities and network in D.I.Khan and Chitral on DPM/DRR will be useful in thisregard.

3.3 Project Objectives

The overall objective of the Project is to contribute to the improvement of the general livingconditions and quality of life of the poor population in the Project region with a special focus onthe poorest.

The project objectives are:

(i) increased access to and sustainable utilization of social and economic infrastructure bythe population of the Project region;

(ii) increased employment and income opportunities, especially for the poor and(iii) strengthening of the local civil society and enhanced participation of the population in the

decision making process and its disaster preparedness capacities at the local level.

The Project shall be regarded successful if during the final Project review approximately 3 yearsafter Project completion:

at least 60% of the infrastructure schemes financed through the Project are used, stayresistant to natural disasters and are operated and maintained by the target communities;

at least 40% of the target groups have an increased income of 20% as compared to abaseline value (baseline and reference timee.g. annually or over a multi-annual periodwhich still needs to be defined based on the findings of the initial poverty assessmentat the beginning of the Project);

at least 33% of the community organisations supported through the Project continue tobe actively involved in the planning and implementation of local development initiatives,have access to external support programmes and their capacity is built to cope withnatural disasters.

Other than those main three indicators, additional monitoring indicators on innovative technologywill be jointly elaborated by PPAF and the Consultant. Such indicators will be based on PPAF

Results Framework and be conformto the requirements of the PPAF M&E Results Chain(see


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OPs Manual, Chapter 5.). Indicators are an integral part of any Logical Framework for a Projectas are the specification of the baseline data has needs to be acquired. For each specific plannedintervention under the LACI-P, the respective indicators will be determined according to theactivities and baselines will be established where necessary and appropriate.

3.4 Project Implementation Arrangements

The total funds for the Project amounting to EUR 31.5 million have been provided by KfW andKfWwill administer these funds on behalf of the Government of Germany. KfW is responsible foroverseeing correct and appropriate use of these funds in the Project in order to achieve theProject objectives.

The Economic Affairs Division (EAD) represents the Government of Pakistan (GoP) and thussigned the Financing Agreement on its behalf. The GoP will be the recipient of FinancialCooperation grant and soft loan funds and will pass these on as grant funds to the ProjectExecuting Agency (PPAF).

PPAF as the Project Executing Agencyis obliged to control and ensure proper utilization of thefunds. Currently, PPAF comprises of five operational Units (W&E, CPI, DPM, LEP, HED), whichhave a major role in the LACI-P; HID has been placed directly under the CEO, whereas theQuality Assurance & Compliance Units like MER, ESM, C&M are also relevant for the LACI-P.

The basis for Project implementation will be the PPAF OPs Manual. All PPAF policies laid downthere have been updated in early 2012 - and are still being updated - to include all Project-relatedrequirements.

PPAF is implementing Projects through a mix of bigger and smaller local CSOs, which arePPAFs Partner Organizations (POs). In general, preference will be given to the CSOs whichhave already been active in the LACI-P districts and therefore have hands-on experience ofworking in similar situations.

Engaging smaller POs will contribute to capacity building of these CSOs. More importantly, itmight enable project operations in security sensitive districts, as smaller CSOs source their staff

locally with people who are known and respected in the area.

Despite supporting smaller CSOs, the emphasis of the Project lies in providing communities witha wide range of services and skills in a speedy way to improve their lives. While preference willbe given to such smaller CSOs, especiallywhere security considerations exist, larger CSOs willnot be excluded. In areas where security is of less concern and/or where the comparativeadvantage of the larger CSOs is very significant, these large CSOs will also be included.

The selected POs will coordinate closely with the local government and relevant linedepartments, particularly in the case of health/ education and DPM measures. All schemesunder the Project must comply with the relevant official standards. In addition, KfW encouragesbased upon a request by KP governmentthe establishment of District Development Forums asa means of sharing information between the private and public stakeholders within a particular

area. PPAF and its POs will actively encourage the establishment of Community Organisations invillages (COs) and UC-level organizations and strengthen their capacity to have their voice heardat the local government.

The implementation of the Project is technically supported by an international consultant,HELVETAS Swiss Intercooperation. The team is led by a Team Leader based in Switzerland.The Pakistan team comprisestwo full-time and one half-time employees and support staff. Theservices consist of support to the PPAF in technical, social and monitoring tasks (with a changein focus of expertise from engineering to livelihood for the SIE) and will be provided through acombination of short term international and national experts and through Advisory Review Team(ART) assignments.

The updated Project implementation arrangements are visualised in the Organization Chartpresented in Annex 4.


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3.6 Total Cost and Financing

The total Cost and Financing of the LACI-P is provided in Annex 3 of the Separate Agreement ofJune 12, 2012. The Grand Total of EUR 31.508 million comprises Programme Costs of EUR27.941 million, Administrative Costs PPAF of EUR 1.060 million, International Consultant Costsof EUR 1.5 million and Contingencies of EUR 1.006 million.

After contract negotiations between KfW and the Consultant and the inclusion of an additionalexpert for DRR/DRM, the costs for the International Consultant increased to EUR 1884600 andthe item Community Infrastructure (CPI) standard was reduced to EUR 11615400 (fromoriginally EUR 12 million) reducing the Programme Costs to EUR 27326082. The Grand Totalremains unchanged. This was confirmed by the parties in the Amendment No. 1 to the SeparateAgreement which is dated November 16, 2011.

3.7 Timeframe

The overall timeframe for the execution of the Project and the Consultant services is 36 monthsstarting from February 1, 2012. The planned completion of the Project is thus end of January

2015.


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4 REVIEW OF THE SCOPE OF WORK FOR THE CONSULTANT

4.1 Objective of Consulting Services

The objective of the Consultant assignment is to help guarantee the LACI-P s overalleffectiveness and hence assist in achieving the Project objective.

4.2 Range of Tasks and Nature of Assignments

The services of the Consultants Team in Pakistan as well as inputs by the Consultants TeamLeader at HQ and the short-term national and international experts from the Consultants poolcan and will be utilised on request of PPAF. The services cover a range of special technical andmonitoring tasks in support of and in coordination with PPAF. Among others, this includesupdating of existing and development of additional guidelines on technical matters and forOperation and Maintenance (O&M) as well as providing regular technical audits and involvementin output and outcome monitoring. The Consultant will also provide support for establishing linksto international scientific and development organizations for bringing in international experiences

on innovative technologies, lessons learned documentation, best practices in the region andcapacity building and training.

The services are provided through a combination of long-term experts assigned over the whole36 months Project duration and short-term expert Advisory Review Team (ART) assignmentstwice per year. Long term assigned consulting staff will be given a number of clearly definedtasks within the overall project.

As the Project develops, Project operations, activities or even Project focus may requireadjustment. The Consultant will contribute and actively support PPAF and KfW by reviewing theactivities, holding discussions with the Project team and other Project partners, formulatingand/or reviewing specific proposals for improvement or adjustment. The ART assignments havethe specific task to regularly review Project progress and suggest eventual adjustments

4.3 Details of Specific TasksThe specific tasks of the Consultant cover basically five major components and areas: (1)Community Physical Infrastructure, (2) Community Mobilization and Livelihood measures, (3)Disaster Preparedness and Mitigation, (4) Management Assistance and Coordination, (5) M&Eand Specialized Studies. Under the current PPAF policy, there is one central document ormanual, the Operational Policies Manual for Grant-Based Interventions (GBIs) which providesall regulations and procedures for Project implementation, all other technical documents areconsidered as guidelines.

4.3.1 Community Physical Infrastructure (CPI) Tasks

Support to the revision of the Technical Guidelines:

The Community Physical Infrastructure Project Manual 2001 is the actual document thatprovides technical guidelines for CPI. The Consultant will provide support for updating theseguidelinesto be adopted and used bythe POs and COs for the technical aspects of design andimplementation of CPI interventions under the Project. The Consultant will especially focus onaligning these guidelines with the PPAF OPs Manual, and update technical specifications fordesigning conventional and technologically innovative CPI schemes.

New specifications for innovative schemes may include i.e. parabolic canal lining technology,high efficiency irrigation systems, micro-hydel units, solar power or soil stabilisation projects. Therevision of the CPI technical guidelines will also include the environmental managementframework (ref. Section IV of the CPI Project Manual) to ensure environmental sustainabilitywhich is also an important aspect of the overall sustainability of the schemes.


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In addition, new guidelines will be developed for Operation and Maintenance (O&M) of CPIschemes. Such O&M guidelines are currently lacking but are necessary and crucial for the postProject sustainability.

For these tasks, the Consultant will liaise with relevant stakeholders including the PPAFs Water

and Energy unit and other relevant PPAF units. The work is likely to involve the followinginterventions:

Identification of the various users of such technical manuals (PPAF staff, POs, COs,Contractors) and their specific needs;

Review of the current status, quality of technical details, comprehensiveness and clarityof the manual (procedures and guidelines) and the effective compliance on site;

Review of selected finished projects for strengths and weaknesses of designs; Recommendations, where necessary, for further optimization; Provision, as needed, for specific assistance and training of users to raise the level of

awareness of the manual and to obtain feedback and improve the quality and compliancelevels.

Development of technical guidelines for LEP and HED projects/schemes as far asinfrastructure is concerned;

Technical Guidelines for other potential areas of improvement identified by PPAF

Other Community Physical Infrastructure related technical tasks:

The Consultant will, as part of PPAFs Project team, assist Project implementation through:

Providing technical assistance in the design, documentation and implementationsupervision of standard and innovative community physical infrastructure schemes;

Supporting PPAF in design, documentation and implementation supervision of smallschools and health posts, including the development of financial concepts for thesustainable operation of these;

Identifying issues which are related to construction such as geo-hazard zoning, soiltesting, surveying, etc. and recommend above mentioned studies; Identifying, proposing and carrying out together with PPAF the procurement of technical

surveys and specific studies relevant to the Project implementation; Monitoring of preliminary and final acceptance of works, ensuring the compliance with the

national building regulations and any Special Implementation Agreements; Providing technical guidance and assistance and skills training to Partner Organisations

and Community Organisations especially regarding new technologies, where appropriate; Facilitating the exchange of technical ideas and feedback among Partner Organisations

and towards PPAF through workshops, seminars, etc. (technical feedback andinformation forum).

4.3.2 Community Mobilization and Livelihood Tasks

LACI-P aims to improve livelihoods of the local population through infrastructures that help toreduce the vulnerability of the rural communities, especially in the rain-fed areas of the KPProvince. In order to assure that the infrastructures can contribute to the improvement of the rurallivelihoods, the Community Organisations must be involved in the planning and implementationof the infrastructures.

The sustainability of the infrastructures depends on the value it adds for the community. In orderto assure the sustainable use of the infrastructures, social mobilisation of the communities andthe establishment of Community Organisations is a standard process followed. TheseCommunity Organizations take responsibility for the infrastructure provided and they areresponsible for operation and maintenance.


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The livelihood assessment is based on identifying potentials and vulnerabilities of a community inorder to plan livelihood interventions together with the communities. There is a good potential forexchange of knowledge between PPAF and the Consultant on the approach in order to lay astrong foundation for effective results from each component of LEP projects. The Livelihood

Assessment Tooldeveloped by Intercooperation can be applied in a time efficient manner usingsimple PRA tools.

Livelihood is not one of many components of the Project. Livelihood should be seen asan overall approach and improving livelihoods is the objective and the desired outcomeof each intervention of the Project.

However, the livelihood assessment framework is not a poverty assessment tool. Thisframework does not overlap with the Poverty Score Card tool that is already used byPPAF. The two should find a complementarity in the field.

Social mobilization of the communities, the establishment of Community Organisations and aclose cooperation with the individuals within the communities are thus considered the key factorsfor the success of the Project. Here is a likely need for specific inputs, monitoring and advicefrom theConsultant for the livelihood component.

The Consultant can support PPAF in conducting a comprehensive analysis of the potential forlivelihood improvements, as well as monitoring the social fabric of the target groups and villagecommunities. In addition, support can also be provided at the implementation level throughactivities in the following areas:

Support PPAF in the design, documentation, implementation and supervision oflivelihood measures such as asset transfers and dedicated skills development for thepoor and ultra poor;

Support in the utilization of the poverty assessment tool in identification of beneficiariesactivities;

Support in undertaking a skills demand analysis; Support in conducting feasibility analysis for the marketability of various skills and in

value chain analysis and planning; Support in conducting trainings and setting-up of a reference system for skill trainings

from qualified training providers; Support PPAF in training the POs on gender mainstreaming; and to a lesser extent Backstopping of community mobilisation.

4.3.3 Disaster Preparedness and Mitigation (DPM) Tasks

DPM was initially neither part of the Project concept as such nor part of the Consulting Servicesand it is also only sporadically mentioned in the TORs. Based on decisions of a meeting ofPPAF/ KFW/ Helvetas6 on March 24, 2011, provision of a Senior National Advisor DRR wasincluded for 50 percent time in the Consulting Services based upon the rationale that almost allthe five selected Districts were hit hard by floods in 2010. These target Districts are also highly

susceptible to all other types of natural disasters (see District Profiles in Annex 3). The frequencyof these natural disasters is likely to increase in the future due to climate change effects(increased droughts, flash floods, erratic and intensive rains etc).

PPAFs strategy for managing natural disasters is outlined in Box 1.

6see NOTE of March 2011 regarding adjustments to the Technical Proposal and the Financial proposal


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In view of these facts, DPM is one of the six focus areas and programmes as outlined in PPAFOPs Manual. A DPM Unit has been established by PPAF with a full time Senior Manager and aconsultant under the overall supervision of the Group Head (EIDM). While the DPM Unit has themain responsibility, a matrix structure has been adopted for technical support from relevantsections of PPAF so that to integrate the whole Disaster Management Cycle in the PPAF workprogrammes (see Figure 1).

BOX 1

PPAF strategy for managing the natural disasters

The objective of the DPM programme of PPAF is to put in place necessarycommunity managed infrastructure, equipment, and institutional mechanismsto: (a) mitigate / minimize the impact of a disaster; (b) help better preparednessamong people to cope with various disasters in a pre-planned manner; and (c)in case of a disaster, get actively involved in relief, reconstruction, andrehabilitation efforts, in coordination with the government and otherstakeholders. As per the OPs Manual Guidelines, the DPM programme ofPPAF would finance the following activities and investments.

- civil works related to protective infrastructure aimed at minimizing the lossof life and property in the case of floods and cyclones;

- putting in place infrastructure and promoting afforestation to preventlandslides and conserving soil in fragile environments;

- civil works aimed at maintaining water balance in drought prone areas;- putting in place early warning systems for rains, floods, cyclones and

droughts;- multipurpose, community managed buildings, to act as safe, pre-

designated shelters in the case of a flood, cyclone, or earthquake;- maintenance of a network of disaster response centres;- provision of relief goods and services in case of disaster; and,- technical assistance/training for capacity building.


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Strengthen awareness and competence through workshops at the level of the technicalservice suppliers on the need for additional technical specifications in order to makeinfrastructures more resistant to disaster damages.

Strengthening community disaster preparedness capacities

In addition to mainstreaming DRR in CPI, capacities of POs will be enhanced under the Projectso that risk reduction and disaster response capacities of vulnerable communities (women andmen) in the target areas are strengthened. The ultimate aim is that the communities are preparedfor timely dealing with disasters and have the right organizational strength and tools to do so.

This will include a package of activities including awareness raising about DRR / DRM, buildingpreparedness response capacities of communities (e.g., establishment of Emergency ResponseTeams and Plans), provision of DRR toolkits, systematic vulnerability assessments and theimplementation of early warning systems for all selected project areas.

Under the Project the Consultant together with the DPM Unit will also initiate some necessarydisaster preparedness activities with the POs. These will include the following (covering womenand men):

Training of POs in conducting a simple hazards and vulnerability assessment at villagelevel and identify most vulnerable communities / points in the village. Special needassessments and trainings for woman will be included. Relevant interventions coming outas a result of the assessment will be integrated in the Village Development Plans (VDPs).The VDPs will also include a community preparedness/ contingency plan using their localsystems, potentials, etc and will have an added value to the VDPs and community basedDRR interventions.

These VDPs will be compiled and will form union council (UC) level MSPs. All the UClevel MSPs once compiled at the district level will become part of the DistrictDevelopment Plan. The added advantage of the hazard and vulnerability assessmentintegrated in the VDPs will be that these DRR concerns will also be well reflected in theUC level MSPs and will become part of the district development plan.

One workshop each will be held in the target districts to facilitate local districtgovernment/ POs in developing/ initiating Early Warning Systems (EWS) for communitiesin target areas based on indigenous knowledge indicators and supported bymeteorological data for the district from the Pakistan Meteorological Department (PMD).The EWS will be regularly updated and monitored during the Project period.

Establishing, equipping and training Emergency Response Teams within thecommunities in selected villages for emergency support as well as first aid in case ofnatural disasters.

Ensure, where possible, linking organized communities with District Response Units(DRUs) which are mainly coordinated by the Assistant Coordination Officer (ACO) andSocial Welfare Officer (SWO). Linkages with other similar projects in the area will also bemade to complement each other activities and avoid duplications.

4.3.4 Management Assistance and Coordination Tasks

The Consultant shall support the PPAF with the general management, administrativeimplementation and monitoring of the Project and the coordination with other relevantstakeholders. Tasks may include, amongst others:

Management Assistance to PPAF

Advice and assistance in Project implementation, coordination and monitoring as andwhen required by PPAF;

Assistance to PPAF with regard to contractual issues, if and when required.


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Coordination with POs

Coordination, through PPAF, of PO activities in the Project, in particular in facilitating atechnical feedback and information forum;

Assistance to PPAF, its POs and Community Organisations in initiating the establishment

of proposed District level forums in which ties with local governments are fostered; Render specific capacity building measures not covered by WB or PPAFs own

programmes as and when required by PPAF.

Coordination with other stakeholders

Liaising through PPAF with other organisations active in capacity building and livelihoodtraining of POs and Community Organisations (such as World Bank, UNHCR, UNDP,training providers, CSOs implementing contemporary projects in neighbouring areas,etc.);

Coordinating with other agencies / CSOs active in the Project area and/or neighbouringUnion Councils to avoid duplication of activities and to assess how to best cooperate.This applies among others - to the EU-funded Refugee Affected and Hosting Area

(RAHA) Programme, which will be partially funded through BMZ and the German Ministryof Foreign Affairs; In coordination with PPAF, establishing and making use of links to relevant international

scientific and development organisations.

4.3.5 Monitoring and Evaluation Tasks

The PPAF Results Framework will be followed as specified in the OPs Manual (Section 5 andAnnex 12). The Results Framework reflects the requirements of a result chain, the logic that linksinputs, activities, outputs, outcomes and impacts (see Figure 2 below). The conventionalapproach has been to focus on inputs, activities and outputs; this is referred to as implementationmonitoring. The result based approach focuses on outputs and impacts monitoring. PPAFrequirements for M&E cover both implementation monitoring and results based monitoring.

Figure 2: The Results Chain

Implementation Results

What resourcesare used?

What is done? What isproduced ordelivered?

What do youwish to

achieve?

What long-termchange are you

aiming for?

Financial,human and

materialresources

Taskspersonnel

undertake totransform inputs

to outputs

Products andservices

Intermediateeffects ofoutputs

Long-termeffects onidentifiablepopulation

groups

Inputs Activities Outputs ImpactsOutcomes


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For the current Project, monitoring indicators will be developed by PPAF with support of theConsultant soon after the Inception Phase.

It was also decided to include the development of a Logical Framework Matrix (LFM), whichcurrently only exists in a rough form. Similarly, a baseline will be established by the POs before

each intervention for which the Consultant - in collaboration with the MER unit of PPAF - willwork with the POs to specify baseline indicators according to the planned activities and formatsfor measuring those indicators.

The POs will report on outputs achievements and budgets on the basis of indicators developedfor the Project on a quarterly basis using standard formats of PPAF. The information will becompiled and stored in the PPAF computerized Management Information System (MIS) underthe MER Unit.

Performance monitoring and evaluation will be conducted at bi-annual basis by the ART jointlywith PPAF. The focus of bi-annual reviews will be on reviewing processes and overall progress.The Client Satisfaction tool will be applied for social monitoring. It empowers target groups andverifies whether Project elaboration and implementation is in accordance with the initial demandsof the groups.

During regular bi-annual reviews by the ART the following activities will be performed:

Field visits and discussions with PPAF, Partner Organisations, Community Organisationsand local communities;

Review of LACI-P activities and their effectiveness in coordination with PPAF, with regardto achieving the Project objectives;

Development of and/or review of specific proposals to adjust or further optimize Projectperformance, presentation, transparency, etc.

The Consultant may also support PPAF in Impact Assessment and Evaluation tasks as outlinedin the PPAF OPs Manual, Chapter 5.3, pp. 15/16.

4.4 Schedule of Services

The Consultancy Services are rendered as a combination of long-term and short-term nationaland international expert assignments. For budgeting purposes, 32 person-months each havebeen allocated for long-term experts (one international and one national). For the six-monthlyreview and advisory team assignments 12 person-months for international and 24 for nationalexperts are foreseen.

The first Advisory Review Team (ART) assignment was scheduled two months aftercommencement of the services. However, since at that time the First Funding Phase had justbeen approved and no field activities had started yet, it was decided to have an assignment ofthe Team-Leader only (April 3-16, 2012).

It is proposed to have a first full-fledged ART assignment three months after commencement ofPO activities towards end of July 2012 and the second in November 2012 coinciding with a

scheduled KfW mission. Thereafter, the assignments are planned approximately every sixmonths. Changes in this schedule need the approval of PPAF and no objection from KfW. Theassignments will, whenever possible, be coordinated with the KfW progress control missions.

The exact makeup of the team and the focus of the assignments will be agreed ahead of eachassignment, based on the specific needs and issues and following discussion with PPAF, KfW,etc.


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4.4.1 Work Programming/Implementation Schedule

The Work Programme 2012-2015 has been prepared by the Consultant with PPAF in a jointworkshop during the Inception Phase (see Annex 7). The Work Programme for the Projectprovides a tentative plan of activities and disbursements for the three Funding Phases. The Work

Programme of the Consultant provides an overview of planned activities of the ConsultingServices.

Both Work Programmes are necessarily broad and schematic since much depends on theactivities of the POs and their detailed planning is only staring now.

4.4.2 Staffing Schedule

The Staffing Schedule has been adapted to the changed dates and terminology (ref. Annex 4 ofthe Technical Proposal, p. 23). It is presented in Annex 8.


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5 STAFF ARRANGEMENTS AND STAFF PROFILES

5.1 General Provisions

The Services of the Consultant in support to PPAF in the implementation of the Project aredivided into long-term experts (assignment of 32 months over 3 years), short-term experts toundertake regular six-monthly Review and Advisory Team Assignments as well as short-termexperts to provide one-off consulting services. A list of potential short term, national andinternational experts is provided in Annex 9. The exact timing and tasks to be undertaken by theexpert(s) will be agreed between the Consultant, PPAF and KfW. Assignments will focus onProject priorities and on those areas where particular technical, monitoring or strengtheningneeds have been identified.

PPAF used a matrix system and has assigned their staff (one person each from the sevenrelevant PPAF Units of CPI, LEP, HED, HID, DPM, W&E and M&E), who will work together withthe Project General Manager and the Consultant.

5.2 Long-term Staff ProfilesThe Consultants Team Leader/International Project Coordinator, Christoph Morger, is also theAdvisory Review Team Leader; his CV had been provided in the NOTE of March 2011.

The Consultant has assigned a long-term Senior International Expert/Deputy Team Leader,Klaus Euler (revised TORs are attached in Annex 10 and his CV in Annex 11). He is supportedby a Senior National Expert, Hayatullah Khan, and a Senior National Advisor CC/DRR (50%),Syed Sajidin Hussain, and four support staff.

5.3 The Advisory Review Team (ART) Members

The Advisory Review Team (ART)7consists of short-term international and national experts andis lead by the Team Leader. Besides the Team Leader, the ART will be composed of a second

international expert and up to 4 national experts. Team composition will be determined jointlywith PPAF and in consultation with KfW prior to each assignment depending of the specificpurpose and focus of the review.

Team members will be selected from the pool of ART members proposed or from the short-termexpert pool list. It is proposed to have continuity in the ART composition at least regarding thenational experts covering the main areas of the project while the second international expertcould be selected according to the specific requirements of the particular assignment.

Assignment Review Reports (ARR) will be prepared by the Consultant which contains specificrecommendations and proposes practical next steps for the relevant sectors. The ARR reflectsthe view of the Consultant while PPAF will prepare a management response on the ARR.

5.4 Short-term Expert Pool

The Consulting contract also includes up to EUR 100.000 as reimbursable for further experts andspecialists to carry out additional technical assistance, studies or surveys as and when requiredby PPAF and agreed by KfW. Experts will be sourced either from the expert pool provided by theConsultant or from other agreed sources as identified by the Consultant or PPAF and agreedwith KfW during the course of the Project.

7formerly Review and Advisory Team (RAT)


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5.5 Duty Station

The Consultant is based in the premises of the PPAF in Islamabad and office space has beenprovided. Travel to the Project area has started, but field visits depend on the security situationand are subject to Non Objection Certificates (NOCs).

Currently it is not planned to establish a dedicated PPAF field office as PPAFs PartnerOrganisations maintain offices in the field. The need for the establishment of such a field officemight become apparent during the implementation of the Project. Funding for such an officewould have to be provided through PPAF. KfW must be informed about the establishment ofsuch offices.


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6 REPORTINGThe reporting requirements have remained the same as detailed under Chapter 5 of the Terms ofReference in the Request for Tenders and have been followed where required already (e.g. theInception Report and the SMRs). Other than the Inception Report itself, the list of Reports is asfollows:

6.1 Short Monthly Progress Reports (SMR)

The Consultant and PPAF jointly prepare the SMRs and submit them to KfW not later than 3weeks after the end of the respective month. Two such SMRs have been submitted during theInception Phase.

6.2 Quarterly Progress Reports (QPR)

Similarly, the Consultant and PPAF will compile the QPRs for the project and will submit them toKfW following the structure and the requirements given in the Tender Document (5.3, p. 24).According to the OPs Manual the MER unit is also involved in the preparation of the QPR since it

is this unit that maintains the MIS with the Project indicators.

PPAF and the Consultant will carry-out joint monitoring visits and prepare visit report for lessonslearned and technical advice to POs.

6.3 Advisory Review Reports (ARR)

Advisory Review Reports will be prepared by the Consultant with a management response byPPAF. ARRs are due six weeks after the commencement of the ART assignments planned twotimes a year depending upon Project needs.

The information contained in the ARR provides a more global perspective of the state of theProject in relation to achieving its overall goal. The ARR is a communication tool to PPAF andKfW for the Consultant reporting where he sees the need to readjust, refocus or improve project

activities.

6.4 Project Completion Report (PCR)

A Project Completion Report will be prepared by the Consultant and will be submitted 6 weeksafter the completion of services. All deviations from the original Project plan as shown in theInception Report shall be clearly shown and explained. The structure of the PCR will be asoutlined under 5.5 of the Tender Document, pp. 25/26.

6.5 Special Studies and Reports

A sum of up to EUR 100.000 is provided in the budget of the consulting contract for particularinternational and/or national expert consultancy services. These services will generally be one-

off assignments which can be commissioned outside of the regular ART assignments toundertake studies, surveys, trainings or monitoring activities as and when required by PPAF.

One such input from the short-term expert pool has been identified already as a support by theConsultant to PPAF and the POs to prepare the District Development Plans (DDP). They willinclude District profiles, an institutional map with relevant completed, contemporary and pipelineinterventions. The DDP will also state community needs and outline linkage possibilities. Whilepreparing these plans, reference to and use of existing District-level plans will be made, e.g. theNDMA/UNDP District Disaster Management Plan for Charsadda.

Other contributions envisaged may be the following:

Technical Papers/Reports on innovative canal lining technology; Technical Papers/Reports on high efficiency irrigation systems (sprinkler and drip);


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Overall project quality auditing / review assignments with proposals for adjustment andproject improvement in close coordination with PPAF;

Impact studies; Expert-pool for implementing improvements, providing specific identified services, skills

etc. in close cooperation with PPAF.


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7 ISSUES AND CHALLENGESSome of the major issues regarding Project management and implementation during theInception Phase could be solved in early April. This refers to the vacancy of the Project Managerpost in February and March and the fact that no POs had been approved yet and the Project hadthus no official Partner Organisations. In the first week of April the PPAF BOD approved the firstfunding cycle on April 3, 2012 with 6 POs working in 17 UCs and on April 9, 2012 Mr. MasoodKhalid was appointed Project General Manager. These two positive developments will first allowstarting interactions with POs and second improve communication between the Consultant andPPAF. The full time Project General Manager will have more time to devote to the Project thanthe rather busy Focal Person Mr Zaffar Pervez Sabri who has a multitude of responsibilities asHead of a rather large Group.

Due to the fact that no project implementation in the field took place during the Inception Phase,not much can be said regarding issues and challenges related to PO implementation. Only now,after approval of Funding Phase One, the first disposition fund payment will be made before theend of April. The POs will then mobilise their teams and the detailed planning will begin withcommunity mobilisation, establishing Community Organisations, carry out need assessmentsand developing Multi Sector Plans (MSP).

This detailed planning phase is considered a highly important step because the MSPs will be thebackbone for the following implementation. It is thus suggested to follow this process ratherclosely and to get a first hand impression of the approach of the POs to implementation. Ofimportance is also to develop the results framework for each activity that is planned including theappropriate indicators and to establish the respective base lines. This will facilitate the propermonitoring later to assess Project progress.

First interactions with POs and their field staff as well as with the COs will also allow to carry outa first training need assessment to be able to plan necessary capacity buildings and trainings.The training need assessment will also give a first impression whether the manuals andguidelines of PPAF are useful and are used by POs in their daily work and it will allow to assess

the need for developing new manuals and/or improving existing ones.Of particular importance during the planning phase will be to develop O&M plans - includingfinancial plans - of any infrastructure and scheme that will be implemented. The consequencesof this O&M plan must be discussed with the community to make sure that they are aware of theresponsibilities they will take over when the schemes are handed over. The financial plan has toexplore sustainable external financing (government subsidies, cross subsidies) when a full costrecovery by user fees is considered beyond the means of the users. Without a solid financingarrangement for O&M beyond project implementation, the sustainability of any scheme is highlyjeopardised.

Regarding the allocation of funds for Funding Phase One to the different project components thefollowing observations need to be mentioned. As can be seen from the charts in Annex 1, HED issomewhat underrepresented as only one PO (AKRSP) has proposed this component and in one

UC (Swabi) only. On the other hand LEP activities appear to be somewhat overrepresented ascompared to the overall budget allocation. The charts in Annex 5 comparing the three fundingphases confirm this.

The comparison of the funding phases also shows that HED activities are predominantly plannedin the second and the third phases and it is especially the allocation to the third phase that raisessome concerns (75% of total for LED). The last phase is of 24 months only, a rather short periodfor HED activities because health-posts as well as schools require an operation phase underthe Project before they are handed over to the communities. To do that in a 24 months phaseappears to be rather tight, especially considering that community mobilisation and detailedplanning can take up to 6 months already.

On the other hand we believe that there is an overrepresentation of LEP activities in the first

funding phase and corresponding underrepresentation in the following ones. LEP activities need


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an intensive preparation time for demand identification, value chain analysis and the identificationof the beneficiaries but require much less time for the implementation which consists basically ofa training of the beneficiary and asset procurement and transfer and some follow up. LEPactivities very likely can be relatively easily accommodatedin a 24 months phase and it is thus

suggested to shift LEP to the third funding phase and have more of the HED interventions in thelonger phases.

It must be realised that the numbers and plans presented now are still rather tentative as in factplans always are. They are not cut in stone, they are considered rolling plans and will beupdated regularly as more precise information becomes available. However, they are useful toanalyse the tentative process and to assess the actual progress.

Finally an administrative matter which does not concern PPAF but only KfW and the Consultant:the armoured vehicle. The budget for Consulting Service foresees the procurement of anarmoured vehicle for field trips (EUR 180000). However, the Consultants national as well asinternational experts were of the opinion that such a vehicle would not necessarily increase thesafety since nowadays hostage taking is also a serious problem and an armoured vehicle doesnot prevent that. KfW has analysed the situation and considering also the fact that the import of

such a vehicle would likely take up to 18 months the pragmatic decision was taken that theConsultant can buy a second normal vehicle (type Landcruiser) for the field trips instead of anarmoured vehicle.

Inception Report 2012

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Transcript of Inception Report 2012