E2654 v6 Kenya Informal Settlements Improvement Program (KISIP) Component 3: Infrastructure and Service Delivery Consultancy services for socio-economic surveys, infrastructure upgrading plans and detailed engineering designs in informal settlements ESIA Project Report for Infrastructure Upgrading in Gilani, Kaptembwo and Kwa Rhonda Informal Settlements within Nakuru Municipality LIST OF PARTICIPANTS AT COMMUNITY MEETINGS Annex II 27 IV. Appendices APPENDIX A- DESCRIPTION OF SERVICES Terms of reference for consultancy for socio economic surveys, infrastructure upgrading plans and engineering designs in informal settlements in Mombasa, Eldoret and Nakuru 1.0 Introduction The Government of the Republic of Kenya (GOK) and the World Bank, through The International Development Association, (IDA) is discussing a five year credit agreement for the implementation of the Kenya Informal Settlements Improvement Programme (KISIP). The overall programme development objective of the KISIP is to improve living conditions in informal settlements in selected municipalities in Kenya. This will be achieved by enhancing security of tenure and improving infrastructure based on plans developed in consultation with the community. This programme will create and test a framework for systematic improvement and continued investments in slums, one that can reach all slums over the medium to long term. In addition to supporting improvements in the existing slum settlements, the programme will support Ministry of Housing and local authorities in dealing with future inflow - that is, anticipated population growth and the associated need for additional land and housing -The programme has the following four components: Component 1: Strengthening institutions and program management. This component will support institutional strengthening and capacity building of the Ministry of Housing, the Ministry of Lands, and the participating municipalities. It will also finance the management activities associated with program implementation and establishment of a monitoring and evaluation system. Component 2: Enhancing tenure security. This component will support systematization and scale-up of ongoing efforts to strengthen settlement planning and tenure security in urban informal settlements. Component 3: Investing in infrastructure and service delivery. This component will support investment in settlement infrastructure, and, where necessary, extension of trunk infrastructure to settlements. Component 4: Planning for urban growth. This component will support planning and development of options that facilitate the delivery of infrastructure services, land, and housing for future population growth. The programme covers 15 municipalities namely: Embu, Eldoret, Garissa, Kakamega Kisumu, Kitui, Kericho, Machakos, Malindi, Mombasa, Nairobi, Naivasha, Nakuru, Nyeri IV. Appendices Annex II- Lump-Sum Contract 28 and Thika. The infrastructure to be covered in the municipalities includes but is not limited to: • Unpaved and paved foot paths, bike paths, roads and vending platforms; • Street and security lighting; • Storm water drainage infrastructure and maintenance equipment, • Solid waste management and collection; • Water supply and sanitation infrastructure (some of this will be financed by ongoing projects supported by development partners, including World Bank and AFD); • Electrification (it is expected that most, if not all, of this infrastructure will be fmanced under the multi-donor supported Kenya Electricity Expansion Project); and • Open spaces and public parks. A first step in the provision and improvement of the above fucilities in the selected informal settlements is to carry out socio economic surveys in targeted settlements, prepare preliminary upgrading plans and feasibility studies for proposed infrastructure investments, and, subsequently, prepare detailed designs and bidding documentation for the agreed infrastructure investment. The Ministry of Housing would therefore like to acquire the services of two consultancy firms to undertake the work in different settlements, as specified below. 2.0 Objective of the Consultancy The key objective of this assignment is to prepare settlement upgrading plans for selected informal settlements. This involves three major tasks: (i) carry out a socio economic survey; (ii) in consultation with the community, prepare a preliminary settlement upgrading plan, including preliminary designs and feasibility studies for proposed infrastructure investments; and (iii) prepare a fmal upgrading plan as well as detailed engineering designs and bid documents for the agreed infrastructure investments. The consultant will work in consultation with KISIP, respective municipal council, Water Service Boards, service providers and settlement executive committees (elected community representatives).The works must be consistent with government regulations and World Bank's safeguards policies, in particular, the agreed Environmental and Social Management Framework (ESMF), and Resettlement Policy Framework (RPF) applicable to the KISIP. The assignment will be divided in two phases. Phase I includes. fOr each settlement.: a) socioeconomic survey, b) baseline indicators, c) draft settlement upgrading plan, including preliminary designs and feasibility studies for the proposed infrastructure investments, including environment and social screening (per the Screening Form in the ESMF), d) preliminary cost estimates, and e) economic analysis of proposed investments; (f) Preliminary consultations with communities Phase 2 includes. fi;r each settlement: g) detailed engineering design, h) phasing plan for each municipality, i)_Environmental Impact Assessment (EIA), j) Environmental Management Plans (EMPs), k) Resettlement Action Plans (RAPs), I) operations and IV. Appendices Annex II- Lump-Sum Contract 29 maintenance manual, m) estimation of investment and operating cost, n) bidding documents, and o) evaluation assistance . 3.0 Scope of Services The scope of work is limited to selected informal settlements in three municipalities namely, Eldoret, Mombasa and Nakuru. In order to undertake this assignment, KISIP has prioritized informal settlements in the three municipalities. For the first year of investments a firm will be recruited to work in settlements where processes are underway to facilitate infrastructure improvements. These processes include: (i) mobilization and organization of communities (with the support of local NGOs and CBOs); (ii) physical planning processes (either complete or underway); and/or (iii) clarification and/or regularization of land tenure issues in the settlement. These settlements are scheduled for implementation of infrastructure during year 1 of the programme. In the remaining settlements the implementation will take place during year 2 and 3 of the programme. 4.0 Specific Tasks The tasks to be carried out by the Consultants in each settlement will include: Phase 1: a) Undertake socioeconomic study. Specifically, the consultants will conduct a sample survey of resident households in each of the assigned settlements. The sample size will depend on population of residents in a given settlement, but is expected to be between 100-500 households for most settlements. The survey will cover various aspects, with an emphasis on household characteristics, tenure, and access to services. (A sample questionnaire is attached and will be finalized, based on a technical discussion, jointly by the consultant, MoH and the World Bank). b) Prepare a preliminary settlement upgrading plan, including proposed infrastructure. Examine feasibility of different infrastructure options, and recommend options that are more appropriate to the context, are cost-effective, and likely to be economically justifiable. c) In each settlement, conduct community level consultations to determine infrastructure investment priorities of residents. Due to budget limitation, the overall investment plan must be within the cost cap per hectare established by MoH. Residents will have to be explained why and how design decisions are being made based on the cost per hectare cap provided by MoH. Consultants will work with residents to identifY, for example, which road and paths will be upgraded, and with what materials (taking into account the cost implications ofaltemative materials and standards). Residents have to agree with consultants on the final choice of investments and on design decisions. Consultants will refer to the Environment and Social Screening Form to determine the scope of the EIA, nature and magnitude of environment and social issues, impacts, and applicability ofGOK regulations and ensure that communities are aware of these. d) Prepare estimated cost based on the preliminary design and proposal for packaging of works contracts in consultation with MoH. IV. Appendices Annex II- Lump-Sum Contract 30 e) Using data from the socio-economic survey and the preliminary settlement upgrading plan, prepare a baseline for the set of indicators in the Results Framework in the Project Appraisal Document, including an environment and socio economic profile of the settlement. f) Overall, this phase will result in the preparation of a draft settlement upgrading plan (SUP), in close consultation with the community. This document should include an assessment of: (a) the technical feasibility of the upgrading plan and the proposed infrastructure options; (b) the socio-economic feasibility of upgrading in that settlement (e.g. impact of the ratio of owners to tenants in the settlement; whether the community is interested in the project; are there major land/tenure disputes; is the location acceptable etc); (c) the economic justification of investment; (d) nature and magnitude of environment and social issues pertaining to the identified activities. Phase 2: a) Develop detailed engineering design of prioritized infrastructure; These need to include investment specific EMPs prepared as a result of the EIA. Additionally the RAP would need to be prepared for the social impacts identified during the feasibility stage. The required census surveys and consultations should be carried out as part of RAP preparation as required. b) Prepare a phasing plan for implementation in each municipality. c) Prepare Environmental Impact Assessment (EIA) report for approval by NEMA. The report should contain (but not limited to) - environment and social baseline conditions, environment and social screening, environment and social impacts, analysis of alternatives (for investments), management and monitoring plans for identified impacts, institutional arrangements for implementation of management plans. Additionally, the results of the household surveys should include number of affected families, outcomes of consultations with affected groups (also covering environment aspect), inventory of affected structures and community facilities and details of affected land for various proposed investments. d) Develop Environmental Management Plans (EMPs) and guidelines, where applicable, to manage identified impacts; e) Prepare Resettlement Action Plans (RAPs) in accordance with the Environment and Social Management Framework (ESMF) and the Resettlement Policy Framework (RPF). The RAP should include baseline socio - economic characteristics of the affected peoples, details of compensation assistance in line with the RPF provisions, details of alternative resettlement sites and livelihood restoration measures, and implementation mechanisms such as institutional arrangements, grievance redress mechanisms, assistance to vulnerable groups and monitoring and evaluation provisions. f) Prepare operations and maintenance manual of the facilities, including a Community Environment Management Plans (CEMP to be developed as guided by the ESMF). g) Prepare Engineers estimate /confidential cost estimates; the EMP and RAP costs need to be included in the cost estimates. h) Prepare Bidding Documents. The Bidding documents need to include construction stage elements of the EMP, specifYing works to be carried out by the contractor. IV. Appendices Annex II- Lump-Sum Contract 31 Guidelines to include EMPs in bidding and contract documents are provided in the ESMF i) Support KISIP in evaluation and preparation of evaluation report(s) for selection of contractors. 5.0 Outputs Phase I: Draft Settlement Upgrading Plan which will include the following: • Results of the socioeconomic survey (a standardized format will be made available to facilitate presentation). • Indicators: baseline (or pre-intervention) values; and (b) estimated values post- intervention (using the target indicators) • Report on priorities identified by the community and design decisions taken as a result of consultations with the stakeholders in the identified LAs and Settlements. The Report will include a section on outcomes of consultations per guidelines provided in the ESMF. • Preliminary design and cost estimate for the prioritized infrastructure • Report and presentation on proposal for design criteria and packaging of works contract; in consultation with MoH. • Environment and Social Screening Report Phase 2: Final Settlement Upgrading Plan for each settlement, which will include a final version of the socio-economic report and detailed design of prioritized infrastructure in the main report. The following should be included as annexes to the main report: • Operations and Maintenance manual(s) ofthe facilities • Environmental Impact Assessment (EIA) report for approval by NEMA; • Environmental Management Plans (EMPs ); (inclusive of contract clauses to be included in the Bidding documents) • Resettlement Action Plan (RAPs); • Bidding Documents based on World Bank guidelines dated May 2004 revised October 2006 and May 2010 for procurement of works and goods; • Engineer's estimate /confidential cost estimates; and • Bid Evaluation Report( s) for selection of contractors 5.0 Obligations oftbe Consultant The Consultant shall be responsible for the provision of all the necessary resources to carry out the services including appropriate qualified staff and shall make arrangements for the establishment of office, supporting office equipment and furniture, vehicles, accommodation, utilities, communications, insurance and any other required resources. 6.0 Duration and timing of services IV. Appendices Annex II- Lump-Sum Contract 32 It is expected that the work will start shortly after the signing of the contract. For the two phases it is envisaged that the assignment will be completed within twelve (12) months from commencement date. The services will be carried out by a team consisting of around 6- 8 consultants for a minimum of60 person-months. 7.0 Reporting requirements/deliverables . d reports are as summarized below: The reqmre Reports Submittal Date after Contract Effective Date Phase 1 Inception Report Summarizing the consultant's 2 Weeks state of mobilization, site meetings. Socioeconomic Report - inclusive of 2 month environment baseline Draft conceptual design based on consultations 4 months and costing report Environment and Social Screening Report Draft Settlement Upgrading Plan containing 6 months proposal for design Criteria and proposal for packaging of works Contract. Phase 2: Environmental Impact Assessment report 7 months Final Detailed design report 8 months Resettlement Action Plan 9 months Operations and Maintenance Manuals - inclusive 10 months ofCEMPs Final Settlement Upgrading Plan containing 11 months Bidding documents and Engineers estimate/Confidential cost estimates - including EMP and RAP costs Completion of the assignment incorporating 12 months MoH comments into the Final report IV. Appendices Annex II- Lump-Sum Contract 33 9.0 Clients Input The Client will provide to and collaborate with the Consultant in making available the following documents relevant to the assignment • List ofprioritised settlements (see attached preliminary list) • KISIP Project Appraisal Document (PAD) • Strategic Guidelines for Informal Settlements • ACP-EU project documents (complementary investment) • Available maps ,Part Development Plans (POPs) and data for the settlements • Resettlement Policy Framework • Environmental and Social Management Framework • Environmental Management and Coordination Act (EMCA) 1999 • Report on cost cap per hectare for infrastructure investment in informal settlements The Client will also fucilitate the Consultant's access to Government departments and local authorities. 10.0 Institutional Arrangements Ministry of Housing is the Client for these services. The Permanent Secretary has appointed the Programme Coordinator for KISIP to whom the Consultant will report on contractual matters. The KISIP Programme Coordinator will also be responsible for all payments to the consultants once the work has been accepted and cleared for payment by the Component Leader for Component 3. The Consultants will report on technical matters to the Component Leader for Component 3 for Phase I and 2, and will work as part of their team, ensuring the harmonization of work programmes and the involvement of Government Officers wherever practical. The Consultant will liaise with the participating Local Authorities from the commencement of the services to completion. In particular, the consultant will involve the Local Authorities in the identification of the facilities, selection of priorities, adoption ofthe final designs and preparation of the Operations and Maintenance manuals. "The original is a PDF file with no Text. 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