Promoting Action on Plastic Pollution from Source to Sea in Asia and The

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Promoting Action on Plastic Pollution from Source to Sea in Asia and the Pacific Subproject 1: Enhancing Knowledge and Creating Enabling Environments for Reducing Marine Plastic Pollution (53068-002)

TERMS OF REFERENCE FOR CONSULTANTS A. Background

1. The knowledge and support technical assistance (TA) cluster will support ADB’s developing member countries’ (DMCs) deliver on their commitments to reduce marine plastic pollution from 'source to sea’. The TA will support action planning to reduce marine plastic pollution, policy and regulatory reform to enable circular economy, pilot demonstration projects, and the preparation of investments in integrated solid waste management (ISWM) systems. The TA will also promote and facilitate regional cooperation, knowledge sharing, and the mobilization of further resources to support action on oceans health and circular economy.

2. Two subprojects have been defined under the TA cluster: (1) Enhancing Knowledge and Creating Enabling Environments for Reducing Marine Plastic Pollution expected to be approved in November 2019 and (2) Prioritizing and Implementing Actions to Reduce Marine Plastic Pollution expected to be approved in the first quarter of 2020.

B. Subproject 1 Outcome, Outputs, Methods, and Activities

3. TA Subproject 1 supports TA cluster outputs 1, 2, and 3. It comprises outputs and activities focused on filling critical information gaps for the region (particularly on infrastructure and technology needs), creating enabling environments for addressing marine plastic pollution through policy reforms and institutional strengthening, and identifying and responding to immediate plastic pollution reduction opportunities. It also includes a focus on awareness of solutions and facilitating regional cooperation and south-south knowledge sharing, and on mobilizing finance for reducing marine plastic pollution and improving ocean health.

4. Subproject 1 focuses on Southeast Asia, with participating countries including Indonesia, Myanmar, Thailand, and Viet Nam. However, support for preparing investments (Output 2) and participating in regional activities (Output 3) will be open to other DMCs, while regional research will cover the whole region and provide differentiated recommendations where possible. Subproject 1 has the following key outputs:

5. Output 1: Action plans and policies to address marine plastic pollution supported. Output 1 support will target DMCs to create enabling institutional and policy environments to reduce marine plastic pollution, where they are committed to drive forward recommendations and reforms. Support will be provided to (i) undertake national reviews of institutional arrangements and capacity, and policy and regulation (including economic and financial instruments) for improving ISWM, promoting circular economy for plastic, and reducing marine plastic pollution; and (ii) undertake detailed design/drafting and roll-out of priority policy reforms and institutional strengthening activities. Possible policy instruments could include bans, taxes, levies, subsidies, product take-backs, deposit-refund schemes, material product stands, minimum recycled content requirements, and extended producer responsibility schemes. Policy development will follow good practice i.e. be evidence based; follow robust analysis of options and their impacts; engage stakeholders and include a public consultation process; take into account implementation challenges, feasibility and long-term sustainability. Activities will be conducted in close collaboration with governments, with capacity building provided as needed to enable full engagement and informed decision-making. Support will be provided in collaboration with partners, in line with regional and national action plans, and tailored to the specific needs and context of each DMC.

6. Output 2: Plastic pollution reduction investments supported. Output 2 provides on- demand specialist support to operations departments to help identify, prepare, and boost implementation of government and private sector actions to reduce marine plastic pollution. This may include policy-based lending for new or reformed standards or regulations on plastics; urban planning and infrastructure investments that facilitate efficient material flows, and waste minimization and management; zero waste cities and ecovillages; sustainable and smart value chain development that considers effective waste management; and private sector investments that result in reduced plastic waste. The scope of specialists’ inputs and services will cover ISWM and circular economy, with inputs for upstream work through project implementation. This could include (i) undertaking sector assessments as part of the ADB country partnership strategy and country operations business plan processes, (ii) supporting project teams in investment dialogues with DMCs and key partners, (iii) providing technical inputs to guide concept designs and help prepare concept papers, (iv) providing specialist advice and inputs to improve project design or implementation, and (v) providing technical inputs and helping project teams mobilize finance.

7. Output 3: Knowledge, regional cooperation, and financing for marine plastic pollution solutions improved. Output 3 focuses on supporting regional activities such as knowledge generation, awareness raising, regional cooperation and mobilization of financing, and support for priorities identified in the Coordinating Body on the Seas of East Asia Regional Action Plan on Marine Litter (2008, revised 2019) and Association of Southeast Asian Nations (ASEAN) Framework of Action on Marine Debris. The TA will deliver a research report for ADB DMCs on (i) the infrastructure/technology investment needs to provide safe ISWM and enable the transition to a circular economy for plastics; (ii) current financing, financing mechanisms, and investment gaps; and (iii) recommendations for how to scale-up investment, including by the private sector, and the enabling conditions needed. The research will also provide in-depth analysis and recommendations for several target DMCs. The analysis will highlight opportunities for waste recovery/recycling including alternative collection systems, markets for recycled materials, and the job creation opportunities. ADB will facilitate knowledge-sharing on key themes (e.g., investment needs, financing, policy instruments) and organize the inaugural Healthy Oceans Technology and Innovation Forum to facilitate sharing of solutions and partnerships among DMCs, business, academia, technology providers, innovators, and thought leaders. Further, the TA will support cooperation among developing countries on marine plastic, for example between ASEAN and the People’s Republic of China or between Indonesia and the Pacific Island Countries. Awareness-raising and mainstreaming activities on ocean health and circular economy will also be carried out through subregional cooperation programs, such as the Greater Mekong Subregion Economic Cooperation Program, Brunei Darussalam–Indonesia–Malaysia– Philippines East ASEAN Growth Area, Indonesia–Malaysia–Thailand Growth Triangle, and Bay of Bengal Large Marine Ecoregion Program. Awareness-raising activities will target leaders and ministers (especially ministers of national planning, finance, economic development, and infrastructure), while knowledge sharing will target mid- to senior-level officials. These activities will help mainstream ocean health and promote integrated action. Finally, the TA will help develop ADB’s Oceans Financing Initiative which will support DMCs to develop innovative finance vehicles and mobilize funding and resources for projects that will improve ocean health and build sustainable marine economies. Output 3 activities will be undertaken in close collaboration with partners.

8. A Partnerships Strategy will be prepared for the TA to facilitate the development of partnerships, including with the private sector, and to support TA coordination and avoidance of

2 duplication or overlapping efforts. Partnerships are already being developed with the World Wide Fund for Nature, Stockholm International Waters Institute, United States Environmental Protection Agency (US EPA), European Investment Bank, World Bank, Government of Japan and Government of Korea. A Knowledge Management, Communications and Events Plan will also be prepared for the TA.

C. Consulting Services Requirements

9. ADB will engage consulting firms, international and national individual consultants in accordance with ADB Procurement Policy (2017, as amended from time to time) and the associated project administration instructions/technical assistance staff instructions. In addition to firm consultancy services, the TA will require individual international consultants for specialized areas including on marine plastics pollution, circular economy, ISWM, technologies and financing. There are several development partners working on marine plastics issues in the region. The TORs are indicative and will be finalized during TA implementation.1

1 Where appropriate, pre-market engagement activities may be undertaken to better understanding of the potential research services providers on the topic and to further refine the terms of reference.

Table 1: Summary of Consulting Services Requirements

Positions Person Months Required International (subtotal) 1. Plastics circular economy policy reform and institutional strengthening support (Firm) 1.1 Policy and Regulatory Specialist / Team Leader 5 1.2 Integrated SWM / Circular Economy Specialist 3 1.3 Environmental Economist 3 1.4 Finance Specialist 3 1.5 Institutional Strengthening Specialist 3

2. Investment needs research (Firm) 2.1 Integrated SWM Investment Specialist 4 2.2 Economics Research Specialist 3 2.3 Finance Specialist 3 2.4 Integrated SWM / Circular Economy Technology Specialist 3 2.5 Communications Specialist 1

International consultants – TA implementation 3. Integrated SWM Specialist 9 4. Blue Finance Specialist 4 5. Knowledge Management, Communications and Events 9 Specialist 6. Ocean Health Partnerships Specialist 5

National consultants – TA implementation 7. Knowledge Management, Communications and Events 9 Coordinator 8. TA Administrator 12

9. Unallocated positions (International) Various expertise areas 9 including but not limited to circular economy, integrated solid waste management and extended producer responsibility

10. Unallocated positions (National) Various expertise areas 11 including but not limited to conference management, conference coordination, and graphics design/branding)

10. Resource persons (various positions)

E. Qualifications of Consultants

10. Plastics circular economy policy reform and institutional strengthening support (Firm). The consulting firm (or consortium) will be tasked with supporting select DMCs in South East Asia (maximum three) to a) identify, develop and/or implement policy reforms designed to promote circular economy for plastics and reduce marine plastic pollution; and b) evaluate institutional capacity for managing marine plastic pollution and recommendation institutional strengthening / reform measures. Possible policy instruments could include bans, taxes, levies, subsidies, product take-backs, deposit-refund schemes, material product stands, minimum recycled content requirements, and extended producer responsibility (EPR) schemes. Support will follow good practice for policy development i.e. be evidence based; follow robust analysis of options and their impacts; and be designed in partnership with governments and in consultation with key stakeholders. Each phase of support to governments should incorporate awareness-

raising or capacity building as needed and knowledge-sharing workshops for participating DMCs and others. The tasks will include:

Phase 1: Inception. The activities will include (i) conducting a rapid stock-take of institutional arrangements and completed and ongoing research into the effectiveness of various policy and regulatory instruments to promote a circular economy for plastics and reduce marine plastic pollution, and summarizing the knowledge and recommendations for each selected DMC; (ii) presenting the research findings and recommendations to selected DMCs, key partners, forums and stakeholders, along with an outline plan for the next phase of work including timelines, processes and government commitment / resources needed; (iv) identifying country demand for taking forward recommendations from the research; and (v) producing an inception report and work plan for Phase 2.

Phase 2: National Policy Analysis and Reform Proposals. Phase 2 involves conducting robust national policy analysis and producing detailed policy recommendations, and designing institutional reforms for effective management of marine plastic pollution. This should include a baseline analysis of the issues, root causes and opportunities; definition of outcomes, objectives and criteria; options analysis, including the costs, opportunities, benefits and risks; and stakeholder engagement and public consultations. The consulting firm (or consortium) should produce draft and final national policy and institutional strengthening recommendation reports developed closely with governments. Recommendations should take into account implementation challenges, be feasible and sustainable long-term, and include a strategic approach / plan for implementation.

Phase 3: Implementation Support. Phase 3 involves supporting governments in the detailed design/drafting and roll-out of prioritized policy reforms (e.g. standards, regulations, taxes, subsidies, bans etc.) and institutional reforms and strengthening activities.

11. The consulting firm (or consortium) will have demonstrated experience in the effective design and implementation of solid waste management policy. For consortiums, all associated firms/institutions should demonstrate relevant individual experience in the assignment. The consulting firm will be responsible for engaging a team of experts to deliver the outputs, carrying out consultations, and overseeing the design, management, and implementation of the assignment including day-to-day technical, communication, financial, and administrative tasks. The consulting firm will engage the following key international experts:

Role Degree Minimum Relevant Experience Years Relevant Experience 1.1 Policy and Masters’ degree or 5 • Experienced in national-level policy Regulatory Specialist/ higher in public analysis, development and reform, Team Leader policy, social including regulatory measures and sciences, market-based instruments for environmental policy environmental management; or management, • Knowledge of waste management economics or a sector. related discipline. • Successfully worked as a team leader on similar projects, ideally in developing countries.

Role Degree Minimum Relevant Experience Years Relevant Experience 1.2 Integrated Solid Master’s degree or 5 • Experience in ISWM including Waste Management/ higher in ‘reduce, reuse, recycle’ Circular Economy environmental approaches, circular economy, or Specialist management, sustainable production and economics, public consumption initiatives. policy or relevant • Knowledge of solid waste sector discipline. and core marine plastic pollution issues, constraints, and general solutions. • Experience working in developing context, ideally in Asia. 1.3 Environmental Masters’ degree or 5 • Experience in economic analysis Economist higher in economics and impact assessment of policy or a related instruments, including market- discipline based instruments for environmental management and the use of economic incentives and disincentives; • Experience in conducting cost benefit analysis of various policy options; • Successfully worked on similar or related projects. 1.4 Finance Specialist Masters’ degree or 5 • Experience in evaluating and higher in finance or a developing effective financial related discipline instruments, incentives or disincentives for environmental or social change. • Successfully worked on similar or related projects. 1.5 Institutional Masters’ degree or 5 • Experience in evaluating and Strengthening higher in business strengthening institutions and Specialist administration, capacity in developing country public policy, context. development or a • Knowledge and/or experience in related discipline. solid waste sector. • Familiar with marine plastic pollution problem and broad solutions. • Skills in organizational reform / change management. • Successfully worked on similar or related projects.

12. Investment needs research (Firm). The consulting firm (or consortium) will be tasked with delivering a regional research report for Asia and the Pacific (ADB DMCs) on (i) the infrastructure and technology investment needs to provide safe solid waste management with 100% collection rates and enable the transition to a circular economy, particularly for plastics, under several scenarios to 2030; (ii) detailed analysis of current financing, financing mechanisms, and investment gaps; and (iii) recommendations for how to scale-up investment, including the

6 enabling conditions needed. The research should build on the findings of existing research, such as the World Bank’s What a Waste 2.0 (2018), and provide differentiated recommendations by, for example, sub-region or development context and also provide in-depth analysis and recommendations for three DMCs. The analysis of infrastructure and technology needs and options should highlight opportunities for waste recovery/recycling including alternative collection systems and markets for recycled materials, and the creation of job opportunities for communities/informal sector. The consultant will produce the following outputs: (i) Proposed research methodology; (ii) Draft research report; (iii) Final research report; and (iv) highlights / summary report for wide consumption.

13. The consulting firm (or consortium) will have preferably have at least 5 years’ experience in the following fields: economics research and analysis, financial analysis, ISWM investments and technologies. For consortiums, all associated firms/institutions should demonstrate individual experience in activities relevant to the TA. To deliver the outputs, the lead firm/institution will be responsible for engaging a team of experts to deliver the outputs, carrying out consultations, and should have a project management team that will oversee the design, management, and implementation of the assignment including the day-to-day technical, communication, financial, and administrative aspects of the assignment. They will need to demonstrate their project management abilities with respect to designing, managing and implementing similar research assignments. The consulting firm will be responsible for engaging the following key experts:

Role Degree Minimum Relevant Experience Years; Relevant Experience 2.1 Integrated Solid Master’s or PhD in 5 • Experience developing ISWM Waste Management engineering, strategies, master plans and (ISWM) Investment environmental investment plans including Specialist/Team science or related identifying investment and Leader discipline relevant to financing needs; ISWM. • Knowledge and experience in ‘reduce, reuse, recycle’ and circular economy principals and the systems and infrastructure needed to enable a transition to a more circular economy for plastics; • Knowledgeable of sovereign, private sector, PPP and other infrastructure investment structures or opportunities; • Familiar with developing country context, challenges and opportunities; • Successfully worked as a team leader on similar research projects. 2.2 Economics Master’s degree or 5 • Experience in designing sound Research Specialist higher in economics, research methodologies and resource economics conducting robust economic or a related discipline research, including projections of needs, scenario / options

Role Degree Minimum Relevant Experience Years; Relevant Experience analyses, and cost-benefit analyses; • Successfully worked on similar or related projects; • Familiarity with infrastructure and developing country context. 2.3 Finance Specialist Masters’ degree or 5 • Experience in assessing higher in finance or a infrastructure sector financing related discipline needs, ideally for waste sector; • Knowledge of existing and new financing models for infrastructure investment, ideally ISWM, including models for engaging private sector, incentive schemes/financial mechanisms including market-based instruments. 2.4 Technology Master’s or PhD in 5 • Experience in identifying Specialist (ISWM / engineering, appropriate and feasible Circular Economy) environmental technology options (low and high science or related tech) for ISWM challenges discipline relevant to • Knowledge and/or experience in ISWM. incorporating waste recovery and waste recycling options into ISWM systems; • Knowledge and experience in ‘reduce, reuse, recycle’ and circular economy principals and the systems and infrastructure needed to enable a transition to a more circular economy for plastics. • Familiar with developing country context, challenges and opportunities. 2.5 Communications Bachelor’s degree in 5 • Experience in designing, writing, Specialist communications, reviewing and editing technical journalism, English or reports for various audiences; a related discipline. • Knowledgeable of ADB’s guidelines on preparing publications and ADB’s Handbook for Style and Usage.

14. ISWM Specialist (Team Leader) (Individual, International). The consultant will be responsible for (i) technical leadership and direction on all TA outputs and activities; (ii) detailed design of the TA program; (iii) further developing ADB’s program on marine plastic pollution, and developing additional subprojects under the TA; (iii) providing specialist inputs on ISWM and marine plastics for ADB operational departments and sub-regional programs, and identifying opportunities for additional impactful activities/investments to promote circular economy; (iv)

supporting the TA officer in overall program management and implementation. S/he should have a Master’s or PhD in engineering or related discipline relevant to ISWM and at least 10 years’ experience across key aspects of ISWM including in infrastructure and systems, technology and innovation, planning, strategy, governance, financing and research. The consultant should also have knowledge and experience in circular economy approaches, the systems and infrastructure needed to enable a transition to a circular economy for plastics, and the promotion of sustainable production and consumption patterns. S/he should have demonstrated experience in design, managing and implementing effective ISWM development programs in low- middle-income countries, and in working with governments, businesses, NGOs, civil society, and multi- disciplinary teams comprising of international and national experts. Experience working in developing countries is a must.

15. Blue Finance Specialist (Individual, International). The consultant will be responsible for preparing a strategy and implementation plan for ADB’s Oceans Financing Initiative (OFI). Specifically, the consultant will be responsible for the following tasks: (i) researching and summarizing global experiences, successes and lessons in innovative financing mechanisms for environment / marine conservation; (ii) conducting consultations across ADB to gauge demand and capacity, identify opportunities, and inform development of the strategy; (iii) engaging with potential partners and identifying opportunities for strategic partnerships and resource mobilization; (iv) conducting consultations with key government and non-government stakeholders in five (5) DMCs on their demand for ocean health investments and innovative financing mechanisms; (v) drafting the strategy and implementation plan for the OFI and finalizing based on review comments; (vi) review and finalization of ADB’s blue finance framework; and (vii) supporting design of an oceans financing partnership facility. The specialist should have at least a master’s degree or higher in finance, economics, conservation, environment, or a related field. S/he should have expert knowledge in both environment (preferably marine) and finance, and international experience developing or implementing innovative finance mechanisms for environment, marine conservation or sustainable blue economy investments. The specialist must have excellent research and analysis, communication, relationship-building and engagement skills. Experience working in the region is a must.

16. Knowledge Management, Communications and Events Specialist (Individual, International). The consultant will be responsible for overseeing the management, planning and coordination, implementation and evaluation of the TA’s strategic communications, flagship events such as the healthy oceans technology and innovation forum and blue finance forums, knowledge and awareness-raising activities. The consultant will provide specialist communications advice and inputs, and quality control from a communications perspective, of relevant TA outputs led by others. The consultant will also be responsible for leading strategic communications, events, and knowledge management for ADB’s Healthy Oceans Action Plan and Oceans Financing Initiative. The consultant should have a Master’s or higher degree in communications, media, journalism, social science, arts and/or a relevant discipline and demonstrated international experience in strategic communications, knowledge management and events. It is strongly preferred that the specialist has experience working with international organizations, with high-level government representatives, and in developing countries. S/he must be an effective organizer and facilitator of resources and diverse stakeholders with demonstrated skills in coordination, communication, collaboration and project management. Experience working the region is a must. Familiarity with environmental issues and ADB is an advantage.

17. Ocean Health Partnerships Specialist (Individual, International). The consultant will be responsible for: (i) mapping strategic partners for implementation of TA outputs identifying

opportunities for collaboration and co-financing; (ii) developing and implementing strategies to establish and advance partnerships; (iii) developing a strategy for mainstreaming ADB’s healthy oceans action plan into ADB supported sub-regional cooperation programs, including identifying each program’s timeline of activities, key opportunities and entry points for mainstreaming, and the key objectives and plan for each program; (iv) supporting the TA Officer to manage key partnerships; (v) representing or supporting ADB in key forums and events; (vi) preparing environment funding proposals; (vii) providing specialist inputs and technical reviews from ocean health perspective. The specialist should have a Master’s degree or higher in marine conservation, oceans sciences, environmental management or related topics and demonstrated experience developing and implementing marine conservation projects. S/he must have demonstrated experience in identifying, developing and managing effective partnerships; building relationships with governments, international organizations, civil society and youth; preparing funding proposals and securing funds; advocacy, awareness-raising and engagement, including at a high-level in the region and internationally. S/he must have excellent oral and written communication skills and be an experienced and engaging presenter. Experience working in the region is a must.

18. Knowledge Management, Communications and Events Coordinator (Individual, National, the Philippines). The consultant will be responsible for supporting the Knowledge Management, Communications and Events Specialist in the management, planning and coordination, implementation and evaluation of the TA’s strategic communications, flagship events, knowledge and awareness-raising activities, including innovation challenges, blue finance roundtables, and the inaugural ADB Healthy Oceans Technology and Innovation Forum. The consultant should have a Bachelor’s degree in communications, social science, project management and/or a relevant discipline and at least at least 5 years’ experience in communications and events planning and coordination. S/he must have worked on large- scale/high-profile events involving a range of stakeholders including high-level officials previously, and have demonstrated skills in coordination, communications and project management. Knowledge of environment or development issues is an advantage.

19. TA Administrator (Individual, National, the Philippines). The individual consultant will be responsible for project administration. The consultant will (i) work with TA consultants to deal with contractual matters; (ii) organize meetings, travel, and logistics for TA consultants and project staff; (iii) manage subcontracts and partnership agreements; and (iv) process payments and reimbursements. The consultant should have at least a Bachelor’s degree in accounting, finance, management or related discipline and have excellent oral and written communication skills (in English), with at least 8 years of experience.

20. Unallocated Positions (Individual, International). This will include various expertise areas but not limited to circular economy, integrated solid waste management and extended producer responsibility.

21. Unallocated positions (Individual, National). This will include various expertise areas including but not limited to conference management and coordination for the Healthy Oceans Technology and Innovation Forum and graphics design and branding.

22. Resource Persons (various positions). Resources persons will be engaged to provide expert and peer review of research and knowledge products and to serve as speakers in knowledge events.