USAID IUWASH PLUS USAID INDONESIA URBAN WATER, SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) OCTOBER 2020 This report is made possible by the support of the American People through the United States Agency for International Development (USAID). The contents of this report are the sole responsibility of DAI Global, LLC and do not necessarily reflect the views of USAID or the United States Government. PROJECT YEAR 5 WORK PLAN CONTRACT NO. AID-497-TO-16-00003
Transcript
USAID IUWASH PLUS
USAID INDONESIA URBAN WATER, SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS)
OCTOBER 2020
This report is made possible by the support of the American People through the United States Agency for International Development (USAID). The contents of this report are the sole responsibility of DAI Global, LLC and do not necessarily reflect the views of USAID or the United States
Government.
PROJECT YEAR 5 WORK PLAN
CONTRACT NO. AID-497-TO-16-00003
USAID INDONESIA URBAN WATER, SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS)
PROJECT YEAR 5 WORK PLAN CONTRACT NO. AID-497-TO-16-00003
Project Title: USAID IUWASH PLUS: Indonesia Urban Water, Sanitation and Hygiene Penyehatan Lingkungan untuk Semua
Sponsoring USAID Office: USAID/Indonesia Office of Environment
Contract Number: AID-497-TO-16-00003
Contractor: DAI Global, LLC
Date of Publication: October 2020
Author: DAI Global, LLC
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TABLE OF CONTENTS
LIST OF EXHIBITS .................................................................................................................................................... iv
ACRONYMS ................................................................................................................................................................ v
3.3 COMPONENT 2: STRENGTHENING CITY AND DISTRICT WASH INSTITUTIONAL PERFORMANCE .................................................................................................................................. 26
3.4 COMPONENT 3: STRENGTHENING THE WASH FINANCING ENVIRONMENT.................. 37
3.5 COMPONENT 4: ADVANCING NATIONAL WASH ADVOCACY, COORDINATION, AND COMMUNICATION ........................................................................................................................... 45
7.1 NORTH SUMATRA ............................................................................................................................ 70
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7.2 WEST JAVA, DKI JAKARTA, TANGERANG ................................................................................... 71
7.3 CENTRAL JAVA................................................................................................................................... 72
7.4 EAST JAVA ........................................................................................................................................... 73
7.5 SOUTH SULAWESI AND EASTERN INDONESIA ......................................................................... 75
Exhibit 1. List of Partner Local Governments (LGs)......................................................................................... 2 Exhibit 2. The Urban WASH Ecosystem .............................................................................................................. 2 Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS
and the USAID-SECO Partnership ....................................................................................................... 9 Exhibit 4. Monitoring & Evaluation (M&E) Focal Activities for PY5 ............................................................. 15 Exhibit 5. Collaboration within and among USAID IUWASH PLUS, the USAID-SECO Partnership
and the LSIC. ............................................................................................................................................ 19 Exhibit 6: Key Component 1 Partnerships in PY5 ............................................................................................ 22 Exhibit 7. Focal activities targeting community and household level stakeholders in PY5 ..................... 23 Exhibit 8. Focal activities targeting private sector stakeholders in PY5 ...................................................... 24 Exhibit 9. Focal activities targeting governmental stakeholders in PY5 ....................................................... 26 Exhibit 10. Composition of Component 2 teams with sub-components ................................................... 27 Exhibit 11. Key Component 2 Partnerships for PY5 ....................................................................................... 28 Exhibit 12. Strategy to increase water access for B40..................................................................................... 29 Exhibit 13. Responsibilities of related components .......................................................................................... 29 Exhibit 14. Subcomponent 2.1 Priority Programs for PY 5 ............................................................................ 30 Exhibit 15. Local government mapping of FSM implementation readiness ................................................. 32 Exhibit 16. Subcomponent 2.2 Main Programs for PY5 .................................................................................. 33 Exhibit 17: Subcomponent 2.3 Main Governance Programs for PY5 .......................................................... 36 Exhibit 18. Subcomponent 2.4 Main Programs for PY5 .................................................................................. 37 Exhibit 19. Key Partnership for Water and Sanitation Financing Program in PY5 .................................... 39 Exhibit 20. PY5 Activities to Strengthen the Enabling Environment for WASH Financing ..................... 40 Exhibit 21. PY5 Activities to Increase Access to Capital Expenditure Financing for WASH ................. 41 Exhibit 22. PY5 Technical Assistance to Key Financing Facilities .................................................................. 42 Exhibit 23. Activity Plan for Microfinance Program Year 5 ............................................................................ 43 Exhibit 24. USAID IUWASH PLUS MFI Partners by Region .......................................................................... 43 Exhibit 25. Component 4 Sub-Components and Supporting Program ........................................................ 46 Exhibit 26. Key Component 4 Partnerships for PY5 ....................................................................................... 46 Exhibit 27. Subcomponent 4.1 Main Programs for PY5 .................................................................................. 48 Exhibit 28. Sub-component 4.2 Main Programs for PY5 ................................................................................. 49 Exhibit 29. Subcomponent 4.3 Main Programs for PY5 .................................................................................. 51 Exhibit 30: PDAM Locations for the USAID-SECO Partnership Program ................................................. 53 Exhibit 31. Institutional Partners under the USAID-SECO Program ........................................................... 54 Exhibit 32. Main General Management Activities for PY5 .............................................................................. 55 Exhibit 33. PY5 Priority Activities for Component A (NRW Reduction) .................................................. 57 Exhibit 34. PY5 priority activities for Component B (Improved Energy Efficiency) ................................. 59 Exhibit 35. PY4 priority activities for Component C (Capacity Building) ................................................... 62 Exhibit 36: LSIC Support Main Programs in PY5............................................................................................... 65 Exhibit 37: Gender Focal Activities for PY5 ....................................................................................................... 69 Exhibit 38: Project Management Main Programs for PY5 ............................................................................... 82
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ACRONYMS
ADB Asian Development Bank
Akatirta Akademi Tirta Wiyata/Tirta Wiyata Environmental Engineering Academy
AKKOPSI Aliansi Kabupaten/Kota Peduli Sanitasi/Alliance for the Districts/Cities Care about Sanitation
ALD Air Limbah Domestik/Domestic Wastewater
AMDAL Analisis Mengenai Dampak Lingkungan Hidup/Enviromental Impact Analysis
AMEP Activity Monitoring and Evaluation Plan
APBD Anggaran Pendapatan dan Belanja Daerah/Local Government Budget
APBN Anggaran Pendapatan dan Belanja Negara/State Budget
APR Annual Project Report
B40 Bottom 40% of the population in terms of wealth
B2B Business to Business
BAIK Baytul Ikhtiar
Bappenas Badan Perencanaan Pembangunan Nasional/National Development Planning Agency
Bappeda Badan Perencanaan Pembangunan Daerah/Regional Development Planning Agency
BAST Berita Acara Serah Terima/Hand Over Report
BAWASLU Badan Pengawasan PEMILU/General Election Supervisory Body
BC Behavior Change
BCM Behavior Change Marketing
BDS Business Development Services
BLU Badan Layanan Umum/Public Service Agency
BLUD Badan Layanan Umum Daerah/Regional Public Service Agency
BPs Best Practices
BP-A,B Business Plan Type A, B
BPR Bank Perkreditan Rakyat/Rural Bank
BPPSPAM Badan Peningkatan Penyelenggaraan Sistem Penyediaan Air Minum/ Agency for Improving the Implementation of Water Supply System
BTAM Balai Teknologi Air Minum/Agency for Water Supply Technology
Capex Capital Expenditure
Catex Categorical Exclusion
CB Capacity Building
CBO Community Based Organization
CDCS Country Development Cooperation Strategy
CEM Citizen Engagement Mechanism
CEMSED Center for Micro and Small Enterprise Dynamic
CFR Code of Federal Regulation
CJRO Central Java Regional Office
COP Chief of Party
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COR Contracting Officer’s Representative
CPMU Central Project Management Unit
CSR Corporate Social Responsibility
CU Credit Union
CWIS City Wide Inclusive Sanitation
DAI Development Alternatives Incorporated Global, LLC
DAK Dana Alokasi Khusus/Special Allocation Fund
DAU Dana Alokasi Umum/General Allocation Fund
DCOP Deputy Chief of Party
DED Detailed Engineering Design
DFAT Department of Foreign Affairs and Trade
DHS Demographic and Health Survey
DMA District Meter Area
DITSPAM Direktorat Sistem Penyediaan Air Minum/Directorate of Water Supply System
EEA Energy Efficiency Audit
EJRO East Java Regional Office
EE Energy Efficiency
EMMP Environmental Mitigation and Monitoring Plan
EMMR Environmental Mitigation and Monitoring Report
ERF Environmental Review Form
ERR Environmental Review Report
FGD Focus Group Discussion
Forkalim Forum Komunikasi Air Limbah/Communication Forum for Wastewater
FS Feasibility Study
FSM Fecal Sludge Management
GHG Greenhouse Gas
GIS Geographic Information System
GMO Genetically Modified Organism
GOI Government of Indonesia
GS Governance Specialist
GWG Gender Working Group
HH Household
HIK Harta Insan Kharimah
HR 1,2 High Level Results 1,2
HWWS Hand Washing with Soap
IA Implementing Agency
IEC Information Education Communication
IEE Initial Environmental Examination
IPLT Instalasi Pengolahan Lumpur Tinja/Septage Treatment Plant (STP)
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PT. JAMKRIDA PT. Penjaminan Kredit Daerah
JICA Japan International Cooperation Agency
Kemendes Kementerian Desa, Pembangunan Daerah Tertinggal, dan Transmigrasi/Ministry of Development of Disadvantaged Regions, and Transmigration (MOVDT)
KIAT Kemitraan Indonesia Australia untuk Infrastruktur/Partnership between Indonesia and Australia for Infrastructure
KKMA Kajian Kerentanan Mata Air/Spring Vulnerability Assessment and Action Plan
KLHK Kementerian Lingkungan Hidup dan Kehutanan/Ministry of Environment and Forestry
IUWASH PLUS Indonesia Urban Water, Sanitation and Hygiene Penyehatan Lingkungan untuk Semua
Koperasi BMI Koperasi Benteng Mikro Indonesia/Benteng Mikro Indonesia Sharia Cooperative
KOTAKU Kota Tanpa Kumuh/City Without Slum
LG Local Government
LOP Life of Project
LPS Liter Per Second
LSIC Local Sustainability and Innovation Component
LLTT/L2T2 Layanan Lumpur Tinja TerjadwalRegular Desludging Service
LLTTT Layanan Lumpur Tinja Tidak Terjadwal/Unscheduled Desludging Service
M&E Monitoring and Evaluation
MBR Masyarakat Berpenghasilan Rendah/Low-Income Community
Pokja PPAS/ Kelompok Kerja Perumahan, Permukiman, Air Minum dan Sanitasi/Air Minum dan
AMPL Penyehatan Lingkungan/Working groups for Housing, Settlements, Water Supply, and Sanitation/Water Supply and Sanitation
PPN Pajak Pertambahan Nilai/Value Added tax
PPP Public-Private Partnership
PPRG Perencanaan dan Penganggaran Responsif Gender/Gender Responsive Planning and Budgeting
PT. SMI PT. Sarana Multi Infrastruktur
PUPR Pekerjaan Umum dan Perumahan Rakyat/Public Works and Housing
PUSKESMAS Pusat Kesehatan Masyarakat/Community Health Center
PUSKOPDIT Pusat Koperasi Kredit/Center for Credit Cooperatives
PY1,2,3,4,5 Project Year 1,2,3,4,5
Q1 Quarter 1
Q&A Question and Answer
QPR Quarterly Project Report
RAD Rencana Aksi Daerah/Regional Action Plan
RC Readiness Criteria
RF Results Framework
RKM Rencana Kerja Masyarakat/Community Action Plan
RKP Rencana Kerja Pemerintah/Government Annual Work Plan
RPAM Rencana Pengamanan Air Minum/Water Safety Plan
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RPJMN Rencana Pembangunan Jangka Menengah Nasional/National Medium Term Development Plan
RPJMD Rencana Pembangunan Jangka Menengah Daerah/Regional Medium Term Development Plan
SAK ETAP Standar Akuntansi Keuangan Entitas Tanpa Akuntabilitas Publik/Financial Accounting Standard for Entities without Public Accountability
Satker Satuan Kerja/Working Unit
SDGs Sustainable Development Goals
SECO State Secretariat of Economic Affairs
SKB Surat Keputusan Bersama/Joint Decision Letter
SK DIRJEN Surat Keputusan Direktur Jenderal Cipta Karya/ Decision Letter of the Director
CIPTA KARYA General of Human Settlement
SNV Stichting Nederlandse Vrijwilligers, a Netherlands Development Organization
SOP Standard Operating Procedure
SPALD Sistem Pengelolaan Air Limbah Domestik/Domestic Wastewater Management System
SPAM Sistem Penyediaan Air Minum/Water Supply System
SPM Standar Pelayanan Minimal/Minimum Service Standard
SSEI South Sulawesi and Eastern Indonesia
STBM Sanitasi Total Berbasis Masyarakat/Community-Based Total Sanitation program
SUPD II Sinkronisasi Urusan Pemerintah Daerah II/Synchronization of Local Government Affairs II
TAMIS Technical and Administrative Management Information System
TCA Technical Counterpart Agency
TOCOR Task Order Contracting Officer’s Representative
TPS Tempat Pemungutan Suara/Polling Venue
TT Technical Team
UNICEF United Nation Children’s Fund
UPTD Unit Pelaksana Teknis Daerah/Regional Technical Implementing Unit
USG United States Government
USAID United States Agency for International Development
USDP Urban Sanitation Development Program
UWS Urban Water Specialist
VAT Value Added Tax
WASH Water, Sanitation and Hygiene
WF WASH Facilitator
WFS WASH Finance Specialist
WJDT West Java, DKI Jakarta, and Tangerang
WQQ Water Quality and Quantity
WTP Water Treatment Plant
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WW Wastewater
WWTP Wastewater Treatment Plant
YPTD Yayasan Pendidikan Tirta Dharma
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1 INTRODUCTION
1.1 OVERVIEW OF USAID IUWASH PLUS
This is the fifth and last annual work plan of the USAID Indonesia Urban Water, Sanitation and Hygiene Penyehatan Lingkungan Untuk Semua (IUWASH PLUS) and covers the period of October 01, 2020 through February 21, 2022. The USAID Indonesia Urban Water, Sanitation and Hygiene 'Penyehatan Lingkungan Untuk Semua' (USAID IUWASH PLUS) program is a five-year-and-eight-month initiative designed to assist the Government of Indonesia (GOI) in increasing access to water supply and sanitation services as well as improving key hygiene behaviors among urban poor and vulnerable populations. Implemented by DAI Global LLC, USAID IUWASH PLUS works with governmental agencies, the private sector, NGOs, communities and others to achieve the following "high level" results:
• An increase of 1,100,000 people in urban areas with access to improved water supply service quality of which at least 500,000 are from the poorest 40% of the population; and
• An increase of 500,000 people in urban areas with access to safely managed sanitation.
To ensure that improvements in access to WASH services are sustained, USAID IUWASH PLUS is guided by a development hypothesis that focuses on strengthening service delivery systems, so they can more effectively reach the poorest and most vulnerable segments of the population. In order to achieve this at scale, the program undertakes activities through a set of interrelated activities, including:
• Four technical components which focus on:
1. Improving household WASH services;
2. Strengthening city WASH institutional performance;
3. Strengthening the WASH financing environment; and
4. Advancing national WASH advocacy, coordination and communication.
• The USAID-SECO Partnership Program which provides concentrated technical assistance to a select set of PDAMs in the areas of non-revenue water (NRW) and energy efficiency (EE).
• A Local Sustainability and Innovation Component (LSIC) that aims to stimulate innovations that strengthen community, private sector and government WASH service provision.
• Gender programing which supports the sustainability of the above through equitable treatment and resource allocation among women and men.
USAID IUWASH PLUS undertakes the above in close coordination with national GOI agencies such as Bappenas, MPWH and MOH, its funding partner (USAID and SECO), as well as 35 local governments (LGs) shown in the following table.
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Exhibit 1. List of Partner Local Governments (LGs)
North Sumatra WJDT Central Java East Java SSEI
Kota Medan
Kota Tebing Tinggi
Kota Sibolga
Kota Pem. Siantar
Kab. Deli Serdang
DKI Jakarta
Kab. Tangerang
Kota Bekasi
Kota Depok
Kota Bogor
Kab. Karawang
Kab. Bogor
Kota Surakarta
Kab. Sukoharjo
Kota Salatiga
Kab. Magelang
Kota Magelang
Kab. Sragen
Kab. Wonosobo
Kota Surabaya
Kab. Gresik
Kab. Sidoarjo
Kota Malang
Kota Probolinggo
Kab. Probolinggo
Kab. Lumajang
Kab. Malang
Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kab. Maluku Tengah
Kota Ternate
Kota Jayapura
Kab. Jayapura
Note: Kota refers to a city; Kabupaten refers to a district; and * denotes a location included under the USAID-SECO Partnership Program.
1.2 IMPLEMENTATION STRATEGY
The vision of USAID IUWASH PLUS is that, upon completion, local governments (LGs) and WASH service providers in selected geographic areas will have identified, addressed, and overcome barriers in reaching the poor with improved WASH services—yielding life-saving gains in WASH access that diminish the threat of water-borne diseases to society’s most vulnerable. This expansion in access will be enabled and sustained by developing and reinforcing systems that underpin and deliver vital WASH services, from affordable on-site sanitation facilities to solvent water utilities to supportive government policies and budgets. The reach of USAID IUWASH PLUS will move well beyond the prioritized cities and districts, however, as successful models and approaches are brought to scale through collaboration and communication with WASH policy makers and thought-leaders at the provincial and national levels.
Exhibit 2. The Urban WASH Ecosystem
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In support of this vision, the USAID IUWASH PLUS implementation strategy focuses on strengthening the urban WASH ecosystem of inclusive, self-reliant service provision. As shown in Exhibit 2, the WASH ecosystem is made up of an integrated network of WASH stakeholders that are linked through institutional and operational interdependencies. By working at all levels of the urban WASH ecosystem—acknowledging and reinforcing the roles and linkages of key WASH stakeholders—the USAID IUWASH PLUS program will improve access to both water and sanitation services. Only by working at the ecosystem level with an integrated network of WASH stakeholders—from the PDAM to the Puskesmas to private sector septage haulers—can access be sustainably expanded and the burden of water-borne diseases effectively mitigated. This strategy stands in sharp contrast to more traditional, compartmentalized methodologies to serve the poor, which prioritize the immediate construction of new household facilities while ignoring the systemic weaknesses that undermine sustainability and self-reliance.
1.3 PROJECT YEAR 5 WORK PLAN
During the fourth year of project implementation, USAID IUWASH PLUS worked under the theme of “Building Self-Reliance through Innovation, Integration, and Motivation” which sought to further motivate partners to increase B40 access to WASH services; continue the testing and dissemination of information on innovative, non-traditional approaches to WASH service provision; and improve the integration of efforts among the very diverse set of actors in the WASH ecosystem. In PY5, and building off of work in previous years, USAID IUWASH PLUS will operate under the theme of “Sustaining the Journey to Self-Reliance beyond USAID IUWASH PLUS”. This theme seeks to ensure that the program’s vision of ensuring inclusive, self-reliant WASH service provision will continue well-beyond the completion of USAID IUWASH PLUS. This theme is further supported by multiple areas of activity highlighted throughout the PY5 Workplan such as:
• Renewed emphasis on increasing access specifically of the B40 to improved WASH services, including throughout the programming of LG partners, among key WASH services providers (PDAMs, wastewater operators, and private sector participants), as well as with institutions that provide critical support to the broader enabling environment (such as national GOI partners, MFIs, Business Development Services, etc.);
• Completion of major policy development and advocacy initiatives which, among others, include national policies related to WASH microfinance, market-based sanitation (MBS), the updating of the STBM program, as well as local policies such as those related to Smart Subsidy programming;
• The finalization and implementation of exit strategies which will seek broad dissemination of lessons learned and lead program partners to independently continue innovative USAID IUWASH PLUS approaches to WASH service provision, and especially those that help meet the needs of the urban poor (such as specialized targeting of poor and vulnerable groups, heightened private sector involvement, and many others within the program’s suite of “signature” initiatives);
• Continuing efforts to respond and adapt to COVID-19, including through the use of social media and digital meeting platforms, as well as through assisting partners in their own COVID-19 response and adaptation processes.
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Further sections of the PY5 Work Plan for USAID IUWASH PLUS consist of the following:
Section 2: Overview of Project Results. Section 2 reviews the USAID IUWASH PLUS approach to achieving high-level and outcomes results in PY5 and over the life-of-project.
Section 3: Approach to USAID IUWASH PLUS technical components. This section reviews major planned activities under the project’s four (4) technical components and their sub-components.
Section 4: Approach to USAID-SECO Partnership Program. This section details the planned activities associated with the USAID-SECO Partnership Program (also referred to as the “SECO Partnership”).
Section 5: Local Sustainability and Innovation Component (LSIC). This section summarizes work to be undertaken under the LSIC.
Section 6: Gender Mainstreaming. This section addresses how the project will approach gender mainstreaming and related issues in PY5.
Section 7: Regional Level Technical Activities. This section provides a review of main activities in each region and with each partner LG.
Section 8: Project Management The final work plan section plan details USAID IUWASH PLUS’s general management strategy and key activities during PY5.
In addition to these above sections of the narrative, the PY5 Work plan also includes the following additional information:
Annex 1: Detailed PY5 Targets and Life of Project Targets by Region. This provides targets over the life of project, to-date achievements, PY5 targets divided by each region and estimated achievements at the end of PY5. Critically, to date achievements do not reflect anticipated adjustments in the number of B40 served and that may be made due to changes in data collection methodologies (which are briefly discussed in the following section).
Annex 2: Regional Targets Toward AMEP Results. This provides PY5 target of each partner city and district in each region.
Annex 3 & 4: Organizational Structure and Matrix Management Chart. This includes the organizational charts at the national and regional levels and the management framework (or “matrix”) that links staff together for the development and implementation of the programs many activities and across its multiple work areas.
Annex 5-6: USAID-SECO Partnership Workplan and Logical Framework. This provides an overview of key activities, performance indicators and means of verification for activities under the USAID-SECO partnership.
Attachment 1 (separate document): Environmental Monitoring and Mitigation Plan. EMMP is submitted in accordance with Section F of the USAID IUWASH PLUS contract which requires the preparation of an EMMP in association with the first annual work plan
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2 OVERVIEW OF PROJECT RESULTS & BRIEF PLANS AHEAD
2.1 INTRODUCTION
The Monitoring and Evaluation (M&E) system within USAID IUWASH PLUS (which includes the USAID-SECO Partnership) supports the recording, tracking and reporting of project achievements and, as such, it plays a critical in overall program management. This M&E system is designed to not only to provide information to program management as to whether the project is meeting its targeted results and outcomes, but it also aims to inform decisions as concern the development and adjustment of the methodologies and approaches it employs. The M&E function is described in a comprehensive fashion in the Project’s Activity Monitoring and Evaluation Plan (AMEP) that includes information on: the project’s results framework (RF) and summary of interventions; performance indicators and indicator reference sheets; baseline and target values for each year of project implementation; data collection and analysis methods; data management and reporting protocols; and related areas. The M&E system is further supported by the project’s web-enabled Technical and Administrative Management Information System (TAMIS™) and others resources described in the box below.
Important Resources Used in Support of the USAID IUWASH PLUS M&E System
• Technical and Administrative Management Information System (TAMIS): This is a customizable, web-enabled database system developed over many years by DAI that integrates information related to activity work planning, administration and realization into a cost-effective platform for collecting critical M&E data on a ‘real-time’ basis from multiple locations. As opposed to a system for which operation rests in the hands of a few staff, the responsibility for TAMIS use and maintenance is a shared responsibility that not only aids staff in their reporting and communication duties, but also serves as a key point of reference in their planning and development of programming activities to ensure that such activities are of maximum benefit in the program’s quest for outcomes, results and impact. The framework of the TAMIS database is based on the program’s approved work plan, and it is maintained and adjusted with the support of TAMIS specialists from the DAI Home Office.
• Demographic and Health Survey (DHS): The DHS is a USAID-funded program that serves as a major international resource for the collection and dissemination of accurate and nationally relevant data on a wide range of demographic and public health topics, including those related to water and sanitation borne disease and their contributing factors. USAID IUWASH PLUS not only uses DHS survey results as a point of reference in its own programming, but very importantly, also applies DHS approaches to the identification and tracking of lower income B40 populations through use of the DHS wealth indexing methodology.
• mWater™: This is a free data management platform that is supported, among others, by USAID. USAID IUWASH PLUS uses mWater™ prominently in the collection of data related to B40 populations, but several other areas as well. The program uses mWater™ to: design surveys for deployment to enumerators in the field; monitor survey results in real time; view data as dynamic visualizations; create reports, dashboards, and consoles for custom data visualization; and export data for sharing and collaboration. In addition to its own operations, the program has actively promoted its use by national and local partners to improve their own capabilities in data collection and management.
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During PY5, USAID IUWASH PLUS will continue to use the current approved AMEP (Third Revision) that was approved on 12 November 2019 which also integrated the new USAID-SECO Partnership activity. This modification impacted the M&E program as follows:
• The addition of new outcomes and targets under USAID IUWASH PLUS; and
• The addition of all results under the USAID-SECO Partnership Program.
Notably and as shown in Exhibit 3 below, USAID IUWASH PLUS uses a variety of indicators, including both USAID Standard (“F”) Indicators, as well as several “custom indicators that are unique to USAID IUWASH PLUS and the USAID-SECO Partnership.
As concerns specific M&E activities in PY5, and in addition to tracking the wide array of indicators across the program’s landscape, an important wealth survey (based on DHS 2017) will be undertaken in the early part of PY5, and another regarding NRW reduction under the USAID-SECO Partnership. Though these were planned for PY4 and notaby postponed due to the COVID-19 pandemic, they should still serve in informing USAID IUWASH PLUS and the USAID-SECO Partnership of where adjustments in programming may be necessary. In PY5, the M&E team will also continue to support Component 1 in implementing participatory M&E activities in HotSpot locations. Such support will entail tracking WASH access data in those locations (both current and those to be established in PY5), starting from their baselines and continuing throughout the various cycles of the participatory M&E process. This data will be used to update the maps of HotSpot locations and track overall achievements under, in particular, Outcomes C1a and C1g. Importantly, the M&E Team will also support efforts under Component 1 to promote the adoption of participatory M&E into the development planning process of partners LGs. This support will involve not only making available all relevant tools and providing training where needed, but through an in-depth joint review of updated maps and other data which serve as powerful advocacy tools for partners at all levels.
Finally, as with most all other undertakings globally, Project M&E results were negatively impacted by the advent of the COVID-19 pandedmic in March 2020. As originally planned, most all activities and events required a physical presence with partners at all levels, and adjusting to the restrictions on travel and physical distancing imposed by the pandemic led USAID IUWASH PLUS to apply a host of its own responsive measures. Such measures included enhanced use of on-line and digital formats for conducting meetings, conferences, trainings, and other events, as well as the institution of teleworking across all program offices and in accordance with relevant GOI protocols. Despite such measures, the project was unable to reach planned targets under several outcomes in PY4, and as impacts from the pandemic are expected to continue well into PY5, USAID IUWASH PLUS and will continue to closely monitor how the pandemic may impact LOP targets as well.
2.2 HIERARCHY OF PROJECT RESULTS
Entering PY5 of USAID IUWASH PLUS project, USAID/Indonesia is in engaged in finalizing the new country strategy for the 5-year period following 2021. USAID IUWASH PLUS project is based on the content of the 2014 - 2020 Country Development Cooperation Strategy (CDCS): “Essential human services to targeted populations improved and sustained”. From the M&E point of view, the USAID IUWASH PLUS project contributes to USAID Indonesia’s Second Development Objective (DO2) of the above mentioned strategy, especially the Intermediate Results (or “IR”) 2.2 on “Access to safe water and sanitation expanded”. The project’s scope of work then sets forth the project’s objective and targeted results which serve as the basis for activity planning under each technical
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component. To fully account for the above, the USAID IUWASH PLUS M&E has a hierarchy of results tracking that is divided into the following three levels:
Project Objective. The implementation of USAID IUWASH PLUS programs contributes to the overall objective of the project which then contributes directly to USAID’s Intermediate Result framework under DO 2, as stated above.
High-Level Results. In support of the Project objective, USAID IUWASH PLUS has two (2) High Level Results (increased water service quality and increased access to safely managed sanitation services) that are achieved through the collective implementation of activities under the project’s technical components and sub-components.
Component-Level Results. In support of the High-Level Results, USAID IUWASH PLUS further defines Component-Level training participant results which represent the aggregated impact of the Project’s technical components.
The High-Level Results of increased access to improved water supply and sanitation will be achieved through the collective implementation of the USAID IUWASH PLUS technical components, sub-components, and underlying field activities.
Notably, and as concerns the USAID-SECO Partnership, the hierarchy of results tracking is slightly different. Specifically, it is based on the Logical Framework developed for the Partnership and which aligns with M&E systems employed by SECO and many other development agencies. In the case of the USAID-SECO Partnership (and according to USAID definitions), these include:
Impact Indicators. These measure results or effects that are caused by or attributable to the Partnership that occur in the medium or long term.
Outcome Indicators. These measure the condition of people, systems, or institutions that are expected to be affected by specific interventions. Outcomes are any result higher than an output to which a given output contributes, but for which it is not solely responsible.
Output Indicators. These measure what is produced as a direct result of inputs. Outputs are the tangible, immediate, and intended products or consequences of an activity within the program’s control or influence.
2.3 SUMMARY OF RESULT INDICATORS
Result indicators for USAID IUWASH PLUS are divided into those for the project’s original scope and those established under the USAID-SECO Partnership Program modification, each of which is described in further detail below. It should be noted that these include both standard (or “F”) indicators1 which are used across USAID programming globally, as well as custom indicators which are selected at the Mission level and in consultation with project management.
As concerns indicators under the original scope of work for USAID IUWASH PLUS, there are a total of 29 and include eight (8) “F” indicators to facilitate USAID/Indonesia’s reporting to USAID Washington and 21 “custom” indicators which meet more specialized project monitoring and management requirements. These are further divided into higher-level indicators, training participant
1 Standard indicators are a group of indicators that are set and managed by the Office of U.S. Foreign Assistance Resources (F). Standard
indicators are aligned to the Standardized Program Structure and Definitions and they measure key foreign assistance performance objectives. Indicator reference sheets for standard indicators can be found in the “F” Indicator Reference Handbook.
8 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
indicators, and component-level result indicators. As concerns indicators under the USAID-SECO Partnership, there are a total of 19 of which only 1 is an “F” indicator, while all of the remaining are “custom” indicators. As described above, these are divided into “impact” indicators, “outcome” indicators and “output” indicators.
Exhibit 3 below provides a combined summary of all indicators under both USAID IUWASH PLUS and the USAID-SECO Partnership. For each indicator, the Exhibit indicates the type of indicator, achievements through PY4, the targets for PY5, the life-of-project (LOP) targets, as well as a brief description of key activities planned for PY5. For USAID IUWASH PLUS, detailed PY5 and LOP targets for each region are also available in Annex 1.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 9
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
USAID IUWASH PLUS
High Level Results
HR1a Total Connection:
Number of overall people receiving improved water services quality as a result of U.S. Government assistance
Standard
HL.8.1-3
902,195
336,550 1,100,000
Broad technical and institutional support to PDAMs and LG partners focusing to the PDAMs that need to improve their performance based on the latest performance index review. The activities include the transition from USAID IUWASH PLUS assistance and ability to achieve self-reliance.
HR1b B40 Connection
Number of people from the B40 and EI receiving improved water services quality as a result of U.S. Government assistance
Standard
HL.8.1-3
253,470
94,205 500,000
Broad technical and institutional support as above, with focus on the on-going establishment of approaches (especially on obtaining GOI Grant Program on Water Supply) to assess the needs of and reach the B40, including through advocacy to ensure appropriate levels of levels of investment.
HR2
Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance
Standard
HL.8.2-3
604,670
221,060 500,000
Broad technical and institutional support to GOI, Wastewater operators, private sector, and community partners, including in their transition from USAID IUWASH PLUS assistance and ability to achieve self-reliance
Participant Training Results: General and Gender Training
T1 Number of people participating in USAID IUWASH PLUS training related activities
Custom 129,484
20,000 100,000 Further deployment of on-line and digital training platforms, as well as blended remote and in-person formats.
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations
Standard
GNDR-8
4,404
600 5,000 Closely coordinate with the USAID Gender Working Group; complete development of related IEC materials, along with lessons learned materials, and widely disseminate; continue PPRG advocacy; expand capacity building at the community level, as well as with MFIs and other partners; and conduct a sharing workshop with all program partners.
C1a Number of people from the bottom 40% by wealth gaining access to basic or shared sanitation services as a result of USG assistance
Standard
HL.8.2-2
121,365 60,635
(all from B40/EI)
250,000
(all from B40/EI)
With LG partners, expansion of HotSpot locations; advocacy for those and other B40 populations; undertaking wealth surveys; and promotion of Urban STBM and participatory M&E at all levels, including advocacy for supporting community actions plans through GOI Grant Program on Sanitation (Smart subsidy), APBD and CSR support.
10 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
C1b Percentage of households with soap and water at a handwashing station commonly used by family members
Standard
HL.8.2-5
17.61% 5% 20% In association with MOH, expanded dissemination and use of new promotional materials and provision of capacity building support where needed; continued involvement in the WASH Cluster and develop improved strategy to focus on delivering message based on the latest results of the survey of this outcome.
C1c Number of WASH business development services firms accessible to targeted areas
Custom 1 10 10 Support of current BDS partners in direct service provision as they engage in planned Phase 2 activities.
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance
Custom
85 19
100 Wide range of technical, managerial, marketing and networking support for construction contractors, suppliers, MFIs, desludging operators and other private sector partners; and related policy support at national and LG levels.
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services
Custom 21 14 35 Establishment of new and support of existing CEM among partner LGs, including through partnerships with print and electronic media, civic forums, and other platforms that promote two-way communications between LGs and the citizens they serve.
C1f Number of WASH community plans adopted by stakeholders
Custom 99 10 100 Expanded support to the development of RKM and their advocacy as concerns financial support; and related efforts to institutionalize the broader participatory M&E process within the budgetary processes of partner LGs.
C1g Number of toilets and septic tank systems sold Custom 1,146 3,858 5,000 Close monitoring of work under C1d and resulting private sector sales of toilets and septic tank systems.
Component 2 Results: Strengthening City and District WASH Institutional Performance
C2a Number of water utilities (PDAMs) with improved service delivery performance
Custom 24 7
(cumulative)
35 As measured by the PDAM Performance Index, provide technical and institutional capacity building to PDAMs (such as in business planning, GIS, NRW reduction, EE, WTP design, finance, accounting, etc.); and continue to advocate (to MPWH, NUWAS and others) for financial support of PDAM Business Plans. The priority support to the PDAM partner is based on the potential increased score of the performance index.
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban households,
Custom 6
8 13 Continue support to RPAM development, as well as collaboration with national partners as concerns implementation of RPAM pilot projects; monitor KKMA implementation; and pursue scaling-up of infiltration pond development (both in the field and through program development at the national level).
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 11
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
particularly in the face of climate change vulnerabilities
C2c Number of local sanitation management units with improved service delivery performance
Custom 26
4
(cumulative)
30 As measured by the Sanitation Index, and in collaboration with national and local partners (MPWH, FORKALIM, etc.), continue to promote the establishment and strengthening of WW operators and the wide range of regulatory, technical and institutional support they require; assist in improving IPLT design processes and desludging service provision; engage more private sectors on providing desludging services and broadly promote continued sector development, such as via support to FSM6 organization.
C2d Number of local governments with improved WASH service delivery performance
Standard
HL.8.3-3
31
0
(cumulative)
30 As measured by the Governance Index, provide broad support to partner LGs as concerns their oversight and support of the sector (through policies, institutional strengthening, and finance); develop and widely disseminate relate lessons learned to support the promotion of Minimum Standard Regulation target for each assisted city.
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services
Custom 92
8 35 Facilitate development and/or revision of critical WASH policies by
C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service
Standard
HL.8.2-7
43,075
9,500 10,000 Close monitoring of the support to wastewater operators as stated in
HR2 above and promote for changes in household level sanitation status.
Component 3 Results: Strengthening the WASH Financing Environment
C3a Number of local government institutions, utilities, and/or enterprises securing finance for service delivery improvements
Custom 53 3
50 Support LGs, PDAMs and other partners (including MFIs) potential public and private investment sources (such as the DAK, grant sources, OJK, NUWAS, PT SMI, and others); and assist those same sources of finance as concerns their understanding of and ability to serve the WASH sector (such as through FS and SOP development, use of relevant Toolkits, etc.).
C3b Number of public-private partnerships established with IUWASH PLUS support
Custom 30
17 40 Continue to support development of critical infrastructure and services
(such as WTPs, desludging services, etc.) through the establishment of PPPs and related feasibility assessments, tendering processes, etc.
C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers
Custom 0
4 3 Continue to support OJK in the development of WASH microfinance
policies; the exemption of waste water services from VAT (with MOF); a WASH microfinance regulation specifically for cooperatives (with
12 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
MCSME); and an MOPWH regulation for the evaluation of project financed under PERPRES 46/2019.
C3d Number of Government of Indonesia institutions with increased capacity in commercial finance
Custom 0
5 5 Based on the above work, closely monitor and measure changes among
GOI partners as concerns their ability to take advantage of commercial finance opportunities.
C3e Percentage change in budget appropriations for WASH by targeted local governments
Custom 58%
48%
(cumulative)
20% In support of a wide variety of LG budget advocacy efforts, closely monitor and report on LG WASH budget allocation especially in switching budget allocation due to COVID-19 that may affected WASH budget allocation and disseminate related results.
C3f Amount of funding leveraged through WASH financing support
Standard
HL.8.4-1
$180 million $11 million $50 million Based on the above work, closely monitor and report on actual amounts of funding leveraged and widely disseminate related results.
Component 4 Results: Advancing National WASH Advocacy, Coordination and Communication
C4a Number of WASH inter-agency coordinating entities at national level strengthened
Custom 2
0 2 Continue supporting Pokja PPAS/AMPL in multiple areas (such as
developing an Enabling Environment Indexing process and program to strengthen regional Pokja PPAS/AMPL); continue strengthening the capacity of FORKALIM as a National Waste Water Association; and ensure all partners benefit from program “legacy” activities described below.
C4b Number of knowledge products developed Custom 74
10 20 With a view towards ensuring the project’s lasting impact beyond its
completion, support other Components in the production of a wide range of knowledge “legacy” products (such as toolkits, manuals, guidelines, videos, success stories, e-learning and other on-line platforms, etc.)
C4c Number of knowledge events or workshops held Custom 73
5 60 As above, and with a view towards ensuring the project’s lasting impact
beyond its completion, support a wide range of planned “legacy” events such as a national workshops to share information on approaches to NRW reduction and EE, WRM, better serve the B40, sanitation marketing, and many others.
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops
Custom 1,475
50 1,200 Closely monitor the numbers of people benefitting from the above and
the changes in their understanding of key WASH issues and processes.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 13
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted
Custom 4
2 5 Based on the work above, closely monitor the development and
adoption of new GOI policies, regulations, and supporting guidance.
C4f Number of Signature Program developed Custom 2
4 5 Develop signature programs to support GOI institutionalization and scaling up USAID IUWASH PLUS key programs
USAID-SECO Partnership Program
Impact Indicators
SI1 Number of persons with access to
better (basic) services;
Standard 102,260 30,000 60,000 *) Closely monitor / verify changes per PDAM data and measure the value added of the investment made by USAID-SECO Partnership Program.
SI2 No. of new connection per utility Custom 20,452 N/A **) Closely monitor / verify changes per PDAM data.
SI3 Service Coverage (%) per utility Custom 31.83% N/A **) Closely monitor / verify changes per PDAM data.
Custom 0 2 2 Assess the current capacity of and support PDAM training centers data in the development of NRW and EE programs.
Output Indicators
SP1 Amount of investment leveraged to improve NRW and EE in water service provision for 7 PDAMs
Custom $194,827 $2.3 million $2.5 million Closely monitor and report on funding leveraged from key financial sources (such as MPWH, NUWAS, B2B arrangements, etc.).
SP2 Percentage change of non-revenue water (over baseline) in 6 PDAMs.
Custom 0 5% reduction
5% to 7.5%
Reduction
NRW field surveying; SOP development; implementation of commercial NRW reduction measures; physical leak detection; DMA evaluation and
14 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Exhibit 3. Combined Indicators, Targets and Achievements of USAID IUWASH PLUS and the USAID-SECO Partnership
Result No. Indicator Type Achieved
thru PY4 PY5 Target
Life of Project Target
Brief Description of Key Activities Planned in PY5
improvement; monitoring NRW reduction; and provision of supporting managerial training.
SP3 Percentage change in energy consumption (over baseline) in 4 PDAMs.
Custom 0 15% reduction
15% Reduction Establishment of EE baselines; provision of EE technical training; procurement and installation of pumping equipment; training and SOP development regarding pump operation and maintenance; and provision of supporting managerial training.
SP4 Energy cost to operational cost Ratio (%) per supported utility
Custom 11.33% N/A **) Close monitoring and reporting on changes in energy costs relative to total operational costs.
SP5 Green House Gas (GHG) emissions reduced as impacts of energy efficiency
Custom 0 N/A **) Verify the validity of the GHG emission factor, update as needed, and apply to energy savings to determine impact.
SP6 Number of standard operating procedures are developed, approved, and implemented across 7 PDAMs.
Custom 0 35 SOP 35 SOPs Monitor and report on SOP development (for NRW, EE, pump O&M, etc.).
SP7 Number of PDAM staff trained in NRW, EE and other technical and non-technical topics of planning, operation and monitoring.
Custom 237 363 600 people Provide technical training on NRW (commercial leak detection, physical losses, preparation & operation of DMAs, GIS system, use of smart meters, use of M-water survey application), EE (auditing, pump sizing, etc.), as well as non-technical areas such as business planning, financial planning asset management, health and safety protocols, customer relations, etc.; determine impact via pre- and post-training tests.
SP8 Number of performance improvement action plans (PIAP) developed, approved, and implemented across 7 PDAMs.
Custom 10 18 28 Continue development PIAP and related monitoring of implementation; and provide targeted support where indicated.
E
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 15
2.4 PY5 MONITORING AND EVALUATION ACTIVITY
The USAID IUWASH PLUS project is entering the final year of project implementation. This year will be used as much as possible to improve the quality of the key M&E activities. Since the system and methodology of recording, tracking and reporting of AMEP results and outcomes has been well established, the M&E team needs to assure the quality of the data and its supporting documentation prior to completion of the project. High quality and reliability of data is required for certifying outstanding project performance as well as is needed by the Final Evaluation of the project. The M&E team will also continue to maintain the well-established system for targeting and tracking urban B40 populations.
Regarding the M&E activities under USAID-SECO Partnership Program, USAID IUWASH PLUS M&E team will continue to track the achievement based on the updated Logical Framework. This Framework has been updated based for the achievements made in PY4. As stated in the framework, under USAID-SECO Partnership program, there are several impacts, outcomes, and input indicators that have no specific target set. For these indicators, USAID IUWASH PLUS team will report the achievements accomplished by our partners.
Detailed activities planned for PY5 are described in the exhibit below.
Exhibit 4. Monitoring & Evaluation (M&E) Focal Activities for PY5
Activity Location Output Timeline
Develop M&E and PY5 Work Plan Sections in the USAID IUWASH PLUS TAMIS
National M&E and PY5 Work Plan section developed and ready to use
Oct 2020
Refresher training for internal USAID IUWASH PLUS Teams on AMEP Reporting, focus on preparing of final report of each outcome (embedded in Regional Monthly Meeting)
National & Regional
USAID IUWASH PLUS Team increased their capacity on AMEP Reporting, including B40 verification process
Oct. 2020 – Dec 2021
Sharing Workshop with USAID IUWASH PLUS Partners on M&E tools related to B40 focus
National National learning workshop conducted
Jun 2021
Facilitate Regular M&E Visit by TCA and technical team, including provincial government in USAID IUWASH PLUS sites (pending to COVID-19 pandemic situation)
National & Regional
M&E visit by TCA and Technical Team that included Provincial Governments
Nov 2020, Apr, Aug and Nov 2021
Conduct data collection and submit the progress of achievement of USAID IUWASH PLUS results in our regular reporting (including SECO Partnership)
National & Regional
USAID IUWASH PLUS results reported in regular reporting
Dec 2020, Mar, June, Sep and Dec 2021
Support Final Evaluation of USAID IUWASH PLUS Project
National & Regional
USAID IUWASH PLUS Final Evaluation conducted
Mar – Apr 2021
Conduct second B40 verification for HR1a (Indirect)
National & Regional
HR1a (indirect intervention) beneficiaries have been verified for the wealth status
Nov 2020 – Jan 2021
Conduct B40 verification for HR1b (direct) and C1a
National & Regional
HR1b and C1a beneficiaries have been verified for the wealth status
Feb – Dec 2021
16 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Conduct the Most Significant Change (MSC) to present success stories and lessons learned supporting quantitative achievement of the project
National & Regional
MSC stories developed and discussed with the technical team for improvements where possible.
Dec 2020 – Jun 2021
Support external capacity building of USAID IUWASH PLUS partners (national & regional) on M&E Program Activities (based on request from USAID IUWASH PLUS Partners)
National & Regional
External capacity building for USAID IUWASH PLUS partners (national & regional) on M&E Program Activities conducted
Oct. 2020 – Dec 2021
Support Component 1 on implementation of participatory monitoring
National Updated data of hotspot sites (including expansion areas) as results of Participatory Monitoring and Evaluation uploaded in hotspot maps
Oct. 2020 – Dec 2021
Support the development of Final Report of USAID IUWASH PLUS Project
National & Regional
Final Report of USAID IUWASH PLUS Project developed and approved.
Dec 2021 – Jan 2022
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 17
3 APPROACH TO USAID IUWASH PLUS TASKS
3.1 INTRODUCTION
The following addresses USAID IUWASH PLUS’s approach to the implementation of each of the Project’s four (4) technical components and the USAID-SECO Partnership. Subsequent subsections provide an introduction of each of these and of the Project’s understanding of key issues; a description of each sub-component and of the Project’s approach to the implementation of sub-component activities; and tables for each sub-component detailing priority programs that will be pursued during PY5.
The PY5 approach to implementation—both project-wide and within the respective technical components—reflects the experiences, challenges, and lessons learned during previous program years. Traditionally, this has involved reviewing the program’s work both from the bottom-up (e.g. through households and communities) as well as the top-down (e.g. through institutional service providers, including local governments, water and wastewater utilities, as well as private sector partners). Owing to the unique nature of PY5 as the final year of USAID IUWASH PLUS, preparation of this year’s work plan has also focused attention on program close-out and, in keeping with the theme of ”Sustaining the Journey to Self-Reliance beyond USAID IUWASH PLUS”, on the need to ensure that program partners throughout the WASH Ecosystem are appropriately prepared to sustain its many successful initiatives following Project completion. In response, the Project will place much emphasis on the completion and dissemination of a wide variety of “legacy” products and the implementation of supporting events (such as trainings, workshops, conferences, etc.). To ensure these are as impactful as possible, the Project will continue to ensure the full integration of work across all areas of involvement, including both the four (4) technical components of USAID IUWASH PLUS and the USAID-SECO Partnership (see Exhibit 5 below for further information).
Aside from specific planned activities listed under each component and the USAID-SECO Partnership, areas of special emphasis will involve:
• Supporting uptake of approaches to meet the needs of the urban poor through:
⮚ Continued dissemination of innovative programming approaches such as community-based planning and promotional efforts in “Hot Spots”, participatory M&E, work with PDAMs to improve coverage among low-income communities, budget advocacy with LG partners, as well as many “signature” and other program initiatives;
⮚ Formally acknowledging (wherever possible and appropriate) LG accomplishments in meeting the needs of the urban poor—not only to highlight progress, but more importantly, to boost their commitment to maintain attention to this critical area.
• Responding to recent developments in the enabling environment that seek improved engagement of the private sector through:
⮚ Continuing to support national partners in the dissemination of information on WASH-related SDGs and targets which, among other areas, seek heightened participation by the private sector;
⮚ Strongly supporting the Financial Services Authority (OJK) in socializing WASH microfinance policies and support programs;
18 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
⮚ Continuing to assist the MOH in the revision and dissemination of new STBM policies which specifically seek to expand the role of the private sector in the provision of WASH services;
⮚ Working with national partners (including MOHA) to formalize their support of Smart Subsidy policies and renew commitments to achieving established Minimum Standard Services (MSS);
⮚ Continuing partnerships with private sector Corporate Social Responsibility (CSR) programs that support WASH sector development.
• Ensuring an appropriate handover and dissemination of information related to key technical topics which, among many others, include:
⮚ Performance-Based Grant (PBG) programming;
⮚ Non-Revenue Water (NRW) reduction;
⮚ Energy efficiency programing;
⮚ Water quality testing;
⮚ Waste water treatment plant (WWTP) design and construction;
⮚ Waste water operator development;
⮚ Water resource management (WRM) such as that related to spring vulnerability assessments, RPAM development, and the role of infiltration ponds;
⮚ Multiple finance, policy and citizen engagement activities;
⮚ Approaches for targeting and tracking urban poor access to WASH services;
⮚ A host of initiatives designed to improve understanding of and response to the role of gender in WASH programming.
• Maintaining a high degree of flexibility in response to on-going uncertainty caused by the COVID-19 pandemic which as previously described includes enhanced use of social media and digital meeting platforms, responding to the needs of partners as concerns their own COVID-19 response processes, etc.
Results from the above are expected to directly contribute to the PY5 theme of “Sustaining the Journey to Self-Reliance beyond USAID IUWASH PLUS” and ensuring that the program’s vision of inclusive, self-reliant WASH service provision will continue well-beyond Project completion. More specifically, the tasks outlined above and detailed in subsequent sections will directly contribute to the project’s High-Level Results by:
• Improving the ability of national GOI partners to continue the many successful approaches developed under the program;
• Increasing the capacity of LG partners to provide safely managed WASH services;
• Enhancing the involvement of the private sector in the provision of such services;
• Improving the ability of communities to sustainably practice improved WASH behaviors; and
• Putting into place a platform from which all partners can continue working together to independently undertake further improvements throughout the entirety of the urban WASH sector.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 19
As discussed earlier, successfully achieving this will require continued focus on ensuring a strong degree of integration and collaboration within and among USAID IUWASH PLUS technical components and the USAID-SECO Partnership. Exhibit 5 below provides an overview of how each of these areas of activity (as well as the LSIC) will continue to interact and support each other.
Exhibit 5. Collaboration within and among USAID IUWASH PLUS, the USAID-SECO Partnership and the LSIC.
Component / Sub-Component
Contribution of Components to Sub-Component Implementation
Comp 1 Comp 2 Comp 3 Comp 4 SECO LSIC
1: IMPROVING HOUSEHOLD WASH SERVICES
1.1: Community and household level stakeholders for Improving WASH Household Services.
Lead / Manage
Technical
Support
Technical Support
Lesson Capt. / Dissem.
Possible Support
Possible Support
1.2: Private sector stakeholders for Improving WASH Household Services
Lead / Manage
Technical Exchange
Technical Support
Technical Support
Possible Support
Possible Support
1.3: Government stakeholders for Improving WASH Household Services.
Lead / Manage
Technical
Support
Technical Support
Lesson Capt. / Dissem.
Probable Support
Technical Support
2: STRENGTHENING CITY AND DISTRICT WASH INSTITUTIONAL PERFORMANCE
2.1: Improve PDAM performance Technical Exchange
Lead / Manage
Technical Support
Lesson Capt. / Dissem.
Technical Support
Possible
Support
2.2: Develop and improve local sanitation unit performance
Technical Exchange
Lead / Manage
Technical Support
Lesson Capt. / Dissem.
Technical Exchange
Probable Support
2.3: Strengthen WASH enabling environment within LGs
Technical Support
Lead / Manage
Technical Support
Technical Support
Technical Support
Possible
Support
2.4: Assist LGs / instit. to improve protection, manage., alloc. of raw water resources
Technical Support
Lead / Manage
Technical Support
Technical Support
Technical Support
Probable Support
3: STRENGTHENING THE WASH FINANCING ENVIRONMENT
3.1: Facilitate a supportive enabling environment for WASH financing
Technical
Support
Technical Support
Lead / Manage
Technical Support
Technical Support
Possible Support
3.2: Facilitate increased access to finance for WASH
Technical
Support
Technical Support
Lead / Manage
Lesson Capt. / Dissem.
Technical Support
Possible
Support
3.3: Provide technical assistance to key financing facilities
Technical
Exchange
Technical Support
Lead / Manage
Lesson Capt. / Dissem.
Technical Support
Possible Support
3.4: Increase household access to finance for WASH services.
Technical
Support
Technical Exchange
Lead / Manage
Lesson Capt. / Dissem.
Possible Support
Probable Support
4: ADVANCING NATIONAL WASH ADVOCACY, COORDINATION, AND COMMUNICATION
4.1: Build capacity of national WASH coordination agencies
Technical Support
Technical Support
Technical Support
Lead / Manage
Technical Support
Probable Support
20 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Exhibit 5. Collaboration within and among USAID IUWASH PLUS, the USAID-SECO Partnership and the LSIC.
Component / Sub-Component
Contribution of Components to Sub-Component Implementation
Comp 1 Comp 2 Comp 3 Comp 4 SECO LSIC
4.2: Strengthen national-level WASH policy and regulatory environment
3: Capacity Building in other technical and non-technical areas
Possible Support
Technical Support
Technical Support
Lesson Capt. / Dissem.
Lead / Manage
Possible Support
LOCAL SUSTAINABILITY AND INNOVATION COMPONENT (LSIC)
LSIC Activity Implementation (through grants/subcontracts, award programs, co-design, etc.
Technical Support
Technical Support
Technical Support
Lead / Manage
Possible Support
Not Applicable
NOTES: 1. The columns show each targeted outcome and the broad contribution that each Component is expected to make in its
implementation. Cells are shaded purple, with darker shades indicating a greater degree of effort and leadership. 2. This is illustrative only as there may be important variations in the role of the various Components as concerns activities under
each Sub-Component (and which are described in later section of the Work Plan). 3. Contribution of Components to Sub-Component implementation include:
• Lead/Manage indicates overall responsibility for Sub-Component planning, coordination, implementation, and monitoring. • Technical Support refers to providing direct technical support that is key to Sub-Component success, such as work on
water system expansion under Component 2 that would directly benefit the ability of Component 1 to meet its targets. • Technical Exchange denotes regular sharing of information that informs programming across inter-related areas. • Lesson Capture/Dissemination refers to the process of distilling information on key processes, lessons learned and best
practices and further channeling that information in the most effective way to targeted audiences. • Possible Support or Probable Support indicates areas where the Project expects efforts under the LSIC to be applied in
PY4. 4. The “Lead / Manage” designation under the USAID-SECO Partnership is limited to that activity’s specific work areas.
The role and impact of the urban WASH ecosystem is most clearly visible in the daily lives of people at the household level. When government institutions support and enable service providers and private sector actors, households can access the reliable services they deserve. Households themselves, however, also play a critical role in the vitality of the ecosystem - households that actively adopt critical practices and behaviors will amplify the health benefits of improved services. As such, the USAID IUWASH PLUS approach is twofold: increase household demand while strengthening the capacity of private and public sector suppliers. This poor-inclusive approach will not only strengthen community capacity to participate in the demand creation process, but also
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amplifies the engagement between relevant decision makers to deliver better outcomes for the poor.
Within this optic, Component 1 is not a “stand alone” activity, but rather the front line of the overall project, ensuring that improvements promoted under other project components reach those in greatest need, while also informing those other components of specific needs and challenges encountered and of adjustments required to their own approaches along the way.
In the fifth year of the project (PY5), Component 1 will continue to address the barriers that impede increased B40 household access to and usage of WASH products and services as well as increasing the capacity of all stakeholders to further increase demand and supply of WASH services. As in PY4, this work plan for Component 1 is organized not by Sub-Component, but according to the different groups of stakeholders it targets, namely: communities and households; the private sector; and government partners. Importantly, and as the final year of USAID IUWASH PLUS implementation, a particular focus will be on ensuring the sustainability and continuation of key programming by the program’s many stakeholders
Key features of the Component 1 strategy in PY5 include:
• Continue scale-up Sanitation Marketing including activities related to WASH promotion, product and service development, financing (for both households and sanitation businesses), business development services (BDS) etc. Notably, this extends beyond work targeting the development of improved sanitation systems at the household level, but also includes local wastewater operators (such as UPTDs) that require marketing support in their operations as well.
• Continue support for the Ministry of Health (MOH) to better integrate urban considerations into its STBM approach through close involvement in project activities, institutional learning, policy development, capacity building and dissemination of STBM and “safely managed sanitation” policies.
• Disseminate the results of field work and guidelines to the GOI, LG partners and other relevant stakeholders, including strategy documents and other items, especially those related to serving B40 populations and sanitation marketing.
• Disseminate and advocate the use of BC promotional materials such as those developed in support of the Good Neighbor campaign (“Tetangga Panuntan”) and COVID-19 prevention to national GOI agencies, LG partners, private sector partners and other relevant stakeholders.
• Strengthen community involvement in the process of improving WASH services and behaviors through participatory approaches related to assessing conditions, designing interventions, developing relevant action plans, implementing activities, monitoring progress and, critically, advocating government and other relevant stakeholders to support in these activities.
• Better inform LG budgeting processes through community-based planning efforts, the promotion of Smart Subsidy policies that call for improved targeting of government grant and subsidy programs, as well as the promotion of CSR that can be used to fill gaps in LG resources.
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• Continue to support the development of Citizen Engagement Mechanisms (CEM) to improve the exchange of information and ideas between LGs and their constituencies.
3.2.1 KEY COMPONENT PARTNERSHIP
Exhibit 6 identifies key institutional partnerships necessary to the implementation of activities under Component 1 in PY5.
Exhibit 6: Key Component 1 Partnerships in PY5
Partner Summary of PY5 Engagement
BAPPENAS Continue to support the development of market-based sanitation (MBS), Smart Subsidy policies, citizen engagement mechanisms (CEM).
Ministry of Health Support MOH efforts to improve policies, standards, guidance and procedures related to the application of STBM in urban areas, in particular as concerns behavior change, MBS and COVID-19 prevention programming.
Other National Support Programs
Continue identifying and collaborating with other national-level support programs to assess their interest, availability and capacity to support Component 1 activities.
Other development programs
Engage with other development programs to review their interest in technical exchange related to WASH improvements for the urban poor and vulnerable, and develop a format for on-going collaboration and/or exchange (preferably under the umbrella of the MoH). Such programs may include those of Plan International, Wahana Visi Indonesia, SNV, SIMAVI, DFAT, Water.Org, UNICEF, etc. The latter will involve development of a nationwide campaign on hygiene behavior in support of safely-managed sanitation and the national coalition for HWWS.
Private Sector Engage with private sector partners to improve their knowledge of the WASH sector and related business opportunities. Private sector partners and areas of Project support include:
Sanitation businesses through the provision of technical assistance in product development (i.e. septic tank construction), business management, and promotion and marketing (at household, community as well as LG levels).
Finance providers, including MFIs, through the development of financial products for household-level WASH infrastructure and private businesses that provide related products and services.
Marketing and media/advertising companies by heightening their awareness of key WASH issues and opportunities and their active engagement in related behavior change and marketing efforts.
3.2.2 COMMUNITY AND HOUSEHOLD LEVEL STAKEHOLDERS
While important work is undertaken throughout USAID IUWASH PLUS, it is ultimately at the level of communities and households where WASH service improvements and changes in WASH behaviors will have genuine impact. This involves creating community and household demand for such improvements and changes, but also leading the private sector, government and other stakeholders to better meet needs at the community and household level, especially for the B40. In brief, and based on lessons learned from various programs implemented by the GOI and donors over the years, improvements in other areas are likely to have little impact or the prospect for sustainability without parallel engagement and support from communities and households. Key areas of focus among communities and households in PY4 include the following:
• Supporting the on-going expansion of work with “Hotspots” by LG partners, employing lessons learned from earlier years and, importantly, benefitting from the base of experience that has been developed among LG, community and private sector stakeholders.
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• Ensure dissemination of WASH BC and marketing support materials (videos and visual arts) including those related to the seven (7) WASH priority behaviors, the “Good Neighbor” campaign (or “Tetangga Panutan” which addresses open defecation free (ODF) targets, fecal sludge management, clean water access, and hygiene promotion), as well as messaging related to COVID-19 prevention.
• Continue to oversee social behavior change activities implemented by local community leaders and other promotion and marketing channels.
• Continue to facilitate Participatory M&E activities at the community-level that serve in advocacy efforts with LGs and other partners.
• Continue to provide capacity building and mentoring that respond to needs related to WASH promotion and communication channels at the local level (such as health center staff, sanitarians, community health volunteers, PKK members, etc.).
• Support communities in influencing LG budgeting processes through improved community-based M&E, planning and advocacy through the LG Musrenbang process.
• Ensure on-going communication and collaboration with other stakeholders, both internal and external, to ensure that efforts of all parties benefit from the work and insight gained by others.
Exhibit 7 below summarizes the PY5 activities that target community and household-level stakeholders.
Exhibit 7. Focal activities targeting community and household level stakeholders in PY5
Activity Location Output Timeline
Assist partner LGs in the implementation of Urban STBM activities in new locations which includes local stakeholder engagement, capacity building, participatory assessment, triggering, action planning, and participatory monitoring and evaluation).
Regional Community action plans Oct 20 – Aug 21
Expand the number of “Hotspots” targeted by LG partners
Regional New "Hotspots" receiving assistance
Oct 20 – March 21
Ensure dissemination of WASH promotion and marketing support materials re: priority behaviors identified in the Project's BC Strategy under the “Good Neighbor” (“Tetangga Panutan”) theme
National & Regional
Materials endorsed by GOI and available across targeted locations
Oct 20 – Sept 21
Support communities in influencing LG budgeting processes through improved community-based M&E, planning and advocacy.
Regional Increased LG support Oct 20 – Sept 21
Ensure on-going communication and collaboration with other stakeholders Regional
Improved involvement by private sector and LG stakeholders
Oct 20 – Sept 21
Oversee capacity building programs (training, etc.) for health center staff, community health volunteers, PKK members etc.
Regional WASH promoters and communication channels
Oct 19 – Aug 21
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3.2.3 PRIVATE SECTOR STAKEHOLDERS
While community, household and government support is key to establishing the overall enabling environment for improved availability of WASH products and services, enhanced market-based approaches through private sector actors is vital to long-term sector sustainability and growth. However, enhanced private sector participation in the WASH sector is often confronted by several key challenges. While there are many private sector actors that could play an important role in improving the availability of WASH products and services, many are unaware of opportunities in the nascent yet growing WASH market or lack the technical and business acumen to effectively participate therein. Moreover, and in many cases, important issues of affordability confront potential customers (especially among lower income groups). In response and to improve the ability of the private sector to enter the market and grow their WASH portfolios, key focus areas for PY5 include:
• Implementation of Sanitation Marketing programming to scale-up MBS approaches and which will include continued work in: market mapping and analysis; stakeholder engagement (with private sector, government and civil society actors); strategic planning focused on the development of marketing sales plans; and targeted technical assistance to stakeholders.
• Development of Market Segmentation for water and sanitation products to support market-based programming and ensure that approaches are likewise poor-inclusive.
• Facilitate and support the development of WASH product marketing tools that are based on the strategic planning above and which will be available for use by WASH businesses, including local WASH entrepreneurs and promoters, MFIs, and others involved in WASH product marketing.
• Provide capacity building support to WASH business actors, including that related to basic marketing (including digital marketing through social media), construction standards, data base management, financial management, etc.) in close collaboration with other components.
• Provision of Business Development Services (BDS) that serve as facilitators in the WASH value chain and strategic mentors for WASH business players, including local WASH entrepreneurs.
• Ensure on-going communication and collaboration with other stakeholders, both internal and external, to ensure that efforts of all parties benefit from the work and insight gained by others.
Exhibit 8. Focal activities targeting private sector stakeholders in PY5
Activity Location Output Timeline
Implementation of Sanitation Marketing Strategy
Regional Sanitation business inventory, market segmentation, marketing sales plan
Oct 20 – Sept 21
Development of WASH market segmentation in collaboration and coordination with LG and private sector partners
Regional Market segmentation for WASH product
Oct 20 – May 21
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Exhibit 8. Focal activities targeting private sector stakeholders in PY5
Activity Location Output Timeline
Development of guidance for promotion and businesses management for WASH Enterprises including WASH product marketing tools / toolkits for use by WASH entrepreneurs and promoters, MFIs, and others.
National WASH product marketing tool kit and tools
Oct 20 – Dec 20
Monitor WASH business performance (including product development and sales)
Regional WASH business performance (e.g. sales data)
Oct 20 – Oct 21
Strengthening linkage between WASH business actors and related stakeholders.
Regional Collaboration plan, collaborative work plan among stakeholder, business agreement, etc.
Oct 20 – Sept 21
Strengthen the delivery of BDS support such as through the provision of assistance to private sector partners in business plan development, technical training, financial management, performance monitoring, etc.
Regional BDS to strengthen WASH business chains
Oct 20 – Aug 21
Conduct National Meeting for BDS National Advocacy to the national BDS association and its membership to support the WASH sector
March 21
3.2.4 GOVERNMENT STAKEHOLDERS
Despite the critical roles that communities, households and the private sector play in service provision, WASH represents a set of services to which all people are entitled, and for which government is ultimately responsible either directly or through creating the enabling environment by which others can operate and succeed. This is especially critical in urban areas and most certainly among poor and vulnerable segments of the urban population whose WASH status is generally poor. The role of government is well-recognized within the design of USAID IUWASH PLUS which places a premium on its involvement at all levels. In the case of Component 1, this extends from national level policy development to WASH promotion at the community and household level. To support and strengthen national and local governmental partners, key focal areas for USAID IUWASH PLUS in PY5 involve:
• Continued support the MOH in the adoption and later dissemination of revised Urban STBM guidelines which will apply to the urban environment, in general, and urban poor and vulnerable populations, in particular. This will be undertaken in close concert with Component 2 and Component 4 and target improvements in policies, programming guidance, promotional materials, and institutional learning within the MOH and its flagship STBM program in particular.
• Continue to support LGs in the implementation of the Urban STBM approach through a series of activities from community entry to participatory assessment and triggering, mainly in areas outside of the program’s initial HotSpots and which are referred to as replication areas.
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• Assist LGs in integrating community action plans into local budgeting processes both as concerns APBD funding, as well as that related to Musrenbang processes.
• Support National and LG partners in strengthening the involvement of the private sector through the development of conducive policies (such as that related to microfinance, Smart Subsidies, etc.), the introduction of private sector actors to the WASH sector (including through Stakeholder Forums and other platforms for information exchange), and through facilitating the development of concrete businesses opportunities (especially at community and household levels).
• Support dialogue and advocacy through the development of new Citizen Engagement Mechanisms (CEM) in the WASH sector, in close coordination with Project Governance Specialists and through partnership with local print and electronic media, civic forums, and other platforms that promote two-way communications between LGs and the citizens they serve. Such mechanisms give voice to the aspirations of the public, while at the same time better inform LGs of the problems faced by their citizens, thus prompting them to become more responsive to their needs and concerns.
Exhibit 9. Focal activities targeting governmental stakeholders in PY5
Activity Location Output Timeline
Engage with the MOH and BAPPENAS to improve the adaptation of Urban STBM
National Clear Urban STBM implementation guidelines
Oct 20 – March 21
With the MOH, disseminate BC promotion materials (“Tetangga Panutan”) and Urban WASH promotion and marketing materials, including via a national campaign
National Updated promotion and marketing materials and
Oct 20 – Nov 21
Establish WASH citizen engagement mechanisms (CEM) through civic forums, media and other platforms to give voice to the aspirations of the public
Regional CEM formally adopted and supported by LGs.
Oct 20 – Oct 21
National review of WASH information and public relations mechanisms (CEM) used at the LG level
National SOP to develop WASH information center and public relation service
Oct 20 – July 21
3.3 COMPONENT 2: STRENGTHENING CITY AND DISTRICT WASH INSTITUTIONAL PERFORMANCE
WASH institutions at city and district levels are where policies, budgets, and national standards of the urban WASH ecosystem are translated into sustainable access to WASH services, be it piped water by PDAM, improved septic tanks, or septage collected and treated in fully functioning treatment plants by UPTD. In short, the LG level is where inclusive service delivery happens.
The IUWASH PLUS Component 2 team applies a demand-driven approach that establishes clear performance indices (for Water Supply, Sanitation and Governance) to not only provide project baselines, but also identify critical areas of performance improvement for PDAM, Waste Water Operators and Local Governments. This leads to a portfolio of targeted, mutually agreed-upon capacity-building measures built into service provider plans and budgets. During PY5, the results of
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the three performance indices (PDAM, Sanitation and Governance), which were developed in PY1 and used in PY2, PY3, and PY4, are one of the basic tools for prioritizing key activities to further improve PDAM, sanitation operator, and local government performance. The second priority in PY5 is to increase access to safe water and sanitation, measured by the high-level results (HR1 and HR2), including encouraging PDAM and LGs to increase WASH services to low income communities (B40). This is done through continuing promotion of the master meter program with the private sector (CSR), strengthening the role of PDAM in selecting suitable locations for Communal Water supply systems (SPAM -Komunal), and using GIS, customer data and surveys to channel funding from Local and National programs (Hibah, DAK, KOTAKU, etc.) to poor neighborhoods. To anticipate degradation of spring capacity, the water team is continuing promotion of spring vulnerability assessment and construction of infiltration ponds in locations that have already completed the assessment.
In the urban sanitation field, the focus in PY5 will remain on assisting LG in establishing strong local waste water operators, provide trainings and template SOP to manage (regular) septage collection (LLTT), improved operation of Sludge Treatment Plants (IPLT), as well as encouraging local governments in improving desludging services either non regular (LLTTT) or regular (LLTT). Regarding good governance, the aim in PY5 is to increase local government priority and budget in accommodating water and sanitation programs, such as budget for PMP of PDAM and budget allocation for community work plan (RKM). The governance team will also facilitate selected local governments to improve the status of sanitation operator from UPTD to BLU. The GIS team will provide direct support both to PDAM through the GIS mapping of their customers and network and the Sanitation sector through upscaling of septic tank surveys and establishing a MIS system for Waste Water operators. Where relevant, all this support will be captured through local, provincial national level communications events and campaigns (under Component 4).
The IUWASH PLUS Component 2 consists of four (4) sub-components and four (4) teams, which together are responsible for the successful implementation of all programs under Component 2 (as can be seen below in Exhibit 10) and provide all technical and institutional support to the other IUWASH PLUS Components 1, 3 and 4.
Exhibit 10. Composition of Component 2 teams with sub-components
4 Teams 4 Sub Components (2.1 – 2.4)
Water Supply 2.1 Improve PDAM Performance
2.4 Improve management of raw water resources / Water Safety Plans
Sanitation 2.2 Develop and improve Local Sanitation Unit (UPTD) performance
GIS / Spatial mapping Supports all sub-components and components 1, 3 and 4
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3.3.1 KEY TASK PARTNERSHIPS
Exhibit 11 identifies key institutional partnerships necessary for implementing priority programs in PY5 under Component 2.
Exhibit 11. Key Component 2 Partnerships for PY5
Partner Summary of PY5 Engagement
BAPPENAS Support implementation of National WASH planning and policies, especially related to Universal Access (100 – 0 – 100) and SDG target of Water Supply and Sanitation, Water Safety planning and Safely Managed Sanitation services / FSM framework
MPWH/ Direktorat Air Minum (National and Provincial)
Collaboration on Water Supply activities in IUWASH PLUS target areas, including capacity building, financing (APBN Hibah, PBG, PerPres, APBN), project preparation (with Provincial SATKER) and regionalization water supply
MOHA Collaboration on promotion and implementation of Minimum Service Standards (SPM) as a basis for Universal Access, establishing waste water operator (UPTD)
PERPAMSI and AKATIRTA (Akademi Tirta Wiyata)
Collaboration on capacity building to improve performance of PDAMs
Collaboration on Water Safety planning through water quality and quantity measurement training for selected local governments
PDAMs, PD PAL and Sanitation Units (UPTD)
Support improvement and expansion of clean Water supply and Sanitation service at local level, especially to the poorest 40% by wealth.
World Bank, DFAT / KIAT, JICA, USDP, ADB, UNICEF and other donors
Close collaboration on coordination and development of Urban WASH programs
Performance Based Grant on NRW reduction/EE with World Bank, KIAT
Promotion of improved Septage Management (FSM) with UNICEF, ADB, etc.
Supporting City-wide Sanitation with JICA, World Bank, ADB and others
SECO (Swiss Secretariat for Economic Affairs)
Joint collaboration in NRW and EE program in Central and West Java (for details, see in separate section of this workplan
3.3.2 SUB-COMPONENT 2.1: IMPROVE PDAM PERFORMANCE
One of the primary objectives of IUWASH PLUS is to increase access to improved water supply for 1,100,000 people (220,000 households), of which 50% are from the bottom 40% of the population. The main programs to achieve this are through providing extensive technical support to local water utilities (PDAMs), focusing not only on improving the internal operational performance (technical, financial and institutional), but also on stimulating external factors like good governance; improving water quality through water safety planning, safeguarding raw water supply (through KKMA and regionalization of raw water sources) and mobilizing additional financing for sustainable expansion of services (including PPP).
In addition to these programs which are divided over Component 2 (2.1 on PDAM Performance, 2.3 on Good Governance and 2.4 on Water Safety Plans) and Component 3 (WASH financing), the program especially promotes increased access to clean water to poor households through Master Meters, water hibah, community systems, Microfinance Output Based Aid, CSR, etc. in close collaboration with Component 1 and Component 4.
The priority in PY5 is to increase access of water supply for B40 to achieve HR1.b target and increase PDAM Index in all locations, which means that the activities of the water team will focus on higher index score combined with increased (piped) water access by B40 community. All these
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efforts are done in a collaborative effort with other IUWASH PLUS components and other parties to attract additional budget allocation from various sources, including local and National Government, PDAM, communities and CSR. The Water team finally also supports GoI in acceleration of safely managed water supply in sustainable manner to achieve SDG target and RPJMN 2020-2024.
Four potential mechanisms were identified which can increase water supply access of B40: (1) water hibah APBN and DAK, (2) PDAM regular connection through micro credit and discount program, (3) SPAM Komunal through DAK, APBD, and KOTAKU, and (4) Master Meter through DAK, APBD, CSR. These four have different mechanisms and focus but can be combined in specific locations (hotspot or non-hotspot). The strategy to increase water access for B40 is shown in the exhibit below.
Exhibit 12. Strategy to increase water access for B40
As can be seen in the exhibit above, one of the critical success factors for achieving the ambitious B40 water access target is close collaboration and synergy between all component of IUWASH PLUS. In addition to this bundling of effort across all components, the results in PY3 and PY4 have shown that the most promising outcome for increasing B40 water access is the Water Hibah program, which therefore becomes the main focus of PY5. Responsibilities of all components is shown in the exhibit below.
Exhibit 13. Responsibilities of related components
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The following list summarizes the main programs, which for the most part were started under PY 4 and will be continued in PY5 under Subcomponent 2.1:
• Support PDAM Performance Index. Support Regional teams in updating and analyzing of PDAM Index (for PY4) and sharing results with local and national partners (Bappenas, PUPR).
• Support PDAM Capacity building. Support events by PUPR (GIS mapping, NRW reduction, Energy Efficiency, Water treatment plant design, O & M, financial accounting systems, etc.).
• Continue to support NUWAS program. IUWASH PLUS, MPWH, the World Bank, SECO and, if possible, other donor agencies (KIAT, etc.) will continue to work together to introduce the NUWAS program to selected PDAMs, resulting in multi-year plans with focus on providing Performance Based Grants for PDAMS who are ready and committed to reduction of NRW and increasing Energy Efficiency.
• Continue to promote use of GIS and web-based customer mapping. IUWASH PLUS will support SPAM Komunal for adopting SOP for GIS spatial data, supporting PDAM Kota and Kabupaten Bogor in development of GIS for piping network, and promoting web-based GIS for selected PDAM (including some under the SECO program).
• Support poor-inclusive programs for clean water. In PY5, the effort to connect more low-income communities will be increased, including advocacy for CSR to support construction of master meters in Medan, including PDAM in the decision making and oversight on communal water systems programs (KOTAKU) and, with Component 1, promote LG and PDAM to increase access to piped connections to poor households (Hibah, Kotaku, APBD).
• Supporting PPP program. The Component 2 Water Team continues providing technical support for the Component 3 team on preparing PDAM for Public Private Partnership program in Kabupaten Bogor to build a new 150 LPS water treatment plant. Exhibit 14 below summarizes the PY 5 activities under Subcomponent 2.1.
• Support pilot of RPAM (water safety plan) in 3 PDAMs (Kota Salatiga, Kab. Sidoarjo, and Kota Makassar. To increase awareness of PDAM in ensuring quality of water being distributed to customers, USAID IUWASH PLUS conducts pilot of RPAM implementation in 3 PDAMs as the continuation of the previous RPAM program review conducted in PY2, PY3, PY4, which resulted in the adjustment of concept and approach.
Exhibit 14. Subcomponent 2.1 Priority Programs for PY 5
Activity Location Output Timeline
PDAM Performance Index review and facilitating LG for sustainability of the index
Regional
&
National
PY 5 data (Dec 21) collected and verified
Plan to continue using the index subsequent to IUWASH PLUS
Dec 21
Feb – Mar 21
Collaboration with MPWH, Akatirta Wiyata and the World Bank to support PDAM Performance Based Grant programs on NRW reduction (5 PDAM) and Energy efficiency (4 PDAM)
National
Regional
Water Balance – EE Audit, NRW-EE priority Program, and Cost-Benefit Analysis, FS Document completed
Oct 20 –Sept 21
Finding an Effective Approach and Incentive to Increase Water Access for B40
National
Regional
Detailed study (under LSIC) on increase B40 water access by PDAM / LG, including recommendations for follow-on work completed
Oct 20 - Feb 21
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Exhibit 14. Subcomponent 2.1 Priority Programs for PY 5
Activity Location Output Timeline
Development of GIS Operational SOPs for sustainable development of SPAM and facilitating GIS devt of PDAM Kota Bogor, Kab. Bogor
National Regional
Document SOP of Collecting and Updating Data GIS completed
Oct 20 - Mar 21
Installation of web-based GIS / mapping customer relationship application
National Regional
The application is installed and utilized by PDAM
Oct 20 – Mar 21
Support Review Business Plan (Medan, Sibolga, Makassar, Ternate, Kota Probolinggo)
Regional Business Plan of PDAM reviewed and agreed
Oct 20 – Jun 21
Support, monitor and supervise program Water Hibah (PUPR): Karawang, Wonosobo, Sragen, Sukoharjo, Surakarta, Gresik, Sidoarjo, Kab Probolinggo, Lumajang, Barru, Bantaeng, Maluku Tengah, Bulukumba, Medan, Deliserdang, Pematangsiantar, Tebing (DAK)
Regional Training M-Water, Socialization, Mapping and Baseline, and Readiness Criteria
Jan 20 - Apr 20
Technical support to regional programs on Master Meter Medan and Surakarta and non-PDAM piped water access SPAM Komunal (Bekasi, Bogor, Depok, Tangerang, Wonosobo, Sidoarjo, Gresik, Kab. Probolinggo, Lumajang, Kab. Malang, Deli Serdang, Sibolga, Ternate, Jayapura)
Regional TA to support expansion of non-PDAM systems identified and completed with additional systems constructed and operated by Community groups.
Oct 20 – Aug 21
Continue collaboration with National Stakeholders on improving coordination and implementation of Water Safety Planning in Indonesia on implementing the RPAM pilot project implementation in 3 site locations: Kota Makassar, Kota Sibolga and Kab. Sidoarjo
National RPAM implemented in PDAM Oct 20 – Jun 21
3.3.3 SUB-COMPONENT 2.2: DEVELOP AND IMPROVE LOCAL SANITATION UNIT PERFORMANCE
Achieving safely managed sanitation for all is one of the biggest challenges for Indonesia, with data from Bappenas showing that in 2018, 74.58% of households have improved access, but only 7.5% is safely managed, 16% unimproved, and 9.4% still practice open defecation. In line with GoI concern, IUWASH PLUS in PY5 continues to promote safely managed sanitation access through various activities such as: establishment of sanitation management units (mostly UPTDs) combined with introducing improved FSM (Fecal Sludge Management); priorities on improved FSM cover the expansion of scheduled desludging (Layanan Lumpur Tinja Terjadwal or LLTT) and technical training on improved O & M as well as review and designs of Septage Treatment Plants (Instalasi Pengelolaan Lumpur Tinja or IPLT). All these programs continue in PY5, especially the further expansion and mainstreaming of LLTT, formalizing the current un-scheduled desludging, strengthening the regulatory framework for Waste Water Management, building formal relations between waste water operators and the private sector (for desludging septic tanks) and further improving designs and operation of IPLT. In addition to these largely institutional programs, the Component 2 Sanitation team continues to support upgrading septic tanks, on site sludge dewatering technology, and assessment of desludging services synergy among local government and private sector actors within IUWASH PLUS target areas (through LSIC).
The sanitation team has mapped out all partner LG based on their readiness in implementing safely managed sanitation, following four key criteria to be fulfilled: (a) established operator; (b) regulation
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of domestic waste water and desludging service tariff; (c) customer data base, and (4) functional septage treatment plant (IPLT). As shown in the Exhibit 15 (below), there are 21 LGs on step 4 of the sanitation ladder, meaning they are ready for LLTT implementation, while 3 LGs are on step 3, meaning still in process of fulfilling the requirements, but could start also with services. The sanitation team will focus to support those LGS in steps 3 and 4 of this ladder to implement desludging services with providing capacity building to the operator in septic tank survey, promotion, SOP training, as well as GIS and MIS training.
Exhibit 15. Local government mapping of FSM implementation readiness
The following list summarizes the main programs which will be implemented in PY5, which are for the main part continuation of programs started earlier, aiming to increase access to safely managed sanitation as required under the high-level result (HR 2), as well as mobilizing increased financial resources, increase operator capacities as well as adoption of Waste Water regulations.
• Support Sanitation Index. Support Regional teams in updating and analyzing the Sanitation Index (for PY4) and sharing results with local and national partners (Bappenas, PUPR, etc.). IUWASH PLUS will facilitate a workshop in LGs to encourage them in continuing the utilization of index for WASH performance monitoring.
• Collaboration with MPWH, Bappenas, MOHA, donors, and others on improved urban sanitation programs including establishment of WW operators and regulatory framework; formulation of PDAM as WW operator; IPLT design review, and participation in FSM6 international conference.
• Continue support specific LG to develop sanitation roadmaps that lay out targets, responsibilities of Waste Water operator, budgets and staffing needs, necessary policies (e.g. tariff policies) as well as using MIS / GIS systems for desludging services, and where possible, introduce the concept of City-Wide Inclusive Sanitation (CWIS).
• Further support strengthening of FORKALIM as National Waste Water Association. This includes, under the LSIC fund, implementing a National FSM twinning program and general advocacy for the crucial role of FORKALIM in Waste Water in Indonesia.
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• Support Fecal Sludge Management International Conference (FSM6) through supporting organizing committee consisting of PD PAL, FORKALIM, GoI and other stakeholders with development of an attractive Hybrid (physical and online) program. FSM6 will showcase the FSM achievements in Indonesia, in particular under USAID IUWASH PLUS. Component 2 will also provide support to the fieldtrips to PD PAL and UPTD Bekasi and our local partners with participating in FSM6, both physical as well as through online platforms
• Continue supporting expansion of septage collection, through formal collaboration of UPTD with the private sector in four IUWASH PLUS locations, under the LSIC program.
• Continue supporting UPTD in facilitation of development of SOPs, addressing a variety of Technical and Administration topics to further strengthen management capacity of Waste Water Operators (UPTD and PD).
• Support UPTD on updating MIS and GIS for desludging services, including introduction, application, and monitoring Android-based application for septic tank survey.
• Support enhancing selected UPTD (Bekasi, Gresik, Makassar) in transformation to BLUD.
The exhibit below summarizes the PY5 activities under Subcomponent 2.2.
Exhibit 16. Subcomponent 2.2 Main Programs for PY5
Activity Location Output Timeline
Sanitation Performance Index review (collection, verification, reporting)
and share results with National partners, and facilitation of LGs in adopting the index for sanitation performance monitoring
Regional
National
PY 5 data (Dec 21) collected and verified
Results shared with GoI
Feb – Dec 21
Collaboration with MPWH, Bappenas, donors, etc. on coordinating improved urban sanitation
National
Regular meetings joined activities with clear action plans
Oct 20 – Dec 21
Support MPWH in formulation of PDAM to manage domestic waste water
National
Regional
Issues and recommendation identified
Oct 20 – Feb 21
Support all Regions with implementation of sanitation improvement programs (including establish UPTD, SOP, roadmap, IPLT review, DED, LLTT, MIS)
Regional Implementation of agreed workplans
Oct 20 – Dec 21
Update Flipchart SPALD National Flipchart updated Dec 20 – Mar 21
Develop Pocket Book LLTT National Pocket book LLTT developed
Dec 20 - June 21
Support Capacity Building for FORKALIM as National Waste Water Association, including implementation National Twinning program
National
Website operational, twinning program ongoing
Oct 20 - Sep 21
Support FSM6 (31 May – 4 June 2021) National & Regional
Support organizing of FSM6 and IUWASH PLUS local partners
Oct 20 – June 21
Support LSIC programs in Sanitation (upgrade septic tanks, private engagement in desludging services, sludge dewatering
All regions Technical Assistance provided for regional LSIC programs
Oct 20- Augr21
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Exhibit 16. Subcomponent 2.2 Main Programs for PY5
Activity Location Output Timeline technology, inter regional desludging services synergy)
Support three UPTDs (Bekasi, Makassar, Gresik) in transformation process to BLUD
National
Regional
Technical assistance provided in preparation of Ranperda or Ranperkada
Jan- Dec 21
3.3.4 SUB-COMPONENT 2.3: STRENGTHEN WASH ENABLING ENVIRONMENT WITHIN LGS
In decentralized Indonesia, LGs bear the principal responsibility for WASH service delivery. The quality of these services is directly linked to the active engagement of local decision makers and politicians from the outset of the program, with the aim to obtain more support for increased WASH service, especially for the poorer population. After mapping the local enabling environment in each IUWASH PLUS location during PY1, combined with an inventory of the gap in WASH regulations for each city, during PY2, PY3, and PY4 a total of 61 new or revised priority WASH regulations (PERDA, PERKADA) or formal contracts between Waste Water Operators and private sector (on septage collection) were completed.
This work will continue and be expanded in PY5 to support additional regulations with:
a) Water team for PMP PDAM, KKMA, Business Plan, Tariff Adjustment,
b) Sanitation team for management of Domestic Waste Water (ALD), formation of waste Water operator, private partnership, and L2T2,
c) Component 1 team on STBM, community engagement and pro-poor service provision
d) National gender team on gender mainstreaming, including PPRG.
The following list summarizes the main governance programs to be implemented in PY4:
• Support Governance Index. Support Regional teams in updating and analyzing the Governance Index (for PY4), promoting continuation of index monitoring, and sharing results with local and national partners (Bappenas, PUPR).
• Support lessons learned on WASH regulation (especially related to Waste Water management) and the direct link to increase access of water and sanitation.
• Advocacy for increased WASH resources, through identification of both the WASH budget requirement and the opportunities to mobilize funding from local (APBD) or National (APBN) budgets, and link with specific technical support.
• Facilitate critical new and/or revised WASH policies by assisting local stakeholders in drafting or revising WASH policies, such as local regulation on Waste Water Management in Kota Malang, legal review of water resources sharing between local governments in NSRO, legal drafting on domestic wastewater management and tariff for desludging services in Kab. Maluku Tengah.
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Challenging Issues on the 2020 APBD and the 2020 Regional Head Elections
APBD-2020
The COVID-19 pandemic impacted the implementation of APBD allocation, especially WASH budget. During the COVID-19 pandemic, the local government issued several policies:
1. Law No.1/2020 concerning State Financial Policy and Financial System Stability for handling COVID-19.
2. Presidential Regulation No. 54 of 2020 concerning Posture Changes and Details of 2020 State Budget.
3. SKB Ministry of Home Affairs and Ministry of Finance No. 119/2813 / SJ and No. 177 / KMK.07 / 2020 regarding the Acceleration of Adjustment of the 2020 Regional Budget in the context of handling COVID-19 and safeguarding the purchasing power of the people and the national economy.
a. Regional Heads make adjustments to regional revenue targets in the APBD, through a) adjustments to regional income transfers and Village funds, and b) adjustments to PAD by taking into account potential regional taxes and retributions.
b. Regional Heads make adjustments to Regional Expenditures, through a) rationalizing personnel expenditures, b) rationalizing goods/services expenditures by at least 50% by reducing expenditure budgets, and c) reducing expenditure budget by 50%.
c. The difference in the adjusted budget is used to fund a) spending on health, b) providing social safety nets, and c) handling economic impacts.
d. The Regional Head prioritizes the use of budgets and methods of implementing activities and budgets through, a) reallocating the use of honoraria, social assistance, and grants to community groups to be converted into social assistance budgets for the poor / MBR, b) there is no overlap with the central government, and c) application of labor-intensive patterns.
e. The time for submitting adjusted APBD reports is no later than two weeks after April 9, 2020. The postponement of distributing DAU and/or Profit Sharing Funds is carried out until the regional head submits APBD adjustment report to Minister of Finance and the Minister of Home Affairs.
From the information above, most local governments made adjustments to their APBD. However, the impact can be seen later in the 2020 APBD Realization Report, which will be compiled at the end of December 2020. The impact of the COVID-19 pandemic will be reported in the next QPR or APR.
Regional Head Elections-2020
In the near future, Indonesia will conduct Regional Head Elections, including several districts / cities in the USAID-IUWASH PLUS working area. These areas are:
• 2 in WJDT : Depok, Karawang
• 5 in CJRO : Surakarta, Magelang, Wonosobo, Sragen, Sukoharjo
• 4 in EJRO : Sidoarjo, Kab. Malang, Gresik, Surabaya
36 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
• 3 in NSRO : Medan, Pematangsiantar, Sibolga
• 3 in SSEI : Barru, Bulukumba, Makassar
Dates that require attention include:
• 22 Nov – 5 Dec 2020 : Campaign through mass media, print and electronic
• 6 – 8 Dec 2020 : Quiet period and cleaning of campaign props
• 9 Dec 2020 : Voting and Counting of Votes at TPS
Local election activities will use Election Activity Grant Expenditure, where APBD will be channeled to election committee (KPU and /or BAWASLU). The election events should be considered in planning the activity in local government due to timing and budget that rely on APBD allocation.
Exhibit 17 summarizes the principle activities envisioned for Subcomponent 2.3 during PY5:
Exhibit 17: Subcomponent 2.3 Main Governance Programs for PY5
Activity Location Output Timeline
Updating and Monitoring Go-Dex (including 3 Kab/Kota IUWASH PLUS new area)
Regional PY5 data (Sept Dec21) collected and verified
Dec 2021
Serial events with Ministries PUPR, Finance and Home Affairs on national policy for WASH and SPM
National
Regional
Joint activities with clear roles & responsibilities for each party; regular coordination meetings and regulation / policy of Tariff Retribution
Feb – July 21
Analyses of minimum regulation on LLTT
National Document and Lessons Learned Oct 20 – Mar 21
Analyses of Indices Regional Lessons learned Oct 20 – Nov 20
Facilitation of operator transformation from UPTD to BLUD in Makassar, Gresik, and Bekasi
National Regional
LG assessment team established
Legal draft of BLUD formation accepted by local stakeholder
Jan – Dec 21
Acceleration of the target outcome on Planning and Budgeting Documents (RPJMD/RKP/RAD/Roadmap/SPM)
Regional Target Outcomes achieved Nov 20 – Sep 21
Support Regional teams in Advocacy on increasing APBD for WASH through Pokja AMPL
Regional WASH Budget Commitment in APBD Nov 20 – Nov 21
Support SUPD II MoHA on piloting SPM implementation
National, regional
Guideline for SPM< implementation tested and finalized
Oct 20 – Nov 21
3.3.5 SUB-COMPONENT 2.4: ASSIST LGS AND INSTITUTIONS TO IMPROVE THE PROTECTION, MANAGEMENT, AND ALLOCATION OF RAW WATER RESOURCES
In most of Indonesia, the availability of raw water for domestic use is already at crisis level, due to a combination of land-use change, urbanization, and extreme weather conditions, making it critical for USAID IUWASH PLUS to support the GOI with the right tools to assess the factors that contribute to the degradation of raw water sources, especially from groundwater. USAID IUWASH PLUS supports several Kota/Kabupaten in conducting spring vulnerability assessment and develop action
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 37
plan to revive the ground water, namely KKMA RA. This initiative is expected to help PDAM in securing the raw water that is critical to improve services, including for the poor and vulnerable.
Continuing PY4 achievement of KKMA RA document, IUWASH PLUS will continue to facilitate 16 LGs in capacity building of KKMA RA and implementation of infiltration pond construction.
Parallel with these activities at local level, IUWASH PLUS will also facilitate key national stakeholders (KLHK and Kemendes) to adopt spring protection program through development of infiltration pond in their program. A list of water resources related activities can be seen in exhibit 15.
The exhibit below describes the principle activities envisioned for Subcomponent 2.4 during PY-5:
Exhibit 18. Subcomponent 2.4 Main Programs for PY5
Activity Location Output Timeline
Baseline collection WQQ in 7 locations (Kota Malang, Kab. Probolinggo, Kab. Lumajang, Kota Siantar, Kota Medan, Kab. Bantaeng, Kab. Bulukumba)
National Regional
WQQ data series collected Oct 20 - Mar21
National Support on infiltration pond scaling up with Kemendes and KLHK
National Regional
Infiltration pond program adopted by Kemendes and KLHK
Nov 20– Nov 21
Continue LSIC CB for RPAM pilot in 3 PDAMs, LSIC CB and pilot project for infiltration pond in 8 LGs
National Regional
RPAM concept implemented in 3 PDAMs
Oct 20 - Jun 21
Continue capacity building and pilot project for infiltration pond in Bantaeng Bulukumba, Pematang Siantar, and Medan
National Regional
Local team has capacity in infiltration pond replication and building 15 Infiltration Ponds in each location
Oct 20 - Feb21
Continue FS water resource of Barongbong Makassar
Regional FS agreed by stakeholder Oct 20 -Dec20
Progress Monitoring KKMA Document and Action Plan in Pematangsiantar (Nagahuta) and Medan (Sibolangit)
National Regional
Monitoring and Action Planning completed
Oct 20 – Mar 21
Monitoring KKMA and Infiltration pond program National Regional
Monitoring completed Apr – Nov 21
3.4 COMPONENT 3: STRENGTHENING THE WASH FINANCING ENVIRONMENT
The Government of Indonesia’s (GOI’s) national medium-term development plan (Rencana Pembangunan Jangka Menengah Nasional, or RPJMN of 2020-2024) has set the target of service coverage of 90% basic access to water and 90% basic access to sanitation that include 15% safely managed access to water and sanitation respectively by 2024. To realize the target, the GOI requires Rp. 123.4 trillion for the water sector, Rp.139.2 trillion for sanitation development and others that include the solid waste and behavior change programs amounting to Rp. 133.70 trillion or total investment costs required to achieve the target of 2024 for the sectors is Rp. 396.3 trillion (Bappenas presentation: February 2020). At the same time, however, the national budget can cover less than the total cost of the investment required, of which approximately 35% will come from private participation. The inherent limitation of public funds means that the GOI and local
38 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
government-owned service providers must seek alternative sources of financing to complement and leverage their own investments, tapping the private sector and households themselves to help finance the expansion of WASH services. At the same time, the GOI must also work closely with local government themselves to ensure that the impact of public funds is maximized in the form of sustainable water and sanitation services.
USAID IUWASH PLUS supports the GOI in the above efforts through targeted assistance at the national and local levels, which aims to improve WASH financing policies and regulations, and maximize the use and effectiveness of national and local government budgets. At the local level, USAID IUWASH PLUS will support to increase private sector investment in WASH services; improve the financial management capacity and performance of local WASH institutions; and improve the ability of B40 households to access WASH improvements such as through microfinance.
During Program Year 5, USAID IUWASH PLUS will continue to support the GOI in the above areas with a particular focus on the following:
• Support PDAMs and local governments to engage with potential investment sources, to include public and private sources of capital to finance the WASH infrastructure projects. This will involve supporting local government offices in accessing central government funds (such as the DAK and grant (or “hibah”) sources. In addition, this will include assisting PDAM in engaging the private sector to develop new water treatment plants such as in Ciawi (Kabupaten Bogor, West Java); and assist PDAM Kota Makassar, South Sulawesi to access the provincial financing source to build a new treatment plant in Barombong area. Additionally, the team will continue to support PDAM Kabupaten Malang, East Java to seek potential fund sources from both private and government to finance a new water supply project in South Malang. In the sanitation sector, the USAID IUWASH PLUS activities will further involve supporting local wastewater operators (e.g. UPTDs and PDAM) in accessing private sector participation in septage collection and transport such as in Medan, Deli Serdang, Tangerang, Depok, Surakarta, Sragen, Lumajang and Kota Jayapura.
• Facilitate the GOI in improving financial regulations such as those related to: the development of ministerial regulation under Ministry of Public Works and Housing (MPWH) and SK Dirjen Cipta Karya for recommendation and evaluation of the water supply project being financed by the subsidized loan and guarantee provided by central government as regulated by President Regulation (PERPRES) 46/2019.
• Assist the national wastewater service provider association, FORKALIM, which will work with the Coordinating Minister for Economy (KEMENKO BIDANG PEREKONOMIAN RI) to undertake development of Government Regulation of wastewater services and tariffs to have an exemption from the application of Value Added Taxes (VAT or “PPN”).
• Increase the GOI capacity in WASH financing, to target a range of relevant GOI ministries and agencies.
• Support the national financing facility for water utilities. This will involve facilitating the state-owned infrastructure investment company (PT Sarana Multi Infrastruktur or PT SMI) in evaluating the water supply project’s feasibility studies being financed by PT SMI; also increasing the capacity of the staff on water sector knowledge.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 39
• Assist the Financial Service Authority (Otoritas Jasa Keuangan or OJK) and related partners in developing policies and regulations as concerns the use of microfinance for household-level WASH services.
• Support to the State Ministry of Cooperatives and Small and Medium Enterprises to establish the regulation and recommendation of the WASH microfinance for the microfinance institutions such as the cooperative in local level.
• Support local Microfinance Institutes (MFIs) in the development of specific WASH-related programs and products, thereby assisting B40 household in overcoming critically important issues of affordability
3.4.1 KEY TASK PARTNERSHIPS
Exhibit 19 below presents key national and local level partnerships that will be supported by Component 3 in the coming project year, as well as some details regarding the specific areas of collaboration. Prominent among these include: BAPPENAS, Ministry of Public Works and Housing and financial service of OJK, FORKALIM, PT SMI, and multiple PDAMs and UPTDs.
Exhibit 19. Key Partnership for Water and Sanitation Financing Program in PY5
Partners Summary of PY5 Engagement
BAPPENAS Develop WASH microfinance regulations and products to support improved B40 access for water supply and sanitation services.
Facilitate WASH financing training to increase the capacity of BAPPENAS staff.
Financial Service Authority – OJK
Issue a regulation pertaining to WASH microfinance products, which will serve as a national reference for microfinance institutions and the banking sector.
State minister of Cooperatives Small and Medium Enterprises
Issue a regulation and recommendation to the microfinance institution, i.e. cooperative to develop and provide WASH microfinance products.
Ministry of Public Works
Support the development of ministerial regulation for recommendation and evaluation of the water supply project being financed by subsidized loan and guarantee provided by GOI under the PERPRES 46/2019;
Facilitate WASH finance training to increase the capacity of MOPW staff.
PT SMI Support in evaluation of water supply project being financed by PT SMI.;
Facilitate WASH finance training to increase the capacity of PT SMI.
FORKALIM Assist in the development of government regulation on wastewater tariff to be an exemption from VAT. The process of development will be coordinated by the Coordinating Minister for Economy (KEMENKO BIDANG PEREKONOMIAN RI).
PDAM Support private sector involvement in the development of new water treatment plant in Ciawi (150 lps) of PDAM Kabupaten Bogor and assist PDAM Makassar to access provincial source of fund to finance the Barombong project; PDAM Kabupaten Malang to build a new treatment plant being financed by LG and if possible private sector funds.
Microfinance for water, supporting MFI and PDAM to provide water microfinance of water connection fee
Local Government Support local government institutions (in particular, UPTDs) in their engagement with the private sector as concerns the provision of septage collection and transport in Kabupaten Deli Serdang, Tangerang, Depok, Lumajang and other places as much as possible.
Support MFI at local level to provide sanitation micro credit.
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3.4.2 SUB-COMPONENT 3.1: FACILITATE A SUPPORTIVE ENABLING ENVIRONMENT FOR WASH FINANCING
When seeking to boost funding to the water and sanitation sector, it is important to look beyond the realization of individual investment transactions to the strengthening of the broader urban WASH ecosystem. Towards this end, USAID IUWASH PLUS grounds technical assistance to individual investments in transformative change to the WASH financing enabling environment by: (1) building institutional awareness amongst WASH actors; (2) supporting clear policies and regulations that help make financing available at the right place and time; and (3) monitoring financial flows to bolster transparency and accountability in the WASH sector. In program year 5, USAID IUWASH PLUS highlights specific activities of this enabling environment, which include:
Building off efforts of previous years, concluding work for the development of a national WASH microfinance policy with Bappenas, OJK and Ministry of cooperative and SME; facilitate the development of MOPW regulation and SK DIRJEN Cipta Karya of recommendation and evaluation of the water supply project being financed by subsidized loan and guarantee provided by GOI under PERPRES 46/2019; support a government regulation development of wastewater services to exempt from VAT; and work with all associated local governments in updating and analyzing their WASH sector budget allocations. These activities are further set forth in the following exhibit.
Exhibit 20. PY5 Activities to Strengthen the Enabling Environment for WASH Financing
Activity Location Output Timeline
Develop the SOP to compliment the toolkit as part of material for OJK recommendation of WASH microfinance
National SOP of WASH microfinance completed
Oct 2020 – Dec 2020
Develop the policy paper of WASH microfinance to support the regulation of WASH microfinance
National Policy paper for WASH microfinance regulation
Oct 2020 – Dec 2020
Support to OJK and Bappenas for WASH Microfinance Regulation development
National WASH microfinance regulations issued,
Oct 2020 – Sep 2021
Support to State minister of Cooperatives Small and Medium Enterprises for WASH microfinance being provided by cooperative
National WASH microfinance regulation for cooperative
Oct 2020 – Sep 2021
Support to MOPWH to develop ministerial regulation and SK DIRJEN Cipta Karya for recommendation and evaluation of water supply project being financed by PERPRES 46/2019
National MOPWH regulation and SK DIRJEN Cipta Karya issued
Oct 2020 – Dec 2020
Analysis of APBD 2020 realization/spending compared to the budget (APBD 2020)
Regional Analysis for COVID 19 impact to the local budget-spending year 2020.
Feb. 2021 – March 2021
Update APBD WASH Tracking Tool for 2021 local budgets.
Regional Analysis of annual incremental local budget allocation for WASH to inform advocacy
Feb. 2021 - Jun. 2021
Facilitate the development of government regulation of VAT exemption for waste water and service
National Regulation of VAT exemption for wastewater tariff and service is completed.
Oct 2020 to Sep 2021
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 41
3.4.3 SUB-COMPONENT 3.2: FACILITATE INCREASED ACCESS TO CAPITAL EXPENDITURE FINANCE FOR WASH
The second sub-component centers on the interaction between IUWASH PLUS-supported local government offices and water utilities to facilitate access to capital expenditure (CapEx) financing through a multitude of channels, including central government and local government funds, private partnerships (PPPs), business to business models (B2B), and the like. In support of this objective, the Project will support local government offices (Dinas) in fulfilling the readiness criteria of particular WASH improvement projects being funded through local and central government grant (or “hibah”) schemes. Additionally, USAID IUWASH PLUS will continue serving local government and utilities as a liaison among actors in the urban WASH ecosystem, linking concrete financing needs at the local level with potential sources of capital at the local, provincial, and national levels. Importantly, capital expenditure financing is often about blended financing, or identifying and combining different streams of financing in support of a single project based on a suite of considerations, including expenditure timing, risk level, and the types of services and materials required.
Exhibit 21 below describes the activities/projects planned for PY5 under the capital expenditure financing sub-component. Specific areas of focus include the following:
• Continue supporting local government offices (Dinas) in accessing financial support from the central government’s special allocation fund (“DAK”) as well as its regular budget (“APBD”);
• Continue facilitating PDAM Kabupaten Bogor to build a 150 lps WTP being funded under a B2B scheme, for tender process and its evaluation;
• Continue supporting PDAM Kota Makassar in the development of a 100 lps WTP at Barongbong which is being financed by provincial budget – APBD province year 2021;
• Facilitating local government of Kabupaten Deli Serdang, Depok, Surakarta, Sragen and others to facilitate private sector involvement in sludge collection and transportation.
Exhibit 21. PY5 Activities to Increase Access to Capital Expenditure Financing for WASH
Activity Location Output Timeline
Continue supporting PDAM Kabupaten Bogor on tender process and its evaluation for developing new 150 lps WTP being funded by B2B scheme
West Java Financial close by signed cooperation agreement
Oct. 2020 – Apr. 2021.
Continue to facilitate PDAM Kota Makassar to finalize feasibility study for 100 lps WTP in Barongbong being financed by provincial budget
South Sulawesi
Financial close by APBD approval in 2021.
Oct. 2020 – Mar 2021
Support PDAM Kabupaten Malang to develop feasibility study to build new WTP and distribution line to serve Southern area of Malang being financed by LG and possible private sector
East Java Financial close by signed budget allocation or cooperation agreement with private sector
Oct. 2020 – Mar 2021
Support LGs of Kabupaten/Kota Medan, Deli Serdang and others in developing private septage collection/transportation services.
All regions Financial close of Cooperation Agreement
Oct. 2020 – Sep 2021
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3.4.4 SUB-COMPONENT 3.3: PROVIDE TECHNICAL ASSISTANCE TO KEY FINANCING FACILITIES
Building from efforts to strengthen the enabling environment, the third sub-component supports the readiness of Government of Indonesia financing facilities and related financial intermediaries to structure the financing scheme for WASH improvement. In program year 5, USAID IUWASH PLUS will support the state-owned infrastructure finance company, PT Sarana Multi Infrastruktur – SMI, in the evaluation of water supply projects being financed by long-term loan provided by PT SMI. In addition, in program year 5, USAID IUWASH PLUS will provide capacity-building program for PT SMI to improve the water sector knowledge in relation to building financing structure for water project.
Additionally, USAID IUWASH PLUS in program year 5 will provide the WASH finance training for GOI staff from Bappenas, MOPW, MOPW and other related government agencies, which is designed to improve the understanding of water sector especially in water finance areas.
Exhibit 22. PY5 Technical Assistance to Key Financing Facilities
Activity Location Output Timeline
Provide technical assistance to PT SMI in evaluation of the FS of water supply projects being financed by long-term loan provided by PT SMI
Provide training on water sector knowledge for PT SMI staff
National Increased capacity of PT SMI staff to process water sector development proposals for debt financing
Oct 2020 – Sep 2021
Implement capacity building with respective GOI offices and agencies
National Increase capacity of GOI in WASH financial
Feb 2021 – Sep 2021
3.4.5 SUB-COMPONENT 3.4: INCREASE HOUSEHOLD ACCESS TO FINANCE FOR WASH SERVICES
Focusing on B40 households to access safely managed water and sanitation, USAID IUWASH PLUS continues to promote alternative solutions using WASH micro credit scheme. The scheme expects to afford low-income households to own water and sanitation facilities with small installments rather than upfront payment.
During PY4, USAID IUWASH PLUS continued to promote the importance of having WASH micro credit products for Microfinance Institutions (MFIs) to participate achieving SDGs No.6 program in Indonesia. However, due to the COVID-19 pandemic, USAID IUWASH PLUS conducted all activities related with product performance monitoring by online platform. In addition, progress in promoting WASH micro credit from MFIs to households experienced a postponement since COVID-19 escalated in all USAID IUWASH PLUS regions. Most MFIs focused on all loan repayments and restructuring since borrowers’ financial health deteriorated.
In PY5, USAID IUWASH PLUS still focuses on strengthening WASH micro credit by engaging more MFIs participating to develop WASH micro credit products using the WASH microfinance toolkit. Large MFI groups are engaged at the national-level to improve advocacy and awareness of the importance of microfinance to the WASH sector, as well as at the local-level to improve coverage and the base of experience among MFI in developing and delivering WASH microfinance products (which also involved the substantial completion and initial roll-out of microfinance toolkit). The
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 43
program also continues to promote among local government agencies (e.g. Dinas Kesehatan and PDAMs) the importance of integrating microfinance in their own promotional efforts.
Activities during PY5 will include the following specific areas:
• Support OJK and State minister of Cooperatives Small and Medium Enterprises as described in the above enable environment section, in the issuance of specific regulations for WASH microfinance as well as in follow-up promotion to relevant agencies and MFIs.
• Further support from national agencies in the development of funding and guarantee schemes for WASH microfinance program.
• Make any remaining adjustments required in the Microfinance Toolkit and widely disseminate and provide related training to MFIs within program regions.
• Identify and support opportunities for national dissemination of the WASH Microfinance Toolkit as an important means for achieving SDG WASH targets.
Exhibit 23 summarizes the above activities for improving household access to WASH finance in PY5.
Exhibit 23. Activity Plan for Microfinance Program Year 5
Activity Location Output Timeline
Develop WASH financing products among MFI partners using Microfinance Tool Kit
All Regions WASH financing loan product in place for Bank Nusumma (Kab. Magelang, Surakarta, and Kab. Malang), MFIs in South Sulawesi, North Sumatera, West Java.
Oct 2020 – Jan 2021
Advocacy on WASH Microfinance to OJK Regional Offices
All Regions Regional meetings Nov 2020 – Jan 2021
WASH Microfinance promotion provincial level
All regions Regional Seminar on WASH Microfinance Jan – May 2021
As concerns more specific targeting of USAID IUWASH PLUS microfinance work, Exhibit 24 below provides a list of microfinance institutions that USAID IUWASH PLUS engaged through PY4, along with WASH microfinance work planned for PY5.
Exhibit 24. USAID IUWASH PLUS MFI Partners by Region
Region Partners WASH Financing product and PDAM cooperation
in PY 5
West Java, DKI Jakarta, Tangerang
NBP Group (BPR NBP 12 Tangerang, BPR NBP 14 Bogor, and BPR NBP 32 Karawang)
Engage with Puskesmas and Sanitarian to identify potential households for WASH micro credit access
Partner with WASH entrepreneurs for construction services
Partner with PDAM Tangerang, Bogor and Karawang
Koperasi Baytul Ikhtiar - BAIK, Bogor
Continue to promote WASH micro loan products to its members
Collaborate with PDAM for household water connections.
BPR Syariah HIK Insan Cita, Bogor Engage with Puskesmas and Sanitarian to identify potential households for WASH micro credit access
Partner with WASH entrepreneurs for construction services
Maintain partnership with PDAM for household water connections
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Exhibit 24. USAID IUWASH PLUS MFI Partners by Region
Region Partners WASH Financing product and PDAM cooperation
in PY 5
Koperasi Benteng Mikro Indonesia (KBMI), Tangerang
Engage more with potential WASH local fund program
Initiate partnership with PDAM to increase disbursement on water connection loan
BPR Syariah Patriot, Bekasi WASH micro credit product development using WASH Microfinance Toolkit
South Sulawesi and East Indonesia (SSEI)
BPR Tabungan Rakyat and BPR Kotamadya Ujung Pandang, Makassar
WASH micro credit product development using WASH Microfinance Toolkit
Koperasi Kredit (Credit Union) Noken Mambura, Jayapura
Engage with local government for local regulation on WASH
Engage with Dinas Kesehatan to map potential households to access the WASH micro credit
Koperasi Bhakti Huria, Makassar and Kab. Barru
Engage with Dinas Kesehatan Makassar and Kab. Barru to identify potential households for WASH micro credit recipients
Collaborate with PDAM Makassar and Kab. Barru to utilize idle capacity with water connection loan
North Sumatera
NBP Group (BPR NBP 25 and 33 Deli Serdang, BPR NBP 34 Pematang Siantar)
Engage actively with Dinas Kesehatan Deli Serdang and Pematang Siantar along with all Puskesmas for promotion activity and potential household identification
Initiate partnership with PDAM Tirta Deli and Tirta Uli for water connection loan promotion
BPR Syariah Puduarta Insani, Deli Serdang
WASH micro credit product development using WASH Microfinance Toolkit
BPR Syariah Amanah Bangsa, Pematang Siantar
WASH micro credit product development using WASH Microfinance Toolkit
Central Java BPR Bank Magelang, Magelang Implement MOU with 10 CBO in Magelang as WASH micro credit distribution channel to households
Engage with PDAM Kota Magelang to increase water connection loan
BPR Bank Nusumma (Kab. Magelang and Kota Surakarta)
WASH micro credit product development using WASH Microfinance Toolkit
Engage with CBO in Surakarta for WASH micro credit distribution channel
Develop WASH microfinance SOP
Pusat Koperasi Kredit (PUSKOPDIT) Jawa Tengah. Association consist of Koperasi Kredit (credit union) in Central Java
WASH micro credit product development using WASH Microfinance Toolkit
East Java Credit Union (CU) Amanah – Probolinggo
Promote WASH micro credit product with Dinas Kesehatan, Puskesmas in Kota Probolinggo and Kab. Probolinggo
Pusat Koperasi Kredit Jawa Timur (PUSKOPDIT). Association consist
Develop internal local fund (PUSKOPDIT fund) focused on WASH and can be used by Koperasi Kredit (credit union)
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 45
Exhibit 24. USAID IUWASH PLUS MFI Partners by Region
Region Partners WASH Financing product and PDAM cooperation
in PY 5
of Koperasi Kredit (credit union) in East Java
Koperasi Syariah Fastabiqul Khoirot – Lumajang
Engage with Dinas Kesehatan, Puskesmas, and sanitarian to identify potential households accessed with WASH micro credit
Continue to promote WASH micro credit to its members
Set all WASH micro credit covered by credit insurance by JAMKRIDA
BPR Bank Nusumma Jawa Timur (Malang)
WASH micro credit product development using WASH Microfinance Toolkit
Engage with Dinas Kesehatan to map potential households accessed by WASH micro credit
3.5 COMPONENT 4: ADVANCING NATIONAL WASH ADVOCACY, COORDINATION, AND COMMUNICATION
The urban WASH ecosystem does not stop at the local level, but is enabled and strengthened through linkages to national institutions and the associated policies, programs, and resources. These linkages are not only about funding flows, but also concern information flows whereby national agencies promulgate overarching goals and strategies for change (top-down) while local implementers provide feedback on successes and constraints (bottom-up). Such mutually reinforcing communication flows are fundamental to the WASH ecosystem, fostering consensus and facilitating an improved enabling environment for poor-inclusive WASH services. Under Component 4, USAID IUWASH PLUS will bring regional successes and lessons learned under Components 1, 2, and 3 to scale, informing the national WASH agenda in support of broader sector transformation. The Project will enhance the capture, dissemination, and integration of lessons learned and best practices to improve national policies and programs while also strengthening the coordination of WASH programming among national government agencies.
The USAID IUWASH PLUS Component 4 consists of three (3) sub-components and two (2) supporting elements that are critical in advancing national advocacy, coordination, communication, and promoting partnership/collaboration in the WASH sector. Also, it provides a platform for promoting results and lessons learned under Components 1, 2, and 3 to widen WASH stakeholders in order to support the GOI in achieving Universal Access target and Sustainability Development Goals 2030. PY5 will be an important year for USAID IUWASH PLUS including component 4, as it is the final year and also marked the beginning of the Indonesia new mid-term development or RPJMN 2020-2024. The Government of Indonesia set ambitious targets for 2024 as follows: 100% improved water supply access with 30% from piped water and 15% safely-managed; for sanitation, 90% improved access with 15% of safely-managed and 0% open defecation. The USAID IUWASH PLUS assistance in addressing some of key challenges in WASH delivery such as fecal sludge management, support for enabling environment for WSP implementation, innovative approach to serve the urban poor, and sanitation marketing are critical in supporting GOI achieving the targets. To support GOI further in institutionalizing and replicating the USAID IUWASH PLUS key programs, USAID IUWASH PLUS is developing the Signature Program. The Signature Program or Program Unggulan is
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an IUWASH PLUS key program that falls under the following criteria: (a) innovative approaches in responding to WASH access challenges, (b) support GOI in achieving the SDGs and RPJMN 2020-2024 targets, (c) have a clear concept and process and equipped with the required tools and/or manuals to implement, and (d) whenever available, backup with success story and best practices to assist the Government of Indonesia in replicating the program. The component 4 sub components and supporting features can be seen in the exhibit below.
Exhibit 25. Component 4 Sub-Components and Supporting Program
Sub-Components and Supporting Elements Key Features
Sub-component 4.1: Build capacity of national WASH coordination agencies
Communicate, coordinate, and collaborate with national WASH agencies
Sub-component 4.2: Strengthen national-level WASH policy and regulatory environment
Advocacy work and support the GOI to enhance an enabling environment for WASH
Subcomponent 4.3: Share and mainstream lessons learned and best practices through toolkits, manuals, events, and online dissemination
Develop WASH sector knowledge products
Promote lessons learned and best practices for adoption and replication
WASH CSR Partnership Build local capacity for creating sustainable partnership for WASH with CSR
Media Engagement Engage media as an advocacy actor for improving understanding and commitment for WASH
3.5.1 KEY TASK PARTNERSHIPS
Exhibit 26 summarizes the key institutional partnerships necessary to the successful implementation of activities under Component 4.
Exhibit 26. Key Component 4 Partnerships for PY5
Partner Summary of PY5 Engagement
BAPPENAS Promote best practices and lessons learned to strengthen and influence national policy and regulation, and facilitate scaling up, especially for the key program under Signature Program
Ministry of Village, Disadvantage Region, and Transmigration
Institutionalize one of the topics under the Signature Program, groundwater conversation, through developing implementation framework to support the effort to improve the village development index (Indeks Desa Membangun)
Balai Teknologi Air Minum
Enhance capacity building program for water supply operators (PDAM) through development of E-Learning system and modules, also roadmap for developing and further implementing E-Learning
Pokja PPAS/AMPL Lead a forum for WASH sector coordination, programs collaboration and the dissemination of best practices and lessons learned
Jejaring AMPL Lead the WASH networking forum for communicating information, best practices and lessons learned, and creating partnerships
CSR National/ Partnership Forum
Promote private sector engagement and sharing knowledge and experience on CSR partnership for WASH development
Media and Blogger/Vlogger
Promote understanding, influence decision makers and relevant stakeholders on WASH sector issues and development agenda
Donors and NGOs Coordination and collaboration for supporting the WASH sector in Indonesia and influencing broader sector policy and regulation
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 47
Exhibit 26. Key Component 4 Partnerships for PY5
Partner Summary of PY5 Engagement
University and Research/Training Institution
Stimulate innovation and develop sustainable solutions to address WASH sector challenges and provide required capacity building
FORKALIM Coordination and building capacity of Domestic Waste Water Operators (for sewerage and on-site systems)
AKKOPSI Advocacy for improving sanitation national policy/regulation, building LGs commitment for sanitation, promoting and scaling up best practices
3.5.2 SUB-COMPONENT 4.1: BUILD CAPACITY OF NATIONAL WASH COORDINATION AGENCIES
For PY5, the focus of USAID IUWASH PLUS under this sub-component remains the same with PY4 in supporting and strengthening two WASH coordination agencies, which are Pokja PPAS/AMPL and FORKALIM. The activity with Pokja PPAS/AMPL will focus on developing strategy, approach, best practices, and lessons learned that will help GOI in meeting the RPJMN 2020-2024 and SDGs target, particularly to achieve safely-managed access to water supply and sanitation for all. The activity will also help the local Pokja to gear toward the transition of target, strategy and program of WASH to be aligned with Sustainable Development Goals. The program to strengthen and build capacity of Pokja PPAS/AMPL will be implemented in collaboration with the Governance team under component 2, especially for the implementation at regional level. In collaboration with component 2, component 4 continues to support Forkalim mainly to develop a knowledge product that captures the process and results from the twinning program implemented in PY4. The key activities that will be implemented under sub-component 4.1 in PY5 are as follows:
• Develop enabling environment index/tools for tracking the achievement of RPJMN 2020-2024 targets through the availability of supported policy, required institution, budget, etc., at local government. In the effort to monitor readiness of local government in meeting the RPJMN 2020-2024, USAID IUWASH PLUS with other donors/program (UNICEF, WHO, USDP, PAMSIMAS) supports Pokja PPAS and Bappenas in developing enabling environment index/tools. USAID IUWASH PLUS uses some of the indicators from the government index to be integrated in the EE tools. USAID IUWASH PLUS will also test the EE index in several Kota/Kabupaten partners.
• Develop advocacy and IEC materials to support Pokja PPAS/AMPL in building capacity of Pokja AMPL regional especially in understanding various strategies and approaches that are critical for meeting the RPJMN 2020-2024 and SDGs 2030 target, such as water safety plan and fecal sludge management. The advocacy and IEC materials will be used by Bappenas, Pokja PPAS, and other relevant ministries in various knowledge sharing such as city sanitation summit (CSS), Konferensi Sanitasi and Air Minum Nasional (KSAN), among other events.
• Develop a microsite under the NAWASIS portal for ensuring the USAID IUWASH PLUS knowledge products can be accessed by WASH stakeholders even after the project is closed. Since PY4, USAID IUWASH PLUS has shared several knowledge products in the NAWASIS portal and continues to do so. Based on discussion with Pokja PPAS, USAID IUWASH PLUS will develop a microsite under the NAWASIS portal to store all relevant knowledge products to ensure it can always be accessed by WASH stakeholders.
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• Continue strengthening capacity of FORKALIM as National Waste Water Association, through development of knowledge product from the effort to improve the capacity of its member through twinning that has been implemented in PY4.
Exhibit 27 below summarizes the initial Main Programs envisioned for Subcomponent 4.1.
Exhibit 27. Subcomponent 4.1 Main Programs for PY5
Activity Location Output Timeline
Support Pokja PPAS/AMPL in developing and testing the enabling environment index/tools for tracking the achievement of RPJMN 2020-2024 targets by the local government
National Enabling environment index/tools for local government and results from several IUWASH PLUS Kota/Kab. partners
Oct ‘20 – Jan ‘21
Develop advocacy and IEC materials to support Pokja PPAS/AMPL in building capacity of Pokja AMPL regional in understanding various strategy and approach that are critical for meeting the RPJMN 2020-2024 and SDGs 2030 target
National Advocacy and IEC materials such as video(s), PPT, flyer, infographics) on safely managed drinking water, RPAM, and other topics under Signature Program
Oct ’20 – Dec ‘21
Develop a microsite under the NAWASIS portal for ensuring the USAID IUWASH PLUS knowledge products can be accessed by WASH stakeholders after the project is closed
National Microsite developed and USAID IUWASH PLUS knowledge products migrated
May – Nov ’21
Continue strengthening capacity of FORKALIM as National Waste Water Association through development of knowledge product
National FORKALIM knowledge products (video and pocket book)
Oct – Dec ‘20
3.5.3 SUBCOMPONENT 4.2: STRENGTHEN NATIONAL-LEVEL WASH POLICY AND REGULATORY ENVIRONMENT
In PY4, USAID IUWASH PLUS started to develop the Signature Program that will help the Government of Indonesia institutionalize and replicate the USAID IUWASH PLUS key programs that are critical in supporting the effort to achieve RPJMN 2020-2024 and SDGs 2030 targets. In PY5, USAID IUWASH PLUS will continue to strengthen the national-level WASH policy and regulatory environment, specifically for improving access to the urban poor, pave the way toward safely-managed water supply, fecal sludge management, and expand WASH financing options through sanitation marketing. Under Subcomponent 4.2, the team will use evidence-based advocacy to influence the broader WASH policy environment by providing decision makers with tangible examples of proven approaches to expand services at the provincial, municipal, and community levels. The key activities that will be implemented under sub-component 4.2 in PY5 are as follows:
• Continue to support the Government of Indonesia to finalize a roadmap and manual for implementing the RPAM as a tool to achieve safely managed drinking water. In collaboration with WHO, USAID IUWASH PLUS supports the GOI in setting up the foundation for safely managed water supply. USAID IUWASH PLUS is in the process of finalizing the RPAM as a reference for GOI to achieve RPJMN 2020-2024 target, facilitate policy discussion and advocacy at national level, and finalize the RPAM manual. In collaboration with
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 49
component 2, component 4 also implements RPAM pilot in 3 PDAMs (Kota Salatiga, Kab. Sidoarjo, and Kota Makassar).
• Develop recommendation on the effective approach and incentive for PDAM to serve the urban poor. USAID IUWASH PLUS has a mandate to increase water supply access for B40, however, the poor (B40) generally do not receive PDAM services resulting in a high burden for them to get water in terms of quality and cost. USAID IUWASH PLUS will conduct a study to find the determinant reasons on PDAM/LG reluctance to serve the B40 and provide recommendations that could resolve the issues.
• Support Balai Teknik Air Minum to develop a roadmap for continuing E-Learning development and implementation. After supporting BTAM with development of Learning Management System (LMS) and 2 topics of E-Learning modules (water quality testing and non-revenue water), USAID IUWASH PLUS will support BTAM to develop a roadmap for continuing e-learning development and implementation as capacity building is a critical part in the effort to increase access to safely-managed WASH, especially for service providers’ personnel.
• Finalize guideline to support WASH stakeholders in creating sustainable CSR partnership for WASH. Started in PY4 and will be completed in the 2nd quarter of PY5, USAID IUWASH PLUS tests the CRS partnership guidebook that will help WASH stakeholders, especially at local level, to create sustainable CSR partnerships. Results and lessons learned from the testing process in Kab. Karawang and Kab. Gresik will be used to improve and finalize the guidebook.
• Development of signature program to support GOI in institutionalization and scaling up USAID IUWASH PLUS key programs. Started in PY 4 which produced 2 topics of signature program on the topic of increasing water supply access for the urban poor and groundwater conservation, in PY5 4 topics of signature program will be developed, namely: fecal sludge management, microfinance for WASH, urban STBM, and sanitation marketing.
• Support Ministry of Village, Disadvantaged Regions, and Transmigration in institutionalization and scaling up the groundwater conservation program. As part of the advocacy for signature program adoption, MOVDT expressed keen interest to adopt the groundwater recharge program especially the infiltration ponds into their program that will be implemented by village government. USAID IUWASH PLUS will support MOVDT in developing implementation framework, implementation tools, and facilitating policy discussion with other ministries.
Exhibit 28 below summarizes the initial Main Programs envisions for Sub-component 4.2.
Exhibit 28. Sub-component 4.2 Main Programs for PY5
Activity Location Output Timeline
Continue to support the Government of Indonesia to finalize a roadmap manual for implementing the RPAM national framework
National RPAM road map and manual Oct 20 – Apr 21
Develop recommendation on the effective approach and incentive for PDAM to serve the urban poor
National Key recommendations on effective approach and incentive for PDAM to serve the urban poor
Oct 20 – Jan 21
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Exhibit 28. Sub-component 4.2 Main Programs for PY5
Activity Location Output Timeline
Support Balai Teknik Air Minum to develop roadmap for continuing E-Learning development and implementation
National E-Learning roadmap Oct 20 – Jan 21
Finalize guideline to support WASH stakeholders in creating sustainable CSR partnership for WASH
National Guideline for developing sustainable CSR partnership for WASH
Oct 20 – Mar 21
Development of signature program to support GOI in institutionalization and scaling up USAID IUWASH PLUS key programs
National 4 signature program developed
Oct 20 – Dec 21
Support Ministry of Village, Disadvantage Region, and Transmigration in institutionalization and scaling up the groundwater conservation program
National Working framework for MOVDT implementing groundwater conservation program
Oct 20 – Mar 21
3.5.4 SUB-COMPONENT 4.3: SHARE AND MAINSTREAM LESSONS LEARNED AND BEST PRACTICES THROUGH TOOLKITS, MANUALS, EVENTS, AND ONLINE DISSEMINATION
Knowledge management is a critical element for improving sector performance. Experience shows that knowledge management is able to improve the decision-making process, build a learning culture, and stimulate change and innovation. Sharing successes in an impactful way requires relevance and access: knowledge products must be both pertinent to the information needs and challenges of stakeholders, and easily searchable and accessible. In addition, the media can be a powerful force for change in society, including in the water supply, sanitation and hygiene (WASH) sector. It can aid in bringing important concerns of the public to the attention of government, amplify the voice of poor and marginalized groups, and improve everyone’s understanding of sector issues. Recognizing this, USAID IUWASH PLUS works with the Government of Indonesia to better engage media in the WASH sector. The key results of USAID IUWASH PLUS up to PY4 will be disseminated and advocated to the GOI, relevant stakeholders, and wider audiences, including the 7 key hygiene behaviors under the theme of being a good neighbor. USAID IUWASH PLUS also provides a response to the COVID-19 pandemic through the social media campaign on the key behaviors to prevent the virus spread called #3MPlus movement (wearing mask, physical distancing, hand washing with soap, plus access to water and sanitation). USAID IUWASH PLUS will also conduct regular education events and campaigns through social media platforms, and also direct engagement with journalists/media and bloggers/vloggers. Today, digital technology advances have transformed our method of communication. Social media is now one of the main sources for people to obtain information. Therefore, working with the communities who understand and use such platforms is necessary. In addition, in PY 5 USAID IUWASH PLUS continues to develop success stories to support the knowledge element under the signature programs. The key activities that will be implemented under sub-component 4.3 in PY5 are as follows:
• Maintain sharing and communication platforms of USAID IUWASH PLUS through the website, e-newsletter, and social media. Communicating project activities, results, and best practices will be done on a regular basis to ensure they stay current and up to date for WASH stakeholders.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 51
• Conduct knowledge events in partnership with government counterparts, the private sector, and the donor community to identify sector knowledge gaps and share analyses, lessons learned, and best practices for improving WASH access, especially for the urban poor. This includes conducting a national workshop involving GOI and other relevant stakeholders to share the results of the study to find an effective approach and incentive for PDAMs to serve B40, results from sanitation marketing initiatives, NRW reduction and EE under USAID-SECO partnership, and other relevant initiatives.
• Develop evidence-based knowledge products on several topics of WASH to promote the adoption and replication of lessons learned and best practices from USAID IUWASH PLUS initiatives as key knowledge reference for WASH stakeholders, including from the USAID-SECO partnership.
• Develop success stories and other relevant knowledge products to support the signature program based on results from the implementation of key programs at the community and local government level. The success stories and other relevant knowledge products will provide evidence that key programs work and reference on the enabling environments needed for successful implementation.
• Develop final publication of the USAID IUWASH PLUS assistance to local government partners as part of the initiative to pave the way toward journey to self-reliance. To capture different programs, initiatives, results, and champions in a more interactive and engaging way, USAID IUWASH PLUS plans to develop a final publication in the form of coffee table book that will highlight the process, achievement, and the people behind the success.
• Continue engaging and build capacity of the media and blogger/social media players to become the campaign and advocacy partners for the WASH sector. The media/journalists and bloggers/vloggers are seen as a powerful force for bringing the water supply, sanitation and hygiene (WASH) issues to decision makers and people’s attention. In PY 5, USAID IUWASH PLUS will continue engaging these players to amplify the key messages from the WASH sector.
Exhibit 29 below summarizes the initial Main Programs envisions for Subcomponent 4.3.
Exhibit 29. Subcomponent 4.3 Main Programs for PY5
Activity Location Output Timeline
Maintain sharing and communication platforms of USAID IUWASH PLUS
National Website, e-newsletter, and social media regularly updated
Oct 20 – Dec 21
Conduct knowledge events to share analyses, lessons learned, and best practices from the program
National
Regional
At least 5 knowledge events conducted at national and regional level
Oct 20 – Dec 21
Develop evidence-based knowledge products on several WASH topics, including learning videos on various topics of WASH as an innovative tool for learning
National
Regional
At least 10 knowledge products developed
Oct 20 – Dec 21
Develop success stories and other relevant knowledge products to support the signature programs
National At least 10 success stories and knowledge products for signature programs developed
Oct 20 – Dec 21
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Exhibit 29. Subcomponent 4.3 Main Programs for PY5
Activity Location Output Timeline
Develop final publication of the USAID IUWASH PLUS assistance to local government partners as part of the initiative to pave the way toward journey to self-reliance
National 1 final publication developed Oct 20 – Dec 21
Continue engaging and build capacity of the media and blogger/social media players
National
Regional
Media/Social Media players are engaged in WASH advocacy
Oct 20 – Dec 21
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 53
4 USAID-SECO PARTNERSHIP
4.1 INTRODUCTION
The overall objective of the USAID-SECO partnership program or “SECO Program” is to improve the technical and financial performance of seven water utilities (PDAMs) in two USAID IUWASH PLUS regions, West and Central Java. The focus of the program includes three components:
a. non-revenue water (NRW) reduction in seven (previously six) PDAMs
b. increased energy efficiency in five (previously four) PDAMs
c. increased institutional capacity among all seven PDAMs
The program duration is 36 months, from March 2019 until February 2022, including two months’ extension. Because reporting and work planning is aligned with the USAID fiscal calendar of October through September, planned activities in this work plan cover the period Oct 20 - Sep 21, but as the remaining time is only 5 months (until Feb 2022) it was decided to include them as well, with all considered as the 5th project year of USAID IUWASH PLUS (and referred to as “PY5”). Exhibit 30 shows the PDAM locations in PY5 and the division of the 3 components across the PDAMs.
Exhibit 30: PDAM Locations for the USAID-SECO Partnership Program
Province / Region
PDAM Comp. A: NRW reduction
Comp. B: Increased EE
Comp. C: Cap. Building
West Java
Kota Depok X X
Kota Bogor X X X
Kab Karawang X (added in PY4) X X
Central Java
Kota Surakarta X X X
Kota Magelang X X (added in PY 5) X
Kab Magelang X X
Kab Sukoharjo X X X
Original plan � new totals 6 � 7 PDAM 4 � 5 PDAM 7 PDAM
To assist in the review of the PY5 work plan for the USAID-SECO Partnership Program, Annex 5 includes an updated LOP work plan (including activities scheduled for PY5) and Annex 6 provides the program’s Logical Framework Analysis. The sections below further provide detail of key program partners, general management tasks and key tasks under each component for PY5.
4.2 KEY PROGRAM PARTNERS
As with any important effort in the WASH sector in Indonesia, success of specific activities and, most certainly, the sustainability of any gains depend on the ability of national and local partners to carry-on following program completion and, as a consequence, their involvement and buy-in during the course of implementation. Exhibit 31 identifies the key institutional partners engaged in SECO program implementation:
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Exhibit 31. Institutional Partners under the USAID-SECO Program
Partner Summary of PY5 engagement
SECO (Swiss State Secretariat for Economic Affairs
Main financing agency; progress monitoring (by monthly meetings, quarterly reports, and regular fieldtrips) and technical advice
Ministry of Planning (Bappenas) Coordination with other GOI Ministries and donor programs
Ministry of Public Works & CPMU NUWSP and Water Hibah
Coordinate strong support and commitment of co-financing through Performance Based Grants (PBG) of NUWSP
National donor agencies, including the World Bank, KIAT, etc.
Technical advice and support through PBG of NUWSP
BTAM (Water Supply Training Centre), PERPAMSI and YPTD
Coordination and support of National Capacity Building roadmap program, including PDAM skill training and certification
AKATIRTA (Technical University in Magelang)
Borrowing NRW and EE Measuring equipment and joint technical training activities, especially on NRW reduction
3 PDAM / PEMDA in West Java Main participants / beneficiaries; Implement agreed action plans; support RC for PBG and provide investment from APBD. 4 PDAM / PEMDA in Central Java
4.3 GENERAL PROGRAM MANAGEMENT
Besides the 3 technical components, which are further explained in the next sections, this section summarizes the general program management tasks for PY5. Some of them are conducted throughout the whole PY5, while others are only conducted at the end of PY5 as follows:
• Partner commitment. In previous years, the necessary commitments were obtained from all participating Local Governments, PDAMs and relevant National Agencies. Focus in PY5 will be to continue and further strengthen these agreements, including capacity building plans, training, investment support, handover plans and other requirements to support long term sustainability.
• Office operation and closing. 2 SECO offices were established in Jakarta and Surakarta and will continued to be operational until the end of IUWASH PLUS in each region, which is December 2021 for Surakarta office and February 2022 for the Jakarta office. All office equipment will be disbursed to the local program partners, following the USAID IUWASH PLUS regulations. Some key staff currently working in the Surakarta office will continue from Jakarta.
• NRW and EE measuring equipment. The two sets of NRW and EE measuring equipment will continue to be used throughout PY5 for monitoring progress and final results of improved EE and reduced NRW. The SECO team will initiate discussions in the beginning of second quarter of PY5 with relevant national parties (MPWH, BTAM, PERPAMSI, USAID and SECO) on the most appropriate institution for the handing over of the equipment to make sure it will continue to be used for PDAM performance improvements. The two sets of equipment from AKATIRTA will continued to be borrowed until the end of 2021 and then returned to AKATIRTA.
• Completion Readiness Criteria and Legalization of FS. In PY5, the SECO team will continue supporting PDAMs to finalize the Readiness Criteria required to join PBG programs for 2020 or 2021. The team will also support MPWH/CPMU to conduct PBG baseline in selected PDAMs and also support the FS legalization by each LG and finally assist the World Bank and MPWH / CPMU NUWSP and Hibah with updating the PBG technical guidelines.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 55
• SECO Team support and Evaluation event. During PY5, the SECO team will conduct one more internal capacity building event (in early 2021) to evaluate results of the ongoing programs, especially related to commercial loss reduction and agree on the remaining work for the remainder of 2021. The contracts for all staff recruited under the SECO program will be terminated one month before each office closes.
• Large Workshops / Program close out. During PY5, it is planned to conduct several large workshops, with the format physical or virtual, depending on COVID-19 restrictions at that time. The topics of these workshop cover a variety of Technical and Capacity Building subjects, like NRW and EE roadmap, PDAM occupation mapping, PDAM training centers and development and use of competence-based training modules for PDAMs. At the end of the program, the USAID-SECO partnership closeout workshop will be held for all key local and national stakeholders to share the program results, conclusions, and recommendations for next steps.
Exhibit 32 below summarizes the main general management activities conducted in PY5.
Exhibit 32. Main General Management Activities for PY5
Activity Location Output Timeline
Coordination meetings with GOI Ministries and key donors
National &
Regional
Conduct regular coordination meetings with GOI Ministries and key donor agencies, especially on support for Performance Based Grants (PBG) and Capacity Building.
Oct 20–
Jan 22
Office operation and Closing National & Regional
Offices operated until closeout time (Dec’20 for Surakarta and Feb’22 for Jakarta) and all office equipment handed over to SECO partners.
Dec 20 and Feb 22
Utilize and handover NRW and EE monitoring equipment
National &
Regional
NRW / EE measuring equipment used until offices close. Borrowed equipment then returned to Akatirta and equipment purchased under SECO handed over to a national and/or regional institute, agreed by GoI, SECO and USAID.
Dec 21 (Akatirta)
Jan 22
(SECO equipment)
Completion Readiness Criteria and Legalization of FS
National &
Regional
Readiness Criteria completed and approved by CPMU/MPWH to join PBG 2020 or 2021 (NRW and EE).
FS legalization completed, if needed support provided to World Bank and MPWH/CPMU on updating PBG technical guidelines.
Oct 20 –
June 21
SECO team support and teambuilding
National &
Regional
Conducted internal Evaluation event with clear guide on remaining actions.
Administration to terminate staff contracts completed.
Feb 21
Nov 21 (CJ)
Jan 22 (WJ/Na)
Large (National) workshops and Program close out
National &
Regional
3-4 large, national, workshops conducted on variety technical topics
USAID-SECO program closeout workshop conducted.
Jan – Dec 21
Jan – Feb 22
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4.4 COMPONENT A: NON-REVENUE WATER REDUCTION
NRW is essentially water lost due to “commercial” reasons (such as inaccuracies in meter reading and/or non-registered customers / consumption) as well as “technical” reasons (like leakages within the network due to poor pipe quality or inappropriate installation). High NRW has a substantial impact on the financial health of a PDAM as well as their service provision to customers. To address these challenges for designated PDAMs under the SECO Program, a series of specific activities are implemented in PY5, starting with the completion of several activities started in PY4, which could not be completed for various reasons, including disruptions due to COVID-19 restrictions.
• Evaluation of causes of Commercial NRW and required programs. This activity determines the most effective program to quickly reduce commercial NRW. By the end of PY4 this was under discussion and being finalized with each PDAM.
• Installation of Smart Meter. To further reduce commercial NRW, the pilot project started in PY4 to increase accuracy of water volume measurement for larger meters using a smart meter will be continued with final installations. These meters can both inform consumers of water usage online and consumption can be checked anytime, directly from PDAM office.
• Validation and Calibration of Production Meter. This activity was started in PY4 but could not be completed yet to COVID-19 travel restrictions, which leaves several meters that still require final validation / calibration.
In PY5 additional critical activities will be implemented, that can be summarized as follows:
• Field survey. In PY5 two large surveys (with around 35,000 households per survey) will be implemented from Nov–Dec 2020 and June – July 2021. Priority topics for each survey will be tailor-made for each PDAM, following the results of the evaluation of main causes of commercial loss in each PDAM. This approach will maximize the reduction of commercial losses and by following PDAM priorities, it will be easy to include it in their annual operating budgets.
• SOP and other regulations. PDAM staff of all 7 PDAMs will receive training in updating their existing or developing new SOPs related to NRW reduction (meter installation and repair; addressing illegal connections and/or illegal consumption; disconnection of water meters; meter reading, billing preparation, updating meter database, etc.). Where required, this will be further supported by PDAM regulations, for instance to deal with illegal connections or consumptions. Number of completed SOP on NRW by end of PY5 is estimated to be at least 3 per PDAM.
• Implement Commercial NRW reduction. While PDAMs already have started with activities to reduce NRW during PY4, the results of the NRW evaluation, the SOP and the field surveys will guide more concrete and focused actions by all PDAM to accelerate reduction of NRW commercial losses in PY5. This includes reduction of illegal connection and consumption, meter replacement, improved meter reading, improved installation and monitoring new connection and disconnections. In PY5, SECO team will monitor and guide PDAM in this.
• Implement Physical leak detection. To further support NRW reduction in PY5, while acknowledging delays in investment by PEMDA, it was agreed to focus physical leak detection under SECO on locating and closing the largest leaks in the pipe network of all 7 PDAMs. In the first quarter of PY5, two short-term Leak Detection Specialists will be hired (one per region), and planning made with PDAMs regarding their scheduling and staffing support, followed by the
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actual fieldwork in January–November 2021, covering around 3–4 months in each of the 7 PDAMs.
• Evaluate and improve existing DMA. Parallel to the Commercial and Physical loss reduction work in each PDAMs, the layout and management of the existing DMA (District Meter Area) is reviewed with each PDAM NRW team; The SECO team will recommend improvements to each PDAM, both technically and on DMA management; finally, for each PDAM a new or improved DMA, including the required DED will be setup, as an example for PDAM.
• Technical training programs. To further enhance the technical capacity of PDAM staff, to plan and implement a complete package of NRW reduction, additional training will be provided during PY5. The main subjects include commercial leak detection process, physical losses, preparation & operation of DMA, setting up and operating GIS system, use of smart meters, and use of M-water survey application to support household surveys. Training will be done as classroom and/or on-the-job training, depending on the topic. Continued COVID-19 restrictions for classroom training and field visits might result in changes to more online trainings.
• Monitoring NRW reduction. In PY5, the SECO team will continue monitoring NRW values for each PDAM and compare with the internal Baseline. Results will be included in December 2020, June 2021 and December 2021 Quarterly progress report. Also, the SECO team will support CPMU Hibah to conduct the formal PBG baseline, whenever they are ready, including training of consultant staff and provision of all PDAM data and maps.
Exhibit 33 below summarizes the PY5 activities for SECO Component A.
Exhibit 33. PY5 Priority Activities for Component A (NRW Reduction)
Activity Location Output Timeline
Agreement on most effective activities to reduce NRW commercial for each PDAM
Regional Agreement with each PDAM the prioritize activities to reduce NRW commercial
Oct – Nov 2020
Installation of Smart Meters Regional Pilot Project of installation at 7 PDAMs done and evaluated
Oct – Nov 2020
Validation / Calibration of Production meters
Regional All production meters in program areas validated and/or calibrated
Oct – Dec 2020
Two large Field Survey (for total estimated 70.000 HH)
Regional To complete two large surveys, with the aim to focus the NRW commercial loss program, through locating illegal connection or consumption, condition of customer meter
Nov – Dec 2020
Jun - July 2021
Finalize SOP & regulation related to NRW reduction
Regional All 7 PDAM have all SOP and regulation to conduct NRW reduction
Jan – Nov 2021
Implement NRW Commercial Reduction
Regional All PDAM conduct active program to accelerate reduce NRW commercial losses, including monitoring results of each action
Jan – Dec 2021
Physical Leak Detection and fixing largest leaks
Regional Detected and closed largest leaks in 7 PDAMs, and PDAM staff able to continue identifying and closing smaller leaks by themselves
Oct-Dec’ 20
(prepare)
Jan – Nov 21
(implement)
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Exhibit 33. PY5 Priority Activities for Component A (NRW Reduction)
Activity Location Output Timeline
Evaluate/improve existing DMA and DED new DMA
Regional Review completed on existing DMA layout and management; recommendations agreed by each PDAM and example DMA, with DED established
Jan – Nov 2021
Package of Technical Training Regional Completed comprehensive training package on all NRW aspects
Dec 2020 – Sept 2021
Monitoring NRW values for 7 PDAMs and support PBG Baselines
National & Regional
NRW values on a 6-monthly basis (Dec’20, June’21, Dec’21) compared to internal SECO baseline for 7 PDAMs; also support CPMU Water Hibah to conduct PBG baseline
Dec’20
June’21
Dec’21
4.5 COMPONENT B: INCREASE ENERGY EFFICIENCY
Many water utilities in Indonesia, especially those that rely on groundwater sources, often spend more than 30% of their operating budgets on electricity costs. Previous studies have shown that this could be substantially reduced if they upgraded to more efficient systems or performed more routine maintenance services. To help address these challenges, the SECO Program team undertakes a package of crucial tasks, including PDAM staff training, conducting Energy Efficiency Audits and procurement and installation of example pumping equipment; This is followed by an EE action plan approved by PDAM and PEMDA and used as the basis for obtaining investment from PDAM, LG and/or GOI (PBG). The EE plan is then implemented and closely monitored.
• Procurement pumping equipment for 4 PDAMs. In PY5, procurement of agreed pumping equipment for 4 locations, which was started in PY4, will be completed including delivery.
• Baseline. In the first quarter of PY5, the SECO team, together with the 4 PDAMs, will establish an internal baseline of the current energy consumption (in KWh) and the specific energy (in KW/m3 pumped) for the pumping systems. Results will be used as starting point for the Energy Efficiency target in the USAID-SECO partnership contract (15% reduction) and reported in the Dec’20 QPR. These values will subsequently be monitored on a monthly basis, compared with the initial Baseline and results included every 6 months in QPR (June and Dec’21). For the new EEA for Kota Magelang is it expected that the internal baseline will be established by June’21.
• Installation of pumping equipment at 4 PDAMs. After the EE baseline is determined, and preparatory works are completed by each PDAM, the new pumping equipment will be installed and commissioned by the supplier, with SECO team and PDAM staff.
• EEA and EE training for Kota Magelang. In the 2nd quarter of PY5, the Energy Efficiency Audit (EEA) will be started for Kota Magelang, with the aim to develop an EE Action Plan, which can (at least partly) be financed under the National PBG program from PUPR/NUWSP. The preparation of the EEA will be used as training for PDAM staff, conducted in a combination of classroom (if allowed with COVID-19 restrictions) and on-the-job training.
• Procurement and installation of pumping equipment Kota Magelang. After the EEA is approved by PDAM and LG, including allocation and scheduling of recommended investments in pumping equipment, the procurement will start and after receiving and commissioning, it will be installed and tested by the supplier. Considering the program is already in PY5, the EEA will
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recommend that equipment purchased under the SECO program is all locally available and does not require to be imported. In this way the purchased equipment can be available and installed by the end of September 2021 and improved performance can still be measured until the end of 2021.
• Training and SOP on pump operation and maintenance. The pump installation activities will be used as on-the-job training for PDAMs staff in pump installation, operation, and maintenance (O&M). The O&M manuals will be used as the basis for new SOPs on pump O&M.
• GHG Emissions. In PY4, the GHG emission factor to estimate GHG emission reduction was determined and reported in the PY4 Annual Report. During PY5 the validity of this factor will be checked and updated if there is new data published by the Indonesian government. After the project EE baseline is measured, and subsequent measurements are done on the energy reduction (in KWh), the reduction of GHG emissions can be determined at the end of PY5.
• PBG Support. The SECO team will support CPMU Hibah to conduct the formal PBG baseline for all EE locations, which qualify to receive PBG support. This can include training of consultant staff and organizing all PDAM data and schematic drawings for each pumping system. The SECO team will also support each potential EE location (including Kota Magelang) to complete the RC.
Exhibit 34 below summarizes the PY5 activities under Component B.
Exhibit 34. PY5 priority activities for Component B (Improved Energy Efficiency)
Activity Location Output Timeline
Complete Procurement of pumping equipment for two PDAM in West Java and two in Central Java
National Procurement pumping equipment completed for West Java (Karawang and Kab. Bogor) and for Central Java (Surakarta and Sukoharjo)
Oct–Dec 20
(West Java)
Oct – Jan 21
(Central Java)
Measure EE internal Baselines for 5 PDAMs and monitoring EE reductions
Regional Internal EE Baseline established for 5 PDAMs with monthly monitoring and 6 monthly reporting
Dec’20
June’21
Dec’21
Supervise installation of pump equipment for two PDAM in West Java and two in Central Java
Regional Pumping equipment installed and working well
for West Java (Karawang and Kab. Bogor) and for Central Java (Surakarta and Sukoharjo)
Jan – Mar 2021
Energy Efficiency Audit and foundational EE training for PDAM Kota Magelang.
Regional EEA Completed and agreed by PDAM and LG; Completed foundational training on Efficiency Energy for PDAM staff
Dec 2020 – May 2021
Procure and install pump equipment for PDAM Kota Magelang.
National Procurement of pumping equipment for PDAM Kota Magelang completed
Installation of pumping equipment completed
May – July 21
Aug – Sep 21
Staff Training and SOP on Pumping O&M
Regional Completed series of PDAM staff training and related SOP on pumping O&M
Jan – Sep 21
Validate GHG factor and determine GHG emission reduction
National & Regional
Latest GHG factor obtained and GHG emission reduction calculated based on reduced Energy consumption
June- Dec 21
PBG support to complete PBG baseline and RC
National & Regional
EE Baselines determined with National PBG team (CPMU Hibah)
Jan – June 21
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4.6 COMPONENT C: CAPACITY BUILDING
Sustained gains in PDAM performance to reduce NRW and increase Energy Efficiency also depend on improvements in other technical and non-technical functions. In close association with current Government training programs, capacity building is provided through a combination of classroom (and online) training, on-the-job training, and follow-up mentoring. Support on capacity building programs is made at two levels: (1) National level and (2) directly with PDAM partners.
Main activities in PY5 under (1) National level, can be summarized as follows:
• Development of National Capacity Building Roadmap. To analyze the existing condition and required capacity building need, an extensive survey was started in PY4 including data collection from 250 PDAMs combined with 10 in-depth interviews. The questionnaire for the 250 PDAMS has the format of Google form and is accompanied with video tutorial. This will all be completed in the first quarter of PY5 by the SECO team and training specialist.
• Finalize National Capacity Building Roadmap. Result of field assessments and stakeholder meetings will be analyzed in close collaboration with national training institutes, especially from MPWH, BTAM and PERPAMSI. The Final report will include:
a) summary of current PDAM staff capacity and their needs,
b) current training capacity (materials, providers, etc.),
c) analysis of the various field surveys,
d) recommendations on training topics and materials for all level of PDAM staff,
e) potential training providers able to conduct competence-based training
f) proposed management structure for implementing the capacity building roadmap.
The report will be shared at the end of Q1 of PY5 to all stakeholders, including USAID and SECO for their comments and other inputs, after which it will be finalized and used as a guiding document on PDAM staff capacity building.
• Assess and strengthen 3 PDAM Training Centers. 3 PDAMs (Samarinda, Pontianak, and Kota Malang), who previously supported CoE of MPWH, currently manage their own PDAM Training Centers, with a variety of PDAM staff training to nearby PDAMs. The SECO/ CB team started reviewing these training centers in PY4 and in PY5 will continue to analyze their capacity, curriculums, and assess their interest to be directly involved in future competence based, PDAM staff trainings. Assuming their response will continue to be positive and a close collaboration is agreed with the MPWH training capacity, additional activities will be identified and implemented to strengthen them further in their future role as a PDAM training provider. Results of review and follow-up actions will be shared with SECO (through QPRs and monthly meetings).
• Prepare PDAM occupation mapping. The SPAM Occupation Map is a crucial part of the National Qualification Framework on SPAM Management and compiled as reference for further development of human resources in the Water Supply sector. The content is obtained through a comprehensive study of human resource needs in SPAM management and serves as standard reference for (a) organizing competency certification activities based on the national occupation scheme (b) preparation of job descriptions of SPAM management functions (c) mapping human resource needs and availability, grouped based on their key functions and (d) development of
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modules and competency-based instructional designs. There is currently no SPAM occupational map structure as a reference and this activity of developing the SPAM Occupancy Map will enable general commitment of all parties to incorporate training materials developed with SECO funding into planned national certification programs.
• Development of Videos on Water Supply Management System. During the direct support of PDAM in PY4, it was found that most of the non-technical PDAM staff (finance, administration, customer relation, etc.) and even new technical staff, have only limited understanding of the technical part of a PDAM system. This often results in miscommunication amongst staff, leading to unnecessary frustration and delays. A better understanding by all PDAM staff of the operation of PDAM systems leads to a more positive working environment, which then results in higher job satisfaction and productivity. USAID-SECO partnership team will develop two videos (one education video and one tutorial video on SPAM), which clearly explain the concept of SPAM, the technical components as well as operating and managing approaches. The videos include live shots from three SECO supported PDAMs and target non-technical staff and new technical staff of all 7 PDAMs.
• Develop Concept PDAM Decree of B to B Cooperation. Until now, there is no specific regulation within a PDAM, regarding procedures for implementing investment tenders through a Business-to-Business (B2B) model; Each PDAM that want to start a B2B collaboration has to develop its own steps and requirements, which has proven to be a large obstacle for PDAM to consider B2B as a viable alternative investment opportunity. This activity aims to provide clear instructions for PDAMs to develop and implement a B2B scheme. The expected results include complete document (templates) of all B2B Project implementation stages for PDAMs including: (a) board of directors’ regulations, (b) regulations on forming cooperation teams, procurement teams and monitoring teams, (c) drafting RfP documents and contract documents; (d) how to conduct tender implementation, (e) construction implementation monitoring process, and (f) monitoring the implementation.
• Develop Web-based GIS Mapping Application. Towards the end of PY4, it was found that the use of standard GIS technology is not effective enough to support the NRW reduction program, because data access is too limited. Based on this conclusion, the SECO team and participating PDAMs agreed to develop a Web-based GIS Mapping Application that can display all PDAM spatial data in an easier and more transparent manner, able to be operated on a standard computer and developed as an open source system, for easy future modification. The application will help the PDAM staff to more easily and quickly identify NRW problems in the network, identifying location of leaks and water pressure variations, etc. This will result in quicker reduction of NRW, especially in DMA. An application developer will be selected to design, develop, test, and install the systems on the PDAM server followed by training of PDAM staff and SECO team on the use of the application.
Main activities in PY5 under (2) Directly with PDAM partners, can be summarized as follows:
• Training implementation and monitoring. From the 12 selected trainings in PY4, 3 were completed, and the remaining 9 will be conducted during PY5.
1. Business Plan C: Financial Projection (planned for January 2021)
2. Financial Planning A (planned for February 2021)
3. Financial Planning B (planned for March 2021)
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4. Preparation of Standard Operating Procedures (planned for December 2020)
5. Customer relations (planned for May 2021)
6. Asset Management / competence based (planned for July 2021)
7. Health and Safety Procedures / competence based (planned for August 2021)
8. Non-Revenue Water / competence based (planned for June 2021)
9. Energy Efficiency / competence based (planned for July 2021)
All trainings will be for all 7 PDAMs supported by SECO, complimented by staff from PDAMs supported by IUWASH PLUS in the same region. The total number of participants for the 9 trainings are expected to be around 400. All will conduct pre- and post-tests and participants from the SECO locations will also prepare Performance Improvements Action Plans (PIAP) for all subjects.
• Development of Competence based training modules. From the remaining 9 trainings outlined above, the last four (Asset Management; Health & Safety, NRW and EE) will be developed as competence based training modules, following the requirements from National Government and recommendations from the Capacity Building roadmap.
• Develop finance/admin and technical SOP. The SECO team, supported by short-term specialists, will develop several Standard Operating Procedures (SOP) templates on different financial, administrative, customer relation and technical topics and introduce them to the 7 PDAMs. After review and selection by each PDAM management, they will be introduced to PDAM staff and together with PDAM teams, SOP will be tailor-made for the particular PDAM condition.
• Review and update PDAM Business Plan. As a follow up to the NRW, EE and Capacity Building Action plans developed mostly in PY4, the SECO team will review the current Business Plans of all 7 PDAMs and together with PDAM teams, provide updates to incorporate all plans developed and agreed under the SECO program.
Exhibit 35 below summarizes activities to be pursued under Component C during PY5.
Exhibit 35. PY4 priority activities for Component C (Capacity Building)
Activity Location Output Timeline
Finalization of National Roadmap for Capacity Building
National National roadmap for capacity building completed
Oct – Dec 2020
Develop PDAM Training Centre National Concept to develop PDAM training center completed
Apr – Jul 2021
Prepare occupancy mapping National Mapping of existing staff occupancy at PDAM completed and agreed by GoI.
Jul – Nov 2021
Development of Videos on SPAM system
National 2 videos (one educational and one tutorial) developed and shared with all PDAMs
Nov 2020 – Mar 2021
Development of Web-based GIS Mapping Application
National Web-based GIS Mapping Application developed, installed and staff trained
Nov 2020 – Mar 2021
Development of Concept PDAM Decree of B-to-B Cooperation.
National Template Regulation for developing and implementing B to B contracts between PDAMs and Private sector completed
May – Aug 2021
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Exhibit 35. PY4 priority activities for Component C (Capacity Building)
Activity Location Output Timeline
Training implementation and training monitoring (PIAP)
Regional 9 training courses for staff from 7 PDAM completed, including pre-and post-tests and PIAPs completed on all subjects.
Dec 2020 – Dec 2021
Develop four competence- based training modules
National Asset management, worker safety, NRW and EE competency module completed
Jan – May 2021
Develop SOP on finance / admin and technical topics
National - Regional
SOP of finance, admin, customer relations and technical developed and implemented
Jan – Dec 2021
Review and update PDAM Business Plan
Regional PDAM Business plan updated due to additional program of NRW and EE
Jan – May 2021
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5 LOCAL SUSTAINABILITY AND INNOVATION COMPONENT (LSIC)
5.1 INTRODUCTION
The LSIC will provide an opportunity to push the boundaries of WASH programming in Indonesia through the engagement of a diverse set of stakeholders in open innovation approaches that build local capacity. With an established technology sector, a burgeoning maker movement, and a multitude of academic institutions, Indonesia is fertile ground for home-grown solutions. LSIC will use a mix of grants, subcontracts, special activities and in-kind mechanisms to incentivize Indonesia’s private sector and universities to take risks, stimulate innovation, and deliver sustainable solutions to significant WASH sector challenges, through:
• Grant prizes to entities that solve WASH challenges. These could involve partnerships between city governments or PDAMs and private companies, NGOs, and/or universities that address critical challenges in WASH.
• Subcontract awards that test sustainable WASH service models to expand access, particularly to the urban poor. These subcontracts will support the preparation and piloting of service models that are poor-inclusive and address key service gaps.
• Special activities/events for promoting LSIC or generating new ideas and approaches. An activity or event will only be used in association with a broader LSIC initiative and in cases where it is more appropriate for USAID IUWASH PLUS to implement it itself, rather than through a third party. Examples of such activities or events include stakeholder engagement and capacity building for WASH partners/stakeholders.
USAID IUWASH PLUS will mainly use three different approaches in presenting awards financed by the LSIC, which are: calls for proposals, innovation challenges, and collaborative design processes. Awards will address a critical challenge, have the potential for bold and replicable impact, and leverage interest/investment by the public and/or private sectors. LSIC is also able to combine different mechanisms—grant, subcontract, and special activities—in one program to maximize the impact, through the umbrella concept note that shows the connection between one activity and mechanism to another.
5.2 PY5 LSIC ACTIVITIES
LSIC is a critical compliment to USAID IUWASH PLUS activities. LSIC activities address critical challenges by bringing new ideas and creative approaches that lead to better solutions to reach the targeted populations with access to safely managed water supply and sanitation. For example, to better understand the challenge in servicing the urban poor (B40) by PDAM through LSIC, USAID IUWASH PLUS will conduct analytical work that will provide recommendation on the best approach and incentives for PDAM to serve B40. In supporting sanitation marketing, USAID IUWASH PLUS through LSIC worked with Business Development Services (BDS) in developing the strategy and building capacity of sanitation entrepreneurs to strengthen the sanitation marketing supply chains. Lastly, in PY5 LSIC will support USAID IUWASH PLUS to map out the required enabling environment for the effort to harmonize cross-boundary fecal sludge management services for Jakarta and its satellite cities to avoid negative competition among domestic wastewater providers.
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Up to PY4, several activities were initiated and the implementation will be ongoing through PY5. The focus of LSIC activities during PY5 will be on continuing the activities that were started in previous PYs. As PY5 is the final year of USAID IUWASH PLUS, LSIC will not develop new activities to ensure timely completion of the activities. Exhibit 36 below provides a summary of PY5 activities associated under the LSIC.
Exhibit 36: LSIC Support Main Programs in PY5
Program Location Output Timeline
Finalization of Upgrading Septic Tank in Kota Medan and Kab. Deli Serdang
Regional (North Sumatera)
13 upgraded septic tanks, 25 individual septic tanks built, 27 shared septic tanks built for a total of 134 households
Oct 20 – Feb 21
Finalization of Spring Vulnerability Assessment (KKMA) Capacity Development for Akatirta (baseline collection of water quality & quantity)
National and Regional (North Sumatera, East Java, South Sulawesi)
5 PDAMs received capacity building on water quality and quantity data collection as basis for KKMA
Oct – Dec 20
Continue strengthening FORKALIM as National Association for Domestic Waste Water Operators
National Knowledge products (video and pocket book) from national twinning
Oct 20 – Dec 20
Implementation of PD PAL Jaya Marketing Strategy and Action Plan
Regional (DKI Jakarta)
Implementation of PD PAL marketing strategy identified and tested
Dec 20 – Apr 21
Finalization of Capacity building for NRW Reduction & Energy Efficiency
National and Regional (Central Java)
Methodology and manual for NRW reduction and Energy efficiency developed and capacity of Akatirta improved
Oct – Dec 20
Engaging private desludging companies to increase safely-managed sanitation access (LLTT)
National and Regional (CJ, EJ, SSEI)
At least 8 private desludging companies have partnership with 4 UPTDs to provide services
Oct 20 – Mar 21
Finding effective approach and incentive to serve B40 by PDAMs
Regional
(NS, CJ, EJ, SS)
Recommendation for approach and incentive to serve B40 by PDAMs developed
Oct 20 – Jan 21
Develop technology options on sludge dewatering for 'challenging areas'
Regional – EJ (Kota Malang & Gresik)
Sludge dewatering technology developed
Oct 20 – Apr 21
Building capacity of PDAMs for implementing NRW reduction
Regional
(NS, EJ, SS)
PDAMs capacity improved and NRW level reduced
Oct 20 – Jun 21
Building capacity of PDAMs for improving energy efficiency
Regional
(NS, EJ, SS)
PDAMs capacity improved and EE increased
Oct – Dec 20
Pilot for implementing the adjusted WSP (RPAM) framework and approach
Regional
(NS, EJ, SS)
RPAM action plan developed & implemented
Oct 20 – Feb 21
Building capacity of LGs in sustaining water recharge initiative through infiltration ponds
Regional
(NS, CJ, EJ, SSEI)
LG capacity increased and infiltration ponds built
Oct 20 – Jan 21
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Exhibit 36: LSIC Support Main Programs in PY5
Program Location Output Timeline
Enhancing Capacity Building Program for PDAM through E-learning under BTAM
National LMS and 2 E-Learning modules developed
Oct – Nov 20
Facilitate harmonization of regulations and tariff among wastewater operators (PD & UPTD) in Jabodetabek
National and Regional (WJ)
Effort to harmonize regulations and tariff started
Oct 20 – Jan 21
Building capacity of BDS as provider for WASH entrepreneurs and be part of sanitation supply chains
National and Regional
(NS, WJ, CJ, EJ, SSEI)
At least 5 BDS capacity built and provided services for WE
Oct 20 – Apr 21
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6 GENDER MAINSTREAMING
Gender activities in PY5 will be focused on following up on the achievements and progress made in the previous PYs. USAID IUWASH PLUS will also continue a number of gender activities that were delayed in PY4 due to the impact of the COVID-19 pandemic. Since PY5 also marks the project's final year, USAID IUWASH PLUS will start to collect and document lessons learned from various gender activities to inform both internal and external parties on the achievements and opportunity for improvements.
Major activities that will be conducted in PY5 are listed below:
1. Coordination meeting of USAID IUWASH PLUS's Gender Working Group (GWG)
This activity will be conducted twice in PY5 using online method. The first one will be carried out in the first quarter to discuss preparation of PPRG Monitoring and Evaluation Training for LGs in 10 pilot locations. It will be continued in the second quarter to discuss guideline on the development of lessons learned of gender activities and prepare for the implementation of PPRG Monitoring and Evaluation in 10 pilot locations.
2. Development of IEC (Information, Education, and Communication) materials on gender mainstreaming activities
This activity was started at the end of PY4 and resulted in the final storyboard. It will be completed in PY5 through finalization of the video based on internal and external review. This video will be used to support capacity building activities on gender mainstreaming in WASH targeting both communities and LGs through online methods. The video will also be available on social media platforms to reach a wider audience.
3. Development of lessons learned for Gender Mainstreaming Program Activities
At the beginning of PY5, USAID IUWASH PLUS will develop guidelines for collecting and documenting lessons learned about gender activities that have been carried out with communities and LGs in the working areas. This document will serve as a basis for USAID IUWASH PLUS staff to identify various approaches used, the extent to which gender interventions are effective in achieving impacts or bringing about changes, as well as formulating recommendations for future interventions.
4. Advocacy, capacity building and technical assistance to support LG to implement PPRG (Gender Responsive Planning and Budgeting)
In PY5, PPRG-related activities will be carried out for LGs in 10 pilot locations representing areas with weak and strong PPRG implementation. There is also one additional location to assist due to the poor performance of the Governance Index on the inclusive aspect. USAID IUWASH PLUS intervention will focus on PPRG Monitoring and Evaluation activities. It will be started with PPRG Monitoring and Evaluation Training for LGs in 10 pilot locations in the first quarter of PY5, then followed up by facilitating the implementation of PPRG Monitoring and Evaluation in the second and third quarters of PY5. The results of this activity will inform both project team and LGs on the progress and achievement of PPRG implementation and will be incorporated into the lessons learned document. As for one additional location, the intervention will be conducted to address which aspect of PPRG needs to be improved.
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5. WASH gender programming through gender tailored training
In PY5, gender integration into WASH programming will be conducted in some of the activities below:
• Capacity building for WASH committees on operational, maintenance, administration and institutional management. The purpose of this activity is to ensure vulnerable groups are participating in WASH committees and have the opportunity to hold positions of leadership in Community Based Organizations (CBOs) managing WASH facilities.
• Capacity building and promotion on safely managed WASH to encourage the needs and demands of WASH facilities and services for vulnerable groups.
• Facilitate Micro Finance Institutions (MFIs) to develop microfinance products for vulnerable groups that can support increased access to improved WASH facilities.
• Capacity building for WASH entrepreneurs to apply universal design when producing WASH products
• Capacity building for Participatory Monitoring and Evaluation Team in community to consider gender perspective when conducting RKM (Community Work Plan) Evaluation.
6. Sharing workshop among IUWASH PLUS partners on Gender Mainstreaming Programs
The results of collecting and documenting various lessons learned from gender activities will be disseminated to all USAID IUWASH PLUS partners through the implementation of a sharing workshop. This activity will be carried out in the final quarter of PY5 at the national level. Apart from sharing lessons learned with partners, the aim of this activity is to provide project teams with information on any things that improve the effectiveness and efficiency of the project and to build on the experience gained by the project as recommendation for future interventions.
6.1 ALIGNMENT WITH USAID’S GENDER POLICIES
Gender-related interventions in PY5 are developed with reference to the USAID Gender Policies with the following details:
• USAID IUWASH PLUS strives to contribute to the achievement of SDGs targets related to clean water and sanitation by focusing on Low Income Communities who still cannot access safe drinking water and sanitation. Conducting market segmentation survey to identify which groups in community eligible to receive full subsidies and which groups that still could access micro credit for WASH improvement is one example from this effort. This is aligned with one of the three outcomes contained in the USAID 'Gender Policy, that is reduce gender disparities in access to, control over and benefits from resources, wealth, opportunities, and services - economic, social, political, and cultural.
• USAID IUWASH PLUS through its activities in community seeks to involve women, particularly during technical meeting or training on WASH to ensure they will have opportunities to utilize their knowledge and skills in private life or in professional life. Having the ability to speak up and express their opinions is another benefit women can get from their participation in WASH community meetings or trainings. This can be seen as the manifestation of one outcome cited in USAID’s Gender Policy that is increase capability of women and girls to realize their rights, determine their life outcomes, and influence decision making in households, communities, and societies.
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6.2 PY5 GENDER ACTIVITIES
Gender focal activities in PY5 are listed in the following exhibit.
Exhibit 37: Gender Focal Activities for PY5
Activity Location Output Timeline
Coordination meeting of Gender Working Group (GWG) USAID IUWASH PLUS (Biannual)
National Agreement on schedule and methods for PPRG Monitoring and Evaluation Training for LGs (1st meeting)
Guideline on development of gender activities lessons learned has been delivered (2nd meeting)
Nov 20, Jan 21
Development of IEC materials on gender mainstreaming activities in the form of animated video
National Video available to support awareness raising and capacity building activities on gender
Oct 20
Development of lessons learned for Gender Mainstreaming Program Activities
National Lessons learned for Gender Mainstreaming Program Activities collected and developed
Jan – Jun 21
Advocacy, capacity building and technical assistance to support LG to implement PPRG in pilot locations, which includes:
Training on PPRG Monitoring and Evaluation for LGs in 10 pilot locations
Implementation of PPRG Monitoring and Evaluation for LGs in 10 pilot locations
Regional Increased LG’s performance on PPRG in pilot locations
Nov 20 – Mar 21
Capacity building and technical assistance to support LG to implement PPRG in one additional location (non-pilot) which includes:
Technical assistance to develop Gender Responsive Budget
Advocacy and technical assistance to develop regulation on PPRG
Regional Increased LG’s performance on PPRG in one non pilot location
Nov 20 – Mar 21
WASH gender programming by integrating gender into technical training), such as:
Capacity building for WASH committees on O&M, administration and institutional management
Capacity building for WASH entrepreneurs and Micro Finance Institutions (MFIs)
Promotion of safely managed WASH and Market Based Sanitation
Regional Increased awareness among community members about gender issues in various WASH sector
Oct 20 – Jun 21
Sharing workshop among USAID IUWASH PLUS partners on Gender Mainstreaming Programs
National Lessons learned on gender mainstreaming activities has been shared to USAID IUWASH PLUS partners
Jun 21
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7 REGIONAL LEVEL TECHNICAL ACTIVITIES
7.1 NORTH SUMATRA
In the final year of the program implementation (Program Year 5), the activities of USAID IUWASH PLUS in North Sumatra focus on three things. The first focus is on a number of outcomes that will probably be unreached due to COVID-19 and other external factors. The activities under this focus become a top priority to enable achievement close to the target. The second one is on some activities to pursue the outcomes, which definitely will be achieved in PY5. The third focus is on the activities that have reached the outcome targets, but still have to continue since they have become a joint agenda with partners.
A number of activities on top priority are the efforts to improve outcome HR1b (Number of B-40 people receiving improved service quality from an existing basic or safely managed drinking water service), in the form of advocacy and assistance for water supply grants, communal SPAM, and collaboration in building master meters with Coca Cola Foundation Indonesia in Medan City.
The efforts to improve outcome C1a (Number of B-40 people gaining access to shared or basic sanitation services) are implemented primarily through triggering of community-based total sanitation (STBM) and behavior change campaigns. The progress is monitored and evaluated in a participatory manner by a team from the community. The behavior change is developed into a sanitation business to provide both direct impact on the C1g outcome (Number of toilets and septic tank systems sold) and indirect impact on the C2c outcome (Number of local sanitation management units with improved service delivery performance) through assistance to wastewater operators.
All the above activities will increase the C3e outcome (percentage change in budget appropriations for WASH by targeted local governments). To support the achievements of HR1b and C1a outcomes, in parallel, the project advocates for sanitation and water supply grants, strengthens regulations and institutions and prepares minimum service standards for sanitation and water supply.
The final activity is to increase the C2a outcome (Number of water utilities (PDAMs) with improved service delivery performance) through assistance in preparing a business plan for PDAM Tirtanadi - Medan and a business plan and SOP for PDAM Tirta Nauli Sibolga.
The second priority is several activities that focus on developing the sanitation business to achieve the outcome of C1c (Number of Business Development Services (BDS) in Medan City) and increase that of C1d (Number of WASH enterprises with improved WASH products or service offerings). The activities include strengthening the business capacity of sanitation business actors and microfinance institutions and increasing the number of masons and sanitation salespeople.
Other activities under this priority are to achieve the C1e outcome (Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services) through the expansion of the My Tirtanadi application. These include the promotion of impermeable septic tanks and scheduled desludging services (LLTT) in Medan City and the involvement of Radio Deli Serdang Berseri for the promotion of not only behavior change, but also sanitation and water supply products. The last activities under this priority aim to achieve the C1f outcome (Number of community action plans adopted) through the integration of the community action plan (RKM) resulting from participatory monitoring and
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evaluation activities into the local government work plan (RKPD) and participation in sub-district and district/city development planning meetings (Musrenbang).
The remainder of the activities are the third priority, i.e., the activities that have reached the outcome targets but still have to continue since they are a joint program of partners in the five assisted cities/districts, such as measuring and institutionalizing the index of sanitation, PDAMs, and governance. The efforts to improve PDAM health are through assistance in reducing NRW, increasing Energy Efficiency, protecting raw water, and preparing Perumdas to replace PDAMs.
Assistance in the sanitation sector through strengthening wastewater operators in each assisted city is also encouraged to become a forum for sanitation business actors, IPLT functionalization or optimization, and LLTT implementation in the cities of Tebing Tinggi, Pematang Siantar, and Sibolga. It is expected that the sanitation sector will become a large entity accommodating business actors ranging from community - government – masons – salespeople – hardware stores - BDS - sanitation entrepreneurs - wastewater operators.
In addition, gender aspects need strengthening through assistance in drafting regulations on gender mainstreaming and gender-responsive budgets.
The North Sumatra target toward AMEP Results and organizational chart can be seen respectively in Annex 2 and 3.
7.2 WEST JAVA, DKI JAKARTA, TANGERANG
In early 2020, the coronavirus disease or COVID-19 pandemic hit the world, including Indonesia. This pandemic triggered the implementation of West Java, DKI Jakarta, and Tangerang District to limit operation in the field with Large Scale Social Restrictions (PSBB) in all the seven assisted cities and districts to reduce the spread of the virus.
The impact of the COVID-19 pandemic has slowed down all activities of the four components of the IUWASH PLUS Program. However, in PY5, the USAID IUWASH PLUS West Java, DKI Jakarta and Kabupaten Tangerang (WJDT) team will continue to support seven cities/districts to improve LG commitment to inclusive WASH development processes including the capacity of government, civil society, and citizens to meet the SDG targets by 2030.
Safely managed water, sanitation, and hygiene (WASH) services are an essential part of preventing and protecting human health during this covid-19 pandemic. One of the most cost-effective strategies for increasing pandemic preparedness, especially in resource-constrained settings, is investing in core public health infrastructure, including water and sanitation systems. Good WASH management practices that are consistently applied serve as barriers to human-to-human transmission of the COVID-19 virus in homes, communities, health care facilities, schools, and other public spaces.
As PY05 is the last fiscal year of the USAID IUWASH PLUS project, WJDT will only work and focus on critical activities that bring about outcome targets that need to be achieved as a direct impact to the vulnerable communities in regard to better access to water, sanitation, behavior change and reducing the spread of the virus.
Through USAID, the U.S. Government has provided 15 handwashing station units in Jakarta (DKI Jakarta); 25 units and 20 units, respectively, in Depok City and Bogor District (West Java) and
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installed them in high-density communities such as traditional markets and health centers to encourage frequent handwashing with soap to help reduce the risk of COVID-19 transmission.
Finally, the USAID IUWASH PLUS project will continue to work with its many partners in the seven assisted district and cities to achieve its mandated targets and transform all program methodologies to function sustainably in the coming years.
The West Java, DKI Jakarta, Tangerang target toward AMEP Results and organizational chart can be seen respectively in Annex 2 and 3.
7.3 CENTRAL JAVA
Entering the 5th and final year of the USAID IUWASH PLUS project, CJRO will implement the strategy to focus its activities on the outcomes that will probably be unreached by the end of the project and on the unachieved outcome targets in PY4 to be pursued in PY5. The strategy will be described in the following paragraphs.
The increase in sanitation access from open defecation (outcome C1a) and the number of septic tanks sold (outcome C1g) will probably be unachieved by the end of the project. Therefore, CJRO will increase BDS Sanitation marketing & advocacy activities, particularly in Surakarta city, Sukoharjo district, Magelang city, Sragen district, and Magelang district.
For the achievement of improved HWWS behavior (outcome C1b), CJRO will focus on:
• Promotion of HWWS to households in hotspot locations and zone of influence through multi-party and community meetings in 7 districts/cities.
• Promotion of HWWS to communities in hotspot locations and zone of influence through the commemoration of World HWWS Day in the cities of Surakarta and Magelang.
For the achievement of the total number of CEM mechanism implementations (outcome C1e), CJRO will continue the development of the existing and potential new CEM mechanisms in Surakarta City, Magelang City, Magelang District, and Sukoharjo District
For the achievement of the number of community action plans (RKMs) implemented (outcome C1f), CJRO will encourage the RKMs not yet adopted and the development of RKMs from new replication locations in 7 cities/districts.
The target of access to water supply for B40 populations (outcome HR1b) will probably be unreached by the end of the program, thus extra efforts are required to achieve the outcome target. CJRO will focus on assisting the Urban Water Supply Grants program for fiscal year (FY) 2020 (6,000 household connections/HCs) and FY 2021 (6,500 HCs) in Sragen District.
For the achievement of the PDAM Index (outcome C2a), CJRO will increase the intensity of assistance to raise the PDAM Index value for PDAM Sragen (focus on SOP and support to water grants), PDAM Magelang District (focus on business plan review), and PDAM Surakarta City (focus on increased HCs and support to water grants).
The targets of HR2 at the national level and CJRO (Targets up to PY4: 23,924, LOP: 28,335) have been achieved. For PY5, CJRO will focus on the Quality of Safe Sanitation and Sustainability.
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The Governance Index (outcome C2d) has also achieved the target. For Salatiga City and Wonosobo District, however, the index is only slightly above the target. Therefore, CJRO will focus on maintaining the already achieved index.
For Sanitation Index (outcome C2c), Sukaharjo district, Magelang district, Salatiga city, and Wonosobo district have not reached the target. To obtain a maximum value increase, CJRO will focus its efforts on assisting with formulating regulations and preparing SOPs.
As for the WASH finance aspect, from the targeted 8 WASH Partnerships (outcome C3b), seven have been achieved. In Program Year 5 (PY5), CJRO will advocate for desludging services with three partnerships: Surakarta (2) and Sragen (1).
Meanwhile, for the increase in the APBD for WASH development (outcome C3e), it is estimated that the national target is unachieved. In Central Java, however, the seven assisted cities/districts have achieved a 20% increase in the WASH budget. CJRO will continue its intensive advocacy to Magelang District because the increase in its water and sanitation APBD index is the lowest.
The Central Java target toward AMEP Results and organizational chart can be seen respectively in Annex 2 and 3.
7.4 EAST JAVA
The total area of East Java Province is approximately 47,800 km2 with a total population of approximately 39,699,000 people (Source: Jatim Dalam Angka 2020), consisting of 38 cities/districts. The target of USAID IUWASH PLUS facilitation in sanitation sector is increasing access to sanitation facilities and “Safely Managed Sanitation” and improvement of Domestic Waste Water Management, especially for Probolinggo City where the Sanitation Index is still below the target. For the water supply sector, the Performance Index of PDAM Probolinggo City is still below the target, so in this period USAID IUWASH PLUS will focus on the facilitation to increase its performance. In both the areas of Sanitation and Water, IUWASH PLUS will continue to facilitate the improvement of access and management of water and sanitation at both the institutional and community levels.
During the 4 years assisting communities in hotspots, public awareness in the WASH sector has gradually increased. This is indicated by the increase in sanitation access in hotspots. From the results of participatory monitoring and evaluation, at least 676 households in 19 hotspots in 6 cities / districts have improved their sanitation access.
To support the sustainability of community activities in WASH sector, in program year 5 USAID IUWASH PLUS will develop an exit strategy. The activities include connecting the participatory monitoring and evaluation method with related agencies (Dinas Kesehatan, BAPPEDA), sharing success stories and lessons learned of urban STBM implementation and continue to support the local government to implement safely managed sanitation based on SDGs requirements. Another strategy to ensure the sustainability of WASH sector programs is to improve the role of Community Engagement Mechanism (CEM) at the community level to the city / district level.
The rising star in program year 4 is Sanitation Marketing and will be continued. In program year 5, sanitation marketing will focus on promoting and marketing of the water and sanitation microfinancing products from WASH enterprises such as MFIs and BUMDes (Lumajang and Probolinggo District), and supporting technical assistance for new WASH enterprises by BDS (Probolinggo City and Probolinggo District, Lumajang District and Malang District and Malang City).
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The Drinking Water sector will focus on activities to improve and maintain the PDAM Value Index for PDAM USAID IUWASH PLUS partners, so that the C2a and HR1a outcomes can be calculated. PDAM Kota Probolinggo received special attention in this PY05 because the PDAM Index value had not reached the minimum target expected. There are several special activities to increase the value of the PDAM Index, namely assistance in the preparation of Technical SOPs, capacity building / training to decrease the percentage of NRW levels, especially facilitation of production capacity corrections based on measurement results, institutional advocacy for structural NRW managers and support for replacement / installation of master meters and customer water meters. Other activities are Energy Efficiency capacity building, particularly facilitating the Energy Efficiency program budgeting and supporting the implementation of the Energy Efficiency Audit results. Other programs that were facilitated were FGDs to improve FCR and Business Plan Review. At PDAM Kota Surabaya, activities will be carried out to strengthen the Master Meter Management Institution and the KSM Master Meter Communication Forum.
Activities to strengthen Technical SOPs, Capacity Building/ Training of NRW and Increase Energy Efficiency will be also carried out in PDAM Sidoarjo District, Gresik District, Probolinggo District and Lumajang District. GIS Capacity Building for Spatial Data was implemented in Probolinggo District and PDAM Malang District. Capacity Building for the preparation of RPAM documents is carried out at PDAM Sidoarjo District. Particularly in Malang District, Business Plan and Pra FS/ FS of PPP Review will also be facilitated, while PDAM Malang City will also be facilitated with a Business Plan for activities outside the drinking water sector to support company revenues. Spring Vulnerability Study Activities and construction of 15 sample units of infiltration ponds were carried out in Malang City, Probolinggo District and Lumajang districts respectively. To improve the results of HR1b USAID IUWASH PLUS will facilitate the Water Hibah and Communal SPAM. Water Hibah assistance will be implemented in Sidoarjo, Gresik, Probolinggo, Lumajang and Communal SPAM assistance / training will be carried out in Lumajang, Sidoarjo, Gresik, Probolinggo, Malang Districts.
For the Sanitation Sector, USAID IUWASH PLUS focuses on institutional and financial strengthening of sanitation sector / operator, as it is a crucial part in safely managed sanitation. The activities include, but are not limited to, Increase capacity for operators/UPTD and KPPs especially in Probolinggo City/District, Malang District and Lumajang District; improve customer database of the domestic wastewater operators based on MIS for Malang City using simple spreadsheet for Probolinggo City/District and Lumajang District; facilitate review of technical SOP and administrative SOP for Sidoarjo District; and Promotion of LLTT/LLTTT in Probolinggo City/District and Lumajang District.
In PY5, scoring of sanitation index as a yearly activity during the program implementation will be conducted in early 2021 for each city/district. This activity is considered important because this will be the last scoring.
To solve the problem of septage desludging domestic wastewater treatment plants in remote areas, USAID IUWASH PLUS runs an LSIC program for technology options for sludge dewatering in challenging areas in Malang City and Gresik District. This LSIC is implemented by PT ITS Tekno Sains, which consists of professionals on sludge dewatering. In PY5, one activity is monitoring the implementation of LSIC in Malang city and Gresik district.
In gender mainstreaming program activities, IUWASH PLUS continues advocacy activities for strengthening the driver team at District / City IUWASH partners to deepen their understanding of
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the substance of PPRG, as a provision for the driver team in facilitating OPD in the WASH sector in PPRG preparation, so that the WASH sector budget may increase to ensure program sustainability.
All of the activities above will be supported with related regulations and alternative financing.
In PY5, measuring the improvement of people's understanding and behavior in terms of washing hands with soap is the last measurement to see the increase in the percentage of households that practice this behavior both in the Intervention Zone and in the Influence Zone. This measurement activity has been carried out 3 times in previous years with an increasing trend year on year. With the current covid-19 pandemic situation, the promotion of washing hands with soap has become a massive activity carried out by USAID IUWASH PLUS with related partners both through online media and in-person activities in the community. Various parties have also provided support for hand washing using soap in the community, including the US civil military. These activities are expected to increase the percentage of households that practice hand washing with soap by 20% from the baseline.
This year participatory monev activities entered the fourth cycle, with this year being the last year of USAID IUWASH PLUS assistance in hotspots. Each cycle has 6 stages of participatory monev activities. In order for this participatory monev activity to continue into the next cycles, in stage 2 data collection activities related to drinking water and sanitation access and hygiene behavior in hotspot locations have started using the appsheet application. It is hoped that by using this application, the Monev Team will no longer experience difficulties in collecting data where previously data was collected manually. The results of this data collection will be presented in the form of a map to describe the development of access to drinking water and sanitation in hotspot locations so that it can also be used as an advocacy material for community deliberations, stakeholder meetings and writing RKM documents. The expected success in using the appsheet application for monev will be packaged in a success story which can then be shared with relevant stakeholders.
The measurement of the achievement of access to drinking water and proper and safe sanitation, especially for low-income people (B40), is the last measurement. This measurement will be carried out using the mWater application in 8 districts / cities assisted by USAID IUWASH PLUS, East Java. The drinking water program will measure B40 for the beneficiaries of the Grant, SPAM, Master Meter and PDAM Regular Connection programs. Meanwhile, the sanitation program will measure the Grants, Micro Credit and Non-Governmental Organization programs.
The mWater application will also be used to measure the proportion of B40, and also be used by the UPTD Malang District to assist enumerators training activities and LLTT customer information and is applicable as material for the preparation of MIS in Malang District.
The East Java target toward AMEP Results and organizational chart can be seen respectively in Annex 2 and Annex 3.
7.5 SOUTH SULAWESI AND EASTERN INDONESIA
South Sulawesi and Eastern Indonesia (SSEI) region continues to work in three cities and five districts of four provinces, namely Makassar city, Bulukumba, Barru, and Bantaeng districts in South Sulawesi province; Central Maluku district in Maluku province; Ternate city in North Maluku province; and Jayapura city and Jayapura district in Papua province.
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During PY4 period the USAID IUWASH PLUS program in collaboration with Provincial and City/District Government completed several important project component activities despite the COVID-19 pandemic situation affecting Government budget allocation to WASH sectors and the mode of project implementation turned mostly to online FGD/meeting/workshop and training. The completed activities at the community level include cycle 3 participatory monitoring and evaluation, HWWS promotion, strengthening WASH business capacity, CEM establishment through LAPOR SP4N and local radio station. At the institution level, focus was on reviewing Government, Sanitation, PDAM index, Review PDAM for business plan, SOPs review, NRW & EE, KKMA program, supporting UPT PALD for reviewing and development of domestic waste water SOPs and roadmap, WASH related Regulation development.
The total program budget expenditure in PY 4 was approximately 75% of the total budget. The low spending was due to the covid-19 pandemic. The total budget proposed for PY 5 (6-month period) is RP. 1,997,000,000.00.
Focus activities in PY 5 for SSEI, primarily is to ensure the targeted outcomes especially for HR2b, C1a and C1g will be achieved. The support to WASH Entrepreneur and MFI on the sanitation marketing (including the selected BDS) will be prioritized to ensure business sanitation is running. The cycle 4 participatory monitoring will be completing in early December 2020 and the hand washing with soap promotion will continue until February 2020.
The support to respective PDAM, especially on the water grant program, will continue and assistance will be provided to the NRW and EE program, the development of SOPs, business plan and tariff calculation, KKMA program, RPAM framework and related regulation. In the sanitation sector, most of the sanitation index in each city/district increased and is 10% or more. In PY5 the activities will focus on supporting the start-up of BLU in Makassar and some administrative matters such as SOPs and road map will be supported.
Some activities to support the local government are on gender program. It is to refresh training on PPRG for LG staff to ensure annual program and budget allocation and the lessons learn on gender activities. Another activity is the finalization of the Pokja AMPL road map for South Sulawesi province.
The South Sulawesi and Eastern Indonesia target toward AMEP Results and organizational chart can be seen respectively in Annex 2 and 3.
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8 PROJECT MANAGEMENT
8.1 INTRODUCTION
Project management for USAID IUWASH PLUS—as with any large, multi-year undertaking—is complex and critically important to the smooth and effective operation of the project. This section covers the approaches and tasks to be undertaken in various aspects of USAID IUWASH PLUS management during the fifth project year. In this section, we cover the areas of general project management and reporting.
8.2 GENERAL PROJECT MANAGEMENT
USAID IUWASH PLUS is approaching the final year of the project implementation (to be exact, the last 17 months due to two project extensions). The project continues to maintain a high standard of project operation in order to end the project in a successful manner. High standards are applied through utilizing an organizational structure that fosters integration and coordination across technical components. Project success depends on the effectiveness of managing the project’s technical components with strong support from the operations teams. Their ability to operate effectively (both independently and as an integrated whole) is equally dependent on the organizational and management structures and systems the team put into place in their support. This general approach to project management is based on a clear understanding of the project’s targeted High-Level Results and outcomes, the establishment of lines of authority among team members that respond to these results and outcomes, and the maintenance of fully compliant yet highly supportive project planning, coordination, financial and administrative systems. The current team has grown large and requires complex operations, especially with the additional component (USAID-SECO partnership program) that began operations in mid-PY3. Recently, there have been some changes in the organizational structure of national counterpart agencies that also created an impact to the project management component. While the funding streams may be distinct, USAID IUWASH PLUS continues to be managed as a single, seamless, integrated team. Organizational charts for the project’s national and regional offices are provided in Annex 3, and the following sections provide additional detail on the organizational structure at national and regional levels.
8.2.1 NATIONAL OFFICE
As the center of the program management activities, the Jakarta “National” office continues to serve as USAID IUWASH PLUS headquarters, which manages relationships and reporting to USAID and central government counterparts. The Jakarta Office also serves as the base for the Project’s designated key personnel, senior technical specialists, and lead finance and administrative personnel; all of whom work closely with the project’s regional teams. The team at the national office continues to play the following roles:
• Provide overall strategic direction and technical leadership, ensuring technical coherence and maximizing cooperation across all technical components, as well the USAID-SECO Partnership Program (for both national-level work and that related to West Java operations).
• Oversee national engagement with central GOI stakeholders such as BAPPENAS, the Ministry of Public Works and Housing, the Ministry of Health, other donors and other stakeholders.
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• Communicate, coordinate and serve as a liaison with USAID, the GOI, other donors and stakeholders.
• Coordinate with other WASH projects and initiatives, as well as actively engage several fora working in response to the COVID-19 pandemic (GOI WASH Cluster, National Coalition for Handwashing with Soap and USAID COVID-19 Cluster 1 Coordination Team).
• Provide technical support, guidance and resources to the regional offices.
• Ensure that all offices apply common standards and approaches in project activities.
• Disseminate success stories, best practices, lessons learned, and innovations.
• Monitor and evaluate project performance.
• Manage the Local Sustainability and Innovation Component (LSIC).
• Coordinate the project sub-contractors to contribute their expertise on supporting the project implementation.
• Oversee USAID IUWASH PLUS administration and finances, ensuring that DAI and USAID compliance policies and procedures are implemented and adhered to in a uniform manner across all offices.
8.2.2 REGIONAL OFFICES
The frontline of USAID IUWASH PLUS project implementation is the regional teams because project activities and events are largely conducted at the regional level. These activities are coordinated under the management of USAID IUWASH PLUS Regional Offices. The regional offices are located in Medan (covering North Sumatra), Jakarta (covering WJDT and SECO), Surakarta (covering Central Java), Surabaya (covering East Java), and Makassar (covering South Sulawesi and Eastern Indonesia). These offices are the “heart” of project implementation that serve as primary implementation centers for all assistance provided to the local level. The teams from each Regional Office work directly day-to-day with the local partners at city/district and provincial levels. Regional offices are led by Regional Managers who guide technical teams and are responsible for day-to-day activity implementation and direct interface with provincial and local government partners. Regional offices are likewise staffed with senior specialists in each area of programmatic involvement (water supply, sanitation, behavior change and marketing, finance, and governance), as well as a full complement of finance, administrative, M&E, and logistical support personnel—with the office in Central Java also accommodating SECO-funded staff assigned to that work area. Importantly, USAID IUWASH PLUS also boasts a network of “WASH Facilitators”, whose work is overseen and supported by the regional offices. WASH Facilitators are embedded within each partner LG and serve in both coordinating local activities and ensuring strong communications and coordination with the program’s regional and national offices.
8.2.3 MATRIX MANAGEMENT
In the final year of USAID IUWASH PLUS project implementation, the project team continues to apply the benefits of a “Matrix Management” structure to have better project management due to the technical and geographical complexities of program implementation. This matrix presents the mechanism on staff reporting, supervision and support. More specifically, all the USAID IUWASH PLUS staff have both a primary supervisor based on geography as well as a secondary supervisor based on technical or operational function. For example, a senior urban sanitation specialist in a
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regional office reports first to the Regional Manager with secondary reporting to the national urban sanitation coordinator in Jakarta. Similarly, a regional accountant reports directly to the Regional Manager with secondary oversight provided by the Finance Officer in Jakarta. Not only does such a structure provide for improved oversight of staff, but more importantly, it also promotes strong communication and consistency between the national and regional levels. This arrangement provides support to the key message for strengthening and balancing of community-based and institutional-based activities.
The updated Matrix Management chart for USAID IUWASH PLUS is provided in Annex 4.
8.2.4 RELATIONSHIP BETWEEN THE PROJECT AND DAI HOME OFFICE
During the past year, PY4, USAID IUWASH PLUS experienced limited direct support from the DAI Home Office team to project implementation. This occurred because of the global health pandemic, COVID-19. Direct support from the DAI Home Office Team happened only in the first 2 quarters of PY4. After the advent of the COVID-19 pandemic, there were several international assignments postponed and conducted by virtual methods. Required support from DAI Home Office team was mainly accomplished through virtual mechanism, although some effectiveness is lost in this way. These online methods remained in place until the end of program year 4 and is assumed to remain in place into the early quarters of PY5. There are numerous ways the DAI Home Office supports the field office, including providing technical oversight, responding to USAID requests for contractual information, issuing accurate monthly invoices and other financial statements, assisting with recruitment, mobilizing short- and long-term personnel, and reviewing the office operation during COVID-19 pandemic period. Specifically for this project year (PY5), support from the DAI Home Office will assist with project close-out for technical and administrative aspects. These services through a Senior Project Manager supported by a Project Associate. The Senior Project Manager will provide overall technical support to USAID IUWASH PLUS and serves as the COP’s day-to-day point of contact in the DAI home office. The home office team organizes quarterly project reviews online with senior staff to discuss and resolve management and technical issues or respond to requests for information. They also coordinate home office support (including Finance, Contracts, Procurement, Information and Management Technology, Human Resources, etc.) to ensure that the project has the support and resources needed to manage USAID IUWASH PLUS and meet and hopefully exceed USAID expectations. Approximately twice a year, the home office also holds a client satisfaction meeting with the TOCOR to ensure that any issues are being properly identified and addressed.
8.2.5 PLANNED GENERAL PROJECT MANAGEMENT ACTIVITIES
Internal coordination within the USAID IUWASH PLUS team is a key project management activity. The coordination has been conducted through various ways at regional and national level. Internal coordination aims to:
• Promote inter-regional exchanges among staff to review programmatic progress, challenges, and best practices—and quickly integrate lessons learned from one region into Project plans and activities in others, thus encouraging sustainability and consistency.
• Maximize the above exchanges through the use of web-based video calling and conferencing capacity to not only better manage specific issues and decrease travel costs, but also facilitate open communication, adaptive management, and team cohesion across its many work locations.
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• Coordinate the implementation of COVID-19 health protocols. This covers several aspects such as health status of staff and family members, monitoring COVID-19 cases in respective offices, and reviewing the offline events and inter-city travel to comply to the protocols.
For the foreseeable future, we still anticipate that many activities will be conducted virtually due to lingering local restrictions of COVID-19 pandemic. Whenever available, the management will review the implementation of these activities to get back to normal practice. Several coordination activities planned as follows:
• Regular quarterly coordination and planning meetings with the Regional Managers
• Regular monthly meetings at the regional level, except for the South Sulawesi/Eastern Indonesia region office which are implemented bi-monthly due to the very dispersed nature of its staff and programs.
• Regular in-office and online Monday Team Meetings among the senior managers in national and regional teams
• Regular bi-weekly meetings with the USAID/Indonesia team
• Ad-hoc technical team coordination meetings as required, depending on issues which may be raised.
8.2.6 COORDINATION WITH THE USAID IUWASH PLUS TCA AND TECHNICAL TEAM AT THE GOI NATIONAL LEVEL
As part of project management, the coordination with the key partners at national level is a key for establishment of project acceptance and sustainability. The strong coordination will not only support the USAID IUWASH PLUS team to achieve the High-Level Results and other outcomes, but will also promote smooth implementation of the project activities. Coordination with the key partners at national level is now implemented under a new umbrella of G-to-G agreement between the Government of the United States (USG) and the Government of Indonesia (GOI), called GIA UWASSH (Grant Implementation Agreement of Urban Water, Sanitation, Solid Waste and Hygiene). Under this agreement, the National key partners for USAID IUWASH PLUS are still led by the BAPPENAS as the Implementing Agency (IA) and supported by a Technical Team (TT) that consists of several directorates under the Ministry of Public Works and Housing, the Ministry of Health and, new this year to the team, the Ministry of Home Affairs. Under the Ministry of Public Works and Housing, USAID IUWASH PLUS works with the Directorate of Water Supply (Direktorat Air Minum) and the Directorate of Sanitation (Direktorat Sanitasi). Under the Ministry of Heath, USAID IUWASH PLUS works closely with the Directorate of Environmental Health and, under the Ministry of Home Affairs, USAID IUWASH PLUS will work closely with the Directorate of Synchronization of Regional Government Affairs II (Direktorat SUPD II). USAID IUWASH PLUS and the IA have developed a calendar of coordination activities that consist of several regular activities as follows:
• Quarterly Technical Team Meeting: This meeting aims to share the progress of the program implementation at field level, including the problems faced and challenges raised of the program implementation. In this meeting, USAID IUWASH PLUS seeks inputs from IA and TT, listens to their concerns, and coordinate synchronization between USAID IUWASH PLUS and ministries’ program activities. This effort is expected to develop the foundation for future legacy of USAID IUWASH PLUS.
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 81
• Monitoring and Evaluation Visits (three times annually): Understanding realities on the ground is essential for the IA and TT to fulfill their role of resolving issues, bringing best practices to local partners and motivating them to make further improvements in the WASH services they provide. In PY5, we plan to conduct three visits annually, depending of course on the COVID-19 conditions. It is anticipated that several visits will be done virtually through online meetings or combination of online and offline meetings and field visits.
• Echelon 2 Coordination Meeting (twice annually): This meeting strengthens coordination and seeks support for the implementation of the USAID IUWASH PLUS project. Topics discussed in these meetings focus on the strategic efforts and whether to agree on some improvements and innovations or implement more integrated support among the national stakeholders on WASH sector improvement. These meetings also aim to facilitate approval processes, such as that related to USAID IUWASH PLUS work plans and reports.
• Work Plan Development Consultation: This meeting provides for a technical review of the program’s annual work plan development as well as the opportunity to better align it with GOI initiatives and priorities.
• BAST Reporting: Annual “BAST” or handover reporting is a critical GOI requirement and, as during past work planning periods, USAID IUWASH PLUS will prepare two BAST reports for PY5 in accordance with reporting requirements of the GOI system in BAST reporting. This includes assisting USAID Indonesia in providing required information, as well as seeking letters of confirmation from national and LG partners that have received technical assistance from the project during the reporting period.
8.2.7 PROJECT CLOSE-DOWN
Approaching the final year of USAID IUWASH PLUS project implementation, the management team will plan to conduct project close-down activities. These activities cover both technical and administrative aspects of the project. Activities planned for project close-down are generally as follows:
• Final Project Evaluation
• Regional Level Closing Events
• National Level Closing Event
• Conduct grant closeouts
• Non-Expendable Property (NXP) disposition
• Close-out the financial expenditures (internal audit of vouchers, clearing all outstanding advances, making final payments, closing bank accounts, and the like)
• Close-out the personnel (internal audit of personnel paper work, termination, paying severance where due, closing the health insurance benefit and employee tax, prepare letters of recommendation for employees, assist with resume updating, and prepare project exit forms.
• Final BAST report
82 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
8.2.8 PLANNED GENERAL PROJECT MANAGEMENT ACTIVITIES
While the above sets forth the overall structure of how USAID IUWASH PLUS is organized and managed, there are several critical general management tasks that will be undertaken in PY5 to ensure on-going and smooth operations. These are summarized in the following table.
Exhibit 38: Project Management Main Programs for PY5
Activities Output Timeline
Develop and submit Project Year 5 Work Plan PY5 Work Plan submitted and approved by USAID and IA/TT
Oct – Nov 2020
Conduct training for all staff in Business Ethics, Anti-Discrimination and Security Management
Establish improved understanding of appropriate business behaviors and protocols
At least once annually (Oct 2020)
Refresher training on USAID IUWASH PLUS Technical and Administrative Management Info. System (TAMIS), especially for preparing the project final report
Project TAMIS is tailored to meet IUWASH PLUS technical and operational needs in PY5 and project final report.
Oct 2020 – Jan 2022
Conduct National-level Planning and Coordination Meeting with Regional Managers
Ensure the exchange of experience and resolution of issues across work areas as well as common understandings and buy-in concerning programmatic directions and approaches
Oct 20
Feb 21
May 21
Aug 21
Nov 21
Conduct Regular Technical Team meetings with National Partners
Progress of USAID IUWASH PLUS program shared and improve strategy as needed
Oct 20
Feb 21
May 21
Aug 21
Nov 21
Monitoring and Evaluation Visit by TCA/Technical Team
Lessons learned from the field shared to National partners and required follow up support developed
Nov 20
Apr 21
Aug 21
Dec 21
Echelon 2 Coordination Meeting Strategic support provided by the key national partners to strengthen the program implementation
Jan 21
Jul 21
Conduct regional closing events Closing events to share project results, best practices and lessons learned at 5 regions conducted
Mar 21
Jun 21
Aug 21
Oct 21
Conduct national closing event Closing events to share project results, best practices and lessons learned at national level conducted
Dec 21
Support USAID Indonesia to prepare BAST Reporting
Supporting documents for BAST report 2019 and 2020 developed
Jan 20,
Nov-Dec 21
Produce / distribute Quarterly Reports Four Quarterly Reports developed and approved by USAID
Dec 20, Mar 21, Jun 21, Sep 21
Produce / distribute Annual Report One Annual Report developed and approved by USAID
Oct 21
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 83
8.3 ENVIRONMENTAL COMPLIANCE
USAID IUWASH PLUS works with governmental agencies, the private sector, NGOs, communities and others to increase access to safe water and sanitation services as well as improve key hygiene behaviors among urban poor and vulnerable populations, ultimately leading to better community health and well-being. Although USAID IUWASH PLUS's main activities are capacity building, promotion, training, and technical assistance, there is also a limited number of construction activities directly paid for or associated with the Project. Given that construction activities fundamentally involve changes to both the natural and built environment, USAID IUWASH PLUS abides by the US Government’s environmental compliance policies and procedures as set forth Title 22, Code of Federal Regulations, Part 216 (22CFR216) As regulated under the Initial Environmental Examination (IEE) Asia 15-061 dated December 1, 2014, and IEE amendment #1 for Essential Service (Asia 19-018), all sub-projects (grants, subcontracts, localized actions with implementing partners) must be screened for environmental risk using the Environmental Review Form (ERF). Since conducting the IEE and the award of the USAID IUWASH PLUS contract, USAID continues to ensure compliance of its environmental policy through both periodic reviews of project activities, as well as through the review and approval of the USAID IUWASH PLUS Environmental Mitigation and Monitoring Plan (EMMP). USAID IUWASH PLUS developed the first version of the EMMP under the auspices of the PY1 Annual Work Plan and continues to update the document with each new work plan. In addition, USAID provided training to USAID IUWASH PLUS national and regional staff to improve their environmental compliance knowledge and to conduct joint spot-checks in the field to help improve the Project’s implementation of environmental mitigation best practices. To refresh the knowledge, IUWASH PLUS conducted an Online Environmental and Social Safeguards Basic Course.
As mentioned in the IEE, most Project activities involved no negative impact or modification of the environment, thereby receiving a categorization of: Categorical Exclusion (CATEX). These activities included: classroom trainings, feasibility study preparation, sanitation marketing for improving WASH outcomes, policy and strategy development, surveys/public health surveillance (and other data-gathering assessments that do not involve research of human subjects), models and dissemination of resulting information, documentation of lessons learned and best practices. The IEE also included, however, a number of activities that may potentially have direct or indirect impacts on the environment (if not designed and implemented using sound environmental safeguards) and were therefore classified as Negative Determination with Conditions (NDWC). The NDWC activities included: on-the-job training like construction training, septic tank desludging training, construction of small-scale water supply and sanitation facilities that are designed to extend access to safe water and sanitation to the poorest and most vulnerable communities, and installation of individual and communal water and sanitation systems. To bolster its environmental compliance practices in PY03 and PY04, USAID IUWASH PLUS carried out several interventions including: ensuring that environmental compliance procedures were incorporated into all grant and subcontract scopes of work. For events classified as NDWC, USAID IUWASH PLUS also developed a mitigation and monitoring system with a standard operation procedure (SOP). Likewise, for activities carried out by sub-contract or grant, partners are now required to screen specific activities using the ERF form and make an ERR document, after which partners are required to fully complete an environmental monitoring & mitigation report (EMMR) form. In PY5, USAID IUWASH PLUS will focus on implementation of environmental mitigation and monitoring (including use of the EMMR) and also strengthen the capacity of partners involved in construction activities by providing training on environmental compliance and occupational health and safety. The USAID IUWASH PLUS team also
84 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
plans to conduct a study on the impact of the application of environmental compliance to the quality of environment.
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AN N EX
ANNEX 1: DETAILED PY5 TARGETS AND THE LIFE OF PROJECT TARGETS BY REGION
AMEP Outcome Indicator Target Over the Life of Project
Achievement To Date
Achievement
PY 5 Target Estimated Total Achievement by End of PY 5
PY1 PY2 PY3 PY4 Region Target Total
High Level Result (HR) HR1a – Total Connection Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator) 1,100,000 0 236,095 293,690 372,410
902,195 (82.02%)
NS 29,900
336,550 1,238,745 (112.61%)
WJDT 126,325 National 0 CJ 50,700 EJ 112,850 SSEI 16,775
HR1b – B40 Connection Number of people from the B40 and EI receiving improved water services quality as a result of U.S. Government assistance. (Standard Indicator)
500,000 (B40)
0 57,010 81,810 114,650 253,470 (50.69%)
NS 9,865
94,205 347,675 (69.53%)
WJDT 18,050 National 0 CJ 25,920 EJ 27,185 SSEI 13,185
HR2 – Stage 1 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance. (Standard Indicator) N/A 0 85,220 283,555 278,510
647,285 (N/A)
NS 55,490
205,190 852,475 (N/A)
WJDT 46,950 National 0 CJ 32,750 EJ 35,000 SSEI 35,000
High Level Result (HR) HR2 – Stage 2 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance. (Standard Indicator) N/A 0 36,975 322,960 287,350
647,285 (N/A)
NS 55,490
205,190 852,475 (N/A)
WJDT 46,950 National 0 CJ 32,750 EJ 35,000 SSEI 35,000
HR2 – Stage 3 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance. (Standard Indicator) 500,000 0 24,915 327,060 252,695
604,670 (120.93%)
NS 80,360
221,060 825,730 (165.15%)
WJDT 47,450 National 0 CJ 26,750 EJ 32,500 SSEI 34,000
TRAINING PARTICIPANT RESULTS T1 Number of people participating in USAID IUWASH PLUS training related activities (Custom Indicator) 100,000 20,557 36,687 32,078 40,162
129,484 (129.48%)
NS 2,000
20,000 149,484 (149.48%)
WJDT 5,500 National 0 CJ 5,800 EJ 4,400 SSEI 2,300
T2 Number of people trained to advance outcomes consistent with gender equality or
5,000 531 1,077 1,717 1,079 4,404 (88.08%)
NS 140
600 5,004 (100.08%)
WJDT 130 National 0
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AMEP Outcome Indicator Target Over the Life of Project
Achievement To Date
Achievement
PY 5 Target Estimated Total Achievement by End of PY 5
PY1 PY2 PY3 PY4 Region Target Total
female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator)
CJ 100 EJ 110 SSEI 120
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the bottom 40% by wealth gaining access to shared or basic or sanitation services as a result of USG assistance. (Standard Indicator)
250,000 (All B40)
0 17,520 35,165 68,680 121,365 (48.55%)
NS 10,965
60,635 182,000 (72.80%)
WJDT 22,570 National 0 CJ 18,840 EJ 5,660 SSEI 2,600
C1b Percentage of households with soap and water at a handwashing station commonly used by family members (Standard Indicator) 20% 0 0
7.22%
17.61% 17.61% (88.03%)
NS 5%
5% (average)
22.61% (113.05%)
WJDT 5% National 0 CJ 5% EJ 5% SSEI 5%
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator) 10 0 0 0 1
1 (10.00%)
NS 1
10 11 (110.00%)
WJDT 3 National 0 CJ 2 EJ 3 SSEI 1
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance. (Custom Indicator)
100 0 13 39 33 85 (85.00%)
NS 4
19 104 (104.00%)
WJDT 5 National 0 CJ 4 EJ 3 SSEI 3
COMPONENT 1 RESULTS: Improving Household WASH Services C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services. (Custom Indicator)
35 0 0 8 13 21 (60.00%)
NS 2
14 35 (100.00%)
WJDT 3 National 0 CJ 2 EJ 2 SSEI 5
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 N/A N/A 42 57 99 (99.00%)
NS 2
10 109 (109.00%)
WJDT 2 CJ 2 EJ 2 SSEI 2
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 N/A N/A 306 840 1,146 (22.92%)
NS 415
3,858 5,004 (100.08%)
WJDT 1,105 CJ 1,158 EJ 855 SSEI 325
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a 35
0 0 15 24
24 (68.57%)
NS 2 7 (cumulative)
31 (88.57%) WJDT 0
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AMEP Outcome Indicator Target Over the Life of Project
Achievement To Date
Achievement
PY 5 Target Estimated Total Achievement by End of PY 5
PY1 PY2 PY3 PY4 Region Target Total
Number of water utilities (PDAMs) with improved service delivery performance. (Custom Indicator)
National 0 (cumulative) CJ 1 EJ 1 SSEI 3
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban households, particularly in the face of climate change vulnerabilities.(Custom Indicator)
13 0 0 2 4 6 (46.15%)
NS 2
8 14 (107.69%)
WJDT 1 National 0 CJ 0 EJ 3
SSEI 2
C2c Number of local sanitation management units with improved service delivery performance. (Custom Indicator)
30
0 0 22 26 26 (86.67%)
NS 0
4 (cumulative)
30 (100.00%) (cumulative)
WJDT 1 National 0 CJ 2 EJ 1 SSEI 0
C2d Number of local governments with improved WASH service delivery performance. (Standard Indicator) 30 0 0 27 31
31 (103.33%)
NS 0
0 (cumulative)
31 (103.33%) (cumulative)
WJDT 0 National 0 CJ 0 EJ 0 SSEI 0
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services. (Custom Indicator)
35 3 24 34 31 92 (262.86%)
NS 2
8 100 (285.71%)
WJDT 1 National 0 CJ 2 EJ 1 SSEI 2
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service (Standard Indicator)
10,000 N/A N/A 7,960 35,115 43,075 (430.75%)
NS 0
9,500 52,575 (525.75%)
WJDT 0 CJ 6,000 EJ 2,500 SSEI 1,000
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government institutions, utilities, and/or enterprises securing finance for service delivery improvements. (Custom Indicator)
50 0 20 17 16 53 (106.00%)
NS 0
3 56 (112.00%)
WJDT 1 National 0 CJ 1 EJ 0 SSEI 1
C3b Number of public-private partnerships established with IUWASH PLUS support. (Custom Indicator)
40 0 6 13 11 30 (75.00%)
NS 4
17 47 (117.50%)
WJDT 5 National 0 CJ 4 EJ 2
88 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
AMEP Outcome Indicator Target Over the Life of Project
Achievement To Date
Achievement
PY 5 Target Estimated Total Achievement by End of PY 5
PY1 PY2 PY3 PY4 Region Target Total
SSEI 2 C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers. (Custom Indicator) 3 0 0 0 0
0 (0.00%)
NS 0
4 4 (133.33%)
WJDT 0 National 4 CJ 0 EJ 0 SSEI 0
COMPONENT 3: Strengthening the WASH Financing Environment C3d Number of Government of Indonesia institutions with increased capacity in commercial finance. (Custom Indicator)
5 0 0 0 0 0 (0.00%)
NS 0
5 5 (100.00%)
WJDT 0 National 5 CJ 0 EJ 0 SSEI 0
C3e Percentage change in budget appropriations for WASH by targeted local governments. (Custom Indicator) 20% 0 0 51% 58%
58% (291.84%)
NS
48% 48% 48% (240.00%)
WJDT National CJ EJ SSEI
C3f Amount of funding leveraged through WASH financing support. (Standard Indicator)
$50 Million $66,666.67 $8,695,341.13 $74,011,693.32 $97,672,831.02 $180,446,532.14 (360.89%)
NS $71,428.58
$11,000,000.03 $191,446,532.17 (382.89%)
WJDT $10,785,714.29 CJ $71,428.58 EJ $35,714.29 SSEI $35,714.29
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-agency coordinating entities at national level strengthened. (Custom Indicator) 2 0 0 1 1
2 (100.00%)
NS 0
0 2 (100.00%)
WJDT 0 National 0 CJ 0 EJ 0 SSEI 0
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4b Number of knowledge products developed (Custom Indicator)
20 1 12 16 45 74 (370.00%)
NS 0
10 84 (420.00%)
WJDT 0 National 10 CJ 0 EJ 0 SSEI 0
C4c Number of knowledge events or workshops held. (Custom Indicator)
60 6 23 28 16 73 (121.67%)
NS 1
5 78 (130.00%)
WJDT 1
National 0
CJ 1
EJ 1
SSEI 1
C4d 1,200 140 476
608
251 1,475 (122.92%)
NS 10 50
1,525 (127.08%) WJDT 10
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AMEP Outcome Indicator Target Over the Life of Project
Achievement To Date
Achievement
PY 5 Target Estimated Total Achievement by End of PY 5
PY1 PY2 PY3 PY4 Region Target Total
Number of people with increased knowledge/skills/awareness as a result of events/ workshops. (Custom Indicator)
National 0 CJ 10 EJ 10 SSEI 10
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted. (Custom Indicator)
5
0
1
1 2 4 (80.00%)
NS 0
2 6 (120.00%)
WJDT 0 National 2 CJ 0 EJ 0 SSEI 0
C4f Number of signature programs developed (Custom Indicator)
5 N/A N/A 0 2 2 (40.00%)
NS 0
4 6 (120.00%)
WJDT 0 National 4 CJ 0 EJ 0 SSEI 0
90 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
ANNEX 2: REGIONAL TARGETS TOWARDS AMEP RESULTS
NORTH SUMATRA
Result No. Indicator LOP Target
City/ District
Total Remark Kota Medan
Kab Deli Serdang
Kota Pematang
Siantar
Kota Sibolga
Kota Tebing Tinggi
HIGH LEVEL RESULTS HR1a (Total
Connection)
Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
1,100,000 24,000 2,400 2,400 300 800 29,900 From PDAM new connection and direct interventions
HR1b (B40
Connection)
Number of people from the B40 and EI receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
500,000 6,240 1,250 1,705 270 400 9,865
Potential number are from direct intervention to GoI water grant program, LG funded community based water supply program and master meter program
HR2 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance (Standard Indicator)
500,000
24,715 24,260 4,550 810 1,155 55,490 The number will report under this outcome is from HR2 stage-3 24,715 24,260 4,550 810 1,155 55,490
24,715 24,260 9,395 1,535 20,455 80,360
Participant Training Results T1 Number of people participating in USAID
IUWASH PLUS training related activities (Custom Indicator)
100,000 400 400 400 400 400 2,000 From all IUWASH PLUS Training related activities
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator)
5,000 30 30 30 20 30 140
The gender training from the gender awareness training, and other training related to PPRG and gender mainstreaming (at least 3 hours session)
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the bottom 40% by
wealth gaining access to shared or basic or sanitation services as a result of USG assistance (Standard Indicator)
250,000 1,540 4,050 3,125 1,625 625 10,965
From all new basic and shared connection funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1b Percentage of households with soap and water at a handwashing station commonly used by family members (Standard Indicator)
20% 5% 5%
This result is counted at national level but the survey is conducted at regional level
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator)
10 1 0 0 0 0 1 Potential target is HAKLI Medan City
C1d Number of commercial enterprises with improved WASH product or service
100 1 1 1 0 1 4 All the commercial enterprises reported under this outcome will
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Result No. Indicator LOP Target
City/ District
Total Remark Kota Medan
Kab Deli Serdang
Kota Pematang
Siantar
Kota Sibolga
Kota Tebing Tinggi
offerings as a result of U.S. Government assistance (Custom Indicator)
support all sanitation access funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services (Custom Indicator)
35 1 1 0 0 0 2
Establishment of CEM in PDAM Tirtanadi Medan City and UPTD PAL Deli Serdang district
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 0 0 1 1 0 2
The community plans reported under this outcome are those that adopted by IPLUS stakeholder (LG & CSR)
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 71 171 71 41 61 415
Number of toilet & septic tank sold reported under this outcome are those that not limited to result of commercial enterprises mentioned in Outcome C1d
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a Number of water utilities (PDAMs) with
improved service delivery performance (Custom Indicator)
35 1 0 0 1 0 2 Continue to collect data for monitoring of PDAM performance index
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban households, particularly in the face of climate change vulnerabilities (Custom Indicator)
13 1 0 1 0 0 2
Continue to support the development of Spring Vulnerability Assessment and Action Plan in Medan city and Pematang Siantar city.
C2c Number of local sanitation management units with improved service delivery performance (Custom Indicator)
30 0 0 0 0 0 0
Continue to collect data for monitoring of sanitation management unit performance index
C2d Number of local governments with improved WASH service delivery performance (Standard Indicator)
30 0 0 0 0 0 0 Continue to collect data for monitoring of government performance index
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services (Custom Indicator)
35 0 0 1 0 1 2
P.Siantar: Regulation on WASH access acceleration T.Tinggi: Regulation on WASH access acceleration
C2f Number of people receiving improved sanitation service quality from an existing
10,000 0 0 0 0 0 0 There is no specific target in PY5
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Result No. Indicator LOP Target
City/ District
Total Remark Kota Medan
Kab Deli Serdang
Kota Pematang
Siantar
Kota Sibolga
Kota Tebing Tinggi
“limited” or “basic” service (Standard Indicator)
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government institutions,
utilities, and/or enterprises securing finance for service delivery improvements (Custom Indicator)
50 0 0 0 0 0 0
There is no specific target in PY5
C3b Number of public-private partnerships established with IUWASH PLUS support (Custom Indicator)
40 2 2 0 0 0 4 Potential target in Medan city & Deli Serdang District are from PPP of fecal desludging truck
C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers (Custom Indicator) 3
N/A
0
National target
C3d Number of Government of Indonesia institutions with increased capacity in commercial finance (Custom Indicator) 5
N/A
0
This result is applied only at national level. Potential targets are: PUPR,SMI, BAPPENAS, MOHA and MOF
C3e Percentage change in budget appropriations for WASH by targeted local governments (Custom Indicator)
20% 48% 48% Average target from all city/district
C3f Amount of funding leveraged through WASH financing support (Standard Indicator)
$50 M $
35,714.29 $
35,714.29 0 0 0
$ 71,428.58
Amount of funding leveraged comes from PPP of fecal desludging truck
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-agency
coordinating entities at national level strengthened (Custom Indicator)
2
N/A
0
This result is applied only at national level
C4b Number of knowledge products developed (Custom Indicator)
20 N/A 0 This result is applied only at national level
C4c Number of knowledge events or workshops held (Custom Indicator)
60 1 1 Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops (Custom Indicator)
1,200 10 10
C4e Number of national level WASH policies, regulations, guidelines or frameworks 5
N/A 0
This result is applied only at national level. Potential target are
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Result No. Indicator LOP Target
City/ District
Total Remark Kota Medan
Kab Deli Serdang
Kota Pematang
Siantar
Kota Sibolga
Kota Tebing Tinggi
developed, strengthened, or adopted (Custom Indicator)
RPAM Framework and Microfinance for WASH policy
C4f Number of Signature Program developed (Custom Indicator)
5
N/A
0
This result is applied only at national level. Potential target are Fecal Sludge Management, Urban STBM Approach, Microfinance for WASH, and Sanitation Marketing
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WEST JAVA/ DKI JAKARTA/ KAB.TANGERANG
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Bogor Kabupaten
Bogor Kota
Depok Kota
Bekasi Kabupaten Karawang
Kabupaten Tangerang
DKI Jakarta
HIGH LEVEL RESULTS HR1a (Total
Connection)
Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
1,100,000 22,100 43,035 13,060 13,060 20,000 15,070 0 126,325 From PDAM new connection and direct interventions
HR1b (B40
Connection)
Number of people from the B40 and EI receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
500,000 6,850 4,735 655 655 4,400 755 0 18,050
Potential number are from direct intervention to GoI water grant program and LG funded community based water supply program
HR2 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance (Standard Indicator)
500,000
6,500 16,750 11,200 4,500 0 5,500 2,500 46,950 The number will report under this outcome is from HR2 stage-3
6,500 16,750 11,200 4,500 0 5,500 2,500 46,950
6,500 16,750 11,200 4,500 500 5,500 2,500 47,450
Participant Training Results T1 Number of people participating
in USAID IUWASH PLUS training related activities (Custom Indicator)
100,000 800 800 800 800 800 900 600 5,500
From all IUWASH PLUS Training related activities
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator)
5,000 35 35 0 40 20 0 0 130
The gender training from the gender awareness training, and other training related to PPRG and gender mainstreaming (at least 3 hours session)
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the
bottom 40% by wealth gaining access to shared or basic or sanitation services as a result of USG assistance (Standard Indicator)
From all new basic and shared connection funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1b Percentage of households with soap and water at a handwashing station commonly used by family members (Standard Indicator)
20% 5% 5%
This result is counted at national level but the survey is conducted at regional level
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 95
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Bogor Kabupaten
Bogor Kota
Depok Kota
Bekasi Kabupaten Karawang
Kabupaten Tangerang
DKI Jakarta
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator)
10 1 0 1 0 1 0 0 3
BDS target is PUPUK Bandung and still on process development of other potential target in Depok City and Karawang District
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance (Custom Indicator)
100 1 1 1 1 0 0 1 5
All the commercial enterprises reported under this outcome will support all sanitation access funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services (Custom Indicator)
35 1 1 1 0 0 0 0 3
Establishment of CEM in Bogor city (Radio Sipatahunan ), Bogor District (Radio Tegar Beriman) and Depok City (Website Kominfo)
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 1 0 1 0 0 0 0 2
The community plans reported under this outcome are those that adopted by IPLUS stakeholder (LG & CSR)
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 165 115 115 180 85 265 180 1,105
Number of toilet & septic tank sold reported under this outcome are those that not limited to result of commercial enterprises mentioned in Outcome C1d
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a Number of water utilities
(PDAMs) with improved service delivery performance (Custom Indicator)
35 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of PDAM performance index
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban households, particularly in the face of climate change vulnerabilities (Custom Indicator)
13 1 0 0 0 0 0 0 1
Continue to support the development of Spring Vulnerability Assessment and Action Plan in Bogor city
96 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Bogor Kabupaten
Bogor Kota
Depok Kota
Bekasi Kabupaten Karawang
Kabupaten Tangerang
DKI Jakarta
C2c Number of local sanitation management units with improved service delivery performance (Custom Indicator)
30 0 0 1 0 0 0 0 1
Continue to collect data for monitoring of sanitation management unit performance index
C2d Number of local governments with improved WASH service delivery performance (Standard Indicator)
30 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of government performance index except DKI Jakarta
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services (Custom Indicator)
35 0 1 0 0 0 0 0 1
Kab.Bogor: Head District Regulation on Domestic Wastewater Treatment (PALD)
C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service (Standard Indicator)
10,000 0 0 0 0 0 0 0 0
The number reported under this outcome are the people recorded in city/ district still on stage-2 of Outcome HR-2
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government
institutions, utilities, and/or enterprises securing finance for service delivery improvements (Custom Indicator)
50 0 1 0 0 0 0 0 1
Potential target is from LG institution of Bogor District that secure finance from B2B IPA Ciawi project
C3b Number of public-private partnerships established with IUWASH PLUS support (Custom Indicator)
40 0 1 2 0 0 2 0 5
Potential target in Depok city and Tangerang District are from PPP of fecal desludging truck and B2B IPA Ciawi in Bogor District
C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers (Custom Indicator)
3 N/A 0
This result is applied only at national level.
C3d Number of Government of Indonesia institutions with increased capacity in commercial finance (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential targets are: PUPR,SMI, BAPPENAS, MOHA and MOF
C3e Percentage change in budget appropriations for WASH by targeted local governments (Custom Indicator)
20% 48% 48%
Average target from all city/district
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 97
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Bogor Kabupaten
Bogor Kota
Depok Kota
Bekasi Kabupaten Karawang
Kabupaten Tangerang
DKI Jakarta
C3f Amount of funding leveraged through WASH financing support (Standard Indicator)
$50 M 0 $
10,714, 285.71
$
35,714.29 0 0
$ 35,714.29
0 $
10,785, 714.29
Amount of funding leveraged comes from B2B IPA Ciawi and PPP of fecal desludging truck
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-agency
coordinating entities at national level strengthened (Custom Indicator)
2 N/A 0
This result is applied only at national level.
C4b Number of knowledge products developed (Custom Indicator)
20 N/A
0
This result is applied only at national level
C4c Number of knowledge events or workshops held (Custom Indicator) 60 1 1
Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops (Custom Indicator)
1,200 10 10
Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are RPAM Framework and Microfinance for WASH policy
C4f Number of Signature Program developed (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are Fecal Sludge Management, Urban STBM Approach, Microfinance for WASH, and Sanitation Marketing
98 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
CENTRAL JAVA
Result No. Indicator LOP Target
City/ District
Total Remark Kota Surakarta
Kota Magela
ng
Kabupaten
Magelang
Kota Salatiga
Kabupaten
Sukoharjo
Kabupaten
Sragen
Kabupaten
Wonosobo
HIGH LEVEL RESULTS HR1a (Total
Connection)
Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
Number of people from the B40 and EI receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
500,000 0 845 1,900 860 1,880 4,435 16,000 25,920
Potential number are from direct intervention to GoI water grant program and LG funded community based water supply program
HR2 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance (Standard Indicator)
500,000
20,000 1,000 0 3,000 2,750 1,000 5,000 32,750 The number will report under this outcome is from HR2 stage-3
20,000 1,000 0 3,000 2,750 1,000 5,000 32,750
20,000 1,000 0 3,000 2,750 0 0 26,750
Participant Training Results T1 Number of people participating
in USAID IUWASH PLUS training related activities (Custom Indicator)
100,000 800 800 800 800 800 900 900 5,800
From all IUWASH PLUS Training related activities
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator
5,000 10 40 40 0 10 0 0 100
The gender training from the gender awareness training, and other training related to PPRG and gender mainstreaming (at least 3 hours session)
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the
bottom 40% by wealth gaining access to shared or basic or sanitation services as a result of USG assistance (Standard Indicator)
From all new basic and shared connection funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1b Percentage of households with soap and water at a handwashing station commonly
20% 5% 5% This result is counted at national level but the survey is conducted at regional level
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 99
Result No. Indicator LOP Target
City/ District
Total Remark Kota Surakarta
Kota Magela
ng
Kabupaten
Magelang
Kota Salatiga
Kabupaten
Sukoharjo
Kabupaten
Sragen
Kabupaten
Wonosobo
used by family members (Standard Indicator)
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator)
10 1 0 0 1 0 0 0 2
BDS target is CEMSED UKSW Salatiga city and still on process development of another potential target in Surakarta city
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance (Custom Indicator)
100 1 1 1 0 1 0 0 4
All the commercial enterprises reported under this outcome will support all sanitation access funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services (Custom Indicator)
35 0 0 1 0 1 0 0 2
Establishment of CEM in Magelang District (Forum KSM) and Sukoharjo District (Kelompok Informasi Masyarakat)
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 1 0 0 0 1 0 0 2
The community plans reported under this outcome are those that adopted by IPLUS stakeholder (LG & CSR)
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 118 118 68 518 218 118 0 1,158
Number of toilet & septic tank sold reported under this outcome are those that not limited to result of commercial enterprises mentioned in Outcome C1d
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a Number of water utilities
(PDAMs) with improved service delivery performance (Custom Indicator)
35 0 0 0 0 0 1 0 1
Continue to collect data for monitoring of PDAM performance index
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban households, particularly in the face of climate change
13 0 0 0 0 0 0 0 0
There is no specific target this year. The activity will continue to monitor implementation of Spring Vulnerability Assessment and Action Plan in Magelang City, Magelang District and Salatiga City that already developed and completed on the previous year
100 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No. Indicator LOP Target
City/ District
Total Remark Kota Surakarta
Kota Magela
ng
Kabupaten
Magelang
Kota Salatiga
Kabupaten
Sukoharjo
Kabupaten
Sragen
Kabupaten
Wonosobo
vulnerabilities (Custom Indicator)
C2c Number of local sanitation management units with improved service delivery performance (Custom Indicator)
30 0 0 0 1 0 0 1 2
Continue to collect data for monitoring of sanitation management unit performance index.
C2d Number of local governments with improved WASH service delivery performance (Standard Indicator)
30 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of government performance index in all cities.
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services (Custom Indicator)
35 0 1 0 0 0 1 0 2
Kota Magelang: Regulation on STBM Kab.Sragen: Head District Regulation on Domestic Wastewater Treatment (PALD)
C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service (Standard Indicator)
10,000 0 0 0 0 0 1,000 5,000 6,000
The number reported under this outcome are the people recorded in city/ district still on stage-2 of Outcome HR-2
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government
institutions, utilities, and/or enterprises securing finance for service delivery improvements (Custom Indicator)
50 0 0 0 0 0 1 0 1
Potential target is from LG institution of Sragen District that secure finance from PPP of fecal desludging truck
C3b Number of public-private partnerships established with IUWASH PLUS support (Custom Indicator)
40 2 0 0 0 0 2 0 4
Potential target in Surakarta city and Sragen District are from PPP of fecal desludging truck
C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers (Custom Indicator)
3 N/A 0
National Target
C3d Number of Government of Indonesia institutions with increased capacity in
5 N/A 0 This result is applied only at national level. Potential targets are:
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 101
Result No. Indicator LOP Target
City/ District
Total Remark Kota Surakarta
Kota Magela
ng
Kabupaten
Magelang
Kota Salatiga
Kabupaten
Sukoharjo
Kabupaten
Sragen
Kabupaten
Wonosobo
commercial finance (Custom Indicator)
PUPR,SMI, BAPPENAS, MOHA and MOF
C3e Percentage change in budget appropriations for WASH by targeted local governments (Custom Indicator)
20% 48% 48%
Average target from all city/district
C3f Amount of funding leveraged through WASH financing support (Standard Indicator)
$50 M $
35,714.29 0 0 0 0
$ 35,714.29
0 $
71,428.58
Amount of funding leveraged comes from PPP of fecal desludging truck
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-
agency coordinating entities at national level strengthened (Custom Indicator)
2 N/A 0
This result is applied only at national level
C4b Number of knowledge products developed (Custom Indicator)
20
N/A
0 This result is applied only at national level
C4c Number of knowledge events or workshops held (Custom Indicator) 60 1 1
Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops (Custom Indicator)
1,200 10 10
Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are RPAM Framework and Microfinance for WASH policy
C4f Number of Signature Program developed (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are Fecal Sludge Management, Urban STBM Approach, Microfinance for WASH, and Sanitation Marketing
EAST JAVA
102 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Surabaya Kab.
Sidoarjo Kab.
Gresik Kota
Probolinggo Kabupaten
Probolinggo Kab.
Lumajang Kota
Malang Kab.
Malang HIGH LEVEL RESULTS
HR1a (Total
Connection)
Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
participating in USAID IUWASH PLUS training related activities (Custom Indicator)
100,000 200 600 600 600 600 600 600 600 4,400
From all IUWASH PLUS Training related activities
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator)
5,000 0 0 30 0 0 40 40 0 110
The gender training from the gender awareness training, and other training related to PPRG and gender mainstreaming (at least 3 hours session)
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the
bottom 40% by wealth gaining access to shared or basic or sanitation services as a result of USG assistance (Standard Indicator)
250,000 0 840 120 0 3,150 650 650 250 5,660
From all new basic and shared connection funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1b Percentage of households with soap and water at a handwashing station commonly used by family
20% 5% 5%
This result is counted at national level but the survey is conducted at regional level
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 103
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Surabaya Kab.
Sidoarjo Kab.
Gresik Kota
Probolinggo Kabupaten
Probolinggo Kab.
Lumajang Kota
Malang Kab.
Malang members (Standard Indicator)
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator)
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance (Custom Indicator)
100 0 0 0 1 0 1 1 0 3
All the commercial enterprises reported under this outcome will support all sanitation access funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services (Custom Indicator)
35 0 0 0 0 0 0 1 1 2
Establishment of CEM in Malang City and Malang District on Kelompok Informasi Masyarakat (KIM)
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 0 1 0 1 0 0 0 0 2
The community plans reported under this outcome are those that adopted by IPLUS stakeholder (LG & CSR)
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 0 0 0 71 171 321 71 221 855
Number of toilet & septic tank sold reported under this outcome are those that not limited to result of commercial enterprises mentioned in Outcome C1d
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a Number of water utilities
(PDAMs) with improved service delivery performance (Custom Indicator)
35 0 0 0 1 0 0 0 0 1
Continue to collect data for monitoring of PDAM performance index in all cities
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality, reliability, and safety of water delivered to urban
13 0 0 0 0 1 1 1 0 3
Continue to support the development of Spring Vulnerability Assessment and Action Plan in Probolinggo District, Lumajang District and Malang City
104 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Surabaya Kab.
Sidoarjo Kab.
Gresik Kota
Probolinggo Kabupaten
Probolinggo Kab.
Lumajang Kota
Malang Kab.
Malang households, particularly in the face of climate change vulnerabilities (Custom Indicator)
C2c Number of local sanitation management units with improved service delivery performance (Custom Indicator)
30 0 0 0 1 0 0 0 0 1
Continue to collect data for monitoring of sanitation management unit performance index in all cities except Surabaya City.
C2d Number of local governments with improved WASH service delivery performance (Standard Indicator)
30 0 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of government performance index in all cities except Surabaya City.
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services (Custom Indicator)
35 0 0 0 0 0 1 0 0 1
Lumajang District: Regulation on PPRG
C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service (Standard Indicator)
10,000 0 0 0 0 0 0 0 2,500 2,500
The number reported under this outcome are the people recorded in city/ district still on stage-2 of Outcome HR-2
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government
institutions, utilities, and/or enterprises securing finance for service delivery improvements (Custom Indicator)
50 0 0 0 0 0 0 0 0 0
There is no specific target in PY5
C3b Number of public-private partnerships established with IUWASH PLUS support (Custom Indicator)
40 0 0 0 0 0 2 0 0 2
Potential target in Lumajang District is from PPP of fecal desludging truck
C3c Number of policy and regulatory reforms for commercial finance enabled for WASH service providers (Custom Indicator)
3
N/A 0
National Target
C3d Number of Government of Indonesia institutions with increased capacity in
5
N/A
0 This result is applied only at national level. Potential targets are:
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 105
Result No. Indicator LOP
Target
City/ District Total Remark Kota
Surabaya Kab.
Sidoarjo Kab.
Gresik Kota
Probolinggo Kabupaten
Probolinggo Kab.
Lumajang Kota
Malang Kab.
Malang commercial finance (Custom Indicator)
PUPR,SMI, BAPPENAS, MOHA and MOF
C3e Percentage change in budget appropriations for WASH by targeted local governments (Custom Indicator)
20% 48% 48%
Average target from all city/district
C3f Amount of funding leveraged through WASH financing support (Standard Indicator)
$50 M 0 0 0 0 0 $
35,714.29 0 0
$ 35,714.29
Amount of funding leveraged comes from PPP of fecal desludging truck
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-
agency coordinating entities at national level strengthened (Custom Indicator)
2 N/A 0
This result is applied only at national level
C4b Number of knowledge products developed (Custom Indicator)
20 N/A 0 This result is applied only at national level
C4c Number of knowledge events or workshops held (Custom Indicator)
60 1 1 Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops (Custom Indicator)
1,200 10 10
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are RPAM Framework and Microfinance for WASH policy
C4f Number of Signature Program developed (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are Fecal Sludge Management, Urban STBM Approach, Microfinance for WASH, and Sanitation Marketing
SOUTH SULAWESI/EASTERN INDONESIA
106 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No.
Indicator LOP
Target
City/ District
Total Remark Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kota Ternate
Kab. Maluku Tengah (Masohi)
Kota Jayapura
Kab. Jayapura
HIGH LEVEL RESULT HR1a (Total Connection)
Number of overall people receiving improved water services quality as a result of U.S. Government assistance (Standard Indicator)
Potential number are from direct intervention to GoI water grant program and LG funded community based water supply program
HR2 Number of people gaining access to safely managed sanitation services as a result of U.S. Government assistance (Standard Indicator)
500,000
15,000 1,500 2,500 0 10,000 0 5,000 1,000 35,000 The number will report under this outcome is from HR2 stage-3
15,000 1,500 2,500 0 10,000 0 5,000 1,000 35,000
15,000 1,500 2,500 0 10,000 0 5,000 0 34,000
Participant Training Results T1 Number of people participating in
USAID IUWASH PLUS training related activities (Custom Indicator)
100,000 300 300 300 300 300 200 300 300 2,300 From all IUWASH PLUS Training related activities
T2 Number of people trained to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations (Standard Indicator)
5,000 10 10 30 10 30 0 30 0 120
The gender training from the gender awareness training, and other training related to PPRG and gender mainstreaming (at least 3 hours session)
COMPONENT 1 RESULTS: Improving Household WASH Services C1a Number of people from the bottom
40% by wealth gaining access to shared or basic or sanitation services as a result of USG assistance (Standard Indicator)
250,000 175 150 225 400 175 700 225 550 2,600
From all new basic and shared connection funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1b Percentage of households with soap and water at a handwashing station commonly used by family members (Standard Indicator
20% 5% 5%
This result is counted at national level but the survey is conducted at regional level
C1c Number of WASH business development services firms accessible to targeted areas (Custom Indicator)
10 1 0 0 0 0 0 0 0 1 Potential target is IBI Makassar
USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN | 107
Result No.
Indicator LOP
Target
City/ District
Total Remark Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kota Ternate
Kab. Maluku Tengah (Masohi)
Kota Jayapura
Kab. Jayapura
C1d Number of commercial enterprises with improved WASH product or service offerings as a result of U.S. Government assistance (Custom Indicator) 100 0 1 0 0 1 0 1 0 3
All the commercial enterprises reported under this outcome will support all sanitation access funded by USAID IUWASH PLUS partner and sanitation marketing implementation
C1e Number of new/improved mechanisms for civil society organizations and/or non-governmental organizations to advocate for the supply of better WASH services (Custom Indicator)
35 1 1 0 1 1 0 0 1 5
Establishment of CEM in Makasar city (UPTD PAL), Barru District (Radio IGA FM); Bulukumba District, (Lapor SP4N), Ternate city (UPTD PAL) and Jayapura District (Rumah Monev Partisipatif )
C1f Number of WASH community plans adopted by stakeholders (Custom Indicator)
100 0 0 0 0 0 2 0 0 2
The community plans reported under this outcome are those that adopted by IPLUS stakeholder (LG & CSR)
C1g Number of toilets and septic tank systems sold (Custom Indicator)
5,000 82 82 25 25 25 0 48 38 325
Number of toilet & septic tank sold reported under this outcome are those that not limited to result of commercial enterprises mentioned in Outcome C1d
COMPONENT 2: Strengthening City and District WASH Institutional Performance C2a Number of water utilities (PDAMs)
with improved service delivery performance (Custom Indicator)
35 1 0 0 0 1 0 1 3
Continue to collect data for monitoring of PDAM performance index in all cities
C2b Number of locations that have completed water safety plans and are taking actions and making investments to improve the quality,
13 0 0 1 1 0 0 0 0 2
Continue to support the development of Spring Vulnerability Assessment and Action
108 | USAID IUWASH PLUS PROJECT YEAR 5 WORK PLAN
Result No.
Indicator LOP
Target
City/ District
Total Remark Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kota Ternate
Kab. Maluku Tengah (Masohi)
Kota Jayapura
Kab. Jayapura
reliability, and safety of water delivered to urban households, particularly in the face of climate change vulnerabilities (Custom Indicator)
Plan in Bantaeng District and Bulukumba District
C2c Number of local sanitation management units with improved service delivery performance (Custom Indicator)
30 0 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of sanitation management unit performance index in all cities
C2d Number of local governments with improved WASH service delivery performance (Standard Indicator) 30 0 0 0 0 0 0 0 0 0
Continue to collect data for monitoring of government performance index in all cities
C2e Number of new and/or revised laws, policies, regulations, or agreements in place that promote access to improved WASH services (Custom Indicator)
35 0 0 1 1 0 0 0 0 2
Bantaeng district: Establishment of PDAM to be PERUMDA Bulukumba district: Regulation on Domestic Wastewater Treatment (PALD)
C2f Number of people receiving improved sanitation service quality from an existing “limited” or “basic” service (Standard Indicator)
10,000 0 0 0 0 0 0 0 1,000 1,000
The number reported under this outcome are the people recorded in city/ district still on stage-2 of Outcome HR-2
COMPONENT 3: Strengthening the WASH Financing Environment C3a Number of local government
institutions, utilities, and/or enterprises securing finance for service delivery improvements (Custom Indicator)
50 0 0 0 0 0 0 1 0 1
Potential target is from LG institution of Jayapura city that secure finance from PPP of fecal desludging truck
C3b Number of public-private partnerships established with IUWASH PLUS support (Custom Indicator)
40 0 0 0 0 0 0 2 0 2
Potential target in Jayapura city is from PPP of fecal desludging truck
C3c Number of policy and regulatory reforms for commercial finance
3 N/A 0 National Target
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Result No.
Indicator LOP
Target
City/ District
Total Remark Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kota Ternate
Kab. Maluku Tengah (Masohi)
Kota Jayapura
Kab. Jayapura
enabled for WASH service providers (Custom Indicator)
C3d Number of Government of Indonesia institutions with increased capacity in commercial finance (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential targets are: PUPR,SMI, BAPPENAS, MOHA and MOF
C3e Percentage change in budget appropriations for WASH by targeted local governments (Custom Indicator)
20% 48% 48%
Average target from all city/district
C3f Amount of funding leveraged through WASH financing support (Standard Indicator)
$50 M 0 0 0 0 0 0 $
35,714.29 0
$ 35,714.29
Amount of funding leveraged comes from PPP of fecal desludging truck
COMPONENT 4: Advancing National WASH Advocacy, Coordination and Communication C4a Number of WASH inter-agency
coordinating entities at national level strengthened (Custom Indicator)
2 N/A
0
This result is applied only at national level
C4b Number of knowledge products developed (Custom Indicator)
20 N/A 0 This result is applied only at national level
C4c Number of knowledge events or workshops held (Custom Indicator)
60 1 1 Potential topics of knowledge events are on training WASH targeting & tracking approach, sanitation marketing, PPRG and gender mainstreaming
C4d Number of people with increased knowledge/skills/awareness as a result of events/ workshops (Custom Indicator)
1,200 10 10
C4e Number of national level WASH policies, regulations, guidelines or frameworks developed, strengthened, or adopted (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are RPAM Framework and Microfinance for WASH policy
C4f Number of Signature Program developed (Custom Indicator)
5 N/A 0
This result is applied only at national level. Potential target are Fecal Sludge Management, Urban STBM Approach, Microfinance for
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Result No.
Indicator LOP
Target
City/ District
Total Remark Kota Makassar
Kab. Barru
Kab. Bantaeng
Kab. Bulukumba
Kota Ternate
Kab. Maluku Tengah (Masohi)
Kota Jayapura
Kab. Jayapura
WASH, and Sanitation Marketing
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ANNEX 3: ORGANIZATIONAL CHARTS FOR THE NATIONAL AND REGIONAL OFFICES
Organizational Chart – National Office
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Organizational Chart – Regional Office
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Organizational Chart – Regional Offices (North Sumatra and East Java)
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Organizational Chart – Regional Offices (WJDT and Central Java)
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Organizational Chart – Regional Offices (SSEI)
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ANNEX 4: MATRIX MANAGEMENT CHART
Implementation / Functional Area Senior
Manager National
Coordinator North Sumatra West Java/ DKI/Banten Central Java East Java
South Sulawesi/
Eastern Indo Program Management / Coord., COP William J. Parente n.a. Mohammad Yagi Wouter Sahanaya Jefry Budiman Laksmi Cahyaniwati Rieneke Rolos Program Operations, DCOP Operations Ida Nurtam n.a. Mohammad Yagi Wouter Sahanaya Jefry Budiman Laksmi Cahyaniwati Rieneke Rolos Program Coordination, DCOP Programs
GIS Support Sabdo Sumartono Related Staff Related Staff Related Staff Related Staff Related Staff Component 3: Strengthening the WASH Financing Environment 3.1 Facilitate the Finance Eenabling Eenvironment
Benny Djumhana
Nugroho Andwiwinarno
Pery Barwiantini Blandina Mandiangan Arif Wibowo Dwi Wasis Vicky Mundiahi
3.2 Facilitate Increased Finance for WASH
Nugroho Andwiwinarno
Pery Barwiantini Blandina Mandiangan Arif Wibowo Dwi Wasis Vicky Mundiahi
3.3 Facilitate TA to key Financing Facilities
Nugroho Andwiwinarno
Pery Barwiantini Blandina Mandiangan Arif Wibowo Dwi Wasis Vicky Mundiahi
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Implementation / Functional Area Senior
Manager National
Coordinator North Sumatra West Java/ DKI/Banten Central Java East Java
South Sulawesi/
Eastern Indo 3.4 Household Access to Finance
Ika Francisca Rio Sandi Pery Barwiantini Blandina Mandiangan Arif Wibowo Dwi Wasis Vicky Mundiahi
Business Dev't Services support (see 1.2)
Setijanti Purwengtyas
TBD Buntoro Aprianto TBD Mohammad Nursholiqin
Candra Nugrahanto
Component 4: Advancing National WASH Advocacy, Communications and Coordination 4.1 Build Natiomal WASH Coord. Capacity
Media Relations Rahma Simamora Melani Miranda/Rezeki
Sitorus Doddy Suparta
Abdul Hazis/ Ahmad Khoeri
Imam Suhadi Surya Akbar
CSR Programming Asep Maman Irzan Yuneizi Usniaty Umayah Edy Triyanto Dwi Wasis Vicky M (SS) Surya A (EI)
USAID-SECO Co-funding Partnership Program Management
Henadi Setiono
Hernadi Setiono N.A Tano Baya TBD N.A N.A
A. NRW Ahmad Hayat N.A Ari Himawan Esvandiary Robby N.A N.A
B. EE Ahmad Hayat N.A Yuswanto Antono TBD N.A N.A
C. Capacity/Institutional Arie Sutartie N.A TBD TBD N.A N.A
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ANNEX 5: ACTIVITIES SCHEDULE SECO PROGRAM PY5 (OCT 2020 - FEB 2022)
No ACTIVITY 2020 2021 2022 OCT NOV DEC JAN FEB MAR APR MAY JUNE JUL AUG SEP OCT NOV DEC JAN FEB
PROGRAM MANAGEMENT 1 Coordination meeting with GoI and Donors 2 Office closing and Staff contracts termination * internal capacity building / evaluation event
* Surakarta office closing, office equipment handover and staff termination
* Jakarta office closing, office equipment handover and staff termination
3 Utilize and Handover Monitoring Equipment * Discussion with stakeholders on handover SECO equipment * official handover SECO purchased measuring equipment * return borrowed equipment from Akatirta 4 Finalize Readiness Criteria and Legalization FS 5 Large Workshops and Closeout event * Arrange 3 - 4 (national) technical workshops * Arrange closeout event (national) A COMPONENT A: NRW REDUCTION 1 Evaluate Cause Commercial Losses 2 Installation Smart meters 3 Validation and Calibration Production meters 4 Field Survey (Second and Third) 5 Develop SOP and other Regulations 6 Implement NRW Commercial Loss program 7 Implement Physical Leak Detection program * Preparation contracts and locations
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No ACTIVITY 2020 2021 2022 OCT NOV DEC JAN FEB MAR APR MAY JUNE JUL AUG SEP OCT NOV DEC JAN FEB
* implementation 8 Evaluate and improve existing DMA 9 Technical Training programs * Commercial prosess training * General Physical losses / leak detection * Preparation & operation of DMA * Setting up and operating GIS system * Management of meter reading result * Dev. Aplication from Mwater
10 Monitoring NRW reduction (6 monthly for QPR)
11 Support PBG Baseline and Monitoring for NRW B COMPONENT B: ENERGY EFFICIENCY 1 Procurement of pumping equipment for 4 PDAM 2 Internal EE Baselines for SECO contract * for PDAM Karawang, Bogor, Surakarta, Sukoharjo * for PDAM Kota Magelang 3 Installation of pump equipment for 4 PDAM 4 Monitoring EE reduction (6 monthly for QPR) 5 EEA and EE training for PDAM Kota Magelang.
6 Procure and install equipment for PDAM Kota Magelang.
7 Staff Training and SOP on Pumping O&M
8 Validate GHG factor and determine GHG emission reduction
9 Support PBG Baseline and Monitoring for EE
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No ACTIVITY 2020 2021 2022 OCT NOV DEC JAN FEB MAR APR MAY JUNE JUL AUG SEP OCT NOV DEC JAN FEB
C COMPONENT C: CAPACITY BUILDING 1 National Capacity Building Roadmap Concept * Complete questionnaires and in-depth interviews * Sharing draft Final report to all relevant stakeholders * Complete and Submission of Final report 2 Assess and strengthen 3 PDAM Training Centers 3 Prepare PDAM staff occupancy mapping 4 Develop Videos on Water Supply Management System 5 Develop Concept PDAM Decree of B to B Cooperation 6 Develop Web-based GIS Mapping Application 7 Develop and Introduce financeadmin and technical SOP 8 Review and Update PDAM Business Plans 9 Training Preparation and Implementation * 4th training: Business Plan C: Financial Projection * 5th training: Financial Planning A * 6th training: Financial Planning B * 7th training: Preparation of SOP * 8th training: Customer Relations * Develop 4 Competence Based training modules (training 9-12) * 9th training: Asset Management (competence based)
* 10th training: Health and Safety Procedures (competence based)
* 11th training NRW reduction (competence based) * 12th training: Energy Efficiency increase (competence based)
10 Post-training PDAM action planning * Implement and monitor PIAP until completing 12 training
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ANNEX 6: USAID-SECO PARTNERSHIP PROGRAM LOGICAL FRAMEWORK ANALYSIS
*) Note: the progress described below is up to end of PY4. USAID IUWASH PLUS Team will continue to monitor the progress for the PY5 to achieved all the target set in the final year.
Strategy of Intervention Key Performance Indicators Means of Verification External Factors
(assumptions) Progress of Period Oct 2019 –
Sept 2020 (*) Impact Impact Indicators • Improved service provision and water
availability by utilities through increased operational and financial efficiency
• Number of persons with access to better (basic) services; Target: 60,000, depending on selected utilities
• No. of new connection per utility • Service Coverage (%) per utility
Annual audited reports supported utilities
• PDAM staff / management committed to continously work on corporate development and improve water services through new investments.
• PDAM / LG willing to use improved revenue to invest in more water conncetions.
• Additional utilities and local Government committed to expand and replicate NRW reduction and EE programs.
• Budgets available for infrastructure investments by utilities, Local Governments, Government of Indonesia
In this period, the number of persons with access to better (basic) serviced from 7 assisted PDAMs was 102,260 people (170.43% of the target) with the number of new connections of 20,452. Meanwhile, the average service coverage of the 7 PDAMs is 31.83%. Based on the BPPSPAM 2019 data, all 7 PDAMs are in the "Healthy" category with 4 PDAMs with improved ratings (Bogor District, Surakarta City, Sukoharjo District, Magelang District).
• Rating in the GOI Utility Performance Index; Target: Rating of the supported utilities is improved
Outcomes Outcome Indicators • Financial performance of supported
utilities has improved through increased revenue in utilities from additional water sold and deferred investment for additional raw water to service clients through reduced losses.
• Improved Revenue by USD; Target: US$ 600,000/ year for 7 utilities
• Operating Ratio (%) • Billing Collection Rate (%)
• Annual audited reports supported utilities
Based on the 2018 and 2019 audit data, the total improved revenue from the 7 assisted PDAMs reached around 3.57 million USD (596% of the target). The average percentage of operating ratio was 0.84 and the average billing collection rate of 97.15%. No concrete achievement yet for deferred investment cost as the program is still in the initial implementation phase, activities that have been carried out are procurement of bulk and household meters to increase recording and revenue of water sold.
• Deferred investment costs through better efficiency; Target: US$ 1.5 million
• IUWASH PLUS quarterly report
• Operational performance in supported utilities has improved through better quality of service to costumers
Based on 2019 Audit data, the water quality of 7 assisted PDAMs has comply with water quality requirement (MSAB: Memenuhi Syarat Air Bersih). Meanwhile, the average of operation hour is 23.
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• Centres of Excellency are capable in providing professional NRW and EE trainings to utilities
• Number of Centres of Excellency providing NRE and EE trainings; Target: tbd
• IUWASH PLUS quarterly report
No concrete results due to dissolution of BPPSPAM as the main partner, but development of training centers and upgrading of modules to be competency-based will be carried out in PY5.
Outputs Output Indicators • Leverage of at least 50% of project budget
through increased investment in NRW and EE measures by utilities, LG, GOI and other programs
• Indicator: Investments to improve NRW and EE in water service provision; Target: $2.5 million
• Annual audited reports supported utilities and/or IUWASH PLUS report
- Sufficient Commitment (qualified staff, suitable field locations, cost-sharing, management commitment) by PDAM to implement activities
- All utilities make related data (baseline, progress, results) available to the project
- Availability of qualified expert staff
- Support by Central Government in approach, training materials/ modules, etc.
Amount of investment leveraged to improve NEW and EE for 7 PDAMs has reached 194,827.59 USD (7.79% of the target). The investment is for the procurement of pumps, master meter flow and smart meters. No concrete achievement yet for NRW, Energy Consumption and GHG emission reduction as the program is still in the phase of initial implementation. Meanwhile, the average of energy cost to operational cost ratio is 11.33%.
• Planned investments are successfully implemented and NRW is reduced in the main distribution network of the supported utilities
• Planned investments are successfully implemented and Energy Efficiency increased by around 15% in the utilities. Consequently, Green House Gas (GHG) Emissions are reduced through the decreased energy consumption.
• Indicator: Reduced energy consumption; Target: 15% in 4 utilities
• Indicator: Energy cost to operational cost ratio (%) per PDAM; Target: tbd
• The reporting will also include the estimate GHG emissions impacts of energy efficiency using the publicly available measurement tool.
• IUWASH PLUS annual report
• Utilities develop, approve and implements technical and non-technical SOP to improve their performance
• Indicator: Number of SOPs approved and implemented; Target: Minimum of 35 SOPs in total 7 utilities
• IUWASH PLUS quarterly report
0 SOP completed, but most of SOPs are in the stage of Identification of existing SOP in PDAM (stage 1) and the stage of Improvement of existing SOP / development of new SOP (stage 2)
• Improved capacity of PDAM staff in implementing NRW reduction, EE and variety of non-technical / financial corporate development measures
• Indicator: Number of staff successfully supporting NRW / EE measures and SOPs; Target: 600 utility staff
• IUWASH PLUS quarterly report
237 PDAM staff have received training in NRW, EE and non-technical topics (39.5% of the target)
• Utilities take concrete action for performance improvement action plans undertaken (4 per PDAM) in technical and non-technical areas addressed under Component 3
• Indicator: Number of performance improvement action plans (PIAP) implemented by utilities; Target: 28
• IUWASH PLUS quarterly report
10 PIAP implemented for SAKETAP Financial Reporting in 7 assisted PDAMs and Tarif Setting Permendagri 71/2016 in 3 PDAMs (Surakarta City, Sukoharjo District, Magelang City) (35.71% of target).
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Activities Progress of Period Mar-Jun 2019 (*) Component 1: • NRW field activities
In the last 6 months, discussion between SECO teams and PDAM teams focus on further support to PDAMs in discussion the main causes of their commercial losses as follows: ● Monitoring PDAM data input (customer consumption and production data, etc.) ● Inventory on existing SOP on meter reading, customer registration and process of disconnections, including gaps ● Checking meter anomalies: bad data, data high water usage in PDAM database ● Inventory of data by name & address for ex-customers (prepare field checks) ● Preparation of tailor-made materials for each PDAM on results of customer survey, including recommendations and next steps ● Support PDAM to review the causes of NRW commercial and reduction program required ● Start to install smart water meter In the SOP to reduce commercial NRW, the most critical were identified and are currently being discussed with the PDAMs who are providing their current procedures, in order for the SECO team to analyze them and identify improvements. These include: ● Water meter installation / repair / replacement ● Identifying and closing illegal connections and/or illegal consumption ● Procedures for new connections and disconnection of Water meter ● Meter reading, handling data of meter reading and billing preparation ● Updating Customer Water meter database against “bad-data” or user violations Regarding Physical loss reduction, due to the delays in investment by PEMDA, it was agreed to focus initially on assisting each PDAM in locating and closing the largest leaks in the PDAM pipe network. The initial preparation of this activity covering agreement with PDAMS, developing Scope of Works and identifying suitable short-term Leak Detection Specialist was started in the last quarter of PY4 and will be completed in the first quarter of PY5, so that activities can start in January 2021.
• Software installation for bulk water meters Due to the COVID-19 restrictions, the final installation and testing of the software to transmit real-time data to the MPWH server (in Jakarta) was delayed, but in the last quarter, preparation started with agreement from all stakeholders on the format of the tables and reports, maintenance system.
• Feasibility Studies During previous reporting periods, the seven NRW reduction Feasibility Studies (2020- 2024) for 7 PDAMs were completed and shared with each PDAM and PEMDA. MPWH then requested minor revisions (changing funding sources from PBG and National Government, as PBG should be considered as a bonus for PEMDA and additional National Government budget should be included in DAK (Special Allocation Funds) from each PEMDA). In this quarter all requested revisions were completed, which means all FS are now considered final.
• NRW Baseline Due to the delays in the PBG program by National Government, the SECO team conducted their own NRW Baseline for the 6 PDAMs between 10 February – 10 March 2020 providing the best overlap between water distributed and water sold to customers. After all the baseline data was collected and analyzed a final report was produced in Bahasa Indonesia and in English and shared with USAID and SECO in June 2020.
• Customer water meter survey During PY4 a large water meter survey for 32,000 household meters divided over 7 PDAMs was conducted by third parties with results and recommendations discussed with the management of each PDAM. All of them agreed with the conclusions and recommendations as stated in the 7 survey reports and agreed to take recommended actions, including replacement of all water meters which are inaccurate or have anomaly and checking all locations with suspect readings. Details on number of meters replaced and other corrective actions by each PDAM will be closely monitored and results included in future quarterly progress reports and monthly meetings. The next survey batch is planned to be implemented from November – December 2020, and the third and final batch around Jun – July 2021.
Component 2: • Conducting Energy Efficiency Audits (EEA)
in four locations
In PY4, fieldwork and report on 4 Energy Efficiency Audits (EEA) were completed in two batches, including various discussions and online meetings with PDAM operation and management staff. For the two target locations in West Java (PDAM Karawang and Kab Bogor) the calculations and results for each EEA were completed earlier and after sharing these with both PDAM and PEMDA, agreement was reached with all parties, including how to divide procurement of main items (pumps, panel,
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variable speed drive, construction) and scheduling. By September 2020, procurement under the SECO program is ongoing with proposals submitted by potential bidders and under evaluation. During this quarter, two Energy Efficiency Audits for PDAM Surakarta and PDAM Sukoharjo were also finalized and for both, EEA agreement was obtained by PDAM management. The procurement of the agreed equipment for PDAMs Surakarta and Sukoharjo will be started next quarter.
• Green House Gas (GHG) emissions reduced as impacts of energy efficiency
Energy efficiency carried out through the USAID-SECO co-funding partnership is expected to contribute to the reduction of greenhouse gas (GHG) emissions. Therefore, GHG emissions reduction is one of the supporting indicators that will be reported at the end of the project. This number will be obtained by multiplying the amount of energy-reduced (in KWh) with the GHG emission factor which is 0.877 tons of CO2 / MWh for the Java-Madura-Bali interconnection system. This emission factor is taken from the 2016 GHG emission factor data from the Directorate General of Electricity, Ministry of Energy and Mineral Resources. This reference factor can be updated later if there is new emission factor data published by the Indonesian government. After the project EE baseline is measured, a clearer indication will be given on the potential reduction of GHG emissions.
• Component 3: • Capacity Building support at National level
Following discussions with BPPSPAM and MPWH on development of a comprehensive strategy for National, competence-based PDAM staff training, the consultant hired as national water supply training expert by SECO started development of a “Capacity Building Roadmap for Human Capital Development of PDAM” with the following main aspects: ● Training Strategy Development: Compilation of national PDAM human resource development capacity to achieve development targets for the next 5-10
years, identify the roles and participation of all institutions in developing competency-based HR capacity. ● Training Material Development: Develop training topics according to needs through the development of appropriate competency-based modules ● Training Management Development: Develop training management in accordance with existing regulations so that training needs for PDAM staff can be met.
The activities supporting the above outcomes include a survey for 250 PDAMs on their training needs, capacity gaps and interest to join competence-based trainings. As of September, the questionnaire was finalized (after initial pilot for 3 PDAMs) with all relevant National stakeholders and then distributed to 250 PDAMs via email. To support the filling out of the questionnaire, PDAMs were provided with a tutorial in narrative form and in video format on how to fill in the questionnaire. In addition to this quantitative data collection, qualitative data collection was also carried out by conducting a survey of 10 selected PDAMs representing the BPPSPAM performance appraisal criteria, namely PDAMs with healthy, unhealthy and sick performance.
• Capacity Building approach at PDAM level During PY4, a list of 12 topics was developed by the SECO and IUWASH-PLUS team as follows: 1. PDAM Accounting systems / SAKETAP (already conducted in 2019) 2. Business Plan A: Full Cost Tariff Calculation (conducted February-March 2020) 3. Business Plan B: Regulations and Content (May-July through online method) 4. Business Plan C: Financial Projection (planned for January 2021) 5. Financial Planning A (Technical and Regulatory aspects) 6. Financial Planning B (financial viability analysis, source of fund, regulations, B2B) 7. Preparation of Standard Operating Procedures (planned for December 2020) 8. Customer relations (incl. complaint handling, satisfaction surveys, services, etc.) 9. Asset Management (competence based) 10. Health and Safety Procedures and implementation strategies (competence based) 11. Non-Revenue Water (competence based) 12. Energy Efficiency (competence based)
The duration of each training (if classroom) is between 3 – 4 days and if online between 5 – 6 half day sessions. Participants are usually 5 staff from all 7 PDAMs supported by SECO, complimented by 1 - 2 staff from PDAMs supported by IUWASH PLUS in the same region and on a case-by-case basis staff from other PDAMs or National institutions.
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During PY4, the first 2 trainings from the list above (SAKETAP and BP-A) were implemented in the usual classroom style, between November 2019 - March 2020. However, the third training (on BP-B) could not be conducted in the same manner, due to COVID-19 restrictions on meetings and travel. To continue this program and gain experience in online (Zoom) training sessions, the syllabus was then divided in 5 online (half-day) sessions and tried out with 6 PDAM participants from PDAM Kota Magelang in May, with all Financial and PDAM Specialists trainers from IUWASH-PLUS / SECO. This was then followed in July for the second part using the same method, timing and trainers for a total of 66 participants from 6 PDAMs supported by SECO as well as 7 PDAMs supported by IUWASH-PLUS.
• Performance Improvement Action Plans After each classroom training is completed, the participants receive homework to demonstrate both their understanding of the training topic as well as their ability to apply it within their own PDAM. The homework assignments are called “PIAP (Performance Improvement Action Plans). For a PIAP to be accepted as completed, the following 5 steps must be completed: 1. Participants report on Training result and PIAP topic to their PDAM Management 2. Participants Implement their specific Action Plan Task (content depends on training) 3. Draft results of PIAP are sent to and reviewed by the SECO Team 4. SECO team sits with participants for Q&A and confirmation of results 5. Participants share final PIAP with their PDAM Management, who then sign it
Since completing the first training, participants developed their PIAP, including sharing results with their PDAM management for formal approval and supported by the locally based SECO staff. By the end of PY 4, 10 PIAP were completed and 11 are still ongoing, with 4 related to training, 2 planned to be completed by October 2020 and 7 for training by December 2020.
USAID INDONESIA URBAN WATER, SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS)
Mayapada Tower I, 10th Fl Jl. Jend. Sudirman Kav. 28
