PROJECT YEAR 1 WORK PLAN - USAID IUWASH PLUS · PROJECT YEAR 1 WORK PLAN CONTRACT NO. AID-497-TO-16-00003 ... BPR Bank Perkreditan Rakyat/People's Credit Bank BRI Bank Rakyat Indonesia

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111111111111 INDONESIA URBAN WATER SANITATION AND HYGIENE

PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS)

PROJECT YEAR 1 WORK PLAN

CONTRACT NO. AID-497-TO-16-00003

OCTOBER 2016

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 and

do not necessarily reflect the views of USAID or the United States Government.

A slum area located in Kelurahan Jodipan, Kecamatan Kedung Kandang of Kota Malang was identified

as a WASH-Wealth “Hotspot” area during IUWASH PLUS site selection, meaning it has a high

concentration of poor and low income households with limited access to WASH services. This

neighborhood is located in the riverside of Brantas river where access to water supply comes mainly

from a small spring and shallow wells, only a few households have a piped water connection from

the local water utility (PDAM), and most households dispose of their black water directly in the

Brantas river. Most residents of this area work in the informal sector as becak drivers, general

laborers or on a temporary basis. Recently, this neighborhood has begun to promote itself as an

artistic and “colorful urban village” (called "Kampung Warna Warni"), becoming a small tourist

destination in Kota Malang. The neighborhood is now painted with bright colors and has several

murals. This attention to neighborhood renewal could also serve as an important opportunity for

IUWASH PLUS to assist in resolving its water supply, sanitation and hygiene conditions.

INDONESIA URBAN WATER SANITATION AND HYGIENE

PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS)


Project Title: 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 2016

Author: DAI Global LLC

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TABLE OF CONTENTS

1. INTRODUCTION ................................................................................................................................. 1

Overview of IUWASH PLUS ............................................................................................................................................... 1 Implementation Strategy ....................................................................................................................................................... 1 Project Year 1 Work Plan .................................................................................................................................................... 3 Work Plan Organization ....................................................................................................................................................... 4

2. OVERVIEW OF PROJECT RESULTS ................................................................................................. 6

USAID/Indonesia’s CDCS ..................................................................................................................................................... 6 Hierarchy of Project Results ................................................................................................................................................ 7 Summary of Result Indicators .............................................................................................................................................. 7 Monitoring and Evaluation Plan ........................................................................................................................................... 9 PY1 Monitoring and Evaluation activity ........................................................................................................................... 10

3. APPROACH TO IUWASH PLUS TASKS ....................................................................................... 12

Introduction ........................................................................................................................................................................... 12 Component 1: Improving Household WASH Services ................................................................................................ 12

Key Component Partnerships ....................................................................................................................................................... 14 Sub-component 1.1: Increase household demand for WASH services. ............................................................................ 15 Sub-component 1.2: Facilitate a robust market for household WASH products and services for

the poorest and most vulnerable. ........................................................................................................ 17 Sub-Component 1.3: Expand poor-inclusive approaches to increase WASH service provision. ................................ 18

Component 2: Strengthening City and District WASH Institutional Performance ................................................ 20 Key Task Partnerships .................................................................................................................................................................... 21 Subcomponent 2.1: Improve PDAM performance. ................................................................................................................ 21 Subcomponent 2.2: Develop and improve local sanitation unit performance ................................................................ 23 Subcomponent 2.3: Strengthen WASH enabling environment within LGs ...................................................................... 25 Sub-Component 2.4: Assist LGs and institutions to improve the protection, management, and

allocation of raw water resources ........................................................................................................ 26 Component 3: Strengthening the WASH Financing Environment ............................................................................. 27

Key Task Partnerships .................................................................................................................................................................... 28 Subcomponent 3.1: Facilitate a supportive enabling environment for WASH financing ............................................. 29 Sub-Component 3.2: Facilitate increased access to finance for WASH ........................................................................... 29 Sub-Component 3.3: Provide technical assistance to key financing facilities .................................................................. 30

Component 4: Advancing National WASH Advocacy, Coordination, and Communication ............................... 32 Key Task Partnerships .................................................................................................................................................................... 33 Sub-component 4.1: Build capacity of national WASH coordination agencies ............................................................... 33 Subcomponent 4.2: Strengthen national-level WASH policy and regulatory environment .......................................... 34 Subcomponent 4.3: Share and mainstream lessons learned and best practices through toolkits, manuals,

events, and online dissemination ......................................................................................................... 36

4. LOCAL SUSTAINABILITY AND INNOVATION COMPONENT (LSIC) .................................. 37

Illustrative LSIC Activities ................................................................................................................................................... 37 PY1 LSIC Activities ............................................................................................................................................................... 38

5. GENDER MAINSTREAMING ............................................................................................................ 40

Alignment with USAID’s Gender Policies ....................................................................................................................... 40 Key Definitions and Guiding Principles ............................................................................................................................ 41 PY1 Gender Activities ......................................................................................................................................................... 41

6. ENVIRONMENTAL MITIGATION AND MONITORING ............................................................. 43

7. PROJECT MANAGEMENT ................................................................................................................ 44

Introduction ........................................................................................................................................................................... 44 General Project Management ............................................................................................................................................ 44

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Management Plan ...................................................................................................................................................................... 44 National Office ...................................................................................................................................................................... 44 Regional Offices .............................................................................................................................................................................. 45 Relationship between the Project and DAI Home Office ...................................................................................................... 45 Matrix Management ...................................................................................................................................................................... 46 Planned General Project Management Activities ..................................................................................................................... 46

Project Reporting ................................................................................................................................................................ 47

8. ANNEX ................................................................................................................................................. 48

ANNEX 1: IUWASH PLUS ORGANIZATION CHART ............................................................................................ 48

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LIST OF EXHIBITS

Exhibit 1: The Urban WASH Ecosystem...................................................................................................................................... 2

Exhibit 2: List of Potential Partner LGs by Region and Cluster. ............................................................................................. 4

Exhibit 3: DO2 Results Framework. ............................................................................................................................................. 6

Exhibit 4: Indicators and Target of IUWASH PLUS Achievements. ....................................................................................... 7

Exhibit 5: Monitoring & Evaluation (M&E) Focal Activities for PY1. .................................................................................... 10

Exhibit 6: Inter-Component, Collaboration-Based Implementation. ................................................................................... 12

Exhibit 7: Key Component 1 partnerships for PY1. ................................................................................................................ 15

Exhibit 8: Subcomponent 1.1 Focal Activities for PY1. ........................................................................................................... 16

Exhibit 9: Subcomponent 1.2 Main Programs for PY1. ........................................................................................................... 17

Exhibit 10: Subcomponent 1.3 Main Programs for PY1. ......................................................................................................... 19

Exhibit 11: Composition of Component 2 teams with subcomponents. ............................................................................ 20

Exhibit 12: Key Component 2 Partnerships for PY1. .............................................................................................................. 21

Exhibit 13: Subcomponent 2.1 Priority Programs for PY1. .................................................................................................... 22




Exhibit 17: Key Component 3 partnerships for PY1. .............................................................................................................. 28





Exhibit 22: Key Component 4 Partnerships for PY1. .............................................................................................................. 33




Exhibit 26: Types of Activities the LSIC Support. .................................................................................................................... 38

Exhibit 27: LSIC Support Main Programs in PY1. ..................................................................................................................... 38

Exhibit 28: Gender Focal Activities for PY1. ............................................................................................................................. 41

Exhibit 29: Project Management Main Programs for PY1. ...................................................................................................... 46

Exhibit 30: Project Reporting Activities for PY1. ..................................................................................................................... 47

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ACRONYMS ADB Asian Development Bank

ADS USAID Administrative Directives System

AIIB Asian Infrastructure Investment Bank

AKKOPSI Alliance of Cities Concerned about Sanitation/Aliansi Kota Peduli Sanitas

AKSANSI Association of Community Based Organization on Sanitation in Indonesia/Asosiasi KSM

Sanitasi Seluruh Indonesia

AMEP Activity Monitoring and Evaluation Plan

APBD Local Government Budget/Anggaran Pendapatan dan Belanja Daerah

APBN National Government Budget/Anggaran Pendapatan dan Belanja Nasional

APEKSI Association of Indonesia Municipalities/Asosiasi Pemerintah Kota Seluruh Indonesia

APIK Climate Change Adaptation and Resilience/Adaptasi Perubahan Iklim dan Ketangguhan

APKASI Association of Indonesian District Administration/Asosiasi Pemerintah Kabupaten Seluruh

Indonesia

APPSANI Association of Sanitation Entrepreneurs Indonesia

B40 Bottom 40% of the population in terms of wealth

BAPPENAS National Development Planning Agency/Badan Perencanaan dan Pembangunan Nasional

BC Behavior Change

BDS Business Development Centre

BMKG Indonesian Agency for Meteorology, Climatology and Geophysics/Badan Meteorologi,

Klimatologi dan Geofisika

BNPB National Board for Disaster Management/Badan Nasional Penanggulangan Bencana

BPPSPAM Supporting Agency for the Development of Water Supply System/Badan Pendukung

Pengembangan Sistem Penyediaan Air Minum

BPR Bank Perkreditan Rakyat/People's Credit Bank

BRI Bank Rakyat Indonesia

BTKL Environmental Health Laboratory/Balai Teknik Kesehatan Lingkungan

CBO Community-Based Organization

CCFI Coca Cola Foundation Indonesia

CDCS Country Development Cooperation Strategy

CEM Citizen Engagement Mechanisms (CEM)

CFCD Corporate Forum for Community Development

CLRs Component-Level Results

COE Center of Excellence

COP Chief of Party

CSO Civil Society Organization

CSR Corporate Social Responsibility

CWL creditworthiness ladder

DAI Development Alternatives Inc. Global LLC

DCOP Deputy Chief of Party

DED Detailed Engineering Design

DFAT Australian Department of Foreign Affairs and Trade

DO2 Mission’s second Development Objective of the 2014 – 2018, Country Development

Cooperation Strategy: “Essential human services for poorest and most vulnerable improved”.

DP PDAM PDAM Supervisory Board/Dewan Pengawas PDAM

DPD PERPAMSI PERPAMSI Regional Board

DPRD Local Parliament/Dewan Perwakilan Rakyat Daerah

DQAs Data Quality aAsessments

EE Energy Efficiency

EMMP Environmental Mitigation and Monitoring Plan

EO Environmental Officer

FAS Field Accounting System

FOM Field Operations Manual

GIS geographic information services (GIS),

GOI Government of Indonesia

HLRs High Level Results

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IBL Indonesia Business Links

ICCTF Indonesian Climate Change Trust Fund

IDB Islamic Development Bank

IEC Information Education and Communication

IEE Initial Environmental Examination (IEE)

IPLT Septage Treatment Plants/Instalasi Pengelolaan Lumpur Tinja

IR Intermediate Results

IUWASH Indonesia Urban Water Sanitation and Hygiene project

IUWASH PLUS Indonesia Urban Water Sanitation and Hygiene Penyehatan Lingkungan untuk Semua

KfW German Government-owned Development Bank

KPP/KSM Users and Maintenance Group/Community-Based Organization / Kelompok Pengguna dan

Pemelihara/Kelompok Swadaya Masyarakat

LG Local Government

LLTT Scheduled Desludging service/Layanan Lumpur Tinja Terjadwal

LSIC Local Sustainability and Innovation Component

M&E Monitoring and Evaluation

MEBIDANG Greater Medan/Medan, Binjai, Deli Serdang

MFI Microfinance Institution

MOF / SIM Ministry of Finance / Directorate of Information Management Systems

MOH Ministry of Health

MOHA Ministry of Home Affairs

MPS Minimum Service Standards

MPWH Ministry of Public Works and Housing

MSMEs Micro and Small/Medium Enterprises (MSMEs)

NAWASIS National Water Supply and Sanitation Information System

NGO Non-Governmental Organization

NRW Non Revenue Water

NUWAS National Urban Water and Sanitation

OBA Output-Based Aid

OJK Financial Services Authority/Otoritas Jasa Keuangan

PAMSIMAS Community Based Drinking Water Supply and Sanitation/Penyediaan Air Minum dan Sanitasi

Berbasis Masyarakat

PDAM Municipal Drinking Water Company/Perusahaan Daerah Air Minum

PERPAMSI Union of Indonesian Water Supply/Persatuan Perusahaan Air Minum Seluruh Indonesia

PerPres Presidential Regulation/Peraturan Presiden

PKK Family Welfare Empowerment/Pemberdayaan Kesejahteraan Keluarga

PLP Penyehatan Lingkungan Permukiman/Health Environmental Settlement

PNPM National Program for Community Self-Empowerment/Program Nasional Pemberdayaan

Masyarakat

Pokja AMPL WASH Working Group/Kelompok Kerja Air Minum dan Penyehatan Lingkungan

POU Point-of-Use

PPP Public Private Partnership

PPRG Gender Responsive Budgeting and Planning/Perencanaan dan Penganggaran yang Responsif

Gender

PSDA Water Resources Management/Pengelolaan Sumber Daya Air

PT PII National Guarantee Agency/PT Penjamin Infrastruktur Indonesia

PT SMI National Infrastructure Financing Agency/PT Sarana Multi Infrastruktur

PUPR Pekerjaan Umum dan Perumahan Rakyat (MPWH)

PY1 Project Year 1

RPAM Water Safety Plan/Rencana Pengamanan Air Minum (RPAM)

SATKER Working Unit/Satuan Kerja

SDG Sustainable Development Goals

SIPA Water Abstraction license/Surat Izin Pengambilan Air Tanah

SKPD Local Government Working Unit/Satuan Kerja Perangkat Daerah

SME Small & Medium Enterprise

SNV Netherlands Development Organization

SOP Standard Operating Procedures

SOW Scope of Work

SPEAK Alternative Education Assessment Strategy for Communication/Strategi Pengkajian Edukasi

Alternatif untuk Komunikasi

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SPM Minimum Service Standards/Standar Pelayanan Minimum

STBM Community-Based Total Sanitation program/Sanitasi Total Berbasi Masyarakat

STIP Science, Technology, Innovation and Partnership

TA Technical Assistance

TAMIS Technical and Administrative Management Information System

TAPD Local Government Budget Team/Tim Anggaran Pemerintah Daerah

TKPKD Regional Poverty Alleviation Coordination Team/Tim Koordinasi Penanggulangan Kemiskinan

Daerah

TNP2K National Team to Accelerate Poverty Reduction/Tim Nasional Percepatan Penanggulangan

Kemiskinan

TOCOR Task Order Contracting Officer’s Representative

UPTD Sanitation Management Unit/Unit Pelaksana Teknik Daerah

USAID U.S. Agency for International Development

USG United States Government

WASH Water, Sanitation and Hygiene

WASH-TA Water, Sanitation and Hygiene Technical Arrangement

WOSUSOKAS Wonogiri, Sukoharjo, Surakarta, Karanganyar

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1. INTRODUCTION

OVERVIEW OF IUWASH PLUS

The USAID Indonesia Urban Water, Sanitation and Hygiene 'Penyehatan Lingkungan Untuk Semua'

(IUWASH PLUS) program is a five-year, $39.6 million 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. IUWASH PLUS falls under the Water,

Sanitation and Hygiene Technical Arrangement (WASH-TA) between USAID and GOI and is

implemented by DAI Global LLC. IUWASH PLUS works with governmental agencies, the private

sector, NGOs, communities and others to achieve the following "high level" results:

1. An increase of one million people in urban areas with improved service quality from an existing

basic and safely managed drinking water services of which at least 500,000 are from the poorest

40% of the population (also referred to as the “bottom 40%” or “B40”); and

2. An increase of 500,000 people in urban areas with access to safely managed sanitation facility

and all of whom are from the poorest 40% of the population.

IUWASH PLUS will work in nine (9) high priority provinces, including as North Sumatra, West Java,

Central Java, East Java, South Sulawesi, Maluku, North Maluku, and Papua, as well as DKI Jakarta and

Tangerang district.

In order to achieve the above, IUWASH PLUS undertakes activities through four (4) interrelated

components:

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.

In support of the above approach, the IUWASH PLUS Project aims to cultivate local expertise through

shared investments under the Local Sustainability and Innovation Component (LSIC). The LSIC is not a

separate task or result, but a tool the IUWASH PLUS team will use to stimulate WASH innovations

designed to strengthen community, private sector and government WASH service provision.

IMPLEMENTATION STRATEGY

The vision of IUWASH PLUS is that, after five years, local governments (LGs) and WASH service

providers in selected geographic areas will identify, address, and overcome barriers to reaching the

poor with improved WASH services—yielding life-saving gains in WASH access that diminish the threat

of water-borne disease to society’s most vulnerable. This expansion in access will be enabled and

sustained by developing and reinforcing the 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 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.

In support of this vision, the IUWASH PLUS multi-year implementation strategy focuses on

strengthening the urban WASH ecosystem of inclusive service provision. As shown in Exhibit 1, the

WASH ecosystem is made up of an integrated network of WASH stakeholders that are linked through

INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN

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institutional and operational interdependencies. More specifically, key stakeholders and linkages include

the following:

■ At the center of the WASH ecosystem, poor households must be empowered to advocate for

and finance improved WASH services as well as reaping the benefits of those services through

better health and hygiene practices (Component 1).

■ Households connect directly to city/district WASH institutions, which are responsible for

delivering services that safeguard public health and protect the environment. IUWASH PLUS will

strengthen the capacity of these institutions through engagement of LG leaders, operator reform,

and water resources protection (Component 2).

■ Local government WASH services will then be enabled by the national regulatory

environment through policies, guidelines, and frameworks. IUWASH PLUS will capitalize on local-

level experience to share inclusive, city-wide best practices with national decision makers,

influencing government policy and funding decisions (Component 4).

■ Finally, there is the critical flow of financing for WASH infrastructure, products, and technical

assistance which enables and drives each element of the urban WASH ecosystem. Toward this end,

IUWASH PLUS will expand financing opportunities at all levels, from the channeling of the Dana

Alokasi Khusus to the development of financial products for households and small and medium-sized

enterprises (SMEs) (Component 3).

Exhibit 1: The Urban WASH Ecosystem.

Household WASH Services and ProductsComponent 1

Local WASH financingComponent 3

National WASH advocacy,

coordination and communicationComponent 4

City/District WASH InstitutionsComponent 2

National WASH financingComponent 3

By working at all levels of the urban WASH ecosystem—acknowledging and reinforcing the roles and

linkages of key WASH stakeholders—the IUWASH PLUS program will improve access to both water

and sanitation services for more than 500,000 low-income people. 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.

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Five principles guide the integrated planning and implementation of activities across the urban WASH

ecosystem. Specifically, IUWASH PLUS seeks to:

■ Cultivate local expertise. The program uses the flexible LSIC to promote the participation

and/or collaboration of local entities through using open innovation approaches to leverage change

through Science, Technology, Innovation and Partnership (STIP), prizes and challenges, or other

innovative tools to meet IUWASH PLUS objectives.

■ Use evidence to stimulate dialogue. Technical assistance and advocacy efforts under IUWASH

PLUS are based upon sound sector data and information. The program uses spatial analysis and geo-

referenced survey data, for example, to visualize WASH/wealth disparities, identify hotspots, and

facilitate solutions related to poor-inclusive services.

■ Blend bottom-up and top-down perspectives. IUWASH PLUS helps to connect community

and provider realities by engaging poor households and PDAMs to mutually identify obstacles to

access and service provision. Additionally, the program emphasizes province-level engagement to

share best practices (bottom-up) and build capacity for national policy implementation (top-down).

■ Engage women at each stage of WASH delivery. IUWASH PLUS facilitates gender-inclusive

WASH services through entry-points such as latrine design and construction, microfinance through

women’s cooperatives, and gender-responsive planning and budgeting with LG partners.

■ Work across the urban-rural divide. The urban WASH ecosystem extends beyond high-density

areas to the peri-urban interface—where WASH access levels often decline and poverty rates

rise—as well as to upstream water resources.


Covering the period of June 22, 2016 through September 30, 2017, the project year 1 (PY1) Work Plan

presents a plan of action to guide IUWASH PLUS through its critical start-up and formative stage,

striving to put into place a solid foundation for implementation, leverage previous USAID investments in

the WASH sector, develop and roll-out new approaches to address the particular needs of the poor,

and rapidly achieve impact. The Work Plan sets forth activities and interventions required to reach the

above vision and meet contractual obligations.

While IUWASH PLUS will implement a broad range of operational and technical activities over the

course of the first year, efforts will focus on the following themes:

Site selection. During the first three months of the Project, the IUWASH PLUS National Team

supported by Regional office staff will work with key national stakeholders (Bappenas, MPWH,

MOH, etc.), USAID, and local stakeholders to conduct a site selection process to identify the

priority working locations within each region. Considering that this will be finalized by the end of

September, the following list (Exhibit 2) serves only as a preliminary list of potential target locations

which will be assessed in coordination with national partners and following criteria set forth in the

Project’s Site Selection report.


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Exhibit 2: List of Potential Partner LGs by Region and Cluster.

North Sumatra WJDT Central Java East Java SSEI

1. Kota Medan

2. Kota Binjai

3. Kota Tebing Tinggi

4. Kota Sibolga

5. Kota P. Siantar

6. Kab. Deli Serdang

7. Kab. Toba Samosir

1. DKI Jakarta

2. Kab. Tangerang

3. Kab. Bekasi

4. Kota Bekasi

5. Kota Bogor

6. Kab. Bogor

7. Kota Depok

8. Kab. Purwakarta

9. Kab. Karawang

1. Kota Surakarta

2. Kab. Sukoharjo

3. Kab. Klaten

4. Kota Salatiga

5. Kab. Temanggung

6. Kab. Boyolali

7. Kab. Magelang

8. Kota Magelang

1. Kota Surabaya

2. Kab. Gresik

3. Kab. Sidoarjo

4. Kota Malang

5. Kab. Malang

6. Kota Batu

7. Kota Probolinggo

8. Kab. Probolinggo

9. Kab. Lumajang

1. Kota Makassar

2. Kab. Maros

3. Kab. Barru

4. Kota Parepare

5. Kab. Bantaeng

6. Kab. Bulukumba

7. Kota Ambon

8. Kab Maluku Tengah

9. Kota Ternate

10. Kota Jayapura

11. Kab. Jayapura

12. Kota Manokwari

Baseline data collection. Responding to requirements to be set forth in the IUWASH PLUS

Monitoring and Evaluation Plan, the Project team will collect baseline data to inform how the

project will both target activities and track progress.

Build capacity of national WASH coordination agencies. An important aspect of the

IUWASH PLUS approach is to strengthen systems for national coordination (including Pokja AMPL

and the STBM Secretariat) and to engage key national stakeholders in the process of establishing

how IUWASH PLUS can best contribute to this.

Launch the Local Sustainability and Innovation Component (LSIC). During PY1, IUWASH

PLUS will launch the LSIC to stimulate WASH innovations designed to strengthen community,

private sector and government WASH service provision.

Complete Operational Start-Up. As outlined in the Mobilization and Quick Start Activities, the

Project will work to complete operational start-up over to the opening 3-4 months, including the

establishment of offices in all regions and establishment of project systems.

WORK PLAN ORGANIZATION

The PY1 Work Plan will consist of the following sections, one annex and attachment:

Section 2: Project Results Framework. Section 2 introduces the IUWASH PLUS Results

Framework, and the approach to achieving high-level and outcomes results, The results

framework also explains the life-of-project targets.

Section 3: Approach to IUWASH PLUS technical components. This section includes

the introduction of the four (4) technical components and sub-components accompanied by the

specific activities envisioned for PY1.

Section 4: Local Sustainability and Innovation Component (LSIC). This section

summarizes the steps to LSIC launching, and types of activities likely to be included.

Section 5: Gender Mainstreaming This addresses the integration of gender into IUWASH

PLUS programming, including: implementation of a gender analysis, development of a gender

action plan, and the operationalization of an internal gender working group.

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Section 6: General Management The final work plan section plan details IUWASH PLUS’s

general management strategy (including organizational structure) and key management activities

such as monitoring and evaluation, the utilization of geographic information services (GIS),

environmental impact monitoring and mitigation, and collaboration with other donor programs.

In addition to these above sections of the narrative, the PY1 Work Plan also includes the following

additional information:

Annex 1: Organizational Structure and Matrix Management Chart. This provides the

organization charts at the national and regional levels and the management framework (or

“matrix”) that links staff together for the development and implementation of the Project’s

many activities and across its multiple work areas.

Attachment 1 (separate document): Environmental Monitoring and Mitigation Plan.

EMMP is submitted in accordance with Section F of the 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

USAID/INDONESIA’S CDCS

In 2014 USAID and the GOI finalized a five-year Country Development Cooperation Strategy (CDCS)

15, which presents the development priorities for both parties from 2014-2018 and serves as a

guideline for the design of interventions and allocation of resources across critical technical sectors. As

depicted in Exhibit 3 below, IUWASH PLUS directly supports the Mission’s second Development

Objective (DO2) of the 2014 - 2018 CDCS: “Essential human services for poorest and most vulnerable

improved”. The IUWASH activity’s objective and associated components are linked to DO2

Intermediate Results (IR) 2.1: “Services to reduce preventable deaths particularly among women and

children improved” and directly supports Sub-IR 2.1.3: “Access to improved water and sanitation

increased.”s

Exhibit 3: DO2 Results Framework.

Development Objective 2: Essential Human Services for the Poorest and

Most Vulnerable Improved

Services to Reduce Preventable

Deaths Particularly among

Women and Children Improved

Quality, Relevance, and Access to

Targeted Education Sub-Sectors

Improved

Governance of Essential

Services at the Local Level

Strengthened

Quality of public and

private health services

improved

Barriers to Access for

poor and most vulnerable

lowered

Access to improved water

and sanitation increased

Skils of teachers/lecturers,

administrators, and leaders

raised

System inclusiveness,

accountability, and

transparancy increased

Innovative instructional,

administrative, and

decision-making approaches

responsive to employment

demands promoted

Government effectiveness

and accountability in

delivering services at the

local level improved

CSO/NGOs’ demand for

and supply of better

services strengthened

Public-private

partnerships to enhance

local service delivery

expanded

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HIERARCHY OF PROJECT RESULTS

The IUWASH PLUS scope of work sets forth the project objective and results which serve as the basis

for activity planning under the aforementioned technical components. Specifically, the scope of work

(SOW) presents a monitoring and evaluation hierarchy that is divided into the following three levels:

Project Objective. The SOW describes the overall objective of the project which then

contributes directly to USAID’s Intermediate Result framework under Development Objective

2, as depicted above.

High-Level Results. In support of the Project objective, the scope of work sets forth two (2)

cross-cutting, High Level Results (HLRs) that represent the principle gauges of the project’s

impact over the period of performance.

Component-Level Results. In support of the High-Level Results, the scope of work further

defines 21 Component-Level Results (CLRs), which represent the aggregated impact of the

Project’s technical components.

The High-Level Results of increased access to an improved water supply and sanitation facility will be

achieved through the collective implementation of the IUWASH PLUS technical components,

subcomponents, and underlying field activities.

SUMMARY OF RESULT INDICATORS

The IUWASH PLUS team will use a total of 22 indicators to monitor the progress of each result and

manage performance over the course of each work plan year. These include six (6) standard foreign

assistance (F) indicators1 to facilitate USAID/Indonesia’s roll-up reporting. Exhibit 4 below provides a

summary of the IUWASH PLUS higher-level and component-level result indicators. The Exhibit also

indicates the type of indicator, the target for the first program year, and the life-of-project target.

Exhibit 4: Indicators and Target of IUWASH PLUS Achievements.

Result

No. Indicator Type

Life of

Project

Target

Life of

Project

Target

Higher Level Results

HR-1

Number of people receiving improved service quality from

an existing basic or safely managed drinking water service

as a result of USG assistance.

Standard

HL.8.1-3

10,000

B40 and EI:

5,000

1,000,000

B40 and EI:

500,000

HR-2

Number of people gaining access to safely managed

sanitation services as a result of USG assistance.

Standard

HL.8.2-3

5,000

(all from

B40/EI)

500,000

(all from

B40/EI)

Component 1 Results: Improving Household WASH Services

C1-1 Number of people gaining access to shared or basic or

sanitation services as a result of USG assistance.

Standard

HL.8.2-2

5,000 250,000

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

Result

No. Indicator Type

Life of

Project

Target

Life of

Project

Target

C1-2 Percentage of households with soap and water at a

handwashing station commonly used by family members

Standard

HL.8.2-5

0% 20%

C1-3 Percentage of households in target areas practicing correct

use of recommended household water treatment

technologies

Standard

HL.8.2-6

0% 20%

C1-4 Number of WASH enterprises with improved WASH

product or service offerings as a result of U.S. Government

assistance.

Custom

5 100

C1-5 Number of new/improved mechanisms for civil society

organizations and/or non-governmental organizations to

advocate for the supply of better WASH services

Custom 0 35

Component 2 Results: Strengthening City and District WASH Institutional

Performance

C2-1 Number of water utilities (PDAMs) with improved service

delivery performance.

Custom 0 30

C2-2 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.

Standard

HL.8.3-2

0 10

C2-3 Number of local sanitation management units with

improved service delivery performance.

Custom 0 30

C2-4 Number of local governments with improved WASH

service delivery performance.

Custom 0 30

C2-5 Number of new and/or revised laws, policies, regulations,

or agreements in place that promote access to improved

WASH services.

Custom 3 35

C2-6 Percentage change in budget appropriations for WASH by

targeted local governments.

Custom 0% 20%

Component 3 Results: Strengthening the WASH Financing Environment

C3-1 Number of local government institutions, utilities, and/or

enterprises securing finance for service delivery

improvements.

Custom 3 50

C3-2 Number of public-private partnerships established with

IUWASH PLUS support.

Custom 0 25

C3-3 Number of policy and regulatory reforms for commercial

finance enabled for WASH service providers.

Custom 0 3

C3-4 Number of Government of Indonesia institutions with

increased capacity in commercial finance.

Custom 0 5

C3-5 Number of WASH business development services firms

accessible to targeted areas.

Custom 1 10

C3-6 Amount of funding leveraged through WASH financing

support.

Custom $1 million $40 million

Component 4 Results: Advancing National WASH Advocacy, Coordination and

Communication

C4-1 Number of WASH inter-agency coordinating entities at

national level strengthened.

Custom 0 2

C4-2 Number of knowledge products developed; Custom 0 20

C4-3 a) Number of knowledge events or workshops held;

b) Number of people with increased

knowledge/skills/awareness as a result of

events/workshops.

Custom

Standard**

a) 5

b) 100

c) 60

d) 1,200

C4-4 Number of national level WASH policies, regulations,

guidelines or frameworks developed, strengthened, or

adopted.

Custom 0 5

9

MONITORING AND EVALUATION PLAN

A key task of the first year of IUWASH PLUS will be the finalization of the Project’s Monitoring and

Evaluation (M&E) Plan and the establishment of the supporting M&E systems to ensure the systematic

collection, analysis and reporting of quantitative and qualitative information. Following the completion of

the M&E Plan in September, the Project will train staff in relevant data collection methods, and provide

associated feedback to component/task managers, partners and field staff. IUWASH PLUS’s M&E system

will be coordinated with other ongoing USAID projects in Indonesia that also contribute to key activity

results to ensure similar reporting formats and robust, methodologically valid and comparable data that

can be combined at the project and DO level to show overall impact.

The principles governing the IUWASH PLUS M&E Plan will be based on USAID Administrative

Directives System (ADS) assessing and learning guidance (ADS 203). In this regard, key principles

informing the development and implementation of the M&E Plan include:

Alignment with USAID’s strategies and processes: The M&E Plan will be based on

USAID/Indonesia’s PMP and relevant project M&E Plans. Planning and regular review of results

by indicator will occur on a set schedule in accordance with USAID requirements.

Alignment with GOI programs and approaches: Critically, the M&E Plan will make

maximum use of GOI systems and programs for defining, targeting and tracking urban poor and

vulnerable populations, in particular with the National Team to Accelerate Poverty Reduction

(or TNP2K- Tim Nasional Percepatan Penanggulangan Kemiskinan). Importantly, this will be an

iterative process within which the Project will also provide feedback on its own successes,

constraints encountered and lessons learned, providing insight and guidance to TNP2K as well

as other sector actors on how to best serve those in greatest need.

Transparency: To increase transparency, data quality assessments (DQAs) will be conducted,

and any known limitations will be documented in the M&E Plan and in DQA reports.

Additionally, results achieved under the activity will be realistically attributed to USAID’s {Insert

relevant DOs} and, as appropriate, the host country and other donor partners.

Gender: The M&E Plan will capture gender differences under IUWASH PLUS as well as results

and gender impact.

Branding: The M&E Plan shall be designed to enable the agency to articulate the impact of U.S,

foreign assistance and to articulate the return of investment of U.S. taxpayer dollars.

Learning: To document lessons learned, approaches used to achieve, or not achieve, results,

advance organizational learning, and inform future programming.

Cost Effectiveness: When selecting performance indicators, will be made to streamline and

minimize the data collection and reporting burden, ensuring that only data useful for decision-

making is collected.

On a final note, the IUWASH PLUS M&E Plan will be designed and implemented in a participatory

manner, meaning that the monitoring tools are not simply used for internal (project) purposes, but also

serve as a means of engaging stakeholders and building their capacity to expand WASH service

coverage.


10

PY1 MONITORING AND EVALUATION ACTIVITY

The focus of PY1 in terms of the IUWASH PLUS Monitoring and Evaluation (M&E) system will be on

developing clear understandings of targeted results and outcomes, defining related indicators and their

means of measurement, putting into place required data collection systems (including the development

of specific TAMIS modules, the provision of staff training, etc.), and establishing required baselines. The

Project’s M&E Team will also work to incorporate M&E plans, findings and lessons learned into

IUWASH PLUS learning events with partners at the national and regional levels to maximize the impact

of M&E on collaborative learning and programmatic adaptation. Indicative activities in this regard

include:

1. Working with National GOI partners (especially IUWASH PLUS Technical Team members),

utilize the Project’s performance indices (PDAM Performance Index, Sanitation Index and

Governance Index) and capacity assessments as entry points to their involvement in monitoring

and evaluation activities. This will also involve facilitating the dissemination of these tools and

lessons learned through NAWASIS and other platforms (coordination meetings, workshops,

etc.).

2. Supporting the Ministry of Heath in improving monitoring of the STBM program by promoting

adaptation of their system to SDG indicators, and supporting related modification of their mobile

and web-based monitoring system (STBM SMART) as well as staff training.

3. Involving Provincial Governments in the monitoring and evaluation of project activities through

field visits and regional coordination meetings. In this manner, it expected that Provincial

Governments will: become more knowledgeable of WASH issues in their LG jurisdictions;

further engage in responding to identified problems; and assist in facilitating the dissemination of

new approaches, lessons learned and best practices to cities and districts in their provinces that

do not participate in IUWASH PLUS.

4. Involving TKPKD (Tim Koordinasi Penanggulangan Kemiskinan Daerah) in poverty-related

monitoring activities, especially as concerns tracking of conditions among the poorest and most

vulnerable beneficiaries (or “B40”). IUWASH PLUS will work to supplement their involvement

through the development of mobile apps and models for B40 verification that may be useful in the

implementation of other poverty alleviation programs as well.

5. Maximizing the use of existing, government-endorsed monitoring tools and approaches, such as

BPPSPAM’s water utility benchmarking system. Ultimately, the involvement of counterparts will

help to bolster awareness of how the approaches applied under the Project are leading to

improved understanding and response to the WASH conditions of the urban poor.

Detailed activities planned for PY1 are described in the Exhibit below.

Exhibit 5: Monitoring & Evaluation (M&E) Focal Activities for PY1.

Activity Location Output

Timeline

Development of Activity Monitoring &

Evaluation Plan (AMEP)

National AMEP submitted and approved by

USAID

Sep 16

Conduct baseline activities of several

results (HL-1, C1-1, C2-1, C2-6 and C3-

6) including development of tools and

instruments, pre-testing and

implementation

National

& Regional

Tools and instrument developed

Tool and instrument pre-tested

and ready to use

Baseline data survey

implemented

Oct – Dec 16

Dec 16 – Jan 17

Jan – Mar 17

Develop M&E and Workplan Sections in

the IUWASH PLUS TAMIS

National M&E and Workplan sections

developed and ready to use

Oct 16

Conduct capacity building for IUWASH National & IUWASH PLUS Team increased Oct – Nov 16

11


Timeline

PLUS Team on tracking and reporting of

M&E results

Regional their capacity to work with M&E

TAMIS

Conduct data collection and submit the

progress of achievement of IUWASH

PLUS results in IUWASH PLUS regular

reporting

National &

Regional

IUWASH PLUS results reported

in regular reporting

Dec 16, Mar 17,

Jun 17 and Sep

17

Develop software application to track

the IUWASH PLUS beneficiaries from

B40

National Software application for tracking

B40 ready to use

Jan – Jun 17

Develop tools and methodology of

participatory monitoring

National Tools and methodology of

participatory monitoring

developed

Jun – Sep 17


12

3. APPROACH TO IUWASH PLUS TASKS

INTRODUCTION

Section 3 of the PY1 Work Plan addresses IUWASH PLUS’s approach to the implementation of the

subcomponents and activities under each of the project’s four (4) technical components. This includes:

an introduction of each component and to the Project’s understanding of key issues; a description of

each subcomponent and the Project’s approach to the implementation of subcomponent activities; and

tables for each subcomponent detailing priority programs that support IUWASH PLUS targeted results

and outcomes and that will be pursued during PY 1.

In reviewing this Work Plan, it is important to note that some tasks have been moved from one

Component to another based on where the project’s technical assistance resources are concentrated.

In particular:

- Tasks targeting an “Increase in household access to finance for WASH services” have been moved

from Component 1 to Component 3. This includes tasks related to the development and expansion

of WASH microfinance and other credit sources. Housing this under Component 3 is logical as it

will allow managers to make maximum use of the Project’s finance specialists who are more

knowledgeable of financing as well as the institutions that support such processes.

- A task targeting the development of Citizen Engagement Mechanisms (CEM) which is listed in the

Project’s SOW under Sub-Component 2.3 has been moved to Sub-Component 1.3 which targets an

expansion of poor-inclusive approaches to increase WASH service provision. Not only is CEM

logically linked to what Sub-Component 1.3 seeks to accomplish, but based on experience, the

development of CEM is best undertaken by those more familiar with communications processes

that heavily rely on community-level involvement such as the Project’s BC / Marketing Specialists.

Note that while responsibility for implementation of the above now falls under different Components,

no changes in how these will be monitored and evaluated is proposed at this time (nor where they are

specifically placed within the project’s M&E Plan). The need for such changes will be assessed based on

Project experience during the course of implementation.

Finally, and perhaps most importantly, while responsibility for each targeted outcome under IUWASH

PLUS is clearly placed within a specific Component or Sub-Component, the nature of the Indonesian

WASH system is such that success in any one area very often requires close collaboration among a

variety of specialists. The inter-Component, collaboration-based approach that IUWASH PLUS takes to

implementation are highlighted throughout the Component-level work plans provided in this Section

and are further summarized in the following matrix.

Exhibit 6: Inter-Component, Collaboration-Based Implementation.

Component / Sub-Component Contribution of Components to Sub-Component Implementation

Comp 1 Comp 2 Comp 3 Comp 4 LSIC

1: IMPROVING HOUSEHOLD WASH SERVICES

1.1: Increase household demand for WASH

services.

Lead /

Manage

Technical

Support

Technical

Support

Lesson Capt. /

Dissem.

Possible

Support

1.2: Facilitate a robust market for household

WASH products and services

Lead /

Manage

Technical

Exchange

Technical

Support

Lesson Capt. /

Dissem.

Possible

Support

1.3: Expand poor-inclusive approaches to

increase WASH service provision.

Lead /

Manage

Technical

Support

Technical

Support

Technical

Support

Probable

Support

13

Component / Sub-Component Contribution of Components to Sub-Component Implementation

Comp 1 Comp 2 Comp 3 Comp 4 LSIC

2: STRENGTHENING CITY AND DISTRICT WASH INSTITUTIONAL PERFORMANCE

2.1: Improve PDAM performance Technical

Exchange

Lead /

Manage

Technical

Support

Lesson Capt.

/ Dissem.

Possible

Support

2.2: Develop and improve local sanitation

unit performance

Technical

Exchange

Lead /

Manage

Technical

Support

Lesson Capt.

/ Dissem.

Probable

Support

2.3: Strengthen WASH enabling

environment within LGs

Technical

Support

Lead /

Manage

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

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

Possible

Support

3.2: Facilitate increased access to finance

for WASH

Technical

Support

Technical

Support

Lead /

Manage

Lesson Capt.

/ Dissem.

Possible

Support

3.3: Provide technical assistance to key

financing facilities

Technical

Exchange

Technical

Support

Lead /

Manage

Lesson Capt.

/ Dissem.

Possible

Support

3.4: Increase household access to finance

for WASH services.

Technical

Support

Technical

Exchnag

e

Lead /

Manage

Lesson Capt.

/ Dissem.

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

Probable

Support

4.2: Strengthen national-level WASH policy

and regulatory environment

Technical

Support

Technical

Support

Technical

Support

Lead /

Manage

Possible

Support

4.3: Share/mainstream lessons learned, BPs

via toolkits, manuals, events, online

dissem.

Technical

Support

Technical

Support

Technical

Support

Lead /

Manage

Probable

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

Not

Applicabl

e

NOTE:

1. The columns show each targeted outcome and the general 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 specific

activities under each Sub-Component (and which are described later in this 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 PY1.

4. Note further that, as discussed above, the Sub-Component targeting an “increase household access to finance for WASH

services” is under Component 3 (as compared to Component 1 per the contract SOW).


14

COMPONENT 1: IMPROVING HOUSEHOLD WASH SERVICES

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.

Component 1 will address the barriers that impede increased B40 household access to and usage of

WASH services. The IUWASH PLUS approach is twofold: unlock household demand while

strengthening the capacity of private and public sector suppliers alike. 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. Key features of the Component 1 strategy to advance this agenda in

PY1 include:

Supporting the Ministry of Health (MOH) in better integrating urban considerations into

its STBM program through close involvement in Project activities, capacity building (especially

for the Ministry’s STBM Secretariat which will be done in close association with Component 4),

institutional learning, etc.

Conducting formative research to improve understanding of barriers and constraints to

the improvement of WASH services and behaviors for urban poor and vulnerable households

and which will provide the basis for the development of the Project’s Behavior Change Strategy.

Introducing market-based approaches to WASH product and service delivery

through targeted research to improving understanding of constraints and opportunities related

to the availability of WASH products and services at the community level, as well as through

pilot activities.

Strengthening community involvement in the process of improving WASH services and

behaviors through the introduction of highly participatory approaches related to assessing

conditions, designing interventions, implementing activities, and monitoring, evaluating and

adjusting approaches.

Provide capacity building and training assistance to those involved in WASH promotion,

the provision of WASH products and services, citizen engagement, etc. (including in technical

areas in close association with Component 2).

Informing national- and local-level decision-makers, in close association with

Component 4, of challenges and opportunities and promoting the expansion of poor-inclusive

approaches to increase WASH service provision.

Finally, the Component 1 strategy for PY1 will importantly provide for much attention to team building

ensuring that both Project staff and institutional partners develop a common vision for improving

WASH services at the household level. This necessarily will involve close work with all other

Components and other programs, providing for on-going cross fertilization and technical exchange.

Key Component Partnerships

Exhibit 7 identifies key institutional partnerships necessary to the implementation of activities under

Component 1 during the planning period.

15

Exhibit 7: Key Component 1 partnerships for PY1.

Partner Summary of PY1 Engagement

BAPPENAS Support through Tim Teknis Secretariat, and as leader of Pokja AMPL to coordinate WASH

activities and NAWASIS to monitor WASH performance at local level.

Ministry of

Health

Support MOH efforts to improve policies, standards, guidance and procedures related to the

application of STBM in urban areas. Among other areas, this will require their close involvement

in formative research, the design of community-level activities and similar activities. Importantly,

this will also involve a review of MOH regional level training centers (BTKL)

STBM Sekretariat In coordination with Component 4, assess the capacity of the STBM Sekretariat to respond to

the WASH programming needs of urban poor and vulnerable populations and develop and begin

implementation of related capacity development and institutional learning programs.

Other National

Support

Programs

Identify and conduct a review of other national-level support programs (PNPM, PKK, etc.) to

assess their interest, availability and capacity to support Component 1activities as well as

possible modes of collaboration.

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, World Vision International, DFAT, etc.

Sub-component 1.1: Increase household demand for WASH services.

Lessons learned from various programs implemented by the GOI and donors show that the

construction of water supply or sanitation facilities without parallel demand creation among households

for the service improvements they engender leads to poor operation and maintenance, neglected

infrastructure and, ultimately, communities that are less receptive to future sector interventions.

Moreover, the lack of such service improvements often serves as a key barrier to adopting improved

key hygiene behaviors. In short, in the absence of household demand, efforts to improve WASH

services and hygiene behaviors will very likely fail.

Subcomponent 1.1 directly targets household demand for WASH services and behaviors, and its key

areas of focus during PY1 will include the following:

Strongly engage with and support the MOH to improve adaptation of the STBM

program to the urban environment in general and urban poor and vulnerable populations in

particular. Undertaken in close concert with Component 4, this targets improvement in policy,

guidance and institutional learning within the MOH and promotes the key role the Ministry and its

flagship STBM program play in the overall urban WASH ecosystem.

With substantive MOH input, develop programs for and conduct formative research,

collecting evidence on: current practices; the factors that influence these practices; the current

supply of products and services; and the types of products and services needed. Work will involve

defining research objectives with the MOH, developing the research approach and design, and

conducting data collection, analysis, and reporting. Formative research will: focus on identified

WASH-Wealth “Hotspots”; disaggregate data by region, gender and other differentiating factors;

and maximize the involvement of local communities and those involved in WASH promotion (in

particular health personnel) through participatory methodologies.

Based on the above, revise existing Behavior Change (BC) strategies that align with the

special needs of urban poor and vulnerable populations and that underscore the role that actors

throughout the WASH ecosystem (policymakers, technical specialists, finance experts, service

providers at all levels, etc.) play in the process of successful, sustainable demand creation, service

improvements and behavior change.

Through the Project’s network of locally-based WASH Facilitators, conduct stake-

holder mapping exercises in each targeted area to: identify relevant groups, organizations, and


16

people; understand their perspectives and areas of interest; visualize their relationship to Project

objectives and other stakeholders; and prioritize or rank their relevance to IUWASH PLUS. Such

stakeholders include: LG offices and staff (including Pokja AMPL, health workers, etc.),

NGOs/CSOs, CSR forums, private sector agencies (Unliver, Coca-Cola, etc.), MFIs, University

programs, media, etc.

Oversee the development and implementation of participatory assessments and action

plans in targeted “Hotspots” that address identified needs and draw on substantial input from

households, communities and other key WASH actors. This will also involve working in close

association with indicated LG offices as well as other Project specialists to define poor inclusive

technical and financial options that are available or that can be promoted or developed (such as

communal water supply systems, Master Meter water supply systems, microfinance, etc.).

Review existing demand creation support materials and, as necessary, revise or create new

ones, which address open defecation-free targets (such as the Urban Sanitation Promotion Guide,

hand-washing with soap, and safe water management.

Based on the results of the participatory assessments and action plans, oversee the

development and roll-out of training programs that respond to capacity development needs

among WASH promotional staff at the local level (such as health center staff, community health

volunteers, PKK members, etc.).

Ensure on-going communication and collaboration with other stakeholders, both internal

to the Project and external, to ensure that efforts of all parties benefit from the work and insight

gained by others.

Exhibit 8 below summarizes the PY1 activities under Subcomponent 1.1.

Exhibit 8: Subcomponent 1.1 Focal Activities for PY1.


Timeline

Engaging MOH to improve the adaptation of STBM

to urban poor community.

National

A clear Urban STBM policy

and implementation guidelines

Nov 16 – Sep 17

In consultation with MOH, conduct Formative

Research to collect evidence on: current WASH

practices, products and services, the factors that

influence these; and approaches required for their

improvement.

National A Formative Research

document that provides data

disaggregated by region,

gender and other

considerations to be identified.

Oct 16 – Jan 17

In collaboration with MOH, develop a Project-level

Behavior Change Strategy that aligns with stated

goals and objectives.

National Behavior Change Strategy Jan – March 17

Review existing demand creation support materials

and, as necessary, revise or create new ones.

National Revised, updated materials

support materials

Jan – June 17

Conducting stakeholder assessments and mapping

to: identify relevant groups, organizations, and

people; understand their perspectives and areas of

interest.

Local Map of potential partners,

existing program and potential

collaboration with WASH

stakeholder

Nov – Jan 17

Oversee the development of “Hotspot”

participatory assessments and action plans that

address identified needs and draw on substantial

input from households, communities and other key

WASH actors.

Local “Hotspot” action plans Jan – June 17

Develop and oversee capacity building programs

(training, etc.) for health center staff, community

health volunteers, PKK members etc.

Local Hygiene promotors and

communication channel

March – Sept 17

17

Sub-component 1.2: Facilitate a robust market for household WASH products

and services for the poorest and most vulnerable.

While government support is key to establishing the overall enabling environment for improved

availability of WASH products and services, especially in the formative period in which the urban

Indonesia WASH sector finds, enhanced market-based approaches through private sector actors is vital

to long-term sector sustainability and growth. In many cases, adequate product supply (accompanied by

the cost of those supplies) has been an insurmountable obstacle for those seeking to make positive

changes, even more so for the urban poor. Moreover, and while there is clearly a vibrant community of

Micro and Small/Medium Enterprises (MSMEs) that could play an important role in improving the

availability of appropriate products and services, such businesses will require much assistance in both

learning of the growing market for WASH products and services and improving their business acumen

to effectively respond to this market. With this in mind, key focus areas for PY1, the Component 1

team will:

In close consultation with MOH/STBM, conduct Market Landscape Research for key

WASH products (on-site sanitation facilities, handwashing stations, POU treatment) for urban

poor and vulnerable populations. This will involve: a review of the current market and trends in

each region (including types of products available or potentially available), the businesses serving the

market (wholesalers, distributors, retailers), the market’s growth potential, and consumer demand,

drivers and preferences (much of which can be obtained through the formative research

undertaken under Subcomponent 1.1).

In partnership with MOH/STBM Sek. conduct a national-level workshop specifically

with private sector POU product manufacturers and distributors to have an update on

that status of POU nationally and reactivate the now dormant POU network.

Identify specific gaps in product and service availability in the private sector by region

and develop action plans for filling such gaps. This will necessarily examine both existing

conditions as well as changes in and growth of demand generated under Sub-Component 1.1.

From the gap analyses and actions plans developed above, provide Business

Development Services (BDS) to support the entry of new or capacity building for current

private sector providers of WASH products and services related to on-site sanitation, handwashing,

and safe water storage and treatment. The types of BDS foreseen include: business registration

assistance, technical training, financial management training, assistance in marketing and promotion,

business networking, etc.

As part of the above, ensure close linkages to microfinance development work under

Sub-Component 3.4, improving the capacity of WASH entrepreneurs to grow, manage their

businesses and effectively meet the needs of their customers.

Identify possible use of the LSIC in support of the above for new product creation and / or

the development of market-based business models for WASH product and service provision.


Exhibit 9: Subcomponent 1.2 Main Programs for PY1.

Activity Location Output Timeline

With the MOH/STBM Sekretariat, develop

program for and conduct Market

Landscape Research for key WASH

products for urban poor and vulnerable

populations.

National

Completed review of current

markets and trends in each

region, incl. products available in

the private sector, businesses

serving the market, growth

potential, and consumer

demand, drivers and preferences

Nov 16 – Jan 17


18


In partnership with MOH/STBM Sek.

conduct specific POU stakeholder

workshop

National Update on POU market

landscape and reactivate

existing POU network

Dec 16

Based on results above, identify specific

gaps in product and service availability by

region and develop action plans for filling

such gaps.

Regional Regional-level action plans for

responding to gaps in private

sector product and service

availability

Jan – Feb 17

Develop programs for and provide BDS

to support new or current private

sector providers of WASH products and

services (including that related to

business registration, technical training,

financial management, marketing and

promotion, business networking, etc.)

Local Guides for private sector BDS

services and trained/supported

businesses

Feb – Sep 17

Identify possible use of the LSIC in

support of the above for new product

creation and / or the development of

market-based business models for

WASH product and service provision.

Local Review conducted with lessons

learned for future application

Nov 16 -Sep 17

Sub-Component 1.3: Expand poor-inclusive approaches to increase WASH

service provision.

Sub-Component 3 builds off the integrated portfolio of activities across all technical components to

realize expanded WASH access for poor households. In many ways, the expansion of poor inclusive

approaches is about segmentation: determining which approaches are most appropriate for the unique

characteristics of local communities and the surrounding WASH ecosystem. During PY1, Regional

Managers and their field teams will begin the segmentation process, assisting LG stakeholders to match

poor-inclusive approaches with household economic status. In close association with other Project

Components as well as members of the Project’s Technical Team and Regional partners, IUWASH

PLUS will undertake the following:

Building consensus on poor-inclusive approaches for WASH programming through the

review of existing approaches (master meter, septage management, microfinance etc.) with key

partner LGs, BAPPENAS, MPWH and MOH;

Use WASH-wealth mapping as a means of engaging LGs and service providers in a

discussion on access to water and sanitation services in poor communities;

Advocate to local government, service providers and other partners to incorporate poor

inclusive approaches into their programs based on best practices. Such approaches include:

o Developing desludging services that can reach the poorest and most vulnerable households;

o Work with local water utilities to expand piped water services to poor areas (through

Master Meter and similar programs);

o Promote local government budget allocations to WASH microfinance programs;

o Forge partnerships with potential poor-inclusive programs, such as Pamsimas and the

Water Hibah Program; and

o Develop and test new, innovative technologies under the LSIC.

19

Support small-scale construction projects that serve to introduce or test innovative

programmatic and technical approaches that inform decision-makers on possible solutions to

serving the poor and vulnerable as well as the costs and benefits of such approaches. These may be

funded under LSIC or the program activities budget line items.

Support advocacy efforts through the development of new mechanisms for citizen engagement

in the WASH sector in close coordination with Project governance specialists and through

partnerships with media (radio, TV and journalist), civic forums, and other platforms that promote

two-way communications between LGs and the citizens they serve. Such mechanisms will give voice

to the aspirations of the public, while at the same time better informing LGs of the problems faced

by their citizens and prompting them to become more responsive to their needs.




Timeline

Reviewing existing programs with GOI

partners (including document review,

discussion and workshops to promote

poor inclusive approaches )

National

Regional

Endorsement and

acknowledgment of poor

inclusive approach to increase

WASH service provision

Nov 16 – Sep 17

Conduct quick review on existing Master

Meter systems with local partners

(PDAM, CBO, etc.)

Regional Review conducted with lessons


Sep – Nov 16

Conduct quick review on existing

WASH microfinance programs with local

partners (PDAM, Cooperatives, Banks,

SME)

Regional Review conducted with lessons


Oct - Dec 16

In collaboration with Component 2,

identify opportunities to link up

IUWASH PLUS with current PAMSIMAS

program in poor, peri-urban

neighborhoods

National

Regional

Identification completed with

possible agreement on

collaboration for poor peri-

urban neighborhoods

Oct – Dec 16

Support introductory meetings /

workshops on use of master meters,

micro finance, communal sanitation,

standard septic tanks, etc. for poor

population

National

Provincial

Regional

Meetings/ workshops

conducted resulting in

identified locations to

implement poor-inclusive

infrastructure

Dec 16 – Sept

17

Conduct stakeholder workshop (LG,

CBO, Private sector, media) to analyze

existing CEM activities and how to

strengthen existing or develop new such

mechanisms

Local CEM network and plan for

regular CEM activities

May – Sept 17

Support small-scale construction

projects that serve to introduce or test

innovative programmatic and technical

approaches.

Local Completed construction

works and cost and benefit

analyses

Jan – Sept 17

Support CEM activities (workshops, talk

shows, etc.) to improve communications

among communities, the LG, the private

sector, universities and media

Local Citizen feedback and CEM

forum (consists of community,

LG, media, private sector,

university)

June – Sept 17


20

COMPONENT 2: STRENGTHENING CITY AND DISTRICT WASH

INSTITUTIONAL PERFORMANCE

The WASH institutions at the city and district levels are where the policies, financing flows, 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 by SME, or septage treated in fully functioning treatment

plants by UPTD. In short, the LG level is where the inclusive service delivery happens.

The IUWASH PLUS Component 2 team will apply a demand-driven, evidence-based approach that

establishes clear performance baselines; a portfolio of targeted, mutually agreed-upon capacity-building

measures that are built into service provider plans and budgets; and a monitoring and evaluation (M&E)

framework that links program investments to performance objectives. We will refine the existing

performance indices to not only measure improvement in service delivery, but also evaluate increased

access together with our partners. The Component 2 team will also encourage key service providers to

provide inclusive service to low income communities, using customer data, case studies, financial

analyses and incentives and geospatial visualizations to pinpoint both the gaps and the opportunities to

obtaining Universal Access. Importantly, Component 2 will also work with PAMSIMAS and others (such

as CSR programs) to identify opportunities to promote and support non-PDAM piped systems for

locations where there is genuine demand by poor, but where PDAMs are not able to extend their

networks.

Finally, a critical element of the Component 2 approach will be to support national WASH programs

and initiatives such as: Universal Access and NAWASIS under BAPPENAS; the Centers of Excellence,

10 million house connections, and improved septage management under MPWH; and minimum service

standards under MOHA. Such support will help to achieve the overall targets under both Higher level

results as well as provide the success stories and lessons learned which are needed for the national

level communications events and campaigns (under Component 4).

The IUWASH PLUS Component 2 consists of four (4) subcomponents 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 11) and also provide all technical and institutional support to the other

IUWASH PLUS Components 1, 3 and 4.

Exhibit 11: Composition of Component 2 teams with subcomponents.

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

Governance 2.3 Strengthen WASH enabling environment

GIS / Spatial mapping Supports all subcomponents and components 1,3 and 4

21

Key Task Partnerships

Exhibit 12 identifies key institutional partnerships necessary for implementing priority programs in PY1

under Component 2.

Exhibit 12: Key Component 2 Partnerships for PY1.


BAPPENAS Support implementation of National WASH planning and policies, especially

related to Universal Access and performance monitoring (through NAWASIS)

MPWH/ Cipta Karya

(National and Provincial)

Collaboration on Water Supply activities in IUWASH target areas, including

capacity building (COE), financing (APBN Hibah, PerPres, APBN), project preparation (with Provincial SATKER) and regionalization

MPWH / PSDA Collaboration on Raw Water activities, including capacity building, financing

(APBN), institutional guidance and at Provincial level SIPA (Water Abstraction

license)

MPWH / PLP Collaboration on promotion and implementation of improved Septage

Management , Sanitation Hibah, APBN allocations for sanitation infrastructure, design of IPLT, etc.

MOHA Collaboration on promotion and implementation of Minimum Service Standards

(MPS) as basis for Universal Access

BPPSPAM Collaboration on monitoring and mentoring of performance improvement of water services including institutional development

PERPAMSI / DPD

PERPAMSI

Collaboration on capacity building to improve performance of PDAMs

PDAM / Sanitation Units

(UPTD)

Support improvement and expansion of clean Water supply and Sanitation service

at local level, especially to the poorest 40% by wealth.

PAMSIMAS Identify opportunities to promote and support non-PDAM piped system

development for locations where there is genuine demand by poor, but where PDAMs are not able to extend their networks.

World Bank, DFAT, ADB

and other donors

Close collaboration on coordination and development of Urban WASH programs

Local University, NGO,

etc

Support involvement in local WASH Working groups (Pokja AMPL) to expand

sustainable WASH services and where possible engage in IUWASH PLUS grants or subcontracts (under LSIC).

AKKOPSI, APEKSI,

APKASI

Joint Advocacy to Local Government on WASH expansion, especially for bottom

40%

AKSANSI, Forum

KPP/KSM

Partnership for sanitation marketting and CBO capacity building

Subcomponent 2.1: Improve PDAM performance.

One of the primary objectives of IUWASH PLUS is to increase access to improved water supply for

one million people (200,000 households), from which 50% are from the bottom 40% of the population.

One of the main programs to reach this target will be through direct technical support to 35 local

water utilities (PDAMs). This support will focus not only on improving the internal performance of

PDAM operation (technical, financial and institutional), but also on the stimulation of external factors

(good governance by PDAM supervisory board; safeguarding raw water sources and mobilizing

additional financing for sustainable expansion of services).

In addition to these programs which are divided over Components 2 (2.1 on PDAM Performance , 2.3

on good Governance and 2.4 on Water Safety Plans) and Component 3 (WASH financing) , IUWASH

PLUS will especially promote the increased access of clean water to poor households. This will include


22

the development of appropriate technical and financial options (Master Meters, community systems,

Microfinance Output Based Aid, CSR, etc) as well as intense advocacy towards decision makers from

LG, local parliament and operators for a citywide poor-inclusive clean water strategy.

The following list summarizes the main programs which will be implemented in PY1 under

Subcomponent 2.1, which are largely a continuation of initiatives started under IUWASH, but with a

more significant emphasis on the poor-inclusive approach:

■ Development of PDAM Performance Index with related stakeholder to measure service

performance of PDAM. The previous PDAM PI used under IUWASH will be reviewed and, in close

collaboration with National agencies (MPWH, NAWASIS, NUWAS, BPPSPAM etc.), be revised.

This will be followed by implementation for all IUWASH PLUS locations, starting with collection of

baseline data of PDAM performance for December 2016,

■ Support PDAM Capacity building. IUWASH PLUS will work with the Training Foundation of

PERPAMSI as well as MPWH in support of their COE (Centre of Excellence) program to build

capacity of PDAM staff and managers at all levels, but (initially) focusing on Non-Revenue Water

Reduction, Energy Efficiency improvements and GIS mapping for network and customers.

■ Develop 5-year Partnership Plan with PDAM. IUWASH PLUS and selected PDAMs will

develop a joint, multi-year plan which will also be agreed by the Local Government. This plan will

describe the overall targets of the collaboration, the poor-inclusive focus, the roles and

responsibilities of each party as well as the (expected) source of funding for the required

infrastructure. This plan will be followed by a 1 year action plan corresponding to PY1.

■ Utilizing GIS and other “open source” technology. GIS mapping is the basis of a good water

supply network, both covering the piping as well as the customers. It contains crucial information to

reduce water losses, optimize pressure and energy cost, and improve customer service. Using the

LSIC, IUWASH PLUS will, for instance, encourage innovative approaches to real-time pressure

monitoring and management.

■ Support poor-inclusive programs for clean water. IUWASH Water Supply team will support

the BC/Marketing team under Component 1 with the necessary design, costing, and discussions

with local and national stakeholders to promote increased clean water access for poor

neighborhoods. The main source of water for these “hotspots” will be from PDAM, but where this

is not possible, alternative systems will be developed.


Exhibit 13: Subcomponent 2.1 Priority Programs for PY1.


Develop PDAM Performance Index in

partnership with MPHW, BPPSPAM, and

others (including testing)

National New PDAM Performance

Index to be used at IUWASH

Plus

Aug – Dec 16

Implement PDAM Performance Index

(baseline, collection, verification, reporting)

Regional Baseline data (Dec 16) and first

progress (June 17)

Jan – Mar 17

July - Sept 17

Collaboration with MPWH and PERPAMSI on

PDAM Performance programs (including

Capacity Building through COE and YPTD for

NRW, EE and GIS)

National Agreed list of joined activities

with roles & responsibilities

each party

Aug – Dec 16

Assessment and preparation of partnership

plans with PDAMs on performance

improvement programs (including NRW, EE,

GIS and distributions activities)

Regional Agreed 5 year Partnership

Plans and one year action plans

with alI participating PDAMs

Oct 16

Promotion of increasing access for clean,

piped water for B40 by PDAM

Regional Agreement with PDAMs on

specific programs to increase

clean water to B40

Nov – Dec

16

23


Collaboration with PERPAMSI regarding

improvement of Supervisory Body and PDAM

Management training

National

Regional

Plan on capacity building for

PDAM Supervisory Board

agreed and implementation

started

Nov – Dec

16

Jan – Sep 17

Support capacity building of GIS mapping to

support optimization of PDAM network and

customer data, including reviving GIS blog

developed under IUWASH

National

Regional

Assessments completed on GIS

capacity for all PDAMs and

action plans developed

Nov – Dec

16

Provide technical and institutional in support

of non-PDAM piped systems in areas where

PDAMs are not able to extend networks.

National

Regional

TA to support expansion of

master meter systems

identified and implemented

Oct 16 –

Sept 17

Provide technical and institutional support for

review designs and advocacy of Master Meter

systems (under Component 1)

Regional TA to support expansion of

master meter systems


Oct 16 –

Sept 17


potential microfinance programs (under

Component 1 and 3) for water supply

National

Regional

TA for microfinance programs


Oct 16 –

Sept 17


capital investment programs (under

Component 3), including Mebidang and

Wososukas,

Regional TA for capital investment

programs identified and

implemented

Oct 16 –

Sept 17

Subcomponent 2.2: Develop and improve local sanitation unit performance

During the IUWASH era, the urban sanitation sector became a high priority sector of National

Government as well as a growing number of LGs. Using the Sanitation Framework as the overall

guidance, IUWASH helped facilitate the establishment and revitalization of more than 20 sanitation

management units (mostly UPTDs). IUWASH also initiated programs to improve septage management,

with special emphasis on the introduction of scheduled desludging (LLTT) and technical training on

improved Operation and Maintenance of Septage Treatment Plants (IPLT). The local governments of

Kota Surakarta, DKI Jakarta, Kota Makassar were the first to implement these initiatives and lead the

way for change. Finally during IUWASH various alternative designs for individual septic tanks were

tested and initial results shared with MPWH.

The following list summarizes the main programs which will be implemented in PY1 of IUWASH PLUS,

which will further expand many initiatives started under IUWASH, but with a shift in focus to better

reach the poorer population and also to mobilize more financial resources from Local and National

Government:

■ Development of Sanitation Performance Index with related stakeholders to measure service

performance of sanitation institutions. This will be followed by implementation for all IUWASH

PLUS locations, in close collaboration with local stakeholders (UPTD, LG, etc.);

■ Support LG to develop/revise five-year sanitation roadmaps that lay out targets,

institutional requirements, budgetary/staffing needs, and policy priorities (e.g., subsidy and tariff

policies). These roadmaps are powerful advocacy tools to leverage funding from LG and GOI;

■ Refine and field-test the training modules for septage management (LLTT, IPLT) and

SOP for UPTDs. In discussion with MPWH, the first draft developed under IUWASH will be

finalized and used for training sessions implemented with Ministry of Public Works;

■ Conduct septage supply chain assessments to highlight gaps in infrastructure, human

resources, and regulatory framework as starting points for improved septage management. While

this covers a whole Kota / Kabupaten, the focus will be on how wastewater management services

are reaching the poorest areas.


24

■ Promote the “unbundling” of septage management services by out-sourcing specific

components such as collection and transport to private operators. LGs clearly prefer to engage the

private sector—as opposed to managing vehicle fleets and drivers directly—but doing so requires a

thorough vetting and licensing process; and

■ Link UPTDs/PDAMs to improved individual, communal and small-scale sewerage

systems to improve management. Similar to partnerships PDAMs and community-based water

systems, such twinning relationships will foster sustainability through shared expertise.




Develop Sanitation Performance Index

with MPHW, Bappenas, and others

(including testing)

National New Sanitation

Performance Index used

Aug – Dec 16

Implement Sanitation Performance Index

(baseline, collection, verification,

reporting)

Regional Baseline data (Dec 16) and

Progress report (June 17)

Jan – Mar 17

July - Sept 17

Collaboration with MPWH,

Bappenas,donors, projects, AKKOPSI,

etc on coordinating improved urban

sanitation (including sanitation institution,

septage management, LLTT, Hibah, etc.)

National

Regional

Agreements on joined

activities with roles &

responsibilities each party.

Regular coordination

meetings conducted by

GOI and donors.

Aug – Dec 16

Oct 16 – Sep 17

Support MPWH with technical and

institutional trainings on improved

septage management, especially septic

tanks, LLTT and IPLT designs

National

Regional

Training programs

prepared and conducted

with MPWH and others

Sep 16 – Oct 16

Jan 17 – Sept 17

Assessment and preparation of

partnership plans with LG on sanitation

improvement programs (including needs

assessments, City sanitation mapping /

roadmap, establish UPTD)

Regional Agreed 5 year Partnership

Plans and one year action

plans with alI participating

LGs

Oct - Dec 16

Provide technical support to community-

based construction activities identified

and implemented under Component 1.3.

and the LSIC

Regional TA for planned

community-based

construction activities

conducted

Jan – Sep 16

Promotion of increasing access for

improved sanitation for B40 by LG and

Sanitation unit

Regional Agreement with LG on

specific programs to

increase improved

sanitation services to B40

Nov - Dec 16

Facilitate septage business planning by

applying a tailored financial model

National

Regional

Septage business model

available and ready to be

applied in local government

Aug 17

Promote the “unbundling” (involvement

private sector) of septage management

services

National

Regional

Model of outsourcing of

LLTT is available

Sept 17

Link UPTDs/PDAMs to (improved)

individual, communal and small-scale

sewerage systems to improve

management and coverage

Regional Model of linking San

operator (UPTD/PDAM)

with all sanitation systems

established

Sept 17

25

Subcomponent 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 inextricably linked to the political landscape, making it essential to understand the

power dynamics and engage local decision makers and politicians from the outset of the project,

especially with the aim to focus more support for increased WASH service for the poorer population.

After the locations have been selected, the Regional teams will conduct a rapid mapping of the

institutions, incentives, and actors to better understand this shifting landscape, while the National team

will strengthen collaboration with all relevant National Agencies.

The following list summarizes the main programs implemented in PY1 of IUWASH PLUS

■ Develop and implement the Governance Performance Index. This index will be developed

with National stakeholders (MOHA, BAPPENAS, MPWH, etc.) and used as a measuring tool to

determine commitment of LG in the management of service WASH sector.

■ Promote use of Minimum Standard Services in WASH Sector as minimum performance level

of LG for delivering WASH service, in close collaboration with MoHA, Bappenas and Technical

Ministries and others (like AKKOPSI).

■ Facilitate WASH visioning and agenda-setting events with special aim to inform

bupati/walikota, district secretaries, senior members of Parliament, PDAM managers about current

and planned WASH services, budget trends and access for the poor. These eventswill serve as a

platform for forging partnership agreements and will also be used for the Mayors to articulate their

vision for WASH services.

■ Advocate for WASH resources. Building on IUWASH experience analyzing the budgets of 50+

LGs, the IUWASH PLUS team will apply the WASH Budget Analysis Tool to collect, organize, and

summarize WASH budget allocations for each target location.

■ Facilitate new/revised WASH policies by mapping policy gaps and assisting in drafting or

revising poor-inclusive policies such as a local law enabling OBA for sanitation or a regulatory

framework for septage management. IUWASH PLUS Governance teams also will support

Component 1 teams to develop policy of mechanism for citizen engagement in wash sector; and

■ Conduct learning exchanges in which LG officials can hear about the successes and challenges

of their peers. These will be done in close consultation with Associations like APEKSI, APKASI and

Akkopsi to share best practices in poor-inclusive water and sanitation services.

Exhibit 15 summarizes the principle activities envisioned for Subcomponent 2.3 during PY1.



Develop Governance Performance Index

with MPHW, Bappenas, and others

(including testing)

National New Governance

Performance Index used

Aug – Dec 16

Implement Governance Performance

Index (baseline, collection, verification,

reporting)

Regional Baseline data (Dec 16) and

Progress report (June 17)

Jan – Mar 17

July - Sept 17

Collaboration with MOHA, Bappenas

MPWH, and donors on coordinating

improvements in legislation on WASH

services (include minimum service

standards, mandatory connections,

polluter pay principle)

National

Regional

Agreements on joint

activities with roles &

responsibilities each party;

Regular coordination

meetings conducted by

GOI and donors.

Aug – Dec 16

Oct 16 – Sep 17


26


Prepare and implement Visioning

workshops as advocacy tool for increase

WASH support (legislation, budgets,

etc.) by LG and others

Regional Visioning workshops

conducted in all IUWASH

locations

Oct 16 – Mar 17

Review existing WASH legislation in each

IUWASH PLUS location, determine

regulatory gaps, and provide TA for

policy revision or new policy formulation

Regional Review completed

including overview of

required revision or new

regulations

Oct 16 – Mar 17

Review of critical role of DPRD in

strengthening WASH sector in selected

IUWASH PLUS locations

Provincial

Regional

Review completed, with

recommendation how to

increase support from

DPRD members

Nov16 – Feb 17

Support other components on

institutional issues at regional level

(advocacy, tariff approvals, APBD

allocations, role DP)

Provincial Technical support provided

to other components,

documented and shared

with Component 4

Oct 16- Sep 17

Conduct Advocacy on adopting

Minimum Service Standard (SPM) as

performance measure

National

Regional

Revision of SPM guidelines Jan – Sep 17

Technical Assistance for policy revision

or new policy formulation (all Wash

sectors)

National

Provincial

Regional

Improved regulations and

their implementation

strategy/plans

Jan - Sep 17

Sub-Component 2.4: Assist LGs and institutions to improve the protection,

management, and allocation of raw water resources

In the densely populated regions of Java, Sumatra, and South Sulawesi, the availability of water to be

used as raw water source for domestic water is not simply a problem; it is a crisis. The combination of

land-use change, urbanization, and climate change have created chronic shortages during the dry season,

making it imperative to include upstream resource management in the urban WASH ecosystem. The

sustainability of these resources is also integral to poor-inclusive services. The GOI initiated the

development of Water Safety Plans which cover both up- and down-stream risks and IUWASH PLUS

will examine the results achieved to date and develop a robust program on safeguarding water sources

for future generations, with large buy-in from all stakeholders.

The following list summarizes the focal programs implemented in PY1 of IUWASH PLUS

■ Support the development of comprehensive water safety plans in the most water-stressed

areas. Building on the work of the MOH and MPWH, IUWASH PLUS teams will engage local,

provincial and national stakeholders governments in the development of water safety plans in

recognition of transboundary impacts and the Ministry of Public Works’ regionalization efforts

■ Roll out the climate change vulnerability assessment as a critical element of the

upstream component of the water safety plans. The assessment and training modules

developed under IUWASH will be used as basis for asessment at each IUWASH PLUS region.

■ Network building related to issues on Water stress and Climate Change Adaptation Actions.

IUWASH will encourage close collaboration with all agencies and institutions at National and

Provincial level to meet on regular basis to discuss the issues and opportunities related to (future)

water stress for domestic water supply, which will mostly affect the poorest population.

27

Exhibit 16 below describes the principle activities envisioned for Subcomponent 2.4 during PY1.



Collaboration with Bappenas, MPWH,

MOH, PERPAMSI, on data gathering /

mapping of current status of Water

Safety Planning in Indonesia

National Summary report on

current status of Water

Safety Plans, and

recommendations for

IUWASH PLUS

Aug – Oct 16

Develop Collaboration with BMKG,

BNPB, ICCTF, Ministry of Forestry,

Ministry Energy and Mineral Resources,

RED++ etc.

National Data on groundwater

resources management and

climate change issues,

Aug – Oct 16

Develop close collaboration with USAID

financed APIK Program on to support the

development Water Safety Plan/Rencana

Pengamanan Air Minum (RPAM)

National

East Java

Agreement on joined

activities in overlapping

locations

Sep – Dec 16

Identify and develop collaboration with

potential CSR partners for raw water

protection/ Water Safety planning

(including CCFI, Nestle)

National Information on results of

previous collaboration and

potential for continuation

collaboration with

IUWASH PLUS

Aug 16 – Sep 17

Data collection on Climate Change

resilience related to Water Safety Plans

with SKPD, PDAMS, local universities and

research agencies,

National

Regional

Database related to water

resources and climate

change resilience

Oct 16 – June 17

Development of Water Safety Plan

concept and strategies with key partners

in IUWASH PLUS locations

Regional Agreement on

development of Water

Safety Plan in 10 locations

Jan – Sep 17

COMPONENT 3: STRENGTHENING THE WASH FINANCING

ENVIRONMENT

The flow of WASH financing connects the actors of the urban WASH ecosystem, providing the

resources for LGs and PDAMs to meet the needs of their citizens. While this flow has been far from

steady in recent years, the financing environment continues to rapidly evolve, with new opportunities

emerging in areas such as public-private partnerships and microfinance. Toward this end, IUWASH

PLUS will collaborate with the Indonesian Government and financing partners such as PT SMI, the Asian

Development Bank, KfW, OJK and others to capitalize on new opportunities and work toward more

systematic and sustainable WASH financing. Importantly, and as noted in the Introduction to this

Section of the Work Plan, activities related to microfinance and SME development (the latter of which

includes through the use if BDS) has been moved to Component 3 and are now set forth in a new task

area referred to as Component 3.4

During PY1, Component 3 will focus on building partnerships with central government stakeholders and

better understanding the needs of local government services providers as well as households as they

seek to finance new infrastructure. More specifically, the IUWASH PLUS Component 3 team will:


28

■ Draft a WASH microfinance “White Paper” (Naskah Akademis) in partnership with

Bappenas in support of a new policy to improve the capitalization of microfinance for improved

WASH services for poor and vulnerable households;

■ Actively engage in the development and promotion of WASH microfinance;

■ Expand the use of the Credit-Worthiness Ladder tool by completing its setup as a web base

system under NAWASIS (currently maintained by Bappenas);

■ Support the MPWH/PLP to develop a regulation for sanitation, especially for the tariff

structure for regular desludging. In the water sector, the Directorate of Water Supply System

(SPAM) will be engaged by IUWASH Plus to continue supporting the regionalization of bulk water

programs in North Sumatera, MEBIDANG, and Central Java WOSUSOKAS. With BPPSPAM under

the Ministry of PUPR, IUWASH PLUS will also continue developing PPP guidance especially for

financial issues.

■ Monitor PDAM financial performance in accordance with their debt restructuring plans in

coordination with the Ministry of Finance – MOF under Directorate of Sistem Manajemen Investasi,

Directorat General of Treasury; and

■ Engage with PT SMI, PII, and the provincial development banks as a potential sources of

capital financing for water utilities.


Exhibit 17 summarizes the key institutional partnerships necessary to the successful implementation of

activities under Component 3.

Exhibit 17: Key Component 3 partnerships for PY1.


BAPPENAS Follow up work initiated with regard to WASH microfinance and continue the

development of the CWL and its integration into NAWASIS.

MPWH Support improved Septage Management regulations (prepared by PLP) and Perpres29

subsidzed loan for PDAM (by Ditpam).

Support the implementation of “10 million connections” (10 juta Sambungan)” program to

rapidly increase water supply access.

Support use of targeted ABPN grants (Hibah, OBA) to stimulate WASH access

Technical Assistance for regionalization projects of MEBIDANG (North Sumatra),

WOSUSOKAS (Central Java) and possibly Malang Raya (East-Java)

MOF/ SIM Coordinate assistance to PDAMs which obtained approval of debt restructuring

BPPSPAM Drafting, developing, and finalizing the B2B toolkit (regulations, financial projection

models and evaluation templates), and drafting a legal due diligence guide.

Coordination of technical assistance provided to PDAM.

PT SMI Coordinate involvement to support alternative financing for water projects

PT PII Coordinate possible support for alternative financing of water development projects.

PT Danareksa Coordinate possible support for alternative financing funded by bond issuance

Worldbank, ADB,

IDB, AIIB, KfW

Coordination on possible collaboration regarding preparation of financing for water

supply and sanitation projects

Otoritas Jasa

Keuangan

Follow up work initiated with regard to the development of policies that promote

improved capitalization of WASH microfinance

Water Org Collaboration on micro finance of water and sanitation for several municipalities

APSANI, Preliminary assessment of APSANI’s roles in assisting small enterprises of WASH

29


Bank BRI, BPR and

others

Promote support by BRI, BPR and other local banks or finance institutions to

provide/support micro finance for WASH, including small enterprises.

Subcomponent 3.1: Facilitate a supportive enabling environment for WASH

financing

As depicted earlier, the availability and flow of financing is a critical feature of the overall WASH

ecosystem, and the enabling environment that ensures that WASH financing effectively moves to and

supports the Government’s target of Universal Access and, in particular increased access for poor and

vulnerable populations, is of vital importance. In Year 1 activities will focus in coordination with the

central government to identify and develop regulations that will help local providers to achieve

ambitious expansion targets. Priority areas of support for PY1 include:

Support Bappenas to complete the development of the PDAM credit worthiness tool as a web-

based system;

Assist the Ministry of Public Works to develop a PPP regulation for the water sector;

Collaboration MPWH / PLP in developing tariff regulation for waste water management (including

septage management);

Develop and promote adoption of a new national policy for the capitalization of WASH

microfinance programs in close concert with Bappenas and the Otoritas Jasa Keuangan (OJK).

Exhibit 18 below describes the key Main Programs, outputs, and estimated timeline.



Develop and promote adoption of a new

national policy for WASH microfinance

National Naskah Akademik on

WASH microfinance

completed and formally

supported by Bappenas

and OJK

Sep16 - Mar 17

Collaboration MPWH / PLP in

developing tariff regulation for waste

water management (including septage

management)

National Regulation completed and

disseminated.

Sep 16 - Feb 17

Collaboration with Bappenas to include

CWL in the NAWASIS monitoring

system

National CWL in NAWASIS

database and socialized to

local stakeholders

Oct 16 – Feb

17

Collaboration with MPWH, BPPSPAM

and others to develop regulation on PPP

/ B2B for water

National Regulation complete Oct 16 - Feb

17

Sub-Component 3.2: Facilitate increased access to finance for WASH

IUWASH PLUS will serve as a liaison among actors in the urban WASH ecosystem to facilitate the

financing of water and sanitation capital infrastructure. The Indonesian Government continues to have

significant resources—particularly for the regionalization of water supply—and IUWASH PLUS can help

to strengthen local-national linkages by bringing local stakeholders (PDAMs and LGs) to the national

level to present projects and advocate for funding. Priorities for PY1 are as follows:


30

■ Conduct assessment of WASH projects in all selected geographies which are anticipating

central government funding and assist the local government to fulfill the readiness criteria to obtain

financial support from national budget;

■ Continue support for the regionalization of water supply in North Sumatera while also

expanding assistance to a new regionalization project in Central Java (WOSUSOKAS).

■ Work with LG to prepare for project funding by, for example, preparing DED or feasibility

study;

■ Actively support advocacy for increased local government budget allocations, including

close monitoring of both the budget planning and, as possible, spending process.

Activities being conducted under subcomponent 3.2 are listed below (Exhibit 19):



Collaboration with MPWH at National

and Provincial level to support WASH

projects including readiness criteria

compliance

Regional List of WASH projects in

provincial level for all

cities/districts.

Oct 16 – Sep

17

Support Municipal Finance activities for

IUWASH PLUS locations, including

performance monitoring

Regional Activities agreed in

partnership plan and

implemented by National

and regional teams

July 17 – Sep.

17

Technical support for raw water

regionalization of MEBIDANG,

WOSUSOKAS and others

North Sumatera

Central Java

Other regions

Agreement with all

stakeholders on roles and

responsibilities of

IUWASH PLUS and others

Sep 16 – Sep

17

Identification and provides possibility

assistance for Regionalization

WOSUSOKAS, Central Java

Central Java List of assistance being

provided by IUWASH

Plus.

Sep 16 – Dec

16

Developing database of APBD budget for

WASH

Regional Baseline of 2016 APBD for

watsan allocation

Nov. 2016 to

Feb. 2017

Advocacy in LG forums for APBD 2017

revision to include WASH allocation

Regional WASH allocation included

in (revised) APBD 2017

Feb 17 – Jun

17

Monitoring and mentoring proposed

program in related SKPD and BAPPEDA

All cities/districts at

all regions

Approval of TAPD issued

by SEKDA including local

parliament’s endorsement

Aug. 2017 –

Sep. 2017

Sub-Component 3.3: Provide technical assistance to key financing facilities

Technical assistance provided to key financing facilities is aimed to have more support from key

financier for water and sanitation improvement program. PT Sarana Multi Infrastruktur (SMI) is urged to

become more engaged in the water sector, but currently has minimal experience in lending for water

supply project. To do so, IUWASH Plus in year 1 will begin its activities with PT SMI, providing training

on the evaluation and financial analysis of water projects for lending purposes. Additional focal areas of

PY1 will include:

■ Collaborate with the emerging NUWAS program of the World Bank which will provide

technical assistance to PDAMs to improve their performance and make progress towards the

achievement of Universal Access;

31

■ Support water supply regionalization programs through technical assistance to MPW and

involved local governments and service providers;

■ Support MPW in the development of regular desludging (LLTT) programs, especially as

it relates to tariff setting;

■ Engage the provincial development banks as platforms for regionally based WASH investment.

Rather than attempting the set-up of a centralized financing facility, it may be more feasible to begin

at the provincial level, working with a development bank to establish a ring-fenced WASH fund.

Please see below for summary of main programs conducted in Year 1 under Subcomponent 3.3:


Activity Locations Output Timeline

Coordination with PT Danareksa, SMI

and MOF for alternative financing, Pepres

29 and other source of financing

National Clarification of national

supports to implement

alternative finance for

water and sanitation

projects.

Oct 16 - Feb

17.

Collaboration with World Bank / Nuwas

to improve PDAM Performance.

National

Regional

Agreement on sharing of

assistance between

IUWASH Plus and World

Bank

Oct 16 - Sep

17

Closely monitor the WASH financial

sector to identify and respond to new

opportunities as they arise.

National On-going expansion of the

Project’s portfolio of

assistance to current or

new facilities

Oct 16 - Sep

17

Subcomponent 3.4: Increase household access to finance for WASH services.

Household access to finance is essential to unlocking demand in the WASH sector. Respondents to

household WASH surveys frequently cite the prohibitive cost of constructing sanitation facilities or

obtaining a PDAM piped water connection. While IUWASH achieved notable progress in expanding the

use of microfinance for WASH services, further opportunities for impact remain. In PY1 and in close

concert with Component 1, the Project will focus its efforts on the following:

■ Support promotion of WASH microfinance as an effective means to support urban poor and

vulnerable populations. In addition to support of national policy development under Sub-

Component 3.1, this will also involve advocating for governmental budget allocations for the

capitalization of WASH-oriented loan programs through local MFIs (such as the network of BPRs at

provincial and local levels).

■ Conduct an inventory of MFIs active in targeted geographic areas to assess their interest and

ability to support WASH microfinance and conduct WASH forums for MFIs to introduce them to

sample products, successful practices, and ways to limit non-performing loans. This will also

specifically target women’s cooperatives, an approach that has proven effective for one of the

Project’s resource organizations, Water.org.

■ Develop programs for and provide direct assistance to MFIs that show the greatest interest

and promise in WASH microfinance, including: the development of new loan products, SOPs, and

promotional schemes (in tandem with demand creation activities under Component 1.1); guidance

in capitalization; and ensuring that increased lending can be met by commensurate improvements in

service provider capacity.


32

■ Facilitate partnerships between MFIs and sanitation SMEs to ensure that financing and

construction go hand-in-hand. Different partnership models include merging the lending and

construction functions under a single entity (such as a large cooperative) or identifying a pre-

approved list of SMEs from which a new MFI customer can choose.

■ Structure and streamline credit programs managed by PDAMs, assessing financial viability,

loan evaluation criteria, operating procedures, and integration of credit options into their marketing

and customer processing. When the PDAM is not able to finance a credit program independently,

mezzanine lenders may be engaged to help capitalize a fund devoted wholly to connection charges.

■ Explore other forms of microcredit such as WASH savings, non-collateral loan (including

locally-based collective savings/lending Arisan programs), lay away purchase, revolving loan funds or

other blended/co-financing arrangements.


Activity Locations Output Timeline

Support development of a national policy

for WASH microfinance under 3.1

National Naskah Akademis Sep16 - Mar 17

Develop and implement a program to

inventory MFI’s at the regional and local

levels and provide them with an

introduction to the WASH sector to

their possible interest and ability to

support related initiatives.

National

Regional

Inventory of MFIs and

identification of those

most interested able to

service the WASH sector

Oct 16 - Jan 17

Develop programs for and provide direct

assistance to MFIs that show the greatest

interest and promise in WASH

microfinance (see above)

National

Regional

Technical assistance for

identified MFIs

Feb - Sep 17

Facilitate partnerships between MFIs and

sanitation SMEs are able to respond to

increased demand for their services.

National

Regional


identified MFIs

Mar - Sep 17

Structure and streamline credit programs

managed directly by PDAMs

National

Regional


identified PDAM

microfinance programs

Feb - Sep 17

Explore other forms of microcredit such

as WASH savings, non-collateral loans

(including Arisan), revolving loan funds

or other blended/co-financing

arrangements.

National

Regional

Technical review and

study of non MFI

microcredit options for

WASH services

Feb - Jun 17

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.

33

Under Component 4, 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 collection, dissemination, and integration of lessons

learned and best practices to improve national policies and programs through evidence-based advocacy

and policy dialogue. Examples of how this can happen include disseminating in a synthesized form:

formative research and lessons learned from market-based approaches under Component 1; best

practices from the introduction of scheduled desludging (LLTT); technical approaches related to the

design, operation and maintenance of septage treatment plants (IPLT) as pursued under Component 2;

or lessons learned in applying the PDAM creditworthiness ladder (CWL) under component 3.

IUWASH PLUS will also work to strengthen coordination and advocacy among national government

agencies. Coordinating groups such as the national-level Water and Sanitation Working Group (Pokja

AMPL) play a strategic role in coordination and advocacy and can serve as a catalyst to expand the

reach of IUWASH PLUS beyond its own target provinces and districts and, thereby, contribute to the

GOI’s broader goal of achieving Universal Access nation-wide (and which requires significant funding,

estimated more than IDR 500 trillion, as well as strong multi-agency support at all levels). This can

include, for instance, improving tools (integrated into NAWASIS as possible) for tracking local

government WASH expenditures, as part of funding needed to achieve Universal Access.


Exhibit 22 summarizes the key institutional partnerships necessary to the successful implementation of

activities under Component 4.

Exhibit 22: Key Component 4 Partnerships for PY1.


BAPPENAS Promote best practices and lesson learned to strengthen and influence national

policy and regulation, and facilitate scaling up to support Universal Access goals

Pokja AMPL Leading forum for WASH sector coordination, programs collaboration and the

dissemination of best practices and lesson learned

STBM Secretariat Leading forum for coordination and collaboration on the implementation of STBM,

and dissemination of best practices and lesson learned

Jejaring AMPL Leading WASH networking forum for communicating information, best practices

and lesson learned, and creating partnership

CSR National Forum

(CFCD and IBL)

Promote private sector engagement in WASH development

Media Promote understanding, influence decision makers and relevant stakeholders on

WASH sector issues and development agenda

Donors and NGOs Coordination and collaboration for supporting WASH sector in Indonesia and

influence broader sector policy and regulation

Research & Training

Institution (University,

LIPI, R&D, BTKL)

Stimulate innovation and develop sustainable solutions to address WASH sector

challenges and provide required capacity building

AKKOPSI Advocacy for improving sanitation national policy/regulation, building LGs

commitment for sanitation, promoting and scaling up best practices

Sub-component 4.1: Build capacity of national WASH coordination agencies

IUWASH PLUS will focus in PY1 on the principal WASH coordination bodies: Pokja AMPL and the

STBM Secretariat. Short- and long term experts will carry out institutional capacity assessments of the


34

organizations to determine how and where best to focus support in strengthening each. Based on these

assessments, the IUWASH PLUS team will:

■ Analyze current priorities, plans, budgets and working group dynamics. We will review

the information and analyses that each body uses to establish priorities each year and identify where

functions can be improved through training, advisory assistance, and technology.

■ Support the adoption and integration of NAWASIS. IUWASH is currently supporting the

integration of our PDAM creditworthiness evaluation tool into NAWASIS; we will expand such

support by demonstrating the utility of the system to national and local stakeholders alike as a

means to monitor sector progress and program funds more effectively.

■ Facilitate information sharing among the different national agencies by convening coordination

forums that provide a platform for sharing best practices and policy dialogues in shaping national

WASH policies and influencing city/district service providers.

■ Examine possibilities for supporting the adoption and replication of IUWASH PLUS

approaches and tools to other districts through Pokja AMPLs at the provincial level. Several

provinces (i.e. North Sumatra and West Java) indicate strong interest in replicating such approaches

and tools to other districts and IUWASH PLUS can at a minimum provide critical advice in the

process.

Exhibit 23 below summarizes the initial Main Programs envisions for Subcomponent 4.1.



Assess institutional capacity of national

WASH stakeholders and coordination

agencies, i.e. Relevant Ministries, Pokja

AMPL and STBM Secretariat, etc .

National Institutional capacity map

of ministries and WASH

agencies (Pokja AMPL,

STBM Secretariat)

Priorities areas for

improving WASH

Coordination agencies

capacity and function

Aug – Nov 16

Support priorities areas for improving

WASH coordination and communication

agency function

National WASH Coordination

agencies strengthened and

coordination function

improved

Dec 16 – Sept

17

Build capacity of Pokja AMPL Province

and examine possibilities related to the

replication of best practices, approaches,

and tools to other districts.

Province Areas to support and build

capacity for Pokja AMPL

Province identified

Jan – Sep 17

Support NAWASIS in monitoring and

evaluation system and expanding it to

include other national and local

stakeholders

National Selected tools (such as

PDAM creditworthiness

and Performance Indexes)

are regularly updated and

widely used

Nov 16 – Sept

17

Subcomponent 4.2: Strengthen national-level WASH policy and regulatory

environment

Although the Indonesian Government has made targeted improvements in the WASH regulatory

environment in recent years, important gaps remain in areas such as water resources governance and

wastewater service standards. 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

35

of proven approaches to expand services at the provincial, municipal, and community levels. In addition,

monitoring and evaluation mechanisms are another critical element for the WASH sector, especially for

programs targeting the B40. In this regard, the Project will work closely with those most involved in

tracking this group (and in particular the Tim Nasional Percepatan Penanggulangan Kemiskinan (TNP2K

or the National Team for the Acceleration of Poverty Alleviation) to learn, share data, and provide

feedback on the Project’s own efforts to target the poor and vulnerable. While specific

policies/regulations will be identified during the initial work plan, illustrative examples of evidence-based

advocacy are:

■ Using septage management financial analyses in cities such as Surakarta to assist the Ministry

of Public Works to develop and adopt guidelines on cost recovery septage tariffs.

■ Building on water for the poor successes to advocate for more poor-inclusive policies for

WASH services with the Ministries of Home Affairs and Public Works.

■ Integrating the climate change vulnerability assessment methodology into the water

safety planning framework under the MOH.

■ Mainstreaming market-based approach in urban STBM using field-based experiences such

as from Tanggerang which have used microfinance to facilitate access to improved sanitation

facilities by low income households.

■ Improving septage management and treatment plant design to increase operational

orientation to the investment of MPWH using the experience from city like Bekasi, Surakarta,

Makassar, and DKI Jakarta.



Advocacy to influence national WASH

policies and regulation, building from

USAID-IUWASH PLUS best practices

and lessons learned

National Specific policies,

regulations or guidelines

updated or developed, (i.e.

poor-inclusive septage

services or market-based

STBM approaches)

Sept 16 – Sept

17

With MPWH, mainstream approaches

and tools into investment programs and

operational procedures, such as

improving septage management,

treatment plan design, etc.

National Approaches and tools are

mainstreamed in the

MPWH programs and

budgeting processes

Nov 16 – Sept

17

Establish regular communication with

TNP2K for advice/assistance in B40

targeting and sharing experience of

Project efforts in targeting and tracking

the B40to monitor B40.

National Improved B40 targeting

and tracking

Nov 16 – Sept

17

With BAPPENAS, MOH and MPWH,

integrate climate change vulnerability

assessment into the water safety planning

framework

National Updated water safety

planning framework

Sept 16 – Sept

17

Continue working with GOI, LGs and

private sector for scaling up the Rumah

Bersama CSR initiative

National

Provincial

Regional

Platform to improve

private sector engagement

in WASH

Sept 16 – Sept

17


36

Subcomponent 4.3: Share and mainstream lessons learned and best practices

through toolkits, manuals, events, and online dissemination

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, as lessons learned and best practices from regional success are critical elements for

evidence-based advocacy and improving policy framework, various communication tools and medias will

be developed to support the policy formulation or improvement process. Drawing on the expertise of

SNV, SPEAK, and Taoti, the IUWASH PLUS communication team will:

■ Convene learning 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 for the very poor.

■ Support the development of evidence-based, peer-reviewed knowledge products, using

LSIC to, for example, engage local universities in applied research.

■ Conduct a “digital discovery process” with counterparts such as Pokja AMPL to transform

websites into knowledge portals, using interviews, surveys, and digital analytics to help counterparts

understand stakeholder information needs and build more responsive sites.

■ Develop strategic communication plan to improve knowledge management in the WASH

sector by effectively capturing and disseminating both explicit and tacit knowledge, using three

dimensions: capture vs. dissemination, explicit vs. tacit knowledge, and the array of project tasks for

the core elements of IUWASH PLUS’s communications, outreach and knowledge management

efforts, for helping stakeholders’ understanding of WASH issues and improve their ability to take

actions



Develop strategic communication plan National Strategic communication plan

developed and disseminatied Sep – Nov 16

Analysis sector knowledge gap for

improving WASH service delivery,

especially for the poor

National Mapping of sector knowledge gap

and list of needed knowledge

products

Sept – Dec 16

Developing IUWASH PLUS Project

website and related social media

National Website and social media

accessible

Oct ’16 – Sept

‘16

Conduct learning events to share

analyses, lessons learned, and best

practices from the program

National At least 10 knowledge events

conducted at national and

regional level

Sept 16 – Sept

17

Develop advocacy tools and materials

using lessons learned and best

practices from the project and

communicate / disseminate same

through various medias and events,

including policy dialogues

National Advocacy tools and materials

developed and communicated /

disseminated

Nov 16 – Sept

17

Initiate development / improvement of

relevant Ministries/ WASH

coordination agencies knowledge

portal or website to be more

responsive to stakeholders need

National The development/ improvement

of WASH Knowledge portal or

website initiated

Sept 16 – Sept

17

Identify needs for knowledge

management mobile applications for

WASH

National Potential knowledge management

mobile application for WASH

identified

Sept ‘16 – Sept

‘17

37

4. LOCAL SUSTAINABILITY AND

INNOVATION COMPONENT (LSIC)

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 innovative approaches that eventually will

lead to increased WASH access, especially for poor households. IUWASH PLUS will use a mix of grants

and subcontracts to mainly Indonesian institutions, companies, universities, and the like to stimulate the

development, testing and/or mainstreaming of innovative WASH designs, campaigns, products,

mechanisms, approaches, etc. geared to stimulate both the public and the private sector to address all

challenges on increasing WASH access. Building on experience with similar crosscutting mechanisms,

IUWASH PLUS will:

■ Grant prizes to entities that solve WASH technology challenges. These could involve

partnerships between city governments or PDAMs and private companies, NGOs, and/or

universities that address critical technology challenges; and

■ Subcontract awards that test sustainable WASH service models to expand access to

the poor. These subcontracts will support the preparation and piloting of service models that are

poor-inclusive and address key service gaps.

IUWASH PLUS will mainly use three different approaches in making 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.

The following section summarizes LSIC activities and tasks during PY1. For more details on the policies

and approach for the LCIS, please see the complete LSIC Implementation Plan.

ILLUSTRATIVE LSIC ACTIVITIES

The LSIC is not a separate task or result, but a tool to provide targeted technical and capacity building

support, and to finance or co-finance partners activities designed to strengthen community, private

sector and government WASH service provision. LSIC financed activities will contribute to, and be

based on, verifiable program indicators, demonstrate technical soundness among tasks and program

objectives, leverage non-project funds and resources, and encourage cost sharing from recipients to

promote replication of actions, ownership and sustainability. By design, LSIC activities also seek to

promote the participation and/or collaboration of local entities toward the achievement of the

IUWASH PLUS targeted results. In addition to sourcing new innovations, LSIC activities may include

incentivizing the adoption or scaling-up of proven innovations that emerged from previous USAID

sector investments or during the IUWASH PLUS implementation period. Examples of the types of

activities the LSIC will support are presented in Exhibit 26 below.


38

Exhibit 26: Types of Activities the LSIC Support.

Illustrative Activities Illustrative Partners

Component 1:

■ Design, pilot, and market septage collection and transport equipment.

■ Research effectiveness of POU water storage/protection products, and develop

new product ideas.

■ Design, produce, and market low-cost toilet/septic tank products.

■ Create sanitation loan products targeted to poor households.

■ Universities

■ Equipment manufacturers

■ APPSANI, Asosiasi BDS

Indonesia

■ MFIs, cooperatives, SMEs

Component 2:

■ Develop online training platform for PDAM and city/district WASH staff.

■ Test distribution network pressure monitoring tools to reduce non-revenue

water.

■ Expand use of open-source information systems for PDAM asset management.

■ Develop customer problem reporting/feedback via SMS.

■ Develop information and communications technology (ICT) for citizen

engagement.

■ Asosiasi BDS Indonesia

■ PERPAMSI, Ministry of

Public Works training

centers

■ Maker community

■ ICT specialty firms

Component 3:

■ Expand the use of mobile-based surveys to develop baselines on current

conditions of septic tanks, data that are needed for sanitation hibah eligibility.

■ Create an online WASH investment forum linked to NAWASIS Develop

streamlined decision support tools for B2B toolkit with user-friendly graphic

interface to facilitate data entry and comparison of offers.

■ University technology

departments

■ MFIs, cooperatives and

credit unions


Component 4:

■ Support evidence-based advocacy efforts of STBM Secretariat, Pokja AMPL,

and NAWISIS through WASH-wealth mapping and gender-responsive data

collection.

■ Develop mobile applications in support of systems such as NAWASIS to allow

users to access all data, best practices, and case studies via mobile devices.

■ Hold design competitions for sharing WASH information through infographics

or interactive maps.


■ University research teams

and students

■ Local communications

firms

PY1 LSIC ACTIVITIES

The focus of LSIC activities during PY1 will be on the establishment and operationalization of the LSIC.

The LSIC will be implemented through three approaches: call for proposals, innovation challenge, and

collaborative design. IUWASH PLUS anticipates maximizing the use of call for proposals to meet the

program higher results and outcomes, in particular in PY1. The other two (2) approaches (innovation

challenge and collaborative design) are used to promote innovative solutions and non-traditional

partners. However, as the process for implementing such approaches appropriately is expected to take

longer to develop, they will be targeted for PY2 onward. Exhibit 27 below provides a summary of PY1

activities associated under the LSIC:

Exhibit 27: LSIC Support Main Programs in PY1.

Program Location Output Timeline

Develop LSIC implementation guidelines

and plan

National LSIC implementation

guidelines and plan

developed

Aug 16

Establish LSIC support tools and systems,

including agreement templates, set-up in

TAMIS, and socialization/training of

internal staff on applicable processes

National All LSIC support tools and

systems approved and in

place at National and

Regional level.

IUWASH PLUS staff

Sep – Nov 16

39

Program Location Output Timeline

trained on LSIC processes

Identify potential partners and innovative

activities to address WASH challenges

National

Provincial

Local

Potential partners and

innovative activities

identified

Sep – Nov 16

Develop LSIC outreach materials and

portal

National LSIC outreach materials

and portal developed

Oct - Nov ‘16

Launch of LSIC program, as all IUWASH

PLUS levels

National

Provincial

Local

Potential partners and

relevant stakeholders have

common understanding

about LSIC

Dec ‘16

Initiate the LSIC activities through grant

and sub-contract mechanism, including

those related to small-scale, community-

based construction programs which will

be overseen by Sub-Component 1.3.

National At least 1 (one) LSIC

activity awarded per

region; and

Clear concept developed

for implementation of

other mechanisms

(innovation challenge and

collaborative design)

Jan – Sept ‘17


40

5. GENDER MAINSTREAMING

This Section addresses IUWASH PLUS approach to the integration of gender in PY1 activities. More

specifically, the subsections below briefly describe the alignment of IUWASH PLUS’s gender strategy to

USAID policies and procedures as well as key definitions and guiding principles to the Project’s

approach to gender integration. IUWSH PLUS’s strategy to integrate gender equity and women’s

empowerment into the Project during the planning period will take three primary forms.

First, building off the above principles, the IUWASH PLUS Gender Specialist will lead a detailed gender

analysis to identify potential gender issues, gaps and constraints faced by project beneficiaries that are

likely to negatively affect Project implementation. This analysis will then result in a gender action plan

that outlines the Project’s approach to mitigate those effects during implementation. The gender action

plan will include advocacy for developing gender responsive budgeting and planning by LG. Importantly,

the analysis and resulting action plan will be completed following the site selection process in order that

gender issues may be adapted to the targeted cities and districts.

Second, IUWASH PLUS will establish an internal gender working group consisting of representatives

from each regional office and task team to oversee the implementation of the action plan project-wide.

The working group will meet regulally to track progress in meeting the objectives of the action plan and

share common problems and mitigation strategies. The working group will also be responsible for

developing gender guidelines internal to the Project’s operations, providing recommendations to senior

managers on how to facilitate a gender-safe working environment.

Third, IUWASH PLUS will develop sound gender mainstreaming indicators that integrate in the 22

result indicators. IUWASH PLUS will work together with the USAID Gender Specialist to assure that

these gender indicator(s) contribute to the USAID gender sound indicator. The integration of gender

aspect in result indicators will also strengthen the results definitions and improved reporting based on

gender disaggregation.

ALIGNMENT WITH USAID’S GENDER POLICIES

In preparing the gender strategy for PY1, IUWASH PLUS reviewed USAID’s Gender Equality and

Female Empowerment Policy, the USAID Water Strategy, as well as other key USAID, GOI, and

implementing partner documents. As IUWASH PLUS’s ambitious approach reaches up to the policy

level and across a range of key public and private stakeholders, it has the potential to substantively

impact the role of women in the WASH sector and contribute to key USAID impacts including:

Reducing gender disparities in access to, control over and benefit from resources, wealth,

opportunities and services –economic, social, political, and cultural;

Reducing gender-based violence (GBV) and mitigating its harmful effects on individuals and

communities; and

Increasing the capability of women and girls to realize their rights, determine their life outcomes,

and influence decision-making in households, communities, and societies.

IUWASH PLUS can catalyze women’s untapped potential to contribute to improved access to water

and sanitation services, including building the capacity of women-led businesses to mainstream WASH

into their business models.

41

KEY DEFINITIONS AND GUIDING PRINCIPLES

The guiding principles of the IUWASH PLUS PY1 strategy for gender equality and women’s

empowerment are as follows:

IUWASH PLUS will evaluate and prioritize activities giving serious consideration to the potential

impact of increasing women’s participation and advancing gender equity across all tasks. The Project

will promote inclusive growth with partners to expand the presence of women-led business and

women focused organizations, and foster better market engagement with women.

IUWASH PLUS will apply innovative, market-driven approaches to identify new and expanded

opportunities for women’s inclusion and participation as consumers, service providers,

entrepreneurs, and leaders in the WASH sector.

IUWASH PLUS will:

a. Foster equity by engaging both women and men in project activities and training;

b. Seek opportunities to include women in leadership and management trainings to build their

skills and confidence and ready them for future opportunities in the WASH sector;

c. Encourage and support women in speaking out/advocating for actions/positions in project

implementation that address their concerns; and

d. Assist women to take on more roles in decision-making, leading activities or serving in key

roles in our stakeholder groups.

e. Promote and support the LG partners to develop gender responsive budgeting and

planning.

IUWASH PLUS will incorporate gender analysis across all Components with the objective of

defining how to best mainstream gender considerations into program activities, monitoring and

evaluation processes, and importantly, and knowledge management and institutional learning.

Gender analysis will be conducted as part of formative research under Component 1 as well as

through other targeted efforts. Combined, these will identify critical gender-related perceptions and

biases, needs, gaps, and opportunities to improve how gender issues are addressed and managed.

Results will be integrated into the design of Component activities and regularly reviewed to ensure

that genuine mainstreaming takes hold. The Project will further make maximum use of gender-

disaggregated data (quantitative and qualitative) to monitor the change process and report progress

over time.

IUWASH PLUS will institutionalize the use of USAID’s Gender policy and related policy documents

in the IUWASH PLUS project.

PY1 GENDER ACTIVITIES

While gender mainstreaming will generally be addressed in a cross-cutting manner, there are several

specific tasks that the IUWASH Plus team will take in PY1 to jumpstart gender integration. Exhibit 28

below provides a summary of these activities.

Exhibit 28: Gender Focal Activities for PY1.


Conduct detailed gender analysis (during

gender assessment and formative research

of Component 1) taking into account the

unique cultural contexts of each location.

National &

Regional

Detailed gender analysis

completed.

Oct – Dec 16


42


Form IUWASH PLUS internal gender

working group to monitor progress of the

action plan and formulate internal gender

guidelines.

National &

Regional

IUWASH PLUS gender

working group formed.

Nov16

Integrate gender aspect in the IUWASH

PLUS M&E system

National Gender aspect integrated in

IUWASH PLUS M&E System

Oct 16

Conduct internal gender workshops at the

national and regional levels to socialize the

gender action plan to all project staff

National National and regional gender

socialization workshops held

Jan 2017

National Sharing Workshop on gender

mainstreaming in WASH sector

National National Sharing Workshop

held

Dec 16

Advocacy to promote the development of

gender based budget planning

Regional Gender based budget

planning socialized to LG

Jan – Mar 17

43

6. ENVIRONMENTAL MITIGATION AND

MONITORING

As a project aimed very much at improving environmental health conditions, the IUWASH PLUS team

understands the importance of ensuring that its own activities do not, in any way, negatively impact

public health or environmental conditions in the areas it operates. To ensure such is the case, USAID

undertook an Initial Environmental Examination (IEE) prior to Project award that comprehensively

reviews proposed activities and provide threshold determinations of environmental impact and

conditions for mitigation, if appropriate.

Within this IEE for IUWASH PLUS, USAID determined that a Categorical Exclusion applies for project

activities involving technical assistance and training, analyses, studies, academic workshops and meetings

that do not entail laboratory work, field studies or involve actions that directly affect the natural or

physical environment. It further applied a Negative Determination with Conditions for IUWASH PLUS

activities involving a direct or indirect impact on the physical or natural environment, including small-

scale construction activities for water and sanitation systems and land use/sector planning that could

lead to changes in the natural or physical environment..

Mitigation measures provided in the conditions list of the IEE were set forth to ensure mitigation of

potential impacts to public health or the environment. It further specified that the IUWASH PLUS

contractor shall be responsible for implementing all IEE conditions pertaining to activities to be funded

under the Project, including the preparation of an environmental mitigation and monitoring plan

(EMMP). The project’s initial EMMP is provided in a separate, stand-alone, Attachment 1 and should be

considered as integral to this work plan document.


44

7. PROJECT MANAGEMENT

INTRODUCTION

Project management for IUWASH PLUS—as with any a large, five-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 IUWASH PLUS management during the

first project year. In this section, we cover the areas of general management, project management and

compliance systems, and project reporting.

GENERAL PROJECT MANAGEMENT

While the ultimate success of IUWASH PLUS will depend on the effectiveness of the project’s technical

components, 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 puts into

place in their support. The project’s approach to achieving its high level results is based on the

establishment of clear lines of authority among team members to enable technical oversight excellence,

supportive project management, and the integration of key cross-cutting elements. Annex 1 presents

the IUWASH PLUS organizational charts for the project’s national and subnational offices.

Management Plan

As depicted in Annex 1, IUWASH PLUS key personnel and lead finance/administrative staff are

stationed in the national office in Jakarta. Regional offices in North Sumatra, West Java / DKI Jakarta /

Tangerang, Central Java, East Java, and Southeast Sulawesi / East Indonesia will be managed by senior

professionals and staffed with technical specialists across all IUWASH PLUS areas of activity.

This management plan:

Gives our team the ability to match common approaches with tailored technical assistance that

responds to local needs;

Allows our most senior advisors to provide overall direction in their respective technical areas

within the Project, as well as input into central government policy and programming deliberations;

Provides for a full-time presence at the local level, facilitating understanding and responsiveness to

local needs and opportunities.

The following sections provide additional detail on the organizational structure at national and regional

levels.

National Office

The Jakarta “National” office serves as the IUWASH PLUS headquarters and manages relationships and

reporting to USAID and central government counterparts. The Jakarta Office also serves as the base for

the Project’s designated four key personnel, senior technical specialists, and lead finance and

administrative personnel; all of whom work closely with the project’s regional teams.

Our experience has shown that frequent and open communication, sharing of lessons learned and

technical knowledge, and flexibility are key to effective implementation of decentralized projects. Most

senior staff will travel frequently to the regions to provide targeted technical support, ensure that

IUWASH PLUS activities are proceeding as planned, gather lessons learned and best practices, and

45

work with regional managers to ensure that IUWASH PLUS is maximizing every opportunity to

leverage technical assistance and support from within the project, other donor projects, the private

sector, and other partners. More fully, the role of the Jakarta office is to:

Provide overall strategic direction and technical leadership to IUWASH PLUS, ensuring technical

coherence and maximizing cooperation across all technical components, in addition to appropriate

gender integration and conflict sensitivity;

Oversee national engagement with central Indonesian Government stakeholders such as

BAPPENAS, the Ministry of Public Works, the Ministry of Health, and others;

Communicate, coordinate and serve as liaison with USAID, the GoI, and others;

Coordinate with other WASH projects and initiatives and organize partner and donor coordination

meetings;

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 LSIC; and

Oversee IUWASH PLUS administration and finances, ensuring that DAI and USAID compliance

policies and procedures and implemented and adhered to in a uniform manner across all offices.

Throughout PY1, the National Office will have an especially important role in overseeing the start-up of

the Project’s central location and regional operations, including establishing regional offices, hiring

project technical and operational staff, key IT and office procurement, and leading the site selection

process.

Regional Offices

IUWASH PLUS regional offices will be located in North Sumatra, West Java / DKI Jakarta / Tangerang,

Central Java, East Java, and Southeast Sulawesi / East Indonesia. These offices will serve as primary

implementation centers for all assistance provided to the local level. Regional offices are led by senior

Indonesian experts who guide technical teams and are responsible for day-to-day activity

implementation and direct interface subnational government entities to integrate WASH concerns into

relevant planning, budgetary, or operational processes. Regional Managers have decision-making

authority and oversight responsibility for project activities within their regions and will be supported

through daily communications with and frequent visits from staff in the Jakarta office. Regional Managers

will also visit Jakarta for regular project coordination and administration meetings, as will regional

technical staff, who will travel between regions and Jakarta for project technical reviews to share

lessons learned, review accomplishments, and discuss strategies for addressing specific challenges. In

addition, the Regional Managers will oversee the implementation of the LSIC at the subnational level.

As part of the Project’s overall interventions at the subnational level, Jakarta-based technical experts

and Regional Managers will regularly organize inter-regional exchanges to review programmatic

progress, challenges, and best practices—and quickly integrate lessons learned from one region into

Project plans and activities in others. This will capitalize on the scale of IUWASH PLUS and facilitate

open communication, team-building, adaptive management, and team cohesion.

Relationship between the Project and DAI Home Office

DAI’s home office supports IUWASH PLUS by providing technical oversight, responding to USAID

requests for contractual information, issuing accurate invoices and other financial statements, assisting

with recruitment, and mobilizing short- and long-term personnel. This support is provided through the

services of a Senior Project Manager supported by a Project Associate. The Senior Project Manager

provides overall technical support to IUWASH PLUS and serves as the COP’s day-to-day point of


46

contact in the DAI home office. The home office team organizes quarterly project reviews with the

COP 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 COP has the support and

resources needed to manage IUWASH PLUS and meet or exceed USAID expectations. Also, 1-2 times

per year, the home office will hold a client satisfaction meeting with the TOCOR to help ensure that

the project meets or exceeds USAID’s expectations.

Matrix Management

Due to the technical and geographical complexities of IUWASH PLUS, the need to maximize the utility

of resources, and the desire to apply reasonably consistent approaches and techniques to the

implementation of the Project, IUWASH PLUS has adopted a “matrix management” structure. More

specifically, many positions have a primary supervisor based on geography as well as a secondary

supervisor based upon technical/operations functions. A senior urban sanitation specialist in a regional

office, for example, will report first to the Regional Manager with secondary reporting to the national

urban sanitation coordinator in Jakarta. Similarly, a regional accountant will report directly to the

Regional Manager with secondary oversight provided by the Finance Officer in Jakarta.

Planned General Project Management Activities

While the above sets forth the overall structure of how IUWASH PLUS is organized and managed,

there are several critical general management tasks that will be undertaken in Year 1 in order to ensure

a rapid and efficient start-up of the project. These tasks have already been elucidated in the Mobilization

and Quick Start Plan submitted in July 2016, and key tasks are summarized in the following table:

Exhibit 29: Project Management Main Programs for PY1.

Activities Output Timeline

Develop and submit Project Year 1

Work plan

PY1 Work Plan submitted and approved by

USAID and Tim Teknis

Aug 16

Establish permanent office space Permanent office lease signed and Jakarta-based

staff are working in the office

Aug 16

Recruit Jakarta-based staff Jakarta-based staff are hired and on-boarded Jun- Sep 16

Establish regional offices Three regional offices are established and key

technical and administrative staff are hired

Aug 16 – Apr 17

Detailed Work planning and

Teambuilding Activity

New IUWASH PLUS staff are on-boarded,

trained on DAI policies and USAID regulations

Oct 16

Conduct Ethics, Anti-Discrimination and

similar staff training

Establish improved understanding of

appropriate business behavior working under

USAID

Ongoing

Visits to regions by national operations

staff for training/ monitoring

New employees on-boarded, and improved

levels of compliance with policies and procedures

Sep – Nov 16

Customize IUWASH PLUS Technical

and Administrative Management

Information System (TAMIS)

Project TAMIS is tailored to meet IUWASH

PLUS technical and operational needs

Aug – Sep 16

Customize IUWASH PLUS Field

Operations Manual

Operational manual for IUWASH PLUS project

updated and function

July-Aug 16

Set up IT infrastructure and systems IT equipment and software procured and

installed in central and regional offices

Jul-Oct 16

Set up Field Accounting System (FAS) Project financial system is operational and

finance staff are trained

Aug- Sep

47

Among the activities listed above are start-up tasks to establish and tailor the management and

compliance systems during the start-up period. More specifically, during IUWASH PLUS start-up, DAI

staff—working both remotely and as part of our in-country start-up teams—will assist in the setup and

tailoring of the following systems:

The Technical and Administrative Management Information System (TAMIS) is a

customizable, secure database that serves as a workflow management and reporting tool that

integrates activity management, project administration, impact and performance monitoring, and

streamlines subcontract and grant management along with other management tasks.

DAI will request to send a Senior Systems Administrator to set up IT infrastructure and

systems in the Jakarta and field offices (approximately October 2016). The Senior Systems

Administrator will also train local IT support on DAI IT policies and procedures, review processes

of network monitoring and server maintenance, and establish product instruction manuals as

needed.

DAI’s Field Accounting System (FAS) represents an important tool for managing IUWASH

PLUS vendors, day-to-day expenses, and monthly payroll. The FAS system also requires in-country

customization and training, which is anticipated to take place in October 2016 once we have the

IUWASH PLUS offices and computer systems fully operational.

The Field Operations Manual (FOM) is the central location for all of IUWASH PLUS’s policies,

procedures, work instructions, and forms. The FOM template builds on DAI’s project management

and compliance experience, and incorporates policies that are regularly updated to reflect any

changes in US Government requirements and regulations. This template is currently being

customized by our operations specialists and will be complete by September 1..

PROJECT REPORTING

Project reporting involves a wide array of project staff and evolves from the locations where work is

being performed. Based on guidance provided from the national office, key information is gathered at

the local level, reviewed and combined with other locations at the regional level, and then reviewed for

completeness, consistency and accuracy at the national level.

Overall, IUWASH PLUS will strive to follow three main principles in its reporting:

Broadly involve staff in the development of project reports;

Clearly link reports to the Activity Monitoring and Evaluation Plan (AM&E Plan), upon which project

implementation and success is gauged; and

Develop a reporting system that responds to the needs of USAID, the Government of Indonesia

and, importantly, project stakeholders at the local level.

Exhibit 27 below summarizes the principal reporting tasks during PY1.

Exhibit 30: Project Reporting Activities for PY1.

Activity Output Timeline

Produce and distribute Monthly Highlights Monthly highlights provided to USAID Monthly

Produce and distribute Monthly Reports USAID is informed and engaged in

project implementation

Monthly

Produce and distribute Quarterly Reports Four Quarterly Reports developed and

approved by USAID

Sep 16, Dec 16,

Mar 17, Jun 17

Produce and distribute Annual Report One Annual Report developed and

approved by USAID

Sep 17


48

8. ANNEX

ANNEX 1: IUWASH PLUS ORGANIZATION CHART

49

Organizational Chart – National Office

Office Manager

Nina Paramarta

Regional Offices (5) [See the following page]

Chief of Party*

Louis O’Brien

DAI Home Office

USAID

BC and Marketing Advisor *

Component 1

Ika Francisca

DCOP - Programs

Alifah Sri Lestari

Institutional Development Advisor *

Component 2

Foort Bustraan

Water/San Financing Advisor *

Component 3

Benny Djumhana

Advocacy and Communication Advisor

Component 4

Lina Damayanti

DCOP - Operations

Nurhaida Nurtam

IEC/ Comm.

Specialist

Pryatin Santoso

STBM Liaison

TBD

SME BDS Specialist

TBD

Nat Coordinator -

Institutional Finance

Nugroho Adwiwinarno

WASH Media Engagement

Specialist

Rezki R. Mulyadi

Nat Coordinator - Project

Communication

Shinta Nurwulan

WASH CSR Specialist

Asep Maman Mulyana

Nat Coordinator-

Sanitation

Sofyan Iskandar

Nat Coordinator

Governance

Budi Raharjo

Procurement and Admin Officer

Anna Ramadhani

Finance Officer

Rini Oktavia

Sr. HR Officer

Endah Setyorini

IT Systems Administrator

Agus Winarto

National Coordinator -

Gender

Retna Wulandari

Sustainability & Innovation

Coordinator

Siti Wahyuni

M&E

Associate

Rezki Mulia

Bahar

Editor

TBD

Graphics/

Layout

Specialist

Taufik Sugandi

Sr. USM Specialist

Endro Adinugroho

Sr. San Institutional

Specialist

Immanuel Ginting

Sr. Specialist

Urban Water

Supply/EO

Yayat Kurinawan

Sr. Raw Water Specialist

Asep Mulyana

Governance Specialist

TBD

CEM Specialist

Deasy Sekar

WASH Training

Specialist

TBD

South Sulawesi and East Indonesia - Makassar

North Sumatra-Medan

East Java-Surabaya

West Java-Jakarta

Central Java-Surakarta

Jakarta Office

Jakarta Operations Team

Regional Offices

Key

Sr. On site Sanitation

Specialist

Adri Ruslan

Nat Coordinator - Microfinance

Pritta Basuki

M&E Associate

Humala

Sidabutar

Raw Water Specialist

Adi Rahman

Nat Coordinator -

Urban Water

Supply

Hernadi Setiono

Sr. GIS/Mapping

Specialist

Sabdo Sumartono

GIS/Mapping

Specialist

M. Iqnaul

WASH Product

Marketing

Specialist

TBD

Community

Mobilization

Specialist

Febriant Abby


50

Organizational Chart – Regional Office

Governance

Specialist

TBD

BC/Marketing Specialist

Dwi Anggraheni

Hermawati

Urban Sanitation

Specialist

TBD

Urban Water Supply

Specialist

Ronny Sutrisno

Illustrative Regional Office Structure

Key

Indirect Line of Reporting and Communication

-

-

-

+All regional offices will have similar operations teams

WASH Municipal

Finance

TBD

Nat Coordinator

WASH Finance

Nugroho Andwinarno

DCOP - Programs

Alifah Sri Lestari

Chief of Party*

Louis O’Brien

Central Java

Regional Manager

Jefry Budiman

Reg. Ops Manager

TBD

Drivers (2)

TBD

Accountant

TBD

Office Assistant

TBD

Admin Associate

TBD

BC/Marketing Assistants

TBD

WASH Facilitator (6)

TBD

Procurement

Associate

TBD

M&E Assistants

TBD

Water/San Financing

Advisor*

Component 3

Benny Djumhana

Institutional Development

Advisor*

Component 2

Foort Bustraan

BC and Marketing

Advisor*

Component 1

Ika Fransisca

Nat Coordinator

Water Supply

Hernadi Setiono

Nat Coordinator

Sanitation

Sofyan Iskandar

Nat Coordinator

Governance

Budi Raharjo

Embedded City/District

Coordinators

Regional Offices

Jakarta Offices

51

Central Java-SurakartaWest Java-JakartaNorth Sumatra-Medan

DCOP - Programs

Alifah Sri Lestari

West Java

Regional Manager

Wouter Sahayana

Urban Sanitation

Specialist

Irwansyah Baharuddin


Ricky Barus Pasha

Governance

TBD

Urban Water Supply

Specialist

TBD

Urban Water Supply

Specialist

TBD

Urban Sanitation

Specialist

TBD


Usniati Umayah

Governance

Kartika Hermawati

DKI Coordinator

Achmad

Tofikurochman

DKI WASH Associate

TBD

Urban Sanitation

Specialist

TBD

BC / Marketing

Specialist

Dwi A. Hermawati

Urban Water Supply

Specialist

Ronny Sutrisno

North Sumatra

Regional Manager

Mohammad Yagi

Central Java

Regional Manager

Jefry Budiman

Jakarta Office

Regional Offices

KeyWASH Facilitators

(6) TBD

WASH Facilitators

(7) TBD

WASH Facilitators

(6)TBD

Embedded

Facilitators and

Assistants

Governance

TBD

BC/Marketing

Assistants

TBD

BC/Marketing

Assistants

TBD

BC/Marketing

Assistants

TBD

Municipal Finance/

MicrofinanceSpec.

TBD

Municipal Finance/

MicrofinanceSpec.

TBD

Municipal Finance/

MicrofinanceSpec.

TBD

M&E Assistant

TBD

M&E Assistant

TBD

M&E Assistant

TBD


52

East Java-Surabaya South Sulawesi and East Indonesia

DCOP - Programs

Alifah Sri Lestari

Urban Sanitation

Specialist

Ristina Aprillia

BC / Marketing Specialist

Ratih Dewi

Governance

Imam Suhadi

Urban Water Supply

Specialist

Rudhy Finansyah

Urban Water Supply

Specialist

TBD

Urban Sanitation

Specialist

Selviana Hehanussa


Johannes Valentino

Governance

TBD

East Indonesia

Coordinator

Surya Akbar

Papua / West Papua

WASH Associate

TBD

East Java

Regional Manager

Laksmi Cahyaniwati

South Sulawesi and East Indonesia

Regional Manager

Rieneke Rolos

Maluku / North Maluku

WASH Associate

TBD

WASH Facilitators

(6) TBD

WASH Facilitator

(6)TBD

WASH Facilitators

(2)TBD

WASH Facilitators

(2)TBD

Jakarta Office

Regional Offices

Key

Embedded

Coordinators and

Assistants


TBD


TBDBC/Marketing Assistants

TBD

Municipal Finance/

MicrofinanceSpec.

TBD

Municipal Finance/

MicrofinanceSpec.

TBD

M&E Assistants

TBD

M&E Assistants

TBD


TBD

53

INDONESIA URBAN WATER SANITATION AND HYGIENE

‘PENYEHATAN LINGKUNGAN UNTUK SEMUA’

(IUWASH PLUS)

Mayapada Tower 10th Fl

Jl. Jend. Sudirman Kav. 28

Jakarta 12920

Indonesia

Tel. +62-21 522 - 0540

Fax. +62-21 522 – 0539

www.iuwash.or.id

Documents

PROJECT YEAR 1 WORK PLAN - USAID IUWASH PLUS · PROJECT YEAR 1 WORK PLAN CONTRACT NO. AID-497-TO-16-00003 ... BPR Bank Perkreditan Rakyat/People's Credit Bank BRI Bank Rakyat Indonesia