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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 YEAR 1 WORK PLAN
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
iii
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 14: Subcomponent 2.2 Main Programs for PY1. ......................................................................................................... 24
Exhibit 15: Subcomponent 2.3 Main Programs for PY1. ......................................................................................................... 25
Exhibit 16: Subcomponent 2.4 Main Programs for PY1. ......................................................................................................... 27
Exhibit 17: Key Component 3 partnerships for PY1. .............................................................................................................. 28
Exhibit 18: Subcomponent 3.1 Main Programs for PY1. ......................................................................................................... 29
Exhibit 19: Subcomponent 3.2 Main Programs for PY1. ......................................................................................................... 30
Exhibit 20: Subcomponent 3.3 Main Programs for PY1. ......................................................................................................... 31
Exhibit 21: Subcomponent 3.4 Main Programs for PY1. ......................................................................................................... 32
Exhibit 22: Key Component 4 Partnerships for PY1. .............................................................................................................. 33
Exhibit 23: Subcomponent 4.1 Main Programs for PY1. ......................................................................................................... 34
Exhibit 24: Subcomponent 4.2 Main Programs for PY1. ......................................................................................................... 35
Exhibit 25: Subcomponent 4.3 Main Programs for PY1. ......................................................................................................... 36
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
vi
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
vii
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
viii
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
2
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.
3
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.
PROJECT YEAR 1 WORK PLAN
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.
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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.
5
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.
6
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
7
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.
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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.
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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
Activity Location Output
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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).
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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.
Activity Location Output
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 8 below summarizes the PY1 activities under Subcomponent 1.2.
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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Activity Location Output Timeline
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.
Exhibit 10 below summarizes the PY1 activities under Subcomponent 1.3.
Exhibit 10: Subcomponent 1.3 Main Programs for PY1.
Activity Location Output
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
learned for future application
Sep – Nov 16
Conduct quick review on existing
WASH microfinance programs with local
partners (PDAM, Cooperatives, Banks,
SME)
Regional Review conducted with lessons
learned for future application
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
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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
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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.
Partner Summary of PY1 Engagement
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
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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 below summarizes the PY1 activities under Subcomponent 2.1.
Exhibit 13: Subcomponent 2.1 Priority Programs for PY1.
Activity Location Output Timeline
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
Activity Location Output Timeline
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
identified and implemented
Oct 16 –
Sept 17
Provide technical and institutional support for
potential microfinance programs (under
Component 1 and 3) for water supply
National
Regional
TA for microfinance programs
identified and implemented
Oct 16 –
Sept 17
Provide technical and institutional support for
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.
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■ 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.
Exhibit 14 below summarizes the PY1 activities under Subcomponent 2.2.
Exhibit 14: Subcomponent 2.2 Main Programs for PY1.
Activity Location Output Timeline
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
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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.
Exhibit 15: Subcomponent 2.3 Main Programs for PY1.
Activity Location Output Timeline
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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Activity Location Output Timeline
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.
Exhibit 16: Subcomponent 2.4 Main Programs for PY1.
Activity Location Output Timeline
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:
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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■ 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.
Key Task Partnerships
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.
Partner Summary of PY1 Engagement
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
Partner Summary of PY1 Engagement
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.
Exhibit 18: Subcomponent 3.1 Main Programs for PY1.
Activity Location Output 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:
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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■ 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):
Exhibit 19: Subcomponent 3.2 Main Programs for PY1.
Activity Location Output Timeline
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:
Exhibit 20: Subcomponent 3.3 Main Programs for PY1.
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.
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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■ 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.
Exhibit 21: Subcomponent 3.4 Main Programs for PY1.
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
Technical assistance for
identified MFIs
Mar - Sep 17
Structure and streamline credit programs
managed directly by PDAMs
National
Regional
Technical assistance for
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.
Key Task Partnerships
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.
Partner Summary of PY1 Engagement
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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.
Exhibit 23: Subcomponent 4.1 Main Programs for PY1.
Activity Location Output Timeline
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.
Exhibit 24: Subcomponent 4.2 Main Programs for PY1.
Activity Location Output Timeline
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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
Exhibit 25: Subcomponent 4.3 Main Programs for PY1.
Activity Location Output Timeline
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.
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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
■ ICT specialty firms
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.
■ ICT specialty firms
■ 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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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.
Activity Location Output Timeline
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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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Activity Location Output Timeline
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.
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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
INDONESIA URBAN WATER SANITATION AND HYGIENE PENYEHATAN LINGKUNGAN UNTUK SEMUA (IUWASH PLUS) PROJECT YEAR 1 WORK PLAN
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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
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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
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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
BC/Marketing Specialist
Ricky Barus Pasha
Governance
TBD
Urban Water Supply
Specialist
TBD
Urban Water Supply
Specialist
TBD
Urban Sanitation
Specialist
TBD
BC/Marketing Specialist
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
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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
BC/Marketing Specialist
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
BC/Marketing Assistants
TBD
BC/Marketing Assistants
TBDBC/Marketing Assistants
TBD
Municipal Finance/
MicrofinanceSpec.
TBD
Municipal Finance/
MicrofinanceSpec.
TBD
M&E Assistants
TBD
M&E Assistants
TBD
BC/Marketing Assistants
TBD
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