PERFORMANCE MONITORING PLAN (PMP) Third Revision

Transcription

1 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE PERFORMANCE MONITORING PLAN (PMP) Third Revision MAY 2014 This document was produced for review for USAID/Indonesia by the Indonesia Urban Water, Sanitation and Hygiene (IUWASH) project, implemented by DAI, in accordance with ADS Chapter (e) 05/05/2009 Revision.

2 Cover Photo A monitoring activity which was conducted for new water supply system of Negeri Passo in Ambon, Maluku Province. USAID IUWASH and the Drinking Water Working Unit of Maluku Province are committed to building a clean water supply system in Negeri Passo. IUWASH have provided technical assistance to develop its detailed engineering design (DED). The new clean water supply system in Negeri Passo will obtain water from Waiheru 3 spring (as shown in this picture), which the Public Works Office built in 2011 with a capacity of 20 liters/second and Wai Mahu 2 spring with 35 liters/second capacity. The water from the two springs will flow into a 500 cubic meter water tank by gravity and is expected to fulfill the need for water in Teluk Ambon Baguala subdistrict, including Negeri Passo neighborhood until Photo Credit: USAID IUWASH SSEI

3 PERFORMANCE MONITORING PLAN (PMP) Third Revision Program Title: Assistance Objective (AO): Sponsoring USAID Office: Contract Number: Contractor: USAID Indonesia Urban Water Sanitation and Hygiene DAI Project Number: AO Improved Management of Natural Resources, under (IR) 3 Increased Access to Water and Sanitation USAID/Indonesia Office of Environment AID-497-C DAI Date of Publication: May 2014 Author: DAI This document was produced for review for USAID/Indonesia by the Indonesia Urban Water, Sanitation and Hygiene (IUWASH) project, implemented by DAI, in accordance with ADS Chapter (e) 05/05/2009 Revision. II

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5 TABLE OF CONTENTS 1 INTRODUCTION IUWASH PMP: OBJECTIVES TYPES OF INDICATORS PROGRAMMATIC ATTRIBUTION IUWASH PMP INDICATORS HIGH-LEVEL RESULT (HR): MDG OUTCOMES COMPONENT I (MD): DEMAND MOBILIZATION FOR IMPROVED WATER AND SANITATION SERVICES COMPONENT II (IC): CAPACITY IMPROVEMENTS TO PROVIDE SUSTAINABLE SAFE WATER AND SANITATION SERVICE COMPONENT III (EE): CREATE AN ENABLING ENVIRONMENT SUPPORTING EQUITABLE WATER AND SANITATION SERVICES PERFORMANCE MONITORING SYSTEM QUANTITATIVE PERFORMANCE MONITORING QUALITATIVE PERFORMANCE MONITORING QUALITY ASSURANCE REPORTING SYSTEM OF IUWASH OUTCOME INDICATORS PARTNER COLLABORATION IN IUWASH MONITORING ACTIVITY PERFORMANCE INDICATOR REFERENCE SHEETS ANNEXES ANNEX 1. ESTIMATED COST ALLOCATED FOR IUWASH MONITORING AND EVALUATION ANNEX 2. PARAMETERS OF PDAM PERFORMANCE INDEX ANNEX 3. PARAMETERS ASSOCIATED WITH THE CREDITWORTHINESS LADDER ANNEX 4. WATSAN CAPITAL PROJECT DEVELOPMENT FLOW CHART REFERENCES... 77

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7 1 INTRODUCTION The USAID Indonesia Urban Water, Sanitation and Hygiene program (IUWASH), Contract No. AID-497-C , is a five-year program funded by the United States Agency for International Development (USAID). Under this award, DAI provides technical support to the Government of Indonesia (GOI) in the achievement of the nation s MDG target on water and sanitation targets in the water and sanitation sector. More specifically, the USAID IUWASH Project (the Project ) works with both national and local government agencies to expand access to water and sanitation services to Indonesia s urban poor, a programmatic priority of USAID/Indonesia. In addition to government agencies, DAI works with relevant stakeholders of the water and sanitation sectors, including the private sector, universities, non-governmental organizations (NGOs) and community groups. According to the Assistance Objective (AO) Improved Management of Natural Resources as set forth in USAID Indonesia s Country Strategy for , the implementation of IUWASH contributes to the Intermediate Result (IR) 3 Increased access to water and sanitation with an emphasis on reaching the urban poor. The Project s approach addresses the following three areas: 1. Increasing demand for safe drinking water access and improved sanitation; 2. Improving public and private service provider capacity to meet increased demand 3. Improving governance and finances for an enabling environment that supports equitable access to safe drinking water and improved sanitation in urban areas These three areas are expected to contribute to the comprehensive partnership between the US and Indonesian governments aimed at strengthening the health of urban populations through the improvement of urban water and sanitation services. This bilateral partnership advances cooperation in a wide range of issues to sustain the environment, promote prosperity, strengthen democracy, enhance understanding and ensure security. Local ownership is at the center of this partnership, and the inherent focus of IUWASH is to build the capacity of water sector service providers, local government owners and civil society organizations. 1.1 IUWASH PMP: OBJECTIVES In accordance with Section C.9.3 of the above referenced contract, this document provides a detailed description of the IUWASH Performance Monitoring Plan (PMP). The PMP is a performance management tool for planning, managing and documenting how performance data are collected and used and, more broadly, tracking progress over the course of implementation. Specifically, the IUWASH PMP serves to: Define specific performance indicators for each SO and IR, determine baselines and set targets; Plan and manage the Annual Report data collection process to meet quality standards; Incorporate relevant data collection requirements into activities and obligation agreements; Plan potential related evaluative work to supplement Annual Report indicator data; Estimate costs related to data collection and plan how these will be financed (See Annex 1 for more detailed); USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 1

8 Support reliable data collection by documenting the frequency and schedule of data collection and assigning responsibilities. Communicate expectations to partner institutions responsible for producing the outputs intended to cause measurable changes in performance. IUWASH is committed to provide monitoring information to USAID/Indonesia and its partners in accordance with the requirements and guidelines outlined in USAID's ADS Chapters (as well as USAID OP Guidelines). IUWASH strives to ensure that the PMP adequately measures impact of work related to project financing from various earmarks. All indicators are presented in a uniform format. Each Performance Indicator Reference Sheet describes its indicator in detail and includes definitions, data sources and frequency of data collection and reporting. The March 2014 version of the IUWASH PMP represents the third iteration of this report. The first was submitted on 5 April 2011 after close collaboration with USAID to define the terms of the PMP. 1 The second was then executed on 15 May 2012, with the updates primarily consistency of refinements to the indicator definitions and data collection processes based upon one year of implementation. The present version provides for contractual changes enacted in late 2013, at which time USAID expanded the IUWASH scope of work and increased the Project s funding. 1.2 TYPES OF INDICATORS Section C of the IUWASH Contract sets forth the targeted outcomes for each of the three technical components. These outcomes then provide the basis for the definition of the Project s indicators. Notably, several USAID IUWASH indicators contribute to the standard indicators of foreign assistance of the US Government. These standard indicators will jointly measure both what is being accomplished with U.S. Government foreign assistance funds and the collective impact of foreign and host-government efforts to advance the country development. These standard indicators are divided into the following three categories, as follows: 1. Strategic level indicators. These indicators capture the impact of foreign and hostgovernment efforts at the objective level. The USAID IUWASH Project contributes to two Strategic Objectives: Investing in People and Governing Justly and Democratically. 2. Program area level indicators. These indicators measure country performance within subsectors of the functional objectives. Under the Investing in People Strategic Objective, for example, there are several sub-sectors such as Health, Education, and Social and Economic Services and Protection for Vulnerable Populations. The USAID IUWASH Project contributes mainly to the Health subsector under Investing in People; and Good Governance under the Governing Justly and Democratically. 3. Element level indicators. These indicators primarily measure outputs that are directly attributable to U.S. Governments programs, projects and activities. The USAID IUWASH Project contributes mainly to the Water Supply and Sanitation Services program element under Investing in People and the Local Government and Decentralization element under Governing Justly and Democratically. Figure 1 below describes the linkages between the Standard Indicators of the foreign assistance framework and USAID IUWASH indicators. 1 While this exceeded the 30 day requirement set forth in the IUWASH contract, written COR approval was obtained for this delay in order to allow sufficient time to complete the first year work plan. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 2

9 USAID Standard Indicators of Foreign Assistance Strategic Objective 3. Investing in People 2. Governing Justly and Democratically Contributed to Program Area 3.1. Health 2.2. Good Governance Contributed to IUWASH results and deliverables indicators Water Supply & Sanitation Element Local Government & Decentralization Contributed to Whenever possible, the definitions for IUWASH indicators were adapted from standard indicator definitions used by international organizations and USAID for water supply, sanitation and hygiene programs. The relevant documents from which the Project s definitions were derived are listed under the references. Where such commonly accepted standards do not exist, the proposed indicators closely follow the description of the Project s outcomes, tasks and sub-tasks. Importantly, when developing the PMP indicators and the precise definitions, IUWASH incorporated the characteristics of good performance indicators as described in the relevant USAID guidelines: Direct: An indicator should closely track the result it is intended to measure. When direct indicators cannot be used because of costs or other factors, a reasonable proxy indicator may be used. Objective: Objective indicators are operationally precise and uni-dimensional. They should be unambiguous about what is being measured and what data are being collected. Useful for Management: Indicators should be useful for management purposes at relevant levels of decision making Practical: An indicator is practical if data can be obtained in a timely way and at reasonable cost. Attributable to IUWASH: Performance indicators should measure change that is clearly and reasonably attributable, at least in part, to the efforts of IUWASH and therefore USAID. That is, indicators should credibly reflect the actual performance of the IUWASH Statement of Work. Timely: Performance data should be available when they are needed to make decisions. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 3

10 Adequate: Taken as a group, a performance indicator and its companion indicators should be the minimum necessary to ensure that progress toward the given results is sufficiently captured. Table 1 below summarizes the linkages of IUWASH indicators and USAID s Standard Indicators for Foreign Assistance. The information in this table will be used to track the Project s contribution to the achievement of development in Indonesia by USAID. The progress associated with each indicator will be reported on an annual basis. Table 1: IUWASH Indicators contributing to USAID Standard Indicators for Foreign Assistance. IUWASH Results and Indicators Deliverable High Level Results (HR): MDGs Outcomes Result HR-1: Increased Indicator HR-1: access to safe water Number of people in supply system urban areas gaining access to improved water supply as a result of US Government Result HR-2: Increased access to improved sanitation facilities assistance Indicator HR-2: Number of people in urban areas gaining access to improved sanitation facilities as a result of US Government assistance IUWASH Component 1: Demand Mobilization for Improved Water and Sanitation Services (MD) USAID Operational Plan Objective Program/ Indicators Area/Element IIP Water Supply and Sanitation IIP Water Supply and Sanitation Indicator : Number of people in target areas with firsttime access to improved drinking water supply as a result of USG assistance. Indicator : Number of people in target areas with firsttime access to improved sanitation facilities as a result of USG assistance. USAID s IR 1: Demand Mobilized for Water Supply and Demand Mobilized for Sanitation Outcome MD.1 Civil society groups and/or government cadres implementing programs to mobilize improved access to safe drinking water and adequate sanitation Indicator MD-1: Number of civil society groups and/or government cadres implementing programs to mobilize improved access to safe drinking water and adequate sanitation GJD Local Government and Decentralization Indicator : Number of local Non- Governmental and public sector associations supported with USG assistance. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 4

11 IUWASH Component 2: Capacity Improvements to provide sustainable safe water and Sanitation Service (IC) USAID s IR 2: Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Santation Outcome IC.1 PDAMs with improved technical, financial and management performance Outcome IC.4. Local government institutions implementing necessary climate change adaptation measures, based on preliminary raw water sources vulnerability assessment Indicator IC-1: Number of PDAMs with improved technical, financial and management performance Indicator IC-4: Number of local government institutions implementing necessary climate change adaptation measures, based on preliminary raw water sources vulnerability assessment GJD Local Government and Decentralization IIP Water Supply and Sanitation EG Clean Productive Environment Indicator : Number of sub-national government entities receiving USG assistance to improve their performance. Indicator : Number of stakeholders implementing riskreducing practices/ actions to improve resilience to climate change as a result of USG assistance Indicator : Number of stakeholders with increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance IUWASH Component 3: Create an Enabling Environment Supporting Equitable Water and Sanitation Services (EE) USAID s IR 3: Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Outcome EE.1. Participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases Indicator EE-1: Number of participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases GJD Local Government and Decentralization Indicator : Number of local mechanisms supported with USG assistance for citizens to engage their sub-national government. Outcome EE.5. Local Governments adopt new or improved mechanisms for citizens to engage local government in water and sanitation Indicator EE-5: Number of Local Governments adopting new or improved mechanisms for citizens to engage local government in water and sanitation GJD Local Government and Decentralization Indicator : Number of local mechanisms supported with USG assistance for citizens to engage their sub-national government. 1.3 PROGRAMMATIC ATTRIBUTION Finally, despite the development of a rigorous performance plan and extensive data collection efforts, it is important to note that direct attribution of the Project s impact is an inherently complex issue. First and foremost, numerous organizations including government, NGOs and donors are active in the water, sanitation, and hygiene (WASH) sector throughout the country, USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 5

12 with many working in the same districts, municipalities, communities as those in which IUWASH will be active. It is often impossible to disaggregate the impact of other actors with those of the Project itself. Indeed, a hallmark of the Project s approach is to build upon and leverage the resources of other actors to maximize the impact of the USG s investment in the sector. Such partnerships may take multiple forms, with the most common being that IUWASH provides soft side capacity building to complement an infrastructure investment by a government or another donor. In addition, when conducting capacity-building activities, it can be difficult to discern and quantify how the performance of a local partner (such as a PDAM) would have differed in the absence of the Project s interventions. Nonetheless, the indicators described herein were developed to relate as much as possible to specific field activities. Where indicators are process-based, we have sought to delineate and track the processes that correspond to IUWASH assistance activities. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 6

13 2 IUWASH PMP INDICATORS 2.1 HIGH-LEVEL RESULT (HR): MDG OUTCOMES RESULT RESULT HR-1: People gaining access to safe water supply system as result of US Government assistance RESULT HR-2: People gaining access to improved sanitation facilities as a result of US Government assistance RESULT HR-3: Per unit water cost paid by poor in targeted communities decreases by at least 20% through more participatory, transparent and financially enabled services RESULT HR-4: Participant Training report INDICATOR Number of people in urban areas that gain access to improved water supply as a result of US Government assistance Number of people in urban areas that gain access to improved sanitation facilities as a result of US Government assistance Percent of targeted communities that experience a decrease in unit water costs by at least 20% as a result of more participatory, transparent, accountable and financially enabled services Number of people participated in IUWASH training type of activities UNIT OF MEASUREMENT Number and percent change Number and percent change BASELINE TARGET 0 2,000, ,000 Percent change 0 20 Number 0 75,000 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 7

14 2.2 COMPONENT I (MD): DEMAND MOBILIZATION FOR IMPROVED WATER AND SANITATION SERVICES DELIVERABLE OUTCOME MD-1: Households willing to pay for sanitation improvements OUTCOME MD-2: Civil society groups and/or government cadres implementing programs to mobilize improved access to safe drinking water and adequate sanitation OUTCOME MD-3: Civil society groups that report on PDAM operations or performance OUTCOME MD-4: Households that have adopted improved health and hygiene practices OUTCOME MD-5: Exposure for Master Trainers to new urban promotion strategy to support participatory planning activities including triggering exercises and Behavior Change INDICATOR Number of households willing to pay for sanitation improvements Number of civil society groups and/or government cadres implementing programs to mobilize improved access to safe drinking water and adequate sanitation Number of civil society groups that report on PDAM operations or performance Percent of households that have adopted improved health and hygiene practices Number of master trainers exposed to new urban promotion strategy to support participatory planning activities, such as triggering exercises, and behavior change programming developed UNIT OF MEASUREMENT BASELINE TARGET Number 0 40,000 Number Number 0 20 Percent change 0 20 Number USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 8

15 2.3 COMPONENT II (IC): CAPACITY IMPROVEMENTS TO PROVIDE SUSTAINABLE SAFE WATER AND SANITATION SERVICE DELIVERABLE OUTCOME IC-1: PDAMs with improved technical, financial and management performance OUTCOME IC-2: PDAMs in default of old debts are assisted in restructuring their outstanding debts OUTCOME IC-3: PDAMs with improved creditworthiness OUTCOME IC-4: Local government implementing necessary climate change adaptation measures, based on preliminary raw water sources vulnerability assessment OUTCOME IC-5: Local governments implementing integrated sanitation and hygiene interventions that reflect their citywide sanitation strategic plans OUTCOME IC-6: Small and medium businesses providing affordable construction and sanitation facility management services OUTCOME IC-7: Poor residents in targeted communities that report greater satisfaction with water and sanitation services OUTCOME IC-8: Establishment of Sanitation Management INDICATOR Number of PDAMs with improved technical, financial and management performance Number of PDAMs in default of old debts that are assisted in restructuring their outstanding debts Number of PDAMs with improved creditworthiness Number of local government implementing necessary climate change adaptation measures, based on preliminary raw water sources vulnerability assessment Number of local governments implementing integrated sanitation and hygiene interventions that reflect their citywide sanitation strategic plans Number of small and medium businesses providing affordable construction and sanitation facility management services Percentage (%) of poor residents in targeted communities that report greater satisfaction with water and sanitation services Number of Sanitation Management Units established with supporting policies, UNIT OF MEASUREMENT BASELINE TARGET Number 0 50 Number 0 20 Number 0 20 Number 0 20 Number 0 20 Number 0 30 Percent change 0 20 Number 0 10 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 9

16 DELIVERABLE Unit OUTCOME IC-9: Adoption of Sustainable Urban Sanitation Framework by Government Institutions OUTCOME IC-10: Increased Capacity of Stakeholders to Adapt to the Impacts of Climate Variability on Water Supply infrastructure INDICATOR budgets and personnel Number of Sustainable Urban Sanitation Framework adopted by the government institutions as a key part of national sanitation programming policy Number of stakeholders from central government agencies, universities and NGOs, as well as those from local government institutions among current IUWASH sites, that will have increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance UNIT OF MEASUREMENT BASELINE TARGET Number 0 1 Number USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 10

17 2.4 COMPONENT III (EE): CREATE AN ENABLING ENVIRONMENT SUPPORTING EQUITABLE WATER AND SANITATION SERVICES DELIVERABLE OUTCOME EE-1: Participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases INDICATOR Number of participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases UNIT OF MEASUREMENT BASELINE TARGET Number 0 50 OUTCOME EE-2: PDAMs or local government obtain access to long-term funding for water or sanitation investment plans OUTCOME EE-3: Percent increase (%) in financial resources accessed by service providers from public and private sources for expansion of improved water and sanitation services OUTCOME EE-4: Low-income households accessing micro-finance for household improvements in water and sanitation OUTCOME EE-5: Local Governments adopt new or improved mechanisms for citizens to engage local government in water and sanitation OUTCOME EE-6: Development of New or Improved Regulations to Facilitate Access to Capital Financing in Water Sector Number of PDAMs or local governments that obtain access to long-term funding for water or sanitation capital expenditure investment plans Percentage change (%) in financial resources accessed by service providers from public and private sources for expansion of improved water and sanitation services Number of lowincome households accessing microfinance for household improvements in water and sanitation Number of Local Governments that adopt new or improved mechanisms for citizens to engage local government in water and sanitation Number of new or improved regulations to facilitate access to capital financing in the water sector Number 0 15 Percent change 0 10 Number 0 40,000 Number 0 20 Number 0 1 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 11

18 DELIVERABLE OUTCOME EE-7: Central Government Officials Exposed to Alternative Financing Options INDICATOR Number of central government officials exposed to alternative financing options in the water sector in the US or other applicable context UNIT OF MEASUREMENT BASELINE TARGET Number 0 12 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 12

19 3 PERFORMANCE MONITORING SYSTEM A Performance Monitoring System is necessary to collect and present data and results for program indicators in a timely and reliable manner. The IUWASH Performance Monitoring System consists of five activities: 1. Quantitative Performance Monitoring 2. Qualitative and Impact of Performance Monitoring 3. Quality assurance 4. Reporting system of IUWASH outcome indicators 5. Partners Collaboration in IUWASH Monitoring Activity Each of these components is described in greater detail below. 3.1 QUANTITATIVE PERFORMANCE MONITORING IUWASH Quantitative Performance Monitoring consists of tracking and reporting numeric results against the indicators defined in Section 2.4. The best quantitative monitoring systems combine appropriate indicators, cost-effective data collection systems, rigorous analysis and efficient reporting procedures to provide a representative picture of program performance and specific achievements. Toward this end, each quantitative indicator will be described in detail using a Performance Indicator Reference Sheet (PIRS) that contains the following information: a. Indicator Description: Each performance indicator will have a precise definition, which will include interpretation of specific terms that may be open to interpretation. The description will also include the applicable unit of measure as well as the extent of data aggregation, if any; b. Plan for Data Acquisition: This section describes the complete methodology for the collection of the requisite data, including data sources (e.g. government database, government report, structure interview, focus group discussion, household survey, etc.), steps to collect the data, the individual(s) responsible for the data collection, the frequency and timing of data acquisition (i.e. monthly, quarterly, annually, etc.), and the storage location of hard data; c. Data Quality Issues: Data quality is integral to an effective monitoring plan, and thus it is important to identify potential data weaknesses and identify mitigation strategies; d. Plan for Data Analysis, Review and Reporting: This section discusses the necessary steps to turn raw data into finalized PMP values, including the types of analysis necessary (e.g. statistical analysis and the assumptions utilized), the review and verification process, and, finally, how and when the data will be reported to USAID. According to the IUWASH Statement of Work, PMP reporting will be carried out principally through the Quarterly and Annually Progress Report; e. Baseline/Target Notes: The baseline provides the point of reference for each indicator, and, where applicable, this section describes the methodology for determining the baseline value; and f. Performance Indicator Values. The final section presents the cumulative achievement targets for the indicator for each project year. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 13

20 3.2 QUALITATIVE PERFORMANCE MONITORING To provide a more complete picture of the Project s impact, IUWASH will utilize qualitative performance monitoring techniques to supplement the hard numbers presented for each respective indicator. Qualitative impact assessment will focus on IUWASH s broader results defined by USAID and outlined in the Results Framework and support the causal relationship between IUWASH activities and the impact achieved with the intended beneficiaries. More broadly, qualitative performance monitoring seeks to tell the IUWASH story in a manner that is accessible and tangible. Qualitative performance monitoring will take the following forms: Success Stories. IUWASH success stories will be presented in the IUWASH Newsletter, website or as cover stories of progress reports. These stories will highlight the significant impact of IUWASH interventions through the eyes of the beneficiaries. The success stories will focus on human-interest stories that show immediate impact of IUWASH activities in people s lives. The success stories will also be a part of IUWASH regular reporting such as Quarterly and Annual Progress Report. Before and After Story. IUWASH Before and After Story will emphasize the voice and perspective of IUWASH beneficiaries in different aspects of the program. This tool will compare two pictures that show conditions before and after IUWASH interventions. These pictures will be accompanied by photo captions to describe the changes made. The stories will be collected from several IUWASH target locations. 3.3 QUALITY ASSURANCE The progress presented in IUWASH quarterly and annual performance reports is only as reliable as the raw data that underlies these results. Thus, it is important that the Project proactively address the quality of this raw data. While there is no way to guarantee the accuracy of all indicator data for a project as large and complex as IUWASH particularly when the project itself does very little primary data collection there are, nonetheless, steps that can be taken to minimize collection errors and improve the integrity of the data. Specific quality assurance strategies employed by IUWASH are as follows: PMP Database. IUWASH houses PMP datasets and indicator results within DAI s proprietary Technical and Administrative Management Information System (TAMIS), allowing the team to track progress in a transparent and accessible manner. The TAMIS is a cost-effective online management information system to collect data for project reporting and communications. TAMIS allows for real-time exchange of a wide range of information for collaboration, project planning, management reporting, and quality improvement. Importantly, it allows users in dispersed geographic locations to share the same set of data, bolstering efficiency and transparency. Once data is loaded into the TAMIS, standardized summary views are set up to allow Project staff to easily monitor progress. Where possible, soft copies of the data sources can be directly stored under each applicable indicator. Monitoring and Evaluation Advisor and Assistant. The IUWASH Project employs a Monitoring and Evaluation (M& E) Advisor as well as an M&E Assistant to oversee the collection, review and analysis of indicator data, The Advisor and Assistant collaborate with the IUWASH regional teams to conduct regular training for data collection, quality assurance and validation, including working with TAMIS on the activities above. Further, USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 14

21 the Advisor works closely with the technical and regional staff to review the results of each quarterly and annual analysis prior to disseminating the results in IUWASH reports. Standardized PMP Intake Forms. IUWASH has developed standardized PMP intake forms to record results and transfer to TAMIS. The usage of standardized forms and data acquisition processes helps to minimize entry errors. Regular Field Visits and Report Reviews. The M&E Advisor and other senior management staff including COP, DCOP, Advisors, National and Regional Coordinators regularly travel to the field to monitor Project activities, assessing on the ground the accuracy of PMP quantitative and qualitative information where appropriate. Field visits are conducted to observe and document general activities per component as well as per integrated activity. Data Quality Assessment. USAID regulations require that a mission representative conducts a data quality assessment once every three years. IUWASH plans to assist the mission in conducting a data quality assessment (DQA) approximately mid-way through Project implementation. The DQA activity at least will be implemented once during the course of the IUWASH Program. For more detail see the reference sheet on the section Time of DQA. 3.4 REPORTING SYSTEM OF IUWASH OUTCOME INDICATORS The reporting system of IUWASH outcome indicators is part of the IUWASH regular reporting system. The progress achievement of each IUWASH indicator will be presented as part of the IUWASH components progress report. This data presentation will show the progress made by each IUWASH outcome indicator in different timeframes. This approach will be a traditional and common approach for reporting of IUWASH outcome indicators. 3.5 PARTNER COLLABORATION IN IUWASH MONITORING ACTIVITY The Monitoring and Evaluation Advisor will work with all National and Regional teams to increase the participation of IUWASH partners in monitoring, especially the local government partners. IUWASH will use, for example, the PDAM Performance Index and the Creditworthiness Ladder as entry points to involve other relevant government partners to increase their capacity on measuring the performance of PDAM. IUWASH plans to provide capacity building for local government institutions in tying adaptive management techniques to M&E results. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 15

22 4 PERFORMANCE INDICATOR REFERENCE SHEETS To support a standardized, transparent approach to data collection and analysis for performance monitoring under IUWASH, Section 4 of the PMP consists of a performance indicator reference sheet (PIRS) for each of the Project s 21 indicators.. As noted previously, the PIRS provides general information and implementation guidelines for the IUWASH team for each indicator, including the name of the indicator, linkage with the USAID standard indicators, precise definition, unit of measurement and disaggregation, plan for data acquisition, potential data quality issues, plan for data analysis, review and reporting, and the baseline and target numbers. Each PIRS that contributes to a USAID Standard Indicator includes the applicable code in the top-right corner of the sheet. The background of the PIRS is also in light gray. The program year stated in the reference sheets below represents the financial year of USAID, which runs from October 1 through September 30. The IUWASH Project started in March 2011, which was the middle of the 2011 USAID financial year. To synchronize the IUWASH project period and the USAID financial year, each reference sheet has 6 columns such that the first and last years of the IUWASH program consist of 6 months. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 16

23 IIP IIP Performance Indicator Reference Sheet Result HR-1: Increased Access to Safe Water Supply System Assistance Objective: Improved Management of Natural Resources Intermediate Result: IR3 Increased Access to Safe Drinking Water and Adequate Sanitation Deliverable: People gaining access to improved water supply and sanitation services as a result of US Government assistance Indicator: Number of people in urban area gaining access to improved water supply as a result of US Government assistance DESCRIPTION Precise Definition(s): People considered under this outcome are both poor and non-poor living in urban and peri-urban areas who will receive piped water access from a PDAM. Every PDAM has an obligation to service all residents within their service area, including those recognized as poor by the local government (i.e. fulfill the definition of Masyarakat Berpenghasilan Rendah and therefore generally qualify for a subsidized tariff.) Improved water supply is defined as clean water that comes from an improved water source through piping system. The improved water source under this outcome will focus on PDAM connections direct to individual households, master meter connections (i.e. urban communal systems), and public water facilities. There are two ways to count the number of people gaining access to an improved water supply service. These are as follows: 1. Number of new connections for all PDAMs within IUWASH clusters, provided that those PDAMs demonstrate a significant improvement in service quality as indicated by at least a 20 percent increase over baseline in respective Performance Index scores. Please see Indicator IC-1, which explains the functionality of the Performance Index and the types of technical assistance activities implemented by the Project. PDAM connections under this criterion include the house connections to the Master Meter systems. 2. Number of committed additional connections which are made through IUWASH support for capital financing programs. The counting of these connections will be done at the end of period of IUWASH implementation, in The committed additional connections will only be counted when the capital expenditure financing is secured but the actual construction of these connections will not be completed by the end of IUWASH. IUWASH will count these connections as additional achievements of the HR.1 outcome, by using the standard formula used by the Ministry of Public Works: each 1 liter/second committed additional water supply will benefit 75 households (or 375 people). Raw data for this outcome is generally provided in terms of number of households. To determine the number of people, IUWASH uses the assumption used by the Government of Indonesia: 1) Five people per connection for domestic and commercial connections, and 2) 20 people per connection for social connections. IUWASH will use the total number of new connections to determine the increase in percentage of households receiving improved access to safe water supply. To calculate this percentage, IUWASH will divide the increased number of PDAM connections receiving improved access to safe water as the numerator and the total number of households in the PDAM s coverage area based on National Socioeconomic Survey (Survei Sosial Ekonomi Nasional/SUSENAS) as the denominator. The total number of households in PDAM s coverage area is different for city (kota) and district (kabupaten) settings. IUWASH follows the assumption used by the GOI that says the total population of a city (Kota) is considered as an urban population. While for districts (Kabupaten) the urban population is 60% of the total population. In another words, the service area of the Kabupaten is confined to 60% of the population according to national government standards. The remaining 40% is generally assumed to be directly from local springs, rivers, or wells. All the systems developed with IUWASH support under this outcome should follow the IUWASH environmental compliance as approved by USAID (IEE and EMMP). The development of water supply facilities will include the facilities developed by the IUWASH partners/stakeholders through grant or public private partnership schemes. Unit of Measure: Number of people and percent change of household Disaggregated by: Gender (men and women); geographic region. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 17

24 PLAN FOR DATA ACQUISITION Data Source(s): PDAM Semi-annual and Annual reports. The PDAM Annual report is an audited report (Laporan Audit Kinerja). IUWASH couldn t specify a chapter or subchapter of the report as the data reference because it often varies from one utility to another Staff Responsible for Collecting Data: IUWASH Regional Urban Water Supply Specialists (UWS) Data Collection Method: Data of new PDAM connections compiled from regions, verified and upload to IUWASH TAMIS by National Coordinator of Water Supply Program. Frequency/Timing of Data Acquisition: Semi-annual and annual data report of TAMIS entries Storage of Data: Soft copies of connection data are attached in the TAMIS under PMP Module/HR Indicators/HR-1 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor. DATA QUALITY ISSUES Known Data Limitations and Significance (if any): For PDAM connections, IUWASH relies on datasets furnished by the PDAM itself. IUWASH does not independently determine the accuracy of these reports, an action which is done instead by other GOI agency (BPK/National Audit Agency). The audit done by this agency is accountable enough so the data obtained for this report are generally considered to be accurate and reliable. Data availability for reporting sometimes depends on the readiness of the data by IUWASH partners, which can be delayed by not collecting data in time. In terms of timing, IUWASH will sometimes utilize unaudited data in its reports when the audited data is not yet available. We always specify this, however, and then update any changes after the final audited data is issued. Date of Most Recent Data Assessment: 14 February 2012 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: Counting number of new PDAM connections in IUWASH sites and number of households gaining new access from non-pdam system in IUWASH sites. The PDAM connections divided by three categories such as domestic, commercial and social. The number of domestic and commercial connections are transferred into number of people by using assumption of 1 connection is multiplied by 5 people and the social connection is transferred into number of people using assumption of 1 connection is multiplied by 20 people. This assumption is based on previous surveys done by PDAM. IUWASH assesses the existing connection at the time the report is made. The existing numbers are then compared with the baseline number to get the number of new connections. Over the time, IUWASH will divide the achievement per year based on this calculation. The counting based on gender disagregation is based on the National Statistical Data on the comparison of the male and female population which is 3 compare to 2, respectively. The results of this counting will be presented in tabular data on the number PDAM connections and households per city with a final number of people gaining new access to improved water supply facility. This Table will be provided by narrative as needed to highlight important issues on the data presented. Review of Data: M&E Advisor prepares the Table as stated above to show the progress of this outcome and submits it to DCOP/WATSAN Technical Advisor for final review before reporting Reporting of Data: IUWASH Semi Annual Report (submitted at the end of March to USAID) and Annual Report (submitted at the end of September to USAID) BASELINE AND TARGETS Notes on Baselines/Targets: The baseline figure for IUWASH is 0 as since this indicator only counts new connections made by PDAMs from from two pre-determined start dates (for Phase one December 2011 and for Phase 2 December 2012).For each participating PDAM the actual number of connnections at that date were used as baseline for each PDAM. IUWASH will count new connections of PDAM partners under HR-1 after they achieve an increase of a minimum 20% of their PDAM Performance Index (described under Outcome IC-1) The achievement under this outcome begins by year 2 and increases cumulative in subsequent years. CHANGES TO PERFORMANCE INDICATOR Changes to Indicator: The main change under this outcome includes consideration of the poor under this outcome. IUWASH plans to include an analysis of IUWASH poor beneficiaries, using PDAM data, that get access to the improved water supply. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 18

25 PERFORMANCE INDICATOR OUTPUT TARGET People gain access to improved water supply BASELINE 0 RESULT DATA Target (people) Target (% household) Estimated Baseline (hh) Actual PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL ,000 4% 1,3 million 500,000 4% 2,5 million 1,100,000 9% 2,5 million 1,700,000 14% 2,5 million 2,000,000 16% 2,5 million 2,000,000 16% THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 19

26 Performance Indicator Reference Sheet Result HR-2: Increased Access to Improved Sanitation Facilities Assistance Objective: Improved Management of Natural Resources Intermediate Result: IR3 Increased Access to Safe Drinking Water and Adequate Sanitation Deliverable: People gaining access to improved water supply and sanitation services as a result of US Government assistance Indicator: Number of people in urban area gaining access to improved sanitation facilities as a result of US Government assistance DESCRIPTION Precise Definition(s): People considered under this outcome are those who live in urban- and peri-urban areas who gain access and benefit from improved sanitation facilities for the first time. Urban and peri-urban areas are defined as areas that are at populated by at least 150 people/hectare. This definition only includes populated areas and not open land or agricultural land. The Improved sanitation facilities are defined as sanitation facilities that use proper technology to ensure both privacy and hygienic conditions. The types of qualifying sanitation facilities counted by IUWASH under this definition are as follows:: 1. Improved individual (household) latrines 2. Community-based sanitation facilities (household connections to communal septic tank) 3. Public toilet/shared sanitation facilities (community) 4. Piped connection to the centralized sewer system (city wide and small) IUWASH will use the total number of people gaining access to improved sanitation services to determine also the percentage increase of households obtaining access to improved sanitation services. To calculate this, IUWASH will compare the achievement made (numerator) with the total existing households in the specific IUWASH sites (denominator), using the following definition for the numerator and denominator under this outcome: Numerator: number of households with access to or benefiting from improved sanitation services with support from IUWASH Project as explained above. Denominator: For the types of improved systems #1 to #3, the denominator is the total number of households in the specific sites (RT or combined several RTs) level. For the city sewerage system (option #4), the denominator is total potential customers situated along the piped sewerage system which could be directly connected to the sewerage network. The data collected by IUWASH in form of number of household. To determine number of people, IUWASH uses the assumption of 5 individuals per household as the standard used by the Government of Indonesia. This outcome has a connection with MD-1 Outcome (willingness to pay) because the number of people of the households counted under this outcome should have the commitment to pay for these improved sanitation facilities as well. So, the access to improved sanitation facilities will be counted under this outcome and their real commitment in the form of financing either investment in or operation of the improved sanitation facilities will be counted under MD-1 Outcome. All the systems developed with IUWASH supported under this outcome should follow the IUWASH environmental compliance as approved by USAID (IEE and EMMP). The development of sanitation facilities will include the facilities developed by the IUWASH partners/stakeholders through grant or public/private partnership schemes. Also, during in the IUWASH period, there may be alternative financing schemes supporting the development of improved sanitation facilities but the improved facilities may be realized in the period after the IUWASH period of performance. IUWASH will include the planned (but not yet realized) beneficiaries in the final calculation in the last year of IUWASH (2016) as long as the financial commitment has been made by local government or other donors, Unit of Measure: Number of people and percent change of household Disaggregated by: Gender (men and women); geographic region. IIP IIP USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 20

27 PLAN FOR DATA ACQUISITION Data Source(s): The sources of data depend on the sanitation facilities constructed. 1) For the individual system, the source is the sanitarian report to Puskesmas (Health Post) or District Health Office or other key IUWASH partner on household construct improved individual toilet; 2) For communal sanitation system, the source is report of LG institutions and IUWASH grantee manage communal sanitation programs; 3) For sewerage system, the source is report of LG institutions managing the city or small sewerage system. In the case that key IUWASH partners don t have the intake form, IUWASH will provide its own intake form to be filled in by key partners. Staff Responsible for Data Collection: Depending on the system constructed such as for individual system, data is collected by the IUWASH BCC Specialist in each region; for communal system the data is collected by either the BCC Specialist position and/or the Urban Sanitation Specialist (USS) position in each region; for sewerage system the data is collected by the USS position in each region. Data Collection Method: Data of households getting access to improved sanitation facilities collected by staff responsible and submitted to M&E Assistant. After verification by the M&E Assistant, she will upload to TAMIS and the M&E Advisor will conduct final verification. Frequency/Timing of Data Acquisition: Semi-annual and annual data report of TAMIS entries Storage of Data: Soft copies of data on household getting increased access to improved sanitation system are attached in the TAMIS under PMP Module/HR Indicators/HR-2 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor. DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The data source for reporting this indicator will depend upon the process of the development of sanitation facilities. In this regard, the counting of this deliverable will be conducted after the facilities are completely developed. After a certain period, if there are additional beneficiaries of sanitation facilities, it will be added later. This usually happens for communal sanitation system. IUWASH will count and initially report on the number of households that connect immediately following construction. Often, the number of households that connect immediately is less than the system s full capacity. Thus, if additional households come online in the months following completion, the communitybased organization (CBO) will inform IWUASH as such, and IUWASH will conduct a site visit to verify additional household connections before report the additional data. Date of Most Recent Quality Assessment: 14 February 2012 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: Simple counting on number of households getting access to improved sanitation facilities. The number is disaggregated by different type of systems developed. The number of households is then converted into an estimate of the number of people (1 household will be multiplied by 5 people as the standard of the average number of people per household based on the National Statistical Data). The counting based on gender disaggregation is based on the National Statistical Data on the comparison of male and female population which is 3 compared to 2, respectively. The results of this counting will be presented in tabular data on number of households per city with a final number of people getting new access to improved sanitation facility. This Table will be provided by narrative as needed to highlight important issues on the data presented. Review of Data: M&E Advisor to prepare the table as stated above to show the progress of this outcome and submit to DCOP/WATSAN Technical Advisor and Senior Sanitation Advisor for final review before reporting Reporting of Data: IUWASH Semi Annual (submitted in end of March to USAID) and Annual report (submitted at end of September to USAID) BASELINE AND TARGETS Notes on Baselines/Targets: The baseline number is 0 since this indicator is counted only for additional people benefiting from new improved sanitation facilities developed by IUWASH. The beginning phase of the program is used as preliminary and preparation stages. The target number begins by year 2 and increases in subsequent years. IUWASH has no contractual target for the percent household increased access to safe water supply; however, IUWASH will track the percent increase of access to safe water supply based on actual achievements made in every reporting period. CHANGES TO PERFORMANCE INDICATOR Changes to Indicator: The main change under this outcome is only in increasing the target after the IUWASH contract modification #8. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 21

28 OUTPUT TARGET People gain access to improved sanitation facilities BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA Target (people) Target (% household) Actual PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL 0 14,000 46, , , , ,000 0% 5.6% 18.4% THIS SHEET LAST UPDATED ON: 5/26/14 72% 92% 100% 100% USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 22

29 Performance Indicator Reference Sheet Result HR-3: Decrease in Water Cost Paid by the Poor Assistance Objective: Improved Management of Natural Resources Intermediate Result: IR3 Increased Access to Safe Drinking Water and Adequate Sanitation Deliverable: The per unit water cost paid by the poor in targeted communities decreases by at least 20% through more participatory, transparent, accountable and financially enabled services Indicator: Percent decreased (at least 20%) of per unit water cost paid by the poor in targeted communities through more participatory, transparent, accountable and financially enabled services DESCRIPTION Precise Definition(s): Per unit water cost is defined as the average cost per cubic meter that a given household pays for water used for household functions such as drinking and cooking. Further, the poor in targeted communities shall be defined as all households reached by a communal meter water supply system (or similar, community-based water-for-the-poor system) directly supported by IUWASH. Finally, the description of more participatory, transparent, accountable and financially enabled services will be achieved through the establishment of a community-based management structure that directly builds upon the inputs and participation of residents and establishes a transparent management structure and a clear pricing plan. Unit of Measure: Percent change of per unit water cost (either cubic meter or liter) Disaggregated by: by Region and targeted community PLAN FOR DATA ACQUISITION Data Source(s): A census of households served by the communal meter system. Staff Responsible for Data Collection: IUWASH Urban Water Supply Specialist Data Collection Method: A household census (or survey of every house reached by the system) shall be implemented within 3 months following the establishment of the communal water supply system in the targeted community. The IUWASH M&E Advisor will design a standardized questionnaire to ascertain the cost per unit of water both before and after the installation of communitybased system. Regional IUWASH staff will organize the completion of the questionnaire for each household impacted by the IUWASH-supported system. Frequency/Timing of Data Acquisition: The household census shall be completed within 3 months of the installation of the communal system. Storage of Data: Soft copies of results of the survey and other relevant documents are attached in the TAMIS under PMP Module/MD Indicators/HR-3 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The accuracy of the census data will depend upon the ability of household representatives to estimate unit water costs prior to the implementation of the IUWASH-supported intervention. IUWASH enumerators will assist the representatives with this process, and, where necessary, verify costs with local vendors. Date of Most Recent Quality Assessment: Quarter 3 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Following the collection of raw data for a given community, IUWASH will calculate the difference between the per unit water costs before and after the establishment of the community based system. The percentage change for each household will then be averaged for the community as a whole. Presentation of Data: The result of analysis of the survey is presented in the table to show the progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by DCOP / WATSAN Technical Advisor Reporting of Data: IUWASH Quarterly and Annual Reports to USAID BASELINE AND TARGET Notes on Baselines/Targets: The baseline for each community will consist of the per unit cost of water prior to the implementation of the IUWASH-supported community-managed system. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: The main change made to this indicator is only in the definition of the outcome to meet the requirement by this outcome. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 23

30 PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASE LINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Percent decrease in per unit water cost paid by the poor 0 Target (cumulative) Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 24

31 Performance Indicator Reference Sheet Result HR-4: Participant Training Report Assistance Objective: Improved Management of Natural Resources Intermediate Result: IR3 Increased Access to Safe Drinking Water and Adequate Sanitation Deliverable: People participating in IUWASH training activities Indicator: Number of people participated in IUWASH training activities DESCRIPTION Precise Definition(s): The people mentioned in this indicator consist of community people, government officers from different levels, private sector officers, donor agency staff, etc. who participate in IUWASH training activities. The training activities are defined as all types of training related activities targeting increases capacity and understanding of urban water supply, sanitation and hygiene issues. Types of training activities consist of several activities as follows: Training course Training of Trainers Workshop Focus Group Discussion Seminar Conference Study Tour Advocacy event Participation means the people attend the training related activities and signing the attendance list of the activity. These training activities may be conducted at both the national and local levels. Several specific topics of training activities include: PDAM technical, management, financial aspects Operation and maintenance of master meter system Customer Forum development process PDAM institutional development for PDAM Advisory Board Promotion of micro credit program for water Strengthening of Community-based organization/cbo (CBO committee development, role and responsibility, organizational management, technical issues on water supply and sanitation systems) Triggering process for sanitarian and community to connect to individual and communal sanitation system Operation and maintenance of master meter system, individual and communal sanitation systems, and sewerage systems Technical topics related to development of master meter, individual and communal sanitation systems Readiness criteria for waste water system Policy development process UPTD development process Citizen Engagement Mechanism process Process of obtaining Capital Financing Promotion of improved hygiene behavior Gender mainstreaming program Unit of Measure: Number of people Disaggregated by: Gender (male and female), type of training activities, budget and actual cost of the training activities conducted in each province USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 25

32 PLAN FOR DATA ACQUISITION Data Source(s): Attendance list of the activity and TAMIS entry on the actual participant, budget and actual cost of the activity Staff Responsible for Collecting Data: All IUWASH staff responsible for each training activities Data Collection Method: counting the participant of the activities based on gender and total budget and actual cost disaggregated by instruction, participant and travel type of budget categories. The instruction budget category consists of honorarium, materials, communication and rental of equipment for the activity. The participant budget category consists of accommodation, snack and meals, and per diem. The travel budget category consists of air ticket, bus and other transportation modes, car rental and local transport. Frequency/Timing of Data Acquisition: Quarterly collection through TAMIS entries Storage of Data: The raw data is stored in TAMIS system. The compiled data of training activities presented in tabular is stored in the IUWASH server at //Jakarta/Common drive/pmp. Hard copy of the compiled data is maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor. DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The intention is to count the total number of participants at IUWASH training activities, regardless of whether any one person has attended a previous training. This is not "double-counting" in that the said individual is participating in training events on two completely different technical topics. Date of Most Recent Quality Assessment: Quarter3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW & REPORTING Data Analysis: No specific analysis applied in the measuring the progress of the activities Presentation of Data: Tabular data consist of several information such as type of activity, region, title of activity, venue, starting date, end date, participant, % women, total budget, actual cost presented in 3 different categories (instruction, participant and travel expenses). From all the data compiled, IUWASH then calculates total participant, average of women participation, total budget and actual total actual cost. After the report is completed, IUWASH continue to enter the data in the USAID TraiNet System. Review of Data: Initial data review and verification conducted by M&E Assistant and final review of compiled data by M&E Advisor to be included in IUWASH QPR. Reporting of Data: IUWASH quarterly and annual report to USAID and TrainNet system BASELINE AND TARGET Notes on Baselines/Targets: The target under this outcome is changed due to IUWASH Contract Modification #8 dated 30 September CHANGES TO PERFORMANCE INDICATOR Changes to Indicator: The only change made under this outcome is number of targets. The target is increased after IUWASH has received Contract Modification #8 on 30 September 2013 PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Number of people participating 0 Target ,251 22,078 15,000 15,000 7,254 75,000 Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 26

33 Performance Indicator Reference Sheet Outcome MD-1: Households Willing to Pay for Sanitation Improvements Assistance Objective: Investing in People Intermediate Result: IR-1 Demand Mobilized for Water Supply and Sanitation Deliverable: Households willing to pay for sanitation improvements Indicator: Number of households willing to pay for sanitation services DESCRIPTION Precise Definition(s): The household is one that is located in the IUWASH sites that receive benefits from the development of concrete sanitation system improvements. The sanitation system will provide better sanitation services for the members of the household. The willingness to pay means that the households receiving the sanitation services and show their real commitment for having improved sanitation facilities. The commitment concerns any aspect related to improved sanitation services, not only for sanitation fees but also construction costs. The definition of improved sanitation facilities refers to the definition stated in indicator HR-2 above. As stated under Outcome HR-2 above, the number of people in these households who have improved sanitation facilities will be counted under HR-2 Outcome. Real Commitment will depend on the contribution required by each household for each intervention, it may be a connection fee to a sewerage system or community-based sanitation system, monthly fee for using public toilet or having services from communal and sewerage systems, cost of construction of sanitation facilities or other contributions. The contribution can be in cash or inkind contribution in the form of time of the household members used to construct the improved sanitation facility. Unit of Measure: Number of households Disaggregated by: by Region and by type of sanitation system developed PLAN FOR DATA ACQUISITION Data Source(s): IUWASH uses the same source of data used for HR-2 deliverable. In this data include the information on the real commitment paid by the households to get improved sanitation facilities. As stated in the data source section of HR-2, the sources of data depend on the sanitation facilities constructed. 1) For the individual system, the source is sanitarian report to Puskesmas (Health Post) or District Health Office or other key IUWASH partner on households constructing improved individual toilet; 2) For communal sanitation system, the source is report of LG institutions and IUWASH grantee managing communal sanitation programs; 3) For sewerage system, the source is report of LG institutions managing the city or small sewerage system. In the case that key IUWASH partners don t have the intake form, IUWASH will provide its own intake form to be filled in by key partners. Staff Responsible for Data Collection: Depending on the individual system, data is collected by the IUWASH BCC Specialist in each region; for communal system the data is collected by either the BCC Specialist position and/or the Urban Sanitation Specialist (USS) position in each region; for sewerage system the data is collected by the USS position in each region. Data Collection Method: Data of households getting access to improved sanitation facilities is collected by staff responsible and submitted to M&E Assistant. After verification by the M&E Assistant, she will upload it to TAMIS and the M&E Advisor carries out final verification. Frequency/Timing of Data Acquisition: Semi-annual and annual data report of TAMIS entries Storage of Data: Soft copies of data on households have willingness to pay for sanitation improvements are attached in the TAMIS under PMP Module/MD Indicators/MD-1 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The data on the households that have willingness to pay for sanitation services may be different from first count right after the sanitation facility has been developed to later development of the facilities. In this case, IUWASH will add the additional number of households that come later in the following reporting period. This usually happens for communal sanitation systems. IUWASH will count and initially report on the number of households that connect immediately following construction. Often the number of households that connect immediately is less than the system s full capacity. Thus, if additional households come online in the months following completion, the community-based organization (CBO) will inform IWUASH as such, and IUWASH will conduct a site visit to verify the additional household connections before reporting the additional data Date of Most Recent Quality Assessment: Quarter 3 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 27

34 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: Simple count of number of households that are willing to pay for sanitation improvements. The number is disaggregated by different type of systems developed and by region. The results of this counting will be presented in tabular data on number of households per city and per sanitation systems. This Table will be provided with a narrative as needed to highlight important issues on the data presented. Review of Data: M&E Advisor prepares the table as stated above to show the progress of this outcome and submits it to DCOP/Watsan Advisor and Senior Sanitation Advisor for final review before reporting. Reporting of Data: IUWASH Semi Annual (submitted in end of March to USAID) and Annual report (submitted at end of September to USAID) BASELINE AND TARGET Notes on Baselines/Targets: The baseline number is N/A since the assumption that there is no commitment yet from the households to pay for sanitation services before IUWASH activities are carried out CHANGE TO PERFORMANCE INDICATOR Change to Indicator: There is no significant change to this indicator PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Households willing to pay for sanitation services 0 Target ,900 12,000 14,000 8,000 40,000 Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 28

35 GDJ Performance Indicator Reference Sheet Outcome MD-2: Civil Society or Government Organizations Implementing Programs to Mobilize Improved Access to Safe Drinking Water and Adequate Sanitation Objective Assistance: Investing in People Intermediate Result: IR-1 Demand Mobilized for Water Supply and Sanitation Deliverable: Civil society or government organizations implementing programs to mobilize improved access to safe drinking water and adequate sanitation Indicator: Number of civil society groups and/or government organizations implementing programs to mobilize improved access to safe drinking water and adequate sanitation DESCRIPTION Precise Definition(s): The organization under this indicator defines as either civil society groups or government institutions those that are the IUWASH partners in IUWASH sites who have received substantial capacity building and/or promotional activities by IUWASH team on the topics related to improved access to safe drinking water and adequate sanitation. The civil society groups consist of NGOs, community groups, universities, etc. while the government institution are grouped of sanitarians and other government officers who take the lead on the implementation of government programs on improved access to safe drinking water and adequate sanitation. The program implemented is conducted in a certain period in a specific location. Even if one group or institution implements more than one program (different programs in one locations /or same programs but in different locations), IUWASH will still count this group or institution as one unit of achievement under this Outcome. A program is in implementation stage when there is an assurance of funding for the program implementation provided by donors or governments and the activities have begun to be conducted. Detailed stages will be determined later from commencement through financing until completion. All the systems developed under this outcome should adhere to the IUWASH environmental compliance plan as approved by USAID (IEE and EMMP). Unit of Measure: Number of civil society groups and government institutions Disaggregated by: by type of organization; by city and region PLAN FOR DATA ACQUISITION Data Source(s): IUWASH intake forms filled in by the field staff (specialist or City Coordinator) who works directly with the Civil Society Groups and/or government institutions. In the case of the group who are implementing IUWASH Grant Program, IUWASH use the final report of Grant Program. Staff Responsible for Data Collection: IUWASH BCC Specialist responsible to report this outcome. Data Collection Method: IUWASH BCC Team fill in the intake form prepared by the IUWASH M&E Team and report the progress of this outcome to the TAMIS database Frequency/Timing of Data Acquisition: Quarterly and annual data report of TAMIS entries Storage of Data: Soft copies of Civil Society Group and/or government institutions implement watsan program are attached in the TAMIS under PMP Module/MD Indicators/MD-2 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor DATA QUALITY ISSUES Known Data Limitations and Significance (if any): There is a possibility of having a complicated situation where one group or government institutions implement more than one program or a program is supported by other agencies. In this case, IUWASH will consider the criteria stated above to avoid double -counting the achievement of this indicator. The data on the achievement also depends on the intervention and amount of financing by each donor. Date of Most Recent Quality Assessment: Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: Simple counting on number of Civil Society Group and Government Institutions implement watsan program. The results of this counting will be presented in tabular data on number of the group and the institution per city. This Table will be provided by narrative as needed to highlight important issues on the data presented. Review of Data: M&E Team conduct initial review and verification to the data in the TAMIS and submit to Senior Sanitation Advisor for final review before reporting Reporting of Data: IUWASH Quarterly and Annual report to USAID USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 29

36 BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: In previous PMP IUWASH combined the number of CSO and Government cadre as one type of calculation. Since the CSO and Government cadre are different entities (CSO is an organization or institution and Government Cadre is a person), after consultation with the COR prior to processing of PMP revision, the government cadre is grouped as one government institution as stated above. OUTPUT TARGET Civil society group and/or government cadre implement program on improved access to safe drinking water and adequate sanitation BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 30

37 Performance Indicator Reference Sheet Outcome MD-3: Civil Society Groups that Report on PDAM Operation and Performance Assistance Objective: Investing in People Intermediate Result: IR-1 Demand Mobilized for Water Supply and Sanitation Deliverable: Civil society groups that report on PDAM operations or performance Indicator: Number of civil society groups that report on PDAM operations or performance DESCRIPTION Precise Definition(s): Civil society groups are defined as existing or newly formed PDAM customer forums, local NGOs, community groups, universities, or other water-user related groups, who are formally accepted by the local PDAM as intermediate PDAM customers and/or general public. To report-on PDAM performance means an organized, regular exchange of information between the civil society group and PDAM management with regard to all customer aspects of the PDAM operation and performance, which can include general or specific customer complaints, PDAM expansion and/or rehabilitation plans, billing and collection issues, water conservation measures, leak reduction measures, planned and unplanned water disturbances, etc. Unit of Measure: Number of civil society groups Disaggregated by: By type of civil society group and region PLAN FOR DATA ACQUISITION Data Source(s): Minute of Meeting or materials used in the meeting between civil society group and PDAM as the final supporting data to mark the completion of this outcome. As regular tracking of the progress of this outcome, IUWASH will use the data/information uploaded by the Responsible Person directly involved in supporting the CSOs to report on PDAM performance Staff Responsible for Data Collection: IUWASH Urban Sanitation Specialist (UWS) responsible to report this outcome. Data Collection Method: IUWASH UWS updates the progress of establishment of CSO to provide reports on PDAM operation and performance in the TAMIS database. As the final report, to mark the completion of this outcome, the UWS will provide several relevant supporting documents such as Minute of Meeting, materials used and/or pictures. Frequency/Timing of Data Acquisition: Quarterly and annual data report of TAMIS entries Storage of Data: Soft copies of CSOs and government cadre implement watsan program are attached in the TAMIS under PMP Module/MD Indicators/MD-3 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The data availability for reporting sometimes depends on the readiness of the data in IUWASH partners (CSO or PDAM). Date of Most Recent Quality Assessment: Quarter 2 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: Simple counting of civil society group that reports on PDAM operation and performance and track the steps on establishment of CSOs report on PDAM operation and performance. The achievement on the progress of each steps will be presented in tabular data on the progress of establishment CSOs report on PDAM operation and performance. Review of Data: M&E Team conduct initial review and verification to the data in the TAMIS and submit to DCOP/Watsan Advisor for final review before reporting. Reporting of Data: IUWASH Semi Annual and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity that needs to be conducted by IUWASH. CHANGES TO PERFORMANCE INDICATOR Change to Indicator: There is no specific change made to this outcome. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 31

38 PERFORMANCE INDICATOR VALUES OUTPUT TARGET Civil society groups report on PDAM operations or performance BASELINE 0 RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 32

39 Performance Indicator Reference Sheet Outcome MD-4: Increase in Households Adopting Improved Hygiene Practices Assistance Objective: Improved Management of Natural Resources Intermediate Result: IR3 Increased Access to Safe Drinking Water and Adequate Sanitation Deliverable: Household increased adoption of improved hygiene practices Indicator: Percent increase of households that have adopted improved hygiene practices DESCRIPTION Precise Definition(s): The adoption of improved hygiene practices will only focus on behavior that supports increasing access to improved sanitation services. The improved hygiene practices will focus on three criteria such as: 1. Behavior on motivation to connect to improved sanitation services 2. Behavior to use the improved sanitation services 3. Behavior to maintain the improved sanitation services For the purposes of this indicator, adoption shall mean that the interviewed household adheres to all behaviors stated above. This adoption data will be taken from a survey conducted by the IUWASH team that involves selected household partners (sampling) in the IUWASH targeted areas. Unit of Measure: Percent change of adoption of households of improved hygiene practices Disaggregated by: by criteria of adoption and by region PLAN FOR DATA ACQUISITION Data Source(s): Household Survey on Behavior Change organized by IUWASH team and involved IUWASH partners. Staff Responsible for Data Collection: IUWASH BCC Specialists in each region responsible to conduct the survey. Data Collection Method: Implementation of household survey, including random selection of households in IUWASH communities. Data will be entered into spreadsheets to calculate results and presented in the TAMIS database. Frequency/Timing of Data Acquisition: Semi-annual and annual data analysis of TAMIS entries Storage of Data: Soft copies of results of the survey and other relevant documents are attached in the TAMIS under PMP Module/MD Indicators/MD-4 as well as on the IUWASH server at //Jakarta/Common drive/pmp. Hard copies are maintained in the locked PMP file drawer in the office of the Monitoring and Evaluation Advisor DATA QUALITY ISSUES Known Data Limitations and Significance (if any): This data collection will depend on the timing of the survey because sometimes the difficulties on survey implementation may differ from one location to another. While the data analysis should be conducted at the same time. There is possibility of having to wait for all the data to be collected before analysis commences. Date of Most Recent Quality Assessment: Quarter 4 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: The data collected from the survey will be analyzed using selected software for statistical analysis. Focus is counting the percentage of households adopting proper hygiene practices related to increased access to safe water supply and sanitation services as the result of the survey conducted in selected IUWASH sites. Presentation of Data: The results of survey analysis are presented in tabular data to show adoption of improved hygiene behavior. Review of Data: M&E Team presents the survey results and discusses together with the DCOP/Watsan Advisor and Senior Sanitation Advisor for final verification before reporting Reporting of Data: IUWASH Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: The baseline data is the preliminary data taken from first survey, compared with the following survey to see the percent change in adoption of improved hygiene behavior. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: The main change of this outcome is in determination of indicators of improved hygiene behavior. After the IUWASH Midterm Evaluation (MTE), one of the recommendation is to pull out the indicators on handwashing with soap and Point of Use Water (POU). Also, it is recommended that the improved hygiene behavior is related to support the increased access to improved sanitation services only. Based upon this, the criteria of adoption of improved hygiene behavior is as stated above. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 33

40 PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Percent increase in households adopting hygienic behavior related to improved sanitation services 0 Target (cumulative) Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 34

41 Performance Indicator Reference Sheet Outcome MD-5: Master Trainers exposed to new urban sanitation promotion package Assistance Objective: Investing in People Intermediate Result: IR-1 Demand Mobilized for Water Supply and Sanitation Deliverable: Master Trainers exposed to new urban sanitation promotion packages Indicator: Number of master trainers exposed to new urban sanitation promotion packages DESCRIPTION Precise Definition(s): Master Trainers describes as government officers or community cadre who have been trained in several topics related to new urban sanitation promotion package to support the increased access to improved sanitation facilities. New Urban sanitation promotion package is a module developed to support the promotional activities for urban context. The module will be part of the Sanitation for the Poor Toolkit and it will be under the Behavior Change Communication (BCC) section. The topics of the module will cover at least on participatory planning process to mobilize demand for increased access of the people to improved sanitation facilities including triggering exercises and behavior change practices to support the increased access for improved sanitation facilities. The trainers will be counted under this indicator if they already trained and implement activities to support the increased access to improved sanitation facilities. The activities are facilitating other training related to new urban sanitation promotion package, conduct triggering activities at community level, facilitate the development of community-based organization to manage the communal sanitation facilities, regular monitoring of the development of individual and communal sanitation facilities. These trainers will not be included under HR-4 (number of people participated in IUWASH training related activities), however IUWASH will still report these individuals to the USAID TraiNet database system as the participant training. Unit of Measure: Number of master trainers Disaggregated by: By type of master trainers, by region, by gender. PLAN FOR DATA ACQUISITION Data Source(s): Report of the exposure activities prepared by IUWASH Team that consists of detailed information on the implementation of the activities at regional and national level. The report will be supported with at least the results of pre and post-tests and bio data of participants. The reports will also describe the topics learned, process taken and results of each session of the exposure activity. Staff Responsible for Data Collection: IUWASH National Coordinator of BCC Program responsible to report on the progress of achievement of this outcome. Data Collection Method: IUWASH National Coordinator of BCC Program responsible for data update of the steps of TOT implementation in the TAMIS. M&E Advisor to review the report received from TAMIS entry and use the data for reporting. Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries Storage of Data: Soft copy of required information of the activities is attached in the TAMIS under PMP Module MD-5 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): N/A Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The data is presented through tabular data to show the number of master trainers exposed in the activities per region including the type of master trainers and gender Review of Data: M&E Team conduct initial review and verification to the data in the TAMIS and submit to Senior Sanitation Advisor for final review before reporting Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity that needs to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: As this is a new outcome, there was no previous indicator. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 35

42 PERFORMANCE INDICATOR VALUES OUTPUT TARGET Master trainers exposed to participatory planning activities BASELINE 0 RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 36

43 GDJ Performance Indicator Reference Sheet Outcome IC-1: PDAM Improved Technical, Financial and Management Performance Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: PDAMs with improved technical, financial and management performance Indicator: Number of PDAMs with improved technical, financial and management performance DESCRIPTION Precise Definition(s): PDAM technical, operational and financial management performance is measured through a PDAM performance index which consists of several key performance topics, like (1) Business/Good Governance approach; (2) Non-Revenue Water and/or Energy reduction; (3) Full Cost recovery, tariff setting, billing efficiency; (4) Customer Relations; (5) Human Resources Management; (6) Coverage & Poor inclusive, (7) Safeguarding Raw Water sources and (8) Water Quality. For each of these topics detailed criteria will be identified and scored, with total score of 100%. At the start of IUWASH support for each PDAM, a baseline score will be agreed for each topic by IUWASH team and PDAM. A PDAM will then be counted under this Outcome if, during the period of IUWASH technical assistance, the PDAM Performance Index has increased by at least 20% from the baseline score. The format and the individual parameters of the PDAM Performance Index are included in the PMP as Annex 2. Unit of Measure: Number of PDAM with increase on Performance Index of at least 20% Disaggregated by: By each province PLAN FOR DATA ACQUISITION Data Source(s): PDAM Semi-annual and Annual reports. The PDAM Annual report is an audited report (Laporan Audit Kinerja dan Keuangan). IUWASH couldn t specify a chapter or subchapter of the report as the data reference because it often varies from one utility to another. Staff Responsible for Data Collection: IUWASH Regional Urban Water Supply Specialists (UWS). Data Collection Method: IUWASH Regional UWS collect data from PDAM two times a year (June and December data). The June data will be reported in IUWASH Annual Report in September and December Data is used for Semi Annual Report in March. The Regional IUWASH UWSs submit the report based on parameters determined to the National Coordinator of UWS. After National UWS review the data, the National UWS will upload the data in TAMIS. As the final step, the subsequent data verification will be done using official audit report. Frequency/Timing of Data Acquisition: Semi-annual and annual data analysis of TAMIS entries Storage of Data: Soft copy of required TOT information is attached in the TAMIS under PMP Module IC-1 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): There is no existing index. A complete set of PDAM index has been developed by IUWASH Team, based on PDAM assessment (baseline) conducted in beginning of program year. Also, to populate the Performance Index, IUWASH must often rely on secondary data as reported by the PDAM itself. While such data is audited by an independent government body, IUWASH itself does not undertake direct verification of PDAM operational and financial performance. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: After the review is done the set of summary data is presented through tabular data to show the change on the PDAM Performance. The table compares the baseline data of PDAM performance and compares it with the current data of the index and shows the changes. Review of Data: Initial review by National Urban Water Specialist and the M&E team compiled the data in one table. The final review was conducted by DCOP / WATSAN Technical Advisor Reporting of Data: IUWASH Semi Annual and Annual report to USAID. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 37

44 BASELINE AND TARGET Notes on Baselines/Targets: Conduct PDAM assessment to identify condition of existing services and key criteria to determine PDAM index indicates better services of PDAM. The first year program is used as preliminary stage. The target number increases in subsequent years. This reporting is accompanied by a quantitative description of achievement based on index as mentioned in definition section. Change to Indicator: There is no change to this outcome. OUTPUT TARGET PDAMs that show 20% increase in PDAM performance index CHANGES TO PERFORMANCE INDICATOR BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 38

45 Performance Indicator Reference Sheet Outcome IC-2: PDAM Debt Restructuring Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: PDAMs in default of old debts are assisted in restructuring their outstanding debts Indicator: Number of PDAMs in default of old debts are assisted in restructuring their outstanding debts DESCRIPTION Precise Definition(s): PDAMs with outstanding arrears on their loans will not be able to obtain new financing, unless their existing loans are paid off or restructured. During many of the PDAMS approached Ministry of Finance to join the PDAM debt restructuring program as set forth in Ministry of Finance Decree No. 120/2008. All PDAM who fulfilled the debt restructuring criteria were accepted in the MOF debt restructuring program, but those who did not (yet) fulfill them, could not (yet) join this program, with the largest obstacles being insufficient accounting documentation to complete an audit by BPKP as well as failure to reach full cost recovery. The ones who joined have to follow a number of predetermined actions to stay within the program, and when some of them failed to do so, they were dropped from the program until they complied again with all criteria. Based on PDAM s request, IUWASH can provide technical assistance to a PDAM to fulfill all criteria to be able join the debt restructuring program, either for the first time or to be readmitted ; additionally, given the importance of meeting the targets as set forth in restructuring plans, IUWASH will work with PDAMs that have approved plans to establish a monitoring system to assist in tracking progress against promised milestones and, where necessary, develop strategies to shore up areas of underperformance. If the Ministry of Finance has revised the program or criteria, the IUWASH team will work with all partners so that target PDAM can restructure their existing debt and is allowed to obtain new financing for rehabilitation of expansion of services. The principals steps (or progress benchmarks) in this process are defined as follows: 1. Data/Information Gathering from Local government, PDAM, and Ministry of Finance concerning the status of PDAMs debt service; 2. Preparation or revision of the PDAM s Business Plan in accordance with the requirements set forth in PMK 120/ Presentation/Socialization to Local Government to obtain Letters of Commitment (Bupati/Walikota and DPRD), where applicable. 4. Support PDAM management in submission of Debt Restructuring Proposal to Ministry of Finance; where applicable. 5. Establish robust monitoring mechanism to track progress against targets set forth in business plans, thereby helping to ensure that utilizes can take corrective action if specific targets are shown to be at risk. Based on the above, IUWASH assistance will take two forms: (1) the submission of business plans to restructure outstanding debts followed by (2) the monitoring of targets to ensure that the PDAM remains on track to receive the full write-off of its interest arrears. Both types of assistance shall be included under the auspices of the phrase are assisted as stated in the indicator above. Importantly, however, only those PDAMs that retain a score of 3.5 (out of 5) or higher using the IUWASH debt restructuring monitoring tool shall be counted under this outcome. Unit of Measure: Number of PDAMs Disaggregated by: By each province PLAN FOR DATA ACQUISITION Data Source(s): PDAM Financial Reports, Ministry of Finance records on debt restructuring, IUWASH debt restructuring monitoring tool. Staff Responsible for Data Collection: IUWASH Regional Municipal Finance Specialists. Data Collection Method: Review of reports as received from PDAM partners and the Ministry of Finance combined with entry into IUWASH debt restructuring monitoring tool and, ultimately, recording of debt restructuring status in the TAMIS, with each PDAM tracked as a percentage of the above steps (1 5) ongoing or completed. Regional Municipal Finance Specialists responsible for data collection and entry into the TAMIS. Frequency/Timing of Data Acquisition: Semi-annually and annual data analysis of TAMIS entries Storage of Data: Soft copy of final review based on the monitoring tools of debt restructuring is attached in the TAMIS under PMP Module IC-2 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 39

46 DATA QUALITY ISSUES Known Data Limitations and Significance (if any): PDAM accounting procedures and the accuracy of the financial data can vary from one PDAM to another. IUWASH will rely principally on the data audited by BPKP, although this is only available on an annual basis. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Counting the percentage of debt restructuring steps completed. Additionally, IUWASH will report on the extent to which PDAM partners are adhering to their restructuring targets using the IUWASH monitoring tool developed by IUWASH in collaboration with the Ministry of Finance. Only those PDAMs that obtain a compliance score of 3.5 (out of 5) or higher shall be counted under this outcomes as having received assistance successfully. Presentation of Data: The result of analysis of monitoring of debt restructuring is presented through tabular data to show the achievement of this outcome Review of Data: Initial review by M&E Advisor and final review by DCOP / WATSAN Technical Advisor Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: all PDAMs received support from IUWASH for preparing debt structuring will submit the debt restructuring to Ministry of Finance. The achievement of this target is completed when the plans are submitted to Ministry of Finance. CHANGE TO PERFORMANCE INDICATOR Changes to Indicator: There is no change to this outcome. OUTPUT TARGET PDAM Debt Restructuring Proposal Submitted BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 40

47 Performance Indicator Reference Sheet Outcome IC-3: PDAMs with Improved Creditworthiness Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: PDAMs with improved creditworthiness Indicator: Number of PDAMs with improved creditworthiness DESCRIPTION Precise Definition(s): Debt, insufficient revenue, and poor credit ratings represent critical obstacles to PDAMs, greatly constraining their ability to expand service coverage. Improved creditworthiness would allow utilities to access both public and private financing for investments in water network rehabilitation and expansion. IUWASH will help PDAMs to strengthen their creditworthiness by, for example, implementing cost recovery tariffs, improving technical and administrative operations, and restructuring outstanding debts. Where applicable, IUWASH will also support healthy utilities to obtain credit ratings so as to attract investment. Creditworthiness cannot by derived from any single financial or operational indicator, but is rather a reflection of a utility s overall performance and, importantly, its approach to mitigating future risks, be it insufficient revenue, sky-rocketing costs, or lack of raw water. To reflect this, IUWASH designed a creditworthiness ladder (CWL) that identifies concrete steps that a utility can take to increase its attractiveness to external lenders. In developing this tool, IUWASH researched credit evaluation methodologies both domestically and internationally, arriving at a series of indicators that assess the fundamental aspects of a utility s health. Where appropriate, IUWASH also consulted with local stakeholders such as Pefindo and BPPSPAM. Based on the CWL, then, a PDAM will achieve improved creditworthiness under this Outcome by moving up one step or notch on the ladder. For example, a PDAM that moves from a score of B (flat) up to B+ (plus) will be deemed to have achieved improved creditworthiness. The step of the CWL is started from the D(minus) to A (plus). The format and list of parameters associated with the CWL are attached as Annex 3. Unit of Measure: Number of PDAM Disaggregated by: By each province PLAN FOR DATA ACQUISITION Data Source(s): Principal source of raw data for the CWL will be audited PDAM financial reports. This will then be supplemented with PDAM performance data from local government owners, the Ministry of Public Works, and the Ministry of Finance. Finally, a limited number of criteria within the CWL will be based on direct interviews/observation of the PDAM. Staff Responsible for Data Collection: IUWASH Regional Municipal Finance (MF) Specialists. Data Collection Method: Review of PDAM financial and performance reports by Regional MF Specialist and submit to National Coordinator of MF Team at National Office; the National MF Specialist will upload the data in the TAMIS database on the progress made under this indicator. Frequency/Timing of Data Acquisition: Annual data entry of TAMIS entries Storage of Data: Soft copy of detailed information on the progress of PDAM based on Creditworthiness Ladder is attached in the TAMIS under PMP Module IC-3 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The CWL relies on data that is recorded by the PDAM and later audited by BPKP; as such, the accuracy of the CWL is largely tied to the accuracy of this data. IUWASH will not conduct independent verifications of PDAM audited financial and performance data, as such verification would be time and resource intensive. It is also important to note that creditworthiness is, in and of itself, a subjective term that necessarily requires IUWASH staff to make an independent judgment of the extent to which creditworthiness has actually changed over time. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 41

48 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Financial, technical, and other performance data will be entered into the CWL on a yearly basis to arrive at a base score. This score may then be adjusted one step upwards or one step downwards by a review panel of IUWASH staff based on known factors that will likely influence the PDAM s ability to repay creditors in the future but that are not already reflected in the scoring process. Presentation of Data: The result of analysis of the score on credit worthiness based is presented through tabular data to show the achievement of the improved PDAM Creditworthiness Review of Data: M&E Team conduct initial review and verification to the data in the TAMIS and submit to DCOP/WATSAN Technical Advisor for final review before reporting Reporting of Data: IUWASH Semi Annual and Annual Report to USAID BASELINE AND TARGET Notes on Baselines/Targets: Each PDAM will have its own unique baseline consisting of the first CWL rating calculated for that utility. For most PDAMs, the first CWL rating will be issued based upon the 2012 financial data (although a second, smaller group will have the first scores issued based on the 2013 financial year). IUWASH will then calculate the score each subsequent year, tracking the extent to which the score changes over the baseline. Changes to Indicator: There is no change to this outcome. OUTPUT TARGET PDAM with improved creditworthiness BASELINE CHANGE TO PERFORMANCE INDICATOR PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL 0 Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 42

49 IIP / EG Performance Indicator Reference Sheet Outcome IC-4: Local Governments Implementing Necessary Climate Change Adaptation Measures Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: Local Governments implementing necessary climate change adaptation measures, based on preliminary raw water resources vulnerability assessments Indicator: Number of Local Governments implementing necessary climate change adaptation measures, based on preliminary raw water resources vulnerability assessments Precise Definition(s): DESCRIPTION The term local governments shall be inclusive of PDAMs (as local government owned entities) and the departments of the local government itself (such as the planning office, environmental office, public works office, etc.). In this regard, Project will work principally with the PDAM to follow the IUWASH Water Supply Vulnerability Assessment and Adaptation Planning Framework, while also engaging the local government as appropriate. For performance monitoring purposes, IUWASH shall track the progress of Outcome IC-4 according to the following four steps: 1. Assessment and Analysis. The milestone of this step is that the baseline water supply vulnerability assessment has been prepared (including a preliminary analysis of the results) and the content is ready to be presented to and discussed with local stakeholders; 2. Stakeholder Dialogue. The milestone of this step is that the key stakeholder workshops and focus group discussions have been conducted to review the baseline analysis, identify vulnerabilities and discuss adaptation options to address those vulnerabilities. Climate Change Adaptation Action Plan (CCAAP) conducted and agreements by PDAM and/or LG with proposed action plans. 3. Development of Adaptation Action Plan. Based on the stakeholder discussion, the milestone for this step is that the portfolio of adaptation options has been finalized leading to a specific set of action steps. 4. Implementation of Adaptation Measures. The milestone for implementation shall be when one or more of the adaptation measures prioritized in the Action Plan have been commenced in the field. Examples might include artificial recharge wells are under construction, a feasibility study for a new water source is under way, a new raw water conservation policy has been drafted, or new hydrological monitoring facilities have been procured. Such actions will also generally be integrated into PDAM and LG planning documents. When tracking the results of this outcome, the PDAM and PEMDA (local government owner) of the same jurisdiction will be counted as a single (one) unit of achievement. A local government will be counted towards this indicator when it has reached Step 4. Unit of Measure: Number of Local Governments Disaggregated by: By each province PLAN FOR DATA ACQUISITION Data Source(s): Raw water resources vulnerability assessment/baseline reports, other supported reports by IUWASH and IUWASH partners, minutes of meetings from stakeholder workshops, and IUWASH intake form used to update the progress of the 9 steps stated above Staff Responsible for Data Collection: IUWASH Regional Urban Water Specialists. Data Collection Method: IUWASH Regional Urban Water Specialists report the progress of the development of climate change adaptation plan based on the four (4) steps stated above using the intake form and the intake form is then uploaded to the TAMIS. The other report (such as the vulnerability assessment and adaptation plan summary report and other partner s reports are used as the supporting document for this outcome. Frequency/Timing of Data Acquisition: Semi-annually and annual data analysis of TAMIS entries Storage of Data: Soft copy of required documents is attached in the TAMIS under PMP Module IC-4 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 43

50 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The progress of the development of climate change adaptation plan data is presented as tabular data to show the tracking of the achievement against the four steps outlined above. Once all the steps are completed and provided by relevant documents, then IUWASH will count this outcome as fully achieved for a specific LG/PDAM. Review of Data: Initial review by M&E Advisor and final review by DCOP / WATSAN Technical Advisor Reporting of Data: IUWASH Semi-annually and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGES TO PERFORMANCE INDICATOR Changes to Indicator: In this version IUWASH has clarified that the institutions eligible to be counted are the PDAM and its local government owner (as a single unit). Further, IUWASH has simplified the steps for tracking this outcome down to four basic steps. PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Local Government implementing necessary climate change adaptation measures 0 Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 44

51 Performance Indicator Reference Sheet Outcome IC-5: Local Government Implementing Integrated Sanitation & Hygiene Intervention that Reflect Citywide Sanitation Strategic Plans Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: Local Governments implementing integrated sanitation and hygiene interventions that reflect their citywide sanitation strategic plans Indicator: Number of Local Governments implementing integrated sanitation and hygiene interventions that reflect their citywide sanitation strategic plans DESCRIPTION Precise Definition(s): For this indicator local governments are defined as those who are working together to implement integrated sanitation and hygiene interventions based on an approved citywide sanitation strategic plan. There may be several institutions working together to implement the program, but as long as the program is still implemented under one local government, this indicator will count the local government working in this program. The program activities included in this indicator are not only the development of new citywide sanitation strategic plans (SSK), but also the review and updating of a previously developed SSK, if this is required. If a local government already has an SSK, but it lacks a concrete hygiene improvement, STBM, Community Based or any other sanitation programs components, this can also be supported by IUWASH and be counted under this indicator. If local government has no SSK yet, IUWASH can assist them to prepare requirements to receive assistance from the Central Government to develop a new SSK. The implementation of SSK will be marked by a secure funding in the LG budget allocation (APBD) for several sanitation programs through individual, communal, sewerage systems and sludge removal system. In summary the following support by IUWASH towards improved Urban Sanitation plans can be included under IC 5: 1. Development of new citywide Sanitation Strategic Action Plans 2. Review and updating of existing Sanitation Strategic Action Plans, if required by Local/National Government 3. Development of selected Project Memorandum for cities with approved Sanitation Strategic Action Plans 4. Inclusion of Hygiene improvement, STBM action plans and other sanitation programs within existing Sanitation Strategic Action Plans. 5. Support the development of requirements needed to obtain assistance from Central Government to develop new SSK under PPSP Program Unit of Measure: Number of Local Government Disaggregated by: By each city PLAN FOR DATA ACQUISITION Data Source(s): Local government plans and reports, including the citywide sanitation strategic plan, the Project Memorandum, other donor report (e.g. saiig and USRI) and IUWASH intake form. Staff Responsible for Data Collection: IUWASH Regional Urban Sanitation Specialists. Data Collection Method: Urban Sanitation Specialist report the progress of the implementation of sanitation program by LG in IUWASH sites using IUWASH intake form and upload the information in the TAMIS. The other documents will be added as the supporting documents to show the implementation of the sanitation program by the LGs. Frequency/Timing of Data Acquisition: Semi-annually and annual data analysis of TAMIS entries Storage of Data: Soft copy of required documents is attached in the TAMIS under PMP Module IC-5 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The progress of the implementation of the integrated plans may take several steps/processes. Since this is related to a process, the achievement of data obtained will more in qualitative rather than in quantitative. Based upon this, the performance monitoring only reports on the achievement of each step of program implementation rather than to consider the quality of each step of the program implementation. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 45

52 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the sanitation program implemented by the LG and status of city wide sanitation strategy is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Senior Sanitation Advisor Reporting of Data: IUWASH Semi-annually and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. Change to indicator: There is no change to this outcome. CHANGE TO PERFORMANCE INDICATOR PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Local Governments implementing integrated sanitation and hygiene interventions 0 Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 46

53 Performance Indicator Reference Sheet Outcome IC-6: Small and Medium Businesses Providing Affordable Construction and Sanitation Facility Management Services Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: Small and medium businesses providing affordable construction and sanitation facility management services Indicator: Number of small and medium businesses providing affordable construction and sanitation facility management services DESCRIPTION Precise Definition(s): Small and medium enterprises (SMEs) are IUWASH partners that support the development of affordable sanitation facilities for individual households or communities. IUWASH support will be in the form of training programs for interested SMEs on the installation, operations and maintenance of on-site household and/or communal sanitation systems; the development of minimum certification for operators and basic management of SME operation. IUWASH will also provide promotion and marketing support for interested SMEs and work with local governments to build public demand for improved sanitation facilities and services. If required, the IUWASH team can identify opportunities for the provision of micro-credit for SMEs to develop their affordable sanitation business. Construction and sanitation management services shall include, but not be limited to the following: Manufacturing of fixtures and parts used in a bathroom (kamar mandi) such as a toilet, squatting pan, sink, water basin and associated piping; Construction of a bathroom, including the walls, tiling, plumbing and installation of necessary fixtures; Construction and installation of septic systems, whether at the household or communal level; Provision of desludging (and other maintenance) services for communal or household on-site wastewater management systems. The affordable sanitation services will follow the definition under indicator HR-2. The people benefiting from these facilities will also be counted under the indicator HR-2. The SME defines as existing SME already working in construction area but not necessary in the sanitation sector and IUWASH supports the SME to take part in the improvement of sanitation sector; and new SMEs that want to start new business in the sanitation sector. The SME will be counted under this indicator if the SME can prove their legal entity through any formal statement/certification plus they are carrying out the business. The operation of the business can be shown through a company profile, brochure of the SME or the service provided, etc. Unit of Measure: Number of Small and Medium Businesses Disaggregated by: By each province and type of service PLAN FOR DATA ACQUISITION Data Source(s): IUWASH intake form posted in the TAMIS, SME legal statement/certification, SME company profile, brochure of SME or service provided, pictures of their products and process on construction work, etc. Staff Responsible for Data Collection: IUWASH Regional BCC/STBM Specialists. Data Collection Method: IUWASH Regional BCC/STBM Specialists collect supporting documents to prove the existence of the SME through legal statement/certification, SME company profile, brochure of SME or service provided, etc. and upload all the data to the TAMIS database. The specialist added additional information on IUWASH support to the SME and also documentation to show the operation of the SME for example through pictures of their products and process on construction work Frequency/Timing of Data Acquisition: Quarterly and annual data analysis of TAMIS entries Storage of Data: Soft copy of required documents is attached in the TAMIS under PMP Module IC-6 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The condition of support provided by the SME will be different from one location to another. In this point, as long as the SME meet the criteria of their support it will be considered as the achievement of this indicator. IUWASH will also provide more description to this achievement. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 47

54 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the SME provided affordable construction and sanitation facility management services is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Senior Sanitation Advisor Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. Change to indicator: There is no change to this outcome. OUTPUT TARGET Small and medium business provided affordable construction and sanitation facility management services CHANGE TO PERFORMANCE INDICATOR BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 48

55 Performance Indicator Reference Sheet Outcome IC-7: Poor Residents Reporting Greater Satisfaction with Water and Sanitation Services Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Santation Deliverable: Percent increased (%) of poor households in targeted communities who report greater satisfaction with water and sanitation services Indicator: Increased percentage (%) of poor households in targeted communities who report greater satisfaction with water and sanitation services after IUWASH support DESCRIPTION Precise Definition(s): Poor households are defined as households receiving benefits from IUWASH support. IUWASH support is divided into two sectors, water supply and sanitation. Water supply includes program activities on water for the poor program and for sanitation includes program activities in individual, communal and sewerage systems. The poor are defined as MBR (Masyarakat Berpenghasilan Rendah) according to the Indonesian Government standards. The level of satisfaction with water and sanitation services will be obtained from household surveys conducted by IUWASH and/or local partners in each target community of IUWASH. Percentage increase will be identified from comparing their satisfaction in water supply and sanitation services before and after receiving the IUWASH.The survey for satisfaction of water supply and sanitation services will be conducted in the area where IUWASH has developed communal systems for water supply and sanitation services. The communal system for water supply will be through the Master Meter system and for sanitation system will be through communal septic tank system, public toilet system or combination of communal septic tank and public toilet. The satisfaction will focus only on the services they received on the water and sanitation services provided by IUWASH and/or IUWASH partners. The results of the survey will be also used as the tool for the local partners in each community (government cadres, local NGO s, etc) to show how improved service has increased community satisfaction and how future (IUWASH and government) programs can support it even better. The survey will be conducted three months after the households receive improved water supply and sanitation system services. It will give time for the households to feel the impact of the services and see their level of satisfaction with the improved services. It will also give an opportunity for the service providers to improve their initial services provided to the households. Unit of Measure: Percent change of the poor households who report greater satisfaction with watsan services Disaggregated by: By each province, by water satisfaction and by sanitation satisfaction PLAN FOR DATA ACQUISITION Data Source(s): Raw data, results of data analysis and report of household satisfactory surveys conducted in IUWASH sites Staff Responsible for Data Collection: IUWASH Regional BCC/STBM Specialists, Regional Urban Sanitation Specialist (USS), or Urban Water Specialist (depended on who is the responsible person for the development of communal system for water supply and sanitation systems) Data Collection Method: The staff responsible as stated above together with M&E Team prepares the implementation of the survey in selected sites where the communal systems are developed. The survey could also be conducted by a third party depending on the decision of the responsible person. The survey will be carried out at all households via an interview using questionnaire prepared by IUWASH. IUWASH team will conduct training for the interviewers who will conduct interview and obtain data from the households. After interview, the coordinator of interviewer will verify the data and carry out data cleaning before the data entry process. The template for data entry is prepared by IUWASH team. Frequency/Timing of Data Acquisition: Three months after the systems have been used by the beneficiaries. Storage of Data: Soft copy of raw data of the survey and results of data analysis of the survey is attached in the TAMIS under PMP Module IC-7 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies of the questionnaire are stored in Regional Offices where the surveys conducted. The hard copy of the raw data and results of data analysis of the survey are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): There is no regular and specific time for the implementation of the survey so the data of this outcome may be not reported regularly. It happened because the survey will be conducted three months after the system has been constructed and tcompletion of the construction work varies from one to another. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2015 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 49

56 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: The data collected from the survey will be analyzed using selected software for statistical analysis. Main analysis in counting the percentage of households having satisfaction with the services of improved water supply and sanitation systems as the result of a survey conducted in selected IUWASH sites. Presentation of Data: The results of survey analysis are presented in tabular data to show the adoption of the improved hygiene behavior. Review of Data: M&E Team present the survey results and discuss together with the DCOP/Watsan Advisor and Senior Sanitation Advisor for final verification before reporting Reporting of Data: IUWASH Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline conducted under this outcome. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: The only change has been made under this indicator is in the presentation of the data. In this PMP revision the satisfaction of the household will be separated between water supply and sanitation. In the previous report, the satisfaction of both services is combined in one figure. IUWASH will adjust the reporting of this survey using the new revision. OUTPUT TARGET Increased percentage of poor residents in targeted communities that report greater satisfaction with water and sanitation services BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA Target (cumulative) Actual PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 50

57 Performance Indicator Reference Sheet Outcome IC-8: Establishment and Strengthening of Sanitation Management Unit Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to sanitation Deliverable: 10 sanitation management units established or strengthened with supporting policies, budgets and personnel Indicator: Number of sanitation management units established or strengthened with supporting policies, budgets and personnel DESCRIPTION Precise Definition(s): The Sanitation Management Unit is either a newly established unit or optimizing of an existing units within the Local Government that will manage domestic wastewater in the city/district. The new or existing unit operates their services with strong support and commitment from the Local Government. The support and commitment are in the form of policies on the establishment and operation, operation budget or other relevant budget and specific personnel designated to the operation of the unit. The mandate of the unit will be one or more services as follow: 1. Management of the improved Septage Management systems 2. Management of the sewerage systems, both small scale as well as citywide 3. Co-management of Communal systems, supporting CBO of each system 4. Database of individual household septic tanks, especially in high risk areas IUWASH will provide support for the prioritized services of UPTD (as listed above) and will prepare the foundation for the others (legislation, structure, plans, etc) The establishment of the Sanitation Management Unit follows several steps as follows: a. Establish UPTD (formal regulation) b. Establish UPTD structure, functions and procedures c. Establish UPTD workplan and operational (annual)budget d. Hiring of (initial) UPTD staff (incremental increase) e. Establish Capacity Building plan for prioritized UPTD services f. Develop SOP, training modules and conduct staff training A completed result of development of Sanitation Management Unit will be marked after these 6 steps are successfully completed in a city. Unit of Measure: Number of Sanitation Management Unit Disaggregated by: By progress of steps, by city PLAN FOR DATA ACQUISITION Data Source(s): IUWASH uses the data/information uploaded by the Responsible Person directly working on development of Sanitation Management Unit in the TAMIS. To mark the completion on the achievement of this outcome, IUWASH will provide several supporting documents such as regulation supporting the development of the unit, SOP and workplan of the unit and other important documents Staff Responsible for Data Collection: IUWASH Regional Urban Sanitation Specialists Data Collection Method: IUWASH Urban Sanitation Specialists provide regular report on the progress of establishment of Sanitation Management Unit and the supporting document needed in the TAMIS. M&E Advisor review the report received and TAMIS entry Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data related to establishment of Sanitation Management Unit are attached in the TAMIS under PMP Module IC-8 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The type of policy developed to support the establishment of Sanitation Management Unit may different from one to another depend on the type of the unit (whether it is an independent unit directly under the Mayor or a unit under one of existing LG agency. In this point, the time to develop the policy may take longer so, it may affect to the completion of counting this outcome. Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 51

58 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the establishment of Sanitation Management Unit is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Senior Sanitation Advisor. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to indicator: As this is a new outcome, there was no previous indicator. OUTPUT TARGET Sanitation Management Unit developed BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 52

59 Performance Indicator Reference Sheet Outcome IC-9: Adoption of Sustainable Urban Sanitation Framework by Government Institutions Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: One Sustainable Urban Sanitation Framework adopted by the GOI as a key part of national sanitation programming policy. Indicator: Sustainable Urban Sanitation Framework adopted and utilized by national-level GOI sanitation programs as a part of strategy development, planning and/or training/capacity development exercises. DESCRIPTION Precise Definition(s): The Sustainable Urban Sanitation Framework is a tool that succinctly sets forth all of the key elements involved in the development of comprehensive and integrated domestic wastewater management programming at the city/district level. Such elements include: 1) individual/household sanitation systems; 2) communal sanitation systems; 3) centralized sewerage systems; 4) septage management systems; and 5) institutional support structures (and which further involves the overall enabling environment as concerns policy, financing and community engagement/awareness. When properly utilized, the Framework effectively serves in assessing local conditions, identifying important institutional and programming gaps, and establishing a roadmap for addressing such gaps. The Framework was developed primarily for use at the local-level and, in particular, to underscore the importance of local institutional development such as through the establishment of domestic wastewater management UPTDs (see Outcome IC-8). However, it is equally if not more relevant to national level agencies as it clarifies for that group of stakeholders where and how they can / should support local governments; and b) as these same agencies can use the Framework to much effect in their own capacity building and planning exercises that target local governments. Unit of Measure: Progress towards the adoption of the Sustainable Urban Sanitation Framework as a key part of national sanitation programming policy will be tracked according to the following stages: 1. Formal discussions of the Framework in meetings with GOI national level representatives (specifically from BAPPENAS, PU, the MOH or MOHA); 2. Use of the Framework by GOI national-level representatives (specifically from BAPPENAS, PU, the MOH or MOHA) in national-level workshops and similar forums; and 3. Inclusion of the Framework in national-level guidance and materials used in support of local level strategy development, planning/budgeting exercises, and capacity building. Examples include the use of the Framework in guidance and materials developed under the PPSP program, those used by Public Works in providing planning/budgeting support to LGs, those used by MOH in the training of sanitarians, those used by MOHA in outlining local government roles and responsibilities, etc. The above serve as milestones towards the achievement of Framework adoption and adoption will not be counted until all three stages have been completed (and by any of the aforementioned national-level agencies. Disaggregated by: National agency and the specific item (for strategy development, planning and budgeting exercises and capacity building programs) within which the Framework is referenced or utilized. PLAN FOR DATA ACQUISITION Data Source(s): IUWASH uses data/information made available by national-level partner agencies (including BAPPENAS, and the Ministries of Public Works, Health, Home Affairs, and others) to track where and how the Framework is being utilized and the number of both national and local government officials it can be expected to reach. Staff Responsible for Data Collection: IUWASH Urban Sanitation Specialist (National Coordinator) Data Collection Method: IUWASH National Coordinator provides regular report on the progress of adoption of the Sustainable Urban Sanitation Framework in the project s TAMIS. The M&E Advisor reviews reports received through TAMIS, verifies the data and prepares reports on the achievement of this outcome. Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries. Storage of Data: Soft copies of relevant supporting documents related to the adoption of Sustainable Urban Sanitation Framework are attached in the TAMIS under PMP Module IC-9 as well as on the IUWASH server in a common drive names //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office. DATA QUALITY ISSUES Known Data Limitations and Significance (if any): N/A Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 53

60 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the adoption of the Sustainable Urban Sanitation Framework is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Senior Sanitation Advisor. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to indicator: As this is a new outcome, there was no previous indicator. OUTPUT TARGET Sustainable Urban Sanitation Framework adopted by GOI BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 54

61 Performance Indicator Reference Sheet Outcome IC-10: Increased Capacity of Stakeholders to Adapt to the Impacts of Climate Variability on Water Supply infrastructure Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to sanitation Deliverable: 100 stakeholders from central government agencies, universities and NGOs, as well as those from local government institutions among current IUWASH sites, will have increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance Indicator: Number of stakeholders from central government agencies, universities and NGOs, as well as those from local government institutions among current IUWASH sites, that will have increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance DESCRIPTION Precise Definition(s): The stakeholders are defined as a person from central government agencies, universities and NGOs, as well as those from local government institutions who participate the IUWASH training on climate change. The training is conducted at national and regional levels. The training duration is for at least three full days and discusses several topics such as understanding of climate change, the impact of climate change to the water supply sector, introducing IUWASH risk assessment tools and determination of prioritizing programs on implementation of climate change adaptation in water supply sector. The topic on climate change adaptation training in water supply sector will be all components described in the IUWASH Climate Change Adaptation Toolkit. The increased capacity of the Indonesian stakeholders will be measured through pre-and post-test activities implemented in the beginning and end of the training session. The participants to be counted under this definition are the participants show improvements between the pre- and post-test score. IUWASH will record the bio data of training participants and the score of pre and post-test to show the improvements made. The following steps will be used for the implementation of the capacity building training programs on Climate Change adaptation planning 1. Development of training curriculum including the topic on climate change adaptation program in water supply that is part of the IUWASH Climate Change Adaptation toolkit. 2. Identification and determination of training facilitators 3. Identification and determination of training participants from National and Regional levels 4. Implementation of training logistic and administrative preparations (training venue, materials, SOW and budget, etc.) 5. Implementation of training activities 6. Training Reporting Unit of Measure: Number of stakeholder Disaggregated by: By region and national, by participants designation, by gender PLAN FOR DATA ACQUISITION Data Source(s): Training report prepared by IUWASH Team that consists of detailed information on the implementation of training activities at regional and national level. The report will be supported with at least the results of pre and post-tests and bio data of participants. The reports will also describe the topics learned, process taken and results of each session of the training. Staff Responsible for Data Collection: IUWASH Regional Water Supply Specialist and Climate Change/Water Supply Advisor Data Collection Method: IUWASH Regional Urban Water Supply Specialist and Climate Change/Water Supply Advisor provide reports on the implementation of the training at national and regional levels in the TAMIS. M&E Advisor reviews the reports received through TAMIS entry and prepares the report of the achievement of this outcome. Frequency/Timing of Data Acquisition: Quarterly and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data related to the implementation on the training including the bio data of training participants and the results of pre and post-test are attached in the TAMIS under PMP Module IC-10 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): N/A Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 55

62 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Conduct simple analysis on the pre and post-tests and show the average of percent change on the results of the tests. This result will be used to prove the increased capacity of the stakeholders on climate change adaptation measures for water supply infrastructure Presentation of Data: Tabular data that consist of information on number of training participants including women participation, average of results of pre and post-testing. This information will be presented based on the implementation of the training at national and regional levels. Review of Data: Initial review by M&E Advisor and final review by DCOP/Watsan Advisor. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to indicator: As this is a new outcome, there was no previous indicator. OUTPUT TARGET Stakeholders trained in Climate Change topics BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 56

63 GDJ Performance Indicator Reference Sheet Outcome EE-1: Participating Local Governments that Put Greater Priority on Safe Drinking Water and Sanitation through Supportive Local Policies and Budget Allocation Increases Assistance Objective: Investing in People Intermediate Result: IR-2 Improved Public/Private Capacity to Provide Sustainable Safe Water Services and Expanded Access to Sanitation Deliverable: Participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases Indicator: Number of participating local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases DESCRIPTION Precise Definition(s): Participating local governments are the IUWASH local government partners who received support from IUWASH to improve access to water and sanitation services. As a result of IUWASH advocacy efforts and technical assistance, it is expected that local governments will demonstrate greater commitment to the water and sanitation (watsan) sector by improving the local policy framework as well as allocating more resources to improve and expand service delivery. In terms of measuring the extent to which local governments put greater priority on safe drinking water and sanitation, IUWASH will utilize two main benchmarks: 1. The adoption of a new or improved local policy pertinent to the water and sanitation sector during IUWASH assistance, including a District Law (Peraturan Daerah, or Perda), Executive Decision Memorandum (Surat Keputusan Bupati/ Walikota), or Water Utility Director Decision Memorandum (Surat Keputusan Direksi PDAM); and 2. The allocation of increased funding for the water supply and sanitation sector within the Anggaran Pendapatan dan Belanja Daerah (APBD) over the course of IUWASH assistance. The baseline for APBD funding for each district will consist of an average of watsan budget allocations for (at least) the three years preceding IUWASH engagement. Water and sanitation funding will specifically consist of allocations made for water supply services, wastewater services, water resources protection, and health and hygiene promotion (solid waste and drainage budget allocations shall be excluded). To determine the extent to which funding has increased, IUWASH will conduct an analysis of the overall trend of watsan budget allocations following the cessation of technical assistance activities with each respective local government. IUWASH will count LGs that put greater priority on safe drinking water and sanitation if the LG shows both benchmarks above, e.g. having at least one policy supporting the improvement of watsan sector and a positive trend in budget allocation toward watsan development program. Given the challenge of impact attribution for all APBD budget allocations associated with water supply and sanitation, IUWASH will also maintain qualitative descriptions of how IUWASH activities contributed to the allocation of specific line items from one year to the next. These examples will be highlighted in the Annual Progress Report. Unit of Measure: Number of local governments adopting a new or improved local policy and allocating increased water and sanitation funding within their APBD. IUWASH will also track the number of policies adopted separately given that budgetary trends will not be discernible until the closure of assistance to a local government. Disaggregated by: By each province, by policy develop, by budget allocation PLAN FOR DATA ACQUISITION Data Source(s): The Anggaran Pendapatan dan Belanja Daerah (APBD) of each local government partner as well as policies documents including District Law (Peraturan Daerah, or Perda), Executive Decision Memorandum (Surat Keputusan Bupati/ Walikota), or Water Utility Director Decision Memorandum (Surat Keputusan Direksi PDAM. IUWASH also provides intake form to be filled in by the responsible person to show the progress of the steps on development of the policy in TAMIS database. Staff Responsible for Data Collection: IUWASH Regional Governance Specialist (for policy development) and IUWASH Regional Municipal Finance (for LG budget allocation) Data Collection Method: For policy documentation, IUWASH will collect and review policies developed with IUWASH assistance, including a description of how IUWASH directly contributed to the development or the modification of the policy. For analysis of local budget commitments, IUWASH will review each local government budget and enter the line items for the aforementioned services into a spreadsheet-based tracking tool. Ultimately, the results of the policy documentation and the APBD tracking will be recorded in the IUWASH TAMIS. Frequency/Timing of Data Acquisition: Annual data analysis of TAMIS entries USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 57

64 Storage of Data: Soft copies of relevant supporting data related to the development of policy and LG budget allocation supported the improvement of watsan sector are attached in the TAMIS under PMP Module EE-1 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): This updated data from the local government may depend on the availability of the data from local government, which depends on the planning cycle of the local government. Notably, some local government partners are unwilling to share copies of the APBD, meaning that IUWASH staff will need to review the budget on site and record the results directly into the spreadsheet. Unfortunately, this also means that IUWASH is not able to retain copies of the APBD document itself. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Counting of local government policies (both new and improved) as well as analysis of trends in local government APBD allocations using a spreadsheet tracking tool. Presentation of Data: The information on the development of policy and LG budget allocation supporting the improvement of watsan sectors is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Watsan Finance and Governance Advisor/Component III Team Lead and DCOP/WATSAN Advisor. Reporting of Data: IUWASH Semi-annual and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: The target tracking of this outcome is divided into 2 on the progress of development of improved/new policy and LG budget increased. IUWASH sets the target of the development policy every year but for the LG budget, it will observe the trend of the increased budget during the period IUWASH support in the city. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: To have easier tracking of this outcome, IUWASH will change the method of reporting on initial achievement under this outcome by having separate reporting between policy development and LG budget allocation. But the final counting remains same: IUWASH will count LGs putting greater priority on watsan improvements after they meet both bechmarks. OUTPUT TARGET Local governments that put greater priority on safe drinking water and sanitation through supportive local policies and budget allocation increases BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA Target EE1a: # of policies Target EE1b: # of LGs Actual PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 58

65 Performance Indicator Reference Sheet Outcome EE-2: PDAMs or Local Governments Obtaining Access to Long-term Funding for Water and Sanitation Investment Plan Assistance Objective: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: PDAMs or local governments obtain access to long-term funding for water or sanitation investment plans Indicator: Number of PDAMs or local governments obtaining access to long-term funding for water or sanitation investment plans DESCRIPTION Precise Definition(s): The PDAMs or local governments are the IUWASH PDAMs or local government partners who receive support from IUWASH whether through direct TA, a subcontractor, or a grantee for the purpose of improved access to water and sanitation services. IUWASH will provide technical assistance and training to all PDAM and local government partners to guide the preparation of project feasibility studies and investment plans. Potential sources of funding to be considered in conjunction with the PDAM and local government include public funding (such as through the APBD, APBN, or the DAK), private/commercial funding (such as via a commercial bank [including under PerPres 29/2009], municipal bond, corporate bond, or supplier credit), as well as donor funding. Long-term funding shall mean multi-year funding which is allocated for capital investment purposes (as opposed to short-term cash needs for operating funds or routine maintenance and investment). The principal steps (or benchmarks) in the process of obtaining access to long-term funds are as follows: 1. Project Identification. Project/investment need identified and preliminary consensus obtained (agreed by local government, Dewan Pengawas, PDAM Directors, and/or other applicable stakeholders). Capital project incorporated into corporate plan or medium-term development plan; 2. Project Evaluation. Development of investment plan and accompanying Feasibility Study which may include one or more of the following elements: Water Supply and Demand Analysis, Investment Cost, Financial Analysis of Historical and Projected Costs/Revenue, Comparison of financing options, Technical analysis, and Recommendations; 3. Project Approval. Presentation and socialization of results of feasibility analysis among local government, PDAM and other stakeholders, including development of consensus on appropriate financing path. Final go/no-go decision from decisionmakers; 4. Project Financing. Facilitation of funding commitments through: a. Cash financing: internal budget appropriation; b. Pure Debt financing: execution of loan agreement with financing institution; c. Debt financing under Presidential Decree 29/2009: upon loan approval by the GOI coordinating committee; d. Public financing: allocation of public funds in APBD, Perda, APBN, DAK); e. Public Private Partnership (PPP) and Business to Business (B-to-B): through execution of off-take agreement, concession, BOT contract, etc.); and f. Donor fund allocation: through execution of grant agreement. Please also see the Capital Project Development Flow Chart attached in Annex 4 which details the stage at which capital projects may be counted towards the achievement of Outcome EE.2. Note that project approval which appears as step five under project evaluation in the chart is broken out in the benchmarks above for monitoring purposes. Also, in order for a specific technical assistance effort to be included as an achievement towards the Outcome, IUWASH must make an important contribution to the advancement and realization of the capital project, such as the preparation of a feasibility analysis, demand study, or tendering documents. In other words, IUWASH may not necessarily be involved in every step of the project development cycle. Unit of Measure: Number of PDAM or local government Disaggregated by: By each province, by PDAM, by LG agencies USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 59

66 PLAN FOR DATA ACQUISITION Data Source(s): Capital project feasibility studies, Local government APBD, PDAM Annual Plan/Budget, Loan Agreements, Public-Private-Partnership Agreements, local policy documents (Perda), donor work plan or grant agreement Staff Responsible for Data Collection: IUWASH Regional Municipal Finance Specialist Data Collection Method: Review of feasibility studies, local government documentation, and PDAM plans/budget, and related capital investment plans. Regional Municipal Finance Specialists responsible for data collection through TAMIS Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data of the obtaining access to long-term funding are attached in the TAMIS under PMP Module EE-2 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): This updated data from the local government may depend on the conditions of the PDAMs or the local governments. IUWASH will provide more description information to the quantitative data gather under this indicator. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Simple Counting of PDAMs or local governments who are able to obtain long-term investment. IUWASH will track progress according to the above benchmarks, but will only count a PDAM or local government once the funds have been committed in accordance with the Capital Project Development Flowchart. Presentation of Data: The information on the progress of obtaining access to long-term funding is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by WATSAN Finance and Governance Advisor/Component III Team Lead. Reporting of Data: IUWASH Semi-annual and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to Indicator: The only change made under this outcome is in the definition of the final step of counting of obtaining the long-term funding, especially for debt financing under Perpres 29, the final step is not necessary up to loan signing. When the loan is approved by the GOI coordinating committee, IUWASH can count this outcome. PERFORMANCE INDICATOR VALUES OUTPUT TARGET PDAMs or local governments obtain access to long-term funding for water or sanitation investment plans BASELINE 0 RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 60

67 Performance Indicator Reference Sheet Outcome EE-3: Financial Resources Accessed by Service Providers from Public and Private Sources for Expansion of Improved Water and Sanitation Services Objective Assistance: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: Percentage increase in financial resources accessed by service providers from public and private sources for expansion of improved water and sanitation services Indicator: Increased percentage (%) in financial resources accessed by service providers from public and private sources for expansion of improved water and sanitation services DESCRIPTION Precise Definition(s): Services providers are defined as all institutions that provide improved water supply and sanitation services for the people, such as local governments, water utilities, NGOs, community groups, private entities, etc. The increased financial resources that are accessed from service providers may come in the form of public funding (such as through the APBD, APBN, or the DAK), private/commercial funding (such as via a commercial bank [including under PerPres 29/2009 and micro finance institutions], supplier credit, or private sector investment), capital market funding (including corporate bonds or municipal bonds), as well as donor funding. To obtain the baseline value for financial resources accessed, upon engaging a local government and/or utility IUWASH will analyze the level of investment in water and sanitation for the previous three fiscal years and calculate an average annual value (as well as round that average to the nearest $100k). Similar to the baseline methodology under EE 1, investments in solid waste and drainage will not be included. For water utilities, IUWASH will utilize net asset growth as the basis for approximating investment in service expansion. Note that in locations where IUWASH works only with the water utility, APBD funding allocations will not be included in the baseline (and vice versa). Once the baseline value is determined for a group of service providers, IUWASH will multiply this value by 10 percent to arrive at an annual (monetary) target. Further, the life-of-project target will consist of the sum of the annual targets. As new funds are accessed or leveraged through Project assistance, then, IUWASH will track them against the achievement of the life-of-project target. The utilization of a monetized value (which represents the objective of a 10 percent increase in funds) allows the Project to more directly link technical assistance with results by tracking funds accessed against a currency value determined at the outset of the partnership. It is important to note that the baseline (and thus the target) will increase significantly in PY3 when the second group of local governments and water utilities are engaged by IUWASH. Similarly, the baseline amount will also increase (or decrease) if the period of engagement with a service provider is extended (or shortened). Unit of Measure: percent change of financial resources over the baseline amount. This will also be expressed in terms of total USD leveraged. Disaggregated by: By each service provider and each province PLAN FOR DATA ACQUISITION Data Source(s): Capital project feasibility studies, Local government APBD, PDAM Annual Plan/Budget/Financial Reports, Loan Agreements, Public-Private-Partnership Agreements, local policy documents (Perda), micro credit for water and sanitation sectors, donor work plan or grant agreement Staff Responsible for Data Collection: IUWASH Regional Municipal Finance Specialists Data Collection Method: Review of feasibility studies, local government documentation, and PDAM plans/budget, and related capital investment plans for watsan sectors and upload the amount leveraged in the TAMIS database Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data related to the amount leveraged from public and private sectors supported watsan sectors are attached in the TAMIS under PMP Module EE-3 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): Every time IUWASH add new city, IUWASH will be able to collect the baseline data from new city. At this point, there will be new calculation of the baseline and target. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 61

68 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: Percentage increased of financial resources accesses by service provider by comparing the previous funding receive with the existing funding after theproviders receive supports from IUWASH Presentation of Data: The information on the total amount leveraged provided by private and public sectors is presented through tabular data to show percent increase in financial support Review of Data: Initial review by M&E Advisor and final review by WATSAN Finance and Governance Advisor/Component III Team Lead. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: Based on the APBD analysis conducted under EE-1 combined with an evaluation of PDAM asset investment over the same period, IUWASH calculates a baseline value which shall be used as a benchmark to evaluate the extent to which service providers accessed new financing with IUWASH assistance. For performance monitoring purposes, IUWASH will express the targeted amount of a 10% increase in financing accessed in terms of a nominal currency value. The primary advantage of this approach is that it allows the Project to more directly link technical assistance with results by tracking funds accessed against a currency value determined at the outset of assistance. Using the figure at right to illustrate, the baseline amount of resources accessed across the initial 29 local governments and PDAMs was approximately USD $48 million (represented by the dark blue Group 1 Baseline bar). Multiplying this value by 10% yields an annual leveraging target of about USD $4.8 million, which is represented by the dark red shading in the figure. Note that this value is less for Year 1 given that it was a six-month year and work with LGs did not begin immediately. Also, the target for Year 6 is equally minimal due to the fact that assistance to the current 29 PDAMs is anticipated to close by the end of PY5. $100,000,000 $90,000,000 $80,000,000 $70,000,000 $60,000,000 $50,000,000 $40,000,000 $30,000,000 Using this approach, then, the $20,000,000 leveraging target is approximately USD $19 million for the first group of LGs, which is the value of the dark red $10,000,000 shaded bar segments in the chart. The addition of the second group of LGs in $0 PY3 brought the total leveraging target (baseline) to $28.2 million Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 Calculation of EE3 Financing Target for 50 Municipalities Year 1 Year 2 Year 3 Year 4 Year 5 Year 6 Group 2 Target Group 1 Target Group 2 Baseline Group 1 Baseline CHANGE TO PERFORMANCE INDICATOR Change to Indicator: The main change made to this outcome is the baseline figure. The initial baseline the amount is $19 Million and after the second batch of the site selection, IUWASH added additional 20 cities, the baseline is change to $28.2 Million. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 62

69 PERFORMANCE INDICATOR VALUES OUTPUT TARGET Increased percentage of financial resources accessed by service providers from public and private sources for expansion of improved water and sanitation services BASELINE 0 RESULT DATA Target - USD Millions Actual PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL $ $8.0 $8.0 $5.7 $0.5 $28.2 THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 63

70 Performance Indicator Reference Sheet Outcome EE-4: Low-Income Households Accessing Micro Finance for Household Improvements in Water and Sanitation Assistance Objective: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: Low-income households accessing micro finance for household improvements in water and sanitation Indicator: Number of low-income households accessing micro finance for household improvements in water and sanitation DESCRIPTION Precise Definition(s): Low-income households are considered to be all households within IUWASH partner service areas that are targeted for the implementation of micro-finance interventions. Such households shall be deemed to have accessed microfinance upon the execution of approved credit that includes if not is wholly purposed for the improvement of domestic waste water supply and sanitation facilities. Such a loan may be in the form of a direct household loan as well as a group loan, in which case the number of households represented in the group shall be counted. Further, credit may come from a formal banking institution partnering with IUWASH, through a not-for-profit partner, of from the PDAM itself under and internally funded program assisted by the project. The definition of the Household improvements for water and sanitation follows the requirement stated in HR-1 and HR-2. When expressing the total number of people befitting from water and sanitation improvements financed by microcredit, an assumption of five persons per household will be utilized. Unit of Measure: Number of households Disaggregated by: By Province, type of household improvement PLAN FOR DATA ACQUISITION Data Source(s): IUWASH Report on the documentation of micro-finance program (such as signed Master Agreement, promotional materials), etc.; PDAM report on new connections; micro-finance institution s loan records; SME report, Cooperative report and IUWASH sanitation activity reports. Staff Responsible for Data Collection: IUWASH Regional Municipal Finance Specialists (for Water Supply) and IUWASH Regional BCC Specialist (for sanitation) Data Collection Method: Staff responsible will collect data from the key partners such as PDAM, cooperative, and SME on the number of households getting new improved access to water supply and sanitation facilities. The staff then will update the progress of achievement under this outcome in the TAMIS. The data upload in TAMIS database include the supporting document on the name of the household and other relevant information. Frequency/Timing of Data Acquisition: Quarterly and Annual data analysis of TAMIS entries Storage of Data: Soft copies of supporting data on the household get new access to improved water supply and sanitation services are attached in the TAMIS under PMP Module EE-4 as well as on the IUWASH server at common drive//jakarta/monas/ PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): IUWASH relies on the records of the water service provider (e.g. the PDAM, cooperative and SME) and the lender (such as BRI or Bank Syariah Mandiri) to count the total number of households using microfinance to obtain access to the piped water supply or an improved sanitation facility. Date of Most Recent Data Assessment (if any): Quarter 3 of PY 2014 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on number of household get new access to improved water supply and sanitation facilities is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by DCOP/WATSAN Advisor. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 64

71 CHANGE TO PERFORMANCE INDICATOR Change to Indicator: Based on the recommendation made by the IUWASH Midterm evaluation, they propose to reduce the target of this outcome. IUWASH is in discussion with the IUWASH COR to count a realistic target for this outcome. IUWASH will make revision after receiving the approval from the COR. OUTPUT TARGET Households that have accessed micro finance for household improvements in water and sanitation BASELINE 0 PERFORMANCE INDICATOR VALUES RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target 0 1,500 6,000 10,000 16,000 6,500 40,000 Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 65

72 GDJ Performance Indicator Reference Sheet Outcome EE-5: Local Governments Adopting New or Improved Mechanisms for Citizens to Engage Local Government in Water and Sanitation Assistance Objective: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: Local Governments adopt new or improved mechanisms for citizens to engage local government in water and sanitation Indicator: Number of Local Governments adopting new or improved mechanisms for citizens to engage local government in water and sanitation DESCRIPTION Precise Definition(s): The local governments are the IUWASH local government partners who receive support from IUWASH on the program of improved access on water and sanitation services. New or improved mechanisms for citizens to engage their respective local governments may include activities such as hearings, open meetings, websites, SMS services, citizen report cards, citizen review boards, customer forums, participatory planning meetings, and other local government outreach programs. These mechanisms indicate the willingness of the local government to strengthen accountability through increased transparency and the active solicitation of citizen input. Citizen engagement mechanisms focused on PDAM service improvements (such as customer forums) may also be included under this Outcome, provided that such mechanisms include the active participation of the local government itself. Whether or not the citizen engagement mechanisms are adopted shall be based upon tangible evidence that the mechanisms is indeed operational, including meeting agendas, minutes of meetings, a live website, a live SMS service, standard operating procedures for the feedback mechanism, or the documented results of citizen feedback (such as a report card or citizen rating). Where practical, IUWASH will also attempt to capture the level of citizen engagement through the gathering of information such as the number of meetings, number of participants, the manner in which citizen inputs are recorded, and any changes/improvements in service delivery as a result of citizen engagement. The LG will be counted under this outcome after the LG completed all the steps on the development of Citizen Engagement Mechanism described below: Identification and assessment of the existing CEM Agreement on selected CEM will be developed or improved and conduct capacity building related to CEM development Setting the agreed CEM Socialization of new or improved CEM Launching of new or improved CEM Implementation and operation of CEM Unit of Measure: Number of local governments Disaggregated by: By each province PLAN FOR DATA ACQUISITION Data Source(s): Documentation of active citizen engagement mechanisms such as meeting agendas, minutes of meetings, a live website, a live SMS service, standard operating procedures for the feedback mechanism, or the documented results of citizen feedback. The principal source of these documents will be the local government, applicable service provider, or the mechanism itself. Staff Responsible for Data Collection: IUWASH Regional Governance Specialist Data Collection Method: IUWASH Regional Governance Specialists provide regular report on the progress of development of Citizen Engagement Mechanism (CEM) and the supporting document needed in the TAMIS. M&E Advisor review the report received and TAMIS entry Frequency/Timing of Data Acquisition: Semi-annual and Annual data analysis of TAMIS entries Storage of Data: Soft copies of supporting data on the development of Citizen Engagement Mechanism (CEM) are attached in the TAMIS under PMP Module EE-5 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The approach of the local government to engage the citizens may different from one to another. IUWASH will record the important aspects of the engagement process to compliment on the information provided of this achievement. Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 66

73 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the progress of development of CEM by LG institutions is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by WATSAN Finance and Governance Advisor/Component III Team Lead. Reporting of Data: IUWASH Semi-annual and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no numeric baseline set under this outcome. IUWASH will identify list of existing mechanism every time it starts to work with new city. Change to indicator: There is no change to this outcome. CHANGE TO PERFORMANCE INDICATOR PERFORMANCE INDICATOR VALUES OUTPUT TARGET BASELINE RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Local Governments adopt new or improved mechanisms for citizens to engage local government in water and sanitation 0 Target Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 67

74 Performance Indicator Reference Sheet Outcome EE-6: Development of New or Improved Regulation to Facilitate Access to Capital Financing in Water Sector Assistance Objective: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: New or improved regulation to facilitate access to capital financing in the water sector developed Indicator: Number of new or improved regulation to facilitate access to capital financing in the water sector DESCRIPTION Precise Definition(s): The new or improved regulation is a regulation released by the Central Government to facilitate access to capital financing in the water sector. The policy could be in a form of a Decision Memorandum (Surat Keputusan) or Peraturan Menteri (Ministry Regulation). The regulation could come from the Ministry of Finance or other relevant Central Government Ministry related to the financing of water sector infrastructure. The steps on the development of a new or improved regulation consists of the following steps: 1. Identification of policy gaps and related improvements through assessment of legal framework and stakeholder consultations; 2. Engagement of key government stakeholders to review and prioritize policy/regulatory improvement; 3. Participatory development and drafting of prioritized policy/regulation; 4. Carry out awareness-raising of new or improved regulation to the relevant stakeholders; and 5. Approval and signing the regulation by the authorized person(s) Unit of Measure: Number of regulation Disaggregated by: By progress of each step on development of new or improved regulation PLAN FOR DATA ACQUISITION Data Source(s): Government of Indonesia reports and draft policy documentation Staff Responsible for Data Collection: IUWASH Municipal Finance and Governance specialist at National Office Data Collection Method: IUWASH Municipal Finance and Governance specialist reports on the development of new or improved regulation in the TAMIS based upon meetings and documentation provided by the GOI. M&E Advisor review the reports received through TAMIS entry and prepare the report of the achievement of this outcome. Frequency/Timing of Data Acquisition: Quarterly and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data related to the progress of the steps on development of new or improved regulation and scan document of signed regulation in the TAMIS under PMP Module EE-6 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office. DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The targeted institution will release the regulation is Ministry of Finance. Since expanding access of capital financing is a new area for water sector, it may involve several divisions within the Ministry or other stakeholder related to capital financing. In this point, IUWASH will determine the GOI institution that releases the regulation after the process of regulation development is started. Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the progress of development of new or improved regulation to facilitate access to capital financing in the water sector is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Deputy Team leader of Comp. 3/Municipal Finance Specialist and Finance Governance Advisor/Component 3 Team Leader. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to indicator: As this is a new outcome, there was no previous indicator. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 68

75 PERFORMANCE INDICATOR VALUES OUTPUT TARGET New or improved regulation that supports capital financing developed BASELINE 0 RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 69

76 Performance Indicator Reference Sheet Outcome EE-7: Central Government Officials Exposed to Alternative Financing Options Assistance Objective: Investing in People Intermediate Result: IR-3 Strengthen the Governance and Financing Enabling Environment for More Equitable Expansion of Water and Sanitation Deliverable: At least twelve (12) central government officials exposed to alternative financing options in the water sector in the US or other applicable context Indicator: Number of central government officials exposed to alternative financing options in the water sector in the US or other applicable context DESCRIPTION Precise Definition(s): The central government officials are defined as the staff of any central government institution such as the Ministry of Finance, Ministry of Public Works or other Central Government institutions. The officials could be also the representatives of the Local Government who have strong commitment to obtain the capital financing. Exposure to an alternative methodology for financing capital infrastructure shall be achieved through a structured learning experience either overseas or domestically in which the participating officials are introduced to new approaches to financing water infrastructure as implemented in other parts of the world. Such a learning experience may come in the form of a study tour to another country or through the invitation of experts and practitioners to Indonesia. Prior to implementation, the details of the learning experience shall be submitted to USAID for approval. Finally, the detailed information concerning all participants shall be uploaded to the USAID TraiNet System for tracking purposes. Unit of Measure: Number of people Disaggregated by: By gender, by institution name PLAN FOR DATA ACQUISITION Data Source(s): IUWASH reports on the structured learning experience for central government officials. More specifically, IUWASH will use participant training logs, training completion reports, and travel bookings as evidence of the number of participants engaged Staff Responsible for Data Collection: IUWASH Deputy Team leader of Comp. 3/Municipal Finance Specialist Data Collection Method: IUWASH by Deputy Team leader of Comp. 3/Municipal Finance Specialist provides reports on the implementation of the learning experience in the TAMIS. M&E Advisor review the reports received through TAMIS entry and prepare the report of the achievement of this outcome. Frequency/Timing of Data Acquisition: Quarterly and Annual data analysis of TAMIS entries Storage of Data: Soft copies of relevant supporting data related to the implementation of exposure trip in the TAMIS under PMP Module EE-7 as well as on the IUWASH server at common drive //Jakarta/Monas/PMP. Hard copies are maintained in the locked PMP file drawer in the IUWASH Jakarta office DATA QUALITY ISSUES Known Data Limitations and Significance (if any): The government officials may not come from central government institutions. Some of them may come from the representatives of the Local Government who already have strong commitment to obtain alternative financing. This situation may be accepted in order to support the motivation of the Local Government to implement this program. Date of Most Recent Data Assessment (if any): Quarter 4 of PY 2015 PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING Data Analysis: No specific analysis applied for the reporting of this outcome. Presentation of Data: The information on the Central Government Official exposed to alternative financing options in the water sector in the US or other applicable context is presented through tabular data to show progress of the achievement of this outcome. Review of Data: Initial review by M&E Advisor and final review by Finance Governance Advisor/Component 3 Team Leader and COP. Reporting of Data: IUWASH Quarterly and Annual report to USAID BASELINE AND TARGET Notes on Baselines/Targets: There is no specific baseline activity needed to be conducted by IUWASH. CHANGE TO PERFORMANCE INDICATOR Change to indicator: As this is a new outcome, there was no previous indicator. USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 70

77 PERFORMANCE INDICATOR VALUES OUTPUT TARGET Participants to exposure on alternative financing options BASELINE 0 RESULT DATA PROGRAM YEAR FY11 FY12 FY13 FY14 FY15 FY16 TOTAL Target N/A N/A N/A Actual THIS SHEET LAST UPDATED ON: 5/26/14 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 71

78 5B USAID INDONESIA URBAN WATER SANITATION AND HYGIENE ANNEXES ANNEX 1. ESTIMATED COST ALLOCATED FOR IUWASH MONITORING AND EVALUATION No Description Estimated budget (US$) PY 01 PY 02 PY 03 PY 04 PY 05 PY 06 1 Salary (LTTA and STTA) $ 8, $ 20, $ 21, $ 33, $ 35, $ 9, Software $ $ Equipment and stationery $ 1, $ 1, M&E related Activities (Survey & Training) $ 11, $ 11, $ 10, $ 10, Midterm evaluation $ 75, $ 75, Total (US$) $ 10, $ 31, $ 109, $ 44, $ 46, $ 84, Note: The total budget above is not included the time of the IUWASH specialists (Regional and National) to contribute on reporting of PMP related outcome indicators USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 72

79 ANNEX 2. PARAMETERS OF PDAM PERFORMANCE INDEX PENGELOMPOKKAN DAN MAXIMUM SCORE PDAM PERFORMANCE INDEX - IUWASH PROGRAM No Sub Index Max Score Group Index A ASPEK KEUANGAN 20 1 Full Cost Recovery 7 2 Indikator Keuangan 7 3 Rasio Pegawai 2 4 Billing & Accounting system 4 B ASPEK TEKNIK / OPERASIONAL 20 1 Kenaikan Jumlah Sambungan 5 2 NRW 6 3 Effisiensi Energi 4 4 Pengembangan GIS/MIS 3 5 Kualitas Air 2 C ASPEK PERLINDUNGAN AIR BAKU 15 1 Prelimenary assesment kondisi existing dan proyeksi kebutuhan air baku 6 2 Pelaksanaan program proteksi dan pengembangan air baku 5 3 Antisipasi Climate change 4 D ASPEK HUBUNGAN PELANGGAN 15 1 Survey kepuasan pelanggan 4 3 Masukan / pendapat dari masyarakat 5 4 Prosedur Tetap penanganan keluhan pelanggan 3 5 Informasi dari PDAM ke pelanggan/masyarakat melalui media publik 3 E ASPEK GOOD GOVERNANCE / KEBERPIHAKAN PADA MBR 15 1 Transparancy 2 2 Accountability 5 3 Tarif dan Investasi 6 4 Keberpihakan Pada MBR 2 F SUMBER DAYA MANUSIA dan MANAJEMEN 15 1 Kebijakan Sumber Daya manusia 2 2 PDAM staff Training/Capaicity building 3 3 Corporate Plan 5 4 Prosedur Tetap 5 TOTAL SCORE 100 USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 73

80 ANNEX 3. PARAMETERS ASSOCIATED WITH THE CREDITWORTHINESS LADDER PDAM KOTA/KAB. CONTOH Komponen Resiko Keuangan Resiko Kategori Manajemen Utang Struktur Tarif dan Profitabilitas Arus Kas Basis Pelanggan Sumber Air Baku Operasional Secara Teknis Pemerintahan dan Kebijakan Manajemen dan Sumber Daya Manusia Indikator Histori Utang Rasio Pembayaran Utang Rasio Utang Terhadap Aset Dana Cadangan Pembayaran Utang Rasio Kecukupan Tarif Keterjangkauan Tarif Laba Bersih Kecenderungan Laba Bersih Rasio Lancar Dana Cadangan Biaya Operasi Pertumbuhan Bersih Sambungan Keragaman Pelanggan Kepuasan Pelanggan Perlindungan Air Baku Ketersediaan Air Baku Kualitas Air Baku Stabilitas Ketersediaan Air Baku Perencanaan Sumber Air Baku Kapasitas Produksi Terhadap Permintaan Kehilangan Air Kontinuitas Pelayanan Periode Penagihan Piutang Seleksi Pimpinan (Direktur) Laporan Kinerja Tahunan Penyesuaian Tarif Dukungan Investasi Pemerintah Daerah Business Plan dan Anggaran Standar Operasi dan Prosedur Kemampuan Pegawai Tingkat USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 74

81 IUWASH CREDITWORTHINESS LADDER PDAM KOTA/KAB. CONTOH 1) Nilai sebelum dilakukan penyesuaian: Skala: Berdasarkan pada model penilaian creditworthiness, nilai yang diperoleh PDAM: Berdasarkan skala nilai di samping ini, maka nilai ini setara dengan nilai sebelum penyesuaian adalah: 0.00 D- Resiko Gagal Bayar - Dibawah Tingkat Kelayakan Investasi 2) Penyesuaian: Dalam keadaan tertentu PDAM dapat menempati posisi di bawah atau di atas sub-tingkatan atas nilai yang diperolehnya berdasarkan penilaian secara kualitatif yang dilakukan oleh Tim Municipal Finance PDAM. Sebagai contoh, PDAM dapat pindah dari 3 () sampai 3 (+) berdasarkan kinerja yang luar biasa yang dimiliki pada satu atau beberapa aspek tertentu. Jika analis merasa bahwa keadaan tersebut menjamin ini, silahkan memberikan justifikasi di bawah ini : Apakah analis merasa penyesuaian sub tingkatan yang dilakukan adalah tepat: Tidak Justifikasi : 3) Pemeriksaan Ulang Bersama Sebelum menyelesaikan peringkatan pada CL, analis akan bertemu dengan dengan teman sejawat IUWASH yang memiliki keahlian dalam operasional PDAM, air baku, dan pemerintahan (governance) untuk memeriksa ulang peringkatan yang diusulkan. Dengan menyertakan berbagai perspektif, proses pemeriksaan ulang secara bersama akan membantu evaluasi yang lebih seimbang. Analis: Pemeriksa 1 Pemeriksa 2 Pemeriksa 3 [Nama] [Nama] [Nama] [Nama] Catatan dalam pemeriksaan ulang : 4) Nilai Akhir: Berikut adalah hasil penyesuaian dan pemeriksaan ulang bersama, tingkat dan sub-tingkat PDAM adalah : USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 75

82 ANNEX 4. WATSAN CAPITAL PROJECT DEVELOPMENT FLOW CHART Identification Evaluation Financing Options Procurement Implementation 1. Capital Project (CP) needs identified by service provider; 2. Public consultation process; 3. CP needs introduced to policymakers; 4. CP incorporated into medium term plan / strategy. 1. Pre-feasibility study (generally based on secondary data) to review basic assumptions and financing options; 2. Presentation to policymakers; 3. Full Feasibility Study prepared to assess technical, institutional, and financial viability. Supporting analysis may include demand survey, basic technical designs, and financial projection. PPP projects will also include risk assessment, form of cooperation, and government support analysis; 4. Top-tier financing options reviewed in detail, leading to final recommendation and revision of financial projection; 5. Results presented to policymakers for go/no-go decision. Cash Financing: 1. Appropriation of funds in entity (i.e. PDAM) budget. EE-1, EE-2, EE-3 Debt Financing: 1. Loan application 2. Loan appraisal by lender(s) 3. Lender(s) approval 4. LG/DPRD approval (LG Guarantee also required for PerPres 29) 5. Loan signed (or GOI approval under Perpres 29) EE-2, EE-3 Local Government Financing 1. Funding proposal 2. Proposal review and negotiation 3. LG/DPRD approval 4. Funding allocated in APBD/ PERDA EE-1, EE-2, EE-3 Central Government Financing Funding proposal Proposal review and negotiation CG approval CP funding allocated in DAK / grant fund EE-2, EE-3 Public-Private Partnership: [Financing rolled into procurement phase.] 1. Bid document preparation; 2. Prequalification of vendors; 3. Bidding and evaluation process; 4. Negotiation with top-ranked bidder; 5. Contract award, including facilities construction contract, off-take agreement, BOT, concession, etc. HR-1 and EE-2/3 for PPP and B-to- B. Ground-breaking; Construction supervision; Payment disbursements; Turn over of tested facilities (except for some types of PPP projects) Operations commence = Counts toward achievement of specified outcome USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 76

83 REFERENCES a. IUWASH Statement of Work (SOW). b. USAID Standard Indicators for Foreign Assistance c. The Performance Management Toolkit, A Guide to Developing and Implementing Performance Management Plans d. IUWASH Technical Proposal e. Performance Monitoring and Evaluation Tips by USAID Center for Development Information and Evaluation (number 7 and 8) f. IUWASH Contract Modification #8 dated 30 September USAID INDONESIA URBAN WATER SANITATION AND HYGIENE 77

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