QUARTERLY PROGRESS REPORT NO. 01. February March 2010 USDP-R-PMU-10002

Transcription

1 QUARTERLY PROGRESS REPORT NO. 01 February March 2010 USDP-R

2 QUARTERLY PROGRESS REPORT NO. 01 February March 2010 USDP-R ii

3 CONTENTS Table of Contents... i List of Annexes... i List of Tables... i List of Figures... i Glossary, Acronyms, Abbreviations... ii Table of Contents 1 INTRODUCTION Background Purpose of the Quarterly Reports ACTIVITIES AND ACHIEVEMENTS OF THIS PAST QUARTER General progress of PPSP USDP s main events and results during the past Quarter Progress of activities MAIN ACTIVITIES NEXT THREE MONTHS: APRIL JUNE Completion of initial operations and logistics USDP support towards PPSP institutionalization and implementation Quarterly work plans for PPSP and USDP ISSUES AND RECOMMENDATIONS MANAGEMENT General Staffing Meetings COLOPHON List of Annexes Annex 1 Summary of USDP Outputs and Project Deliverables (as per TOR)... 1 List of Tables Table 2.1 Overall Activities USDP in reporting period (February March 2010) Table 3.1 Activities scheduled for next quarter (April June 2010) Table 4.1 Issues and Recommendations List of Figures Figure 3.1 Quarterly work plan for PPSP Figure 3.2 Quarterly work plan for USDP i

4 GLOSSARY, ACRONYMS, ABBREVIATIONS AKOPSI AMPL APBD APBN Bappenas CF CSR DAK EHRA EKN ESP FAQ GoI Inpres KMW Loknas MDGs Monev MoM MoV NSPK PF PHBS PMJK PIU PPP PPSP QA Rakernas RPIJM SSK STBM TNA ToR TTPS UNICEF USDP WSP : Aliansi Kota Peduli Sanitasi : Air Minum dan Penyehatan Lingkungan : Anggaran Pendapatan dan Belanja Daerah : Anggaran Pendapatan dan Belanja Negara : Badan Perencanaan Pembangunan Nasional : City Facilitator : Corporate Social Responsibility : Dana Alokasi Khusus : Environmental Health Risk Assessment : Embassy of Kingdom of the Netherlands : Environmental Service Program : Frequently Asked Questions : Government of Indonesia : Instruksi Presiden (Presidential Instruction) : Konsultan Manajemen Wilayah (Regional Management Consultant) : Lokakarya Nasional : Millenium Development Goals : Monitoring and Evaluation : Minutes of Meeting : Means of Verification : Norma Standar Panduan dan Kriteria (Norms Standards Guidelines and Criteria) : Provincial Facilitator : Campaign for Clean and Hygienic Behaviour : Pemberdayaan Masyarakat, Jender dan Kemiskinan (Community Empowerment with Gender and Poor Inclusive) : Project Management Unit : Project Implementation Unit : Public Private Partnership : Program Percepatan Pembangunan Sanitasi (Sanitation Development Acceleration Program) : Quality Assurance : Rapat Kerja Nasional : Rencana Program Investasi Jangka Menengah (Medium Term Investment Program) : Strategi Sanitasi Kota (City Sanitation Strategy) : Sanitasi Total Berbasis Masyarakat : Training Needs Assessment : Terms of Reference : Tim Teknis Pembangunan Sanitasi : United Nation Children s Fund : Urban Sanitation Development Program : Water and Sanitation Program ii

5 1 INTRODUCTION 1.1 Background Indonesia s commitment to the MDGs, as well as a World Bank report on the adverse economic impacts of poor sanitation in Indonesia, brought the sector under increased attention of the authorities, although these drivers did not result in increased funding allocations until the current Medium Term National Development Plan. They did, however, contribute to the creation of the Sanitation Technical Team (Tim Teknis Pembangunan Sanitasi, or TTPS), a grouping of 8 Ministries with responsibilities regarding sanitation, with Bappenas as leading Agency. In 2009 TTPS launched a challenging program to scale up and accelerate sanitation planning and investments during the period : Percepatan Pembangunan Sanitasi Permukiman (Accelerated Sanitation Development for Human Settlements), or PPSP. This program targets 330 cities experiencing sanitation problems and focuses on particular goals to be achieved by PPSP provides a framework for all stakeholders in sanitation development (government departments as well as foreign donors and private sector) to align their programs and projects in the tree sub sectors with the goals of this national sanitation program. To accelerate urban sanitation improvements and increase the effectiveness of investments in the sector, GoI has decided to encourage all cities to apply a five stage process leading to the implementation of an integrated sanitation strategy (Strategi Sanitasi Kota, or SSK). In effect, the availability of an SSK has become a criterion for allocating shares in the GOI s specific allocation grants to local government (Dana Alokasi Khusus, or DAK). The role of the USDP will be to facilitate and further strengthen GoI institutions at the national, provincial and, indirectly, at the local level involved in implementing the PPSP. USDP will also support the TTPS with the further development of a national sanitation strategy including convincing national budget holders and international donors to invest in sanitation development based on the integrated plans prepared by the city authorities. As per Administrative Arrangement, USDP will provide technical assistance to the urban component of PPSP. The USDP Program is a co operation between the State Ministry of National Planning (Bappenas), as the lead agency of TTPS, and the Government of the Netherlands represented by the Royal Netherlands Embassy. USDP provides technical assistance to PPSP and its and three PIUs as established by the core ministries of TTPS, i.e. Bappenas and the Ministries of Public Works, Home Affairs and Health. The Program started on February 1, 2010 and will be completed by December 31, The context of the USDP is determined by the Government s Medium Term National Development Plan which is, in effect, reflected in the Roadmap for the Accelerated of Sanitation Development Program for Human Settlements ( PPSP ). The PPSP is meant to provide the framework for all interventions in the sanitation sector. The PPSP program will be carried out in the period To date the average allocation of sanitation funds in the local budget (APBD) has never been higher than 1% while less than 0.18% in the provincial budget and 0.036% in the national budget (APBN) respectively, including the funds that are allocated through DAK (specific transfer from national/central government). Notable developments have been the formulation of a policy for community based drinking water and sanitation, the introduction of urban strategic sanitation planning, and piloting approaches such as sanimas and community led total sanitation. As a result, the Ministry of Public Works became active in the sanitation sector through the Community Based Water Supply and Sanitation Program (Pamsimas) and the Community Based Sanitation Program (Sanimas). The Ministry of Health carried out Community Based Total Sanitation (STBM) and conducted Campaigns for Clean and Hygienic Behaviour (PHBS). In 2007, the National Sanitation Conference I agreed on the government s commitment to develop sanitation in line with the MDGs. The International Year of Sanitation in 2008 was used to increase the awareness and gage the commitment of local government authorities. Subsequently, the issues and targets for future sanitation development were identified and the introduction of an integrated approach of city sanitation planning and development was launched at the Urban Sanitation Convention in April The Government set out a number of policies and strategies to overcome various structural constraints in sanitation development. These strategies are stated in the RPJMN (5 Years National Medium Term Development Plan). 1-1

6 The Government s 2014 milestones for sanitation development include: No open defecation in both urban and rural areas by providing access to off site sewerage systems to 10% and to on site sewerage facilities to 90% of the population; Reduction of waste generation at source, expansion of environmentally sounds solid waste management through sanitary or controlled landfills and other safer technologies. These measures would affect 80% of the urban households; Reduction of water pounding in 100 flood prone cities/regencies with coverage of over 22,500 hectares. PPSP aims at lifting sanitation conditions in urban and rural areas, in particular for some 330 cities that are faced most seriously with problems in one or several of the sanitation sub sectors. PPSP s integrated sanitation planning and implementation approach is consisting of five more or less subsequent stages and one overall stage, i.e. 1. Awareness rising by Campaigns, Education and Advocacy activities, 2. Institutional and Regulatory Development, 3. Preparation of Strategi Sanitasi Kota (SSK), 4. Preparation of Program Memorandum, and 5. Program Implementation. The overall stage 6 relates to Monitoring, Evaluation and Guidance. The overall aim of the USDP is to facilitate and support the implementation of PPSP. More specifically, the objectives are to: 1. Develop capacity in the and PIUs responsible for implementing the PPSP in effectively managing the development of the sector together with the stakeholders at the provincial and local levels; 2. Consolidate the SSK approach for use by government facilitators and cities throughout the country, while ensuring that the SSKs address the needs of the poor and underserved citizens; 3. Support the implementation of fundable project proposals following the outcomes of the SSKs. The USDP consultants will provide technical assistance to the and the PIUs to strengthen their capacity in supporting the provinces and cities with the planning and implementation of sanitation improvements. More specifically, the technical assistance will ensure or support the following main activities: a) The production and dissemination of technical, financial, administrative and operational guidelines for sanitation planning, program memorandum development and the implementation of sanitation improvement projects; b) Capacity development and training of TTPS,, PIUs and their facilitators and consultants at central and local government levels, such as for example the Regional Management Consultants which will guide and monitor the provincial facilitators and the city facilitators guiding the city working groups in SSK preparation; c) The establishment of a national monitoring system to track progress in PPSP implementation d) The organization of a range of national and regional meetings/workshops to exchange lessons learned and disseminate information e) The design of a sanitation investment strategy and framework f) The provision of technical advice and support to a specific number of cities/regencies. 1.2 Purpose of the Quarterly Reports Quarterly Reports represent one of the reporting mechanisms of USDP. Quarterly Reports describe the progress and achievements of the past three months, and the scheduled services and activities for the coming three months. This 1 st Quarterly Report describes the progress of USDP over the period February March 2010, i.e. the for USDP applicable part of the first calendar quarter of In addition, it presents the scheduled activities for the period April June,

7 2 ACTIVITIES AND ACHIEVEMENTS OF THIS PAST QUARTER 2.1 General progress of PPSP PPSP was conceptualized and described in the format of a Roadmap document in It was officially launched by the Vice President of Indonesia on 9th December during the opening ceremony of the 2nd National Sanitation Convention. A fast tracking PPSP preparatory stage was implemented between September and December 2009, focusing mainly on (i) the recruitment and selection of the first batch of 41 cities to take part in preparation of White Books and City Sanitation Strategies under PPSP in the calendar year 2010, and (ii) recruitment, selection and training of provincial and city facilitators to be posted in the 41 cities and the corresponding 13 provinces. These activities were sponsored by a grant from the Netherlands Embassy channeled through UNICEF, whereas technical assistance was provided by the ISSDP team. From early January PPSP started to develop and an important two days workshop between the four principal participating Ministries was held on January to discuss the roles, functions, tasks and responsibilities of the four PPSP organizational entities, i.e. a Program Management Unit () at Bappenas, and three PIUs at the Ministries of Health, Home Affairs and Public Works. The group discussions and plenary sessions resulted in wellperceived decisions on policies and operational issues for PPSP and its implementing and PIUs. From early February Ministries started to establish and staff their and PIUs. Simultaneously preparations were made for offices premises of the PIUs and the USDP Cells to be located close to each of the PIUs. Various meeting were held in February and March between the Directors of the Departments where to and PIUs are organizationally embedded, and the USDP Management and Staff who had started their operations from 1st February. From February it appeared that the first PPSP cycle of City Sanitation Strategy development was going to get a bumpy starting period as contractual arrangements for the facilitators could not be concluded in time. Most of the Cities had to do without a facilitator and in many cases also without a well established and functioning sanitation pokja, in the early weeks months of this PPSP Stage 3, City Sanitation Strategy Development. In February a synergy workshop was organised to discuss and review the opportunities of more integration between AMPL and PPSP. In March a national workshop was organized for the provinces involved in PPSP to inform them and discuss with them about their roles and functions with regard to the SSK development at city and regency level. 2.2 USDP s main events and results during the past Quarter The starting date of the USDP contract was set at 1 February A substantial part of the team started services at that date and within several weeks the team was more or less at the scheduled strength. Initial operations of USDP included review and further interpretation of the somehow holistic Terms of Reference, liaison with the four PPSP Ministries, preparation offices for the four USDP cells at those Ministries incl. related logistics, amenities, services and facilities. The various USDP cells are supporting the and various PIUs in the set up of their entities, the preparation of their staff, the elaboration of their tasks, responsibilities and activities. USDP also assists in the preparation and implementation of various seminars, workshops, and road shows, aimed at PPSP institutionalization, internalization of its objectives and consequences in terms of budgets and staffing, advocacy and information to provinces and cities. Similarly the USDP (sub) teams focusing on support towards PPSP implementation elaborated various options regarding the facilitation for the development of EHRA studies, White Books and City Sanitation Strategies. Particular attention is given to the facilitation for the development of Program Memorandum (PPSP Stage 4), a new activity focusing on the translation of SSK strategies into concrete measures aimed at sanitation infrastructure. 2-1

8 Main events and results during the 1 st Quarter of 2010 include: 1. Mobilisation of Team of Consultants 2. Various plenary team sessions on USDP s contract and ToR, including an Internal Workshop (at Cemara Hotel) to discuss and internalize the USDP ToR in group and plenary discussions. 3. Internal workshop to discuss activities during inception phase and distribute tasks regarding preparation of Inception Report. 4. Meetings with the respective Ministries involved in PPSP to introduce USDP, discuss main issues regarding and PIUs, office requirement for PIUs and USDP cells, arrange offices and facilities at PIU Teknis, PIU Advokasi and PIU Kelembagaan for the USDP Cells located at these PIUs. 5. Regular consultations with and PIUs, including rendering of guidance and assistance in support of PPSP s institutionalization at the four Ministries. Assistance in preparation of annual work plan 2010 for and PIUs, as well as overall 5 years work plan. 6. Intensive guidance and assistance as well as improvement of communication amongst Steering Committee members (TTPS) and the national level Working Groups. 7. Assistance to Bukittinggi s Pokja for the preparation of the 7 th City Sanitation Summit at Bukittinggi to be held on May Fact finding and lesson learned on activities implemented by, PIUs and USDP for PPSP. 9. Formulation and preparation of various options to offer guidance, assistance and training to Facilitators and Regional Management Consultants. 10. Reproduction of Manuals on CSS process, Guidance Notes on particular topics and Reference Book on Sanitation System and Technology options. 2.3 Progress of activities The progress presented here focuses on activities implemented in the first two months, February and March, by USDP. During the early stage, USDP team was focusing on internal consolidation to further comprehend and internalize USDP s Terms of Reference. The team was also focusing on disseminating the USDP ToR to the various stakeholders on the side of the Government of Indonesia implementing the PPSP program. PPSP is implemented by a Program Management Unit () under Bappenas coordination and three Program Implementation Units (PIU) under coordination of the Ministry of Home Affairs, Ministry of Public Work, and Ministry of Health. Activities undertaken in February and March are presented in more detail in the table below. Table 2.1 Overall Activities USDP in reporting period (February March 2010) No. Output Task Deliverable 1 Output 1 USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP Large numbers of districts/cities are able to develop poor inclusive district/city ( wide) Sanitation Strategies (CSS) 1.T1 Support Government (i.e. TTPS and /PIUs) in annual process of city selection (incl. support to planning and implementation of workshops, roadshows and production of publicity materials) 1.T2 Review and streamline the CSS process to enable efficient scaling up of the CSS at city level while maintaining quality and local ownership (incl. involvement of UC A 5 Team A Team IP - Development of ToR for provincial and city/district recruitment and selection processes - Initiation of coordination meetings; preparation for city/district and province candidates list of 2010 enrollment cycle (for 2011). - Initiate coordination meeting for National Event coordination with provincial governments (Rakernas) - Quick assessment and data analysis: fact finding and lesson learned on activities implemented by ISSDP 2 - Shortly internal working group to be 2-2

9 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) Public Works) USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP established on SSK scoping in relation to subsequent program Memorandum Stage 1.T3 Train PFs/CFs via Training of Trainers and provide subsequent coaching and facilitation re. planning processes and products. Identify national/regional learning institutions to serve as longterm resources centre(s) for the training and supply of facilitators 1.T4 Provide ongoing guidance and support to CFs and PFs to ensure that CSS are of a high quality, are poorinclusive and lead to action plans for pro poor investments in priority areas 1.D1 Four annual city selection processes facilitated (number of cities selected per year to be confirmed by and PIU Ministry of Public Works) 1.D2 At least 40 provincial/city facilitators trained and deployed by 2014, and provide ongoing technical support and guidance 1.D3 By mid term review (early in 2012), at least 48 cities mobilised and developing SSKs 1.D4 By mid term review at least 16 cities have completed SSKs and at least 32 have completed White Books UC IF Team IP UC A Team A () Team IP - Support to PIU Teknis in developing ToR for KMW - Material for city and provincial facilitators orientation available and consolidated. City sanitation strategy orientation done on April 1 at Hotel Cemara, Jakarta. 57 facilitators attended the orientation before starting in cities and provinces on April 5 - Support to city and provincial facilitators during bridging phase (April May) developed and agreed upon with. Support provided is communication scheme through help desk, frequently asked question and answers, as well as consultation - Coordination for ToR development of EHRA training has been established - See 4.D2.6 - See 3.T1 - See 4.T1.2 - See 2.D5 - Support provided to the first annual roadshows, separately for the three PPSP Regions, aimed at advocacy and socialization for recruitment of provinces and cities/regencies for PPSP 2011: in Jakarta on January, in Yogya on February, and in Surabaya on February Support provided to a special national workshop organized at Bappenas on March to inform the provinces about PPSP and their roles - Preparation of (design of) Training Needs Assessment (TNA) for provincial and city facilitators and for pokjas available - Further training of KMW and facilitators under preparation - 41 cities are now mobilized in Batch B to complete SSK by the end of

10 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) 1.D5 By 2014, at least 32 SSKs formally adopted, with implementation underway. 1.D6 By mid term in at least 6 Provinces with more than 4 cities each, a Provincial pokja is functioning to support the scaling up of the approach in the remaining cities, and in monitoring progress 2 Output 2 USDP 2 Cell Team UC IF Program Institutionalisation and Implementation 3 Activities and Results USDP Municipalities have access to skilled human resources for sanitation advocacy, planning and the formulation and implementation of technical proposals. 2.T1 Ensure the technical capacity of the /PIUs and of a high quality technical assistance to PFs/CFs and Pokjas including assistance from specialist consultants UC IF Team IP - Capacity building and training for and PIUs staff is under preparation - See 1.T3 2.T1.1 2.T1.1.1 Create enabling environment through Technical Assistance services ( ) Community engagement, social equity (poor inclusive) and genderrelated issues in the planning process, All Cells Team IP UC A Team A - See 2.D5 2.T1.1.2 Design of improved wastewater management, drainage, and solid waste management infrastructure and systems, including drafting of technical proposals (Stage 4), 2.T1.1.3 Implementation including procurement and the management of physical works (Stage 5), 2.T1.1.4 Sanitation advocacy and hygiene promotion, especially the promotion of hand washing with soap, UC A Team A - See 2.D5 2.T1.1.5 Monitoring SSK implementation (Stages 3 and 6), 2.T1.1.6 Institutional, financial and governance issues related to urban sanitation UC IF 2.T1.2 Provide feedback and guidance on draft White Books and CSSs 2.T1.3 Provide direct TA in the development of project proposals or support to (local) Government appointed consultants developing master plans 2-4

11 No. Output Task Deliverable 2.T1.4 USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) Via and PIUs facilitate the inclusion of any large scale technical proposals in Bappenas Blue Book USDP 2 Cell Team Team SDI Program Institutionalisation and Implementation 3 Activities and Results USDP 2.T1.5 Play an important role in advocacy and awareness raising at all levels of government UC A Team A - Preparation of Draft Presidential Instruction (INPRES, Naskah Akademis) to implement PPSP as National Program > provide support to introduce PPSP as National Program - Improve communication amongst stakeholders at all PPSP entities 2.T1.6 Ensure that CSSs and action plans and proposals pay full attention to: hard and soft issues affecting progress in urban sanitation, Institutional development, cost recovery, operation and maintenance, community engagement, genderrelated issues, social equity through poor inclusive planning, pro poor investments and hygiene promotion. All Cells All Teams - See 1.T2 2.T2 Assist and PIUs in providing ongoing support and guidance to all cities in PPSP: see 2.T2.1 2.T2.4 2.T2.1 A dedicated PPSP website Team A - PPSP website (as sub of is under preparation 2.T2.2 Guidance notes, manuals, and other advisory material All Cells - Manuals and Guidance Notes prepared under ISSDP 2 have now been printed in large numbers with assistance from WSP, and are ready for distribution by TTPS/ 2.T2.3 Networking events and national or regional workshops UC A - Participation in the workshop on synergy between PPSP and AMPL 2.T2.4 Ensure close cooperation and good coordination with other projects and programs in the urban sanitation sector All Cells - First meeting of synergy with AMPL held on 9 February D1 By middle [end] 4 of Year1, assuming the provision of all Government commitments, a and three PIUs are operational and effectively coordinating their support to provincial governments and PPSP municipalities 2.D2 By the end of Year 1, PPSP website operational and regularly updated, All Cells - PPSP Institutionalisation at and the three PIUs, PIU Teknis, PIU Advokasi and PIU Kelembagaan, has started - Assistance to preparation of an Integrated draft work plan of PIUs to support optimal coordination and integration between and PIUs - Initial Human and financial source clarification at and PIUs to provide support to the development of human and financial sources; is complex and sensitive process 2-5

12 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) and providing relevant information and guidance to participating cities USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP 2.D3 By Mid term, 48 [80] cities receive regular (at least bi monthly) support and guidance from institutional, technical, financial and hygiene promotion specialists 2.D4 By mid term at least four national/regional workshops have been held for networking, lesson learning and/or dissemination of information and guidance materials Team A Team A All Cells - Scheduled that USDP will assist in preparation of Rembug (National Sanitation Seminar) in December D5 SSKs from targeted cities are poorinclusive - ToR for PMJK and Hygiene promotion developed 2.D6 SSKs contain not only sound technical analysis of sanitation needs and priorities, but also address the financial, institutional, social and behavioural aspects of urban sanitation development 3 Output 3 - See 1.T2 Quality technical proposals (Program Memorandums), based on poor inclusive City Sanitation Strategies, developed and being implemented in at least 30 small to medium sized cities, with municipalities playing the lead coordinating role. 3.T1 Provide technical assistance and quality assurance to both locally funded and centrally co funded proposals arising from SSKs, and to their implementation. For works that can be funded by local government from their own resources or through the special allocation budget (DAK), technical preparation and implementation is a local government responsibility. In the case of larger works, these will normally be centrally co funded and designed and implemented by MPW. 3.T2 Ensure that program memoranda are pro poor, address the expressed needs of under served customers and work towards the national target of eliminating open defecation. 3.T3 Facilitate small scale municipal pilot projects to resolve key challenges identified in SSKs. 3.D1 By Mid term, 16 cities have developed technically sound Team A - Preparation of methodology for Program Memorandum; incl. review of available SSKs and RPIJMs See 4.T

13 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) memorandum/funding proposals based on their SSK USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP 3.D2 All proposals are realistic in terms of available technical and financial resources 3.D3 All proposals include measures to address the needs of low income households 3.D4 All proposals are technically sound and sufficiently detailed for procurement purposes UC IF Team A 4 Output 4 Technical and administrative guidelines and procedures for the preparation, financing and implementation of urban sanitation investments in small to medium sized cities, developed or updated as necessary, are formally adopted and disseminated widely. 4.T1 Ensure that municipalities/provincial Governments have all necessary standard documents for implementation of PPSP Stages: see 4.T1.1 4.T1.3. All Teams 4.T1.1 Standard documents for City Sanitation Planning 4.T1.2 Standard documents for preparation of technical proposals (program memorandum) - Internal workshop of Program Memorandum held on 30 March Initial concept of Program Memorandum available. Data collected: SSKs, RPIJM, financing regulations, Data and information to be used to develop guidelines and standard design collected. Sanitation strategy of 7 cities reviewed and 3 cities visited to present activities that needs to be done before joining Program Memorandum Stage 4.T1.3 Standard documents for procurement and implementation 4.T2 Provide support in sector financing; see 4.T2.1 4.T2.4 UC IF 4.T2.1 4.T2.2 Advocate for, and support government in the establishment of operational links between CSS formulation and access to finance for sanitation improvements Clarify and communicate to local governments the available financing options and mechanisms UC IF UC IF UC A 2-7

14 No. Output Task Deliverable 4.T2.3 USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) advocate for, and support the development of an urban sanitation investment framework at national level USDP 2 Cell Team UC IF Program Institutionalisation and Implementation 3 Activities and Results USDP 4.T2.4 document and disseminate nationally lessons learned from PPSP implementation and use lessons learned in advocacy to inform strategy and decision making at national level UC A 4.D1 By end of inception (3 months), priority list of technical and operational guidance material agreed with TPPS and the three PIUs (see also 4. D2) 4.D2 Provisional list of documents to be produced and disseminated by Mid Term: see 4.D2.1 4D2.7 All Cells All Teams All Cells All Teams 4.D2.1 4.D2.2 Guidelines on local advocacy and hygiene promotion Updates to the existing SSK development manual(s) UC A Team A 4.D2.3 Standard design and Cost criteria 4.D2.4 Standard requests for Proposals, Terms of References, and Contract Documents 4.D2.5 Guidance on tenders and evaluation 4.D2.6 Guidance on Public Private partnerships UC A Team A - PPP ToR for PPSP has been developed 4.D2.7 Quality Assurance Systems for Proposal (Program Memorandum) development and implementation Team ME 4.D3 By Mid Term, available financing options and mechanisms clarified and communicated to provincial governments and cities 4.D4 By Mid Term, interim lessons learned from PPSP implementation documented and disseminated widely UC IF Team A 5 Output 5 Systems are operational at national, provincial and city level for monitoring the progress of PPSP Implementation and outcome of new (urban sanitation) investments with particular reference to quality and equity 5.T1 Assist with the design of a monitoring framework for PPSP and ensure that Team ME - Monev spreadsheet based tool, integrated to PPSP work plan, to track progress of White 2-8

15 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) lessons learned from the monitoring information are used to inform national strategy and decision making USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP Book development available. Presented during facilitators orientation and to be used during at least part of Year 1. - Initial concept of web based monev available and discussed with in order to develop systematized process and product monitoring mechanism for White Books - Monitoring and Evaluation spreadsheet to the performance of PPSP institutions 5.T2 Monitor the quality of PPSP activities to ensure quality of city planning process, as well as quality of the technical proposals (program memorandums), and the fostering of municipal ownership 5.T3 Monitor the implementation of the CSS by the cities/regencies for the full range of activities prioritized by the CSS (e.g. including communication campaigns, pilot activities to improve O&M) 5.T4 Monitor the implementation of physical works and the outcome of new investments. (Small scale work will generally be managed by the municipality, with larger investments implemented by central government (via MPW). 5.T5 Establish a system for monitoring of the technical quality of physical works being implemented (under DAK), as well as the effectiveness and equity of benefits related to these works. 5.D1 PPSP monitoring system operational at national, provincial, city/district level by end Year 1 (2010) UC IF All Teams Team ME UC IF Team ME Team ME Team ME All Teams 5.D2 Quality assurance system in place for SSK formulation and technical proposals by end of Year one (2010) 5.D3 Municipal sanitation monitoring systems operational in at least 32 cities by Mid Term 5.D4 Technical monitoring of investments under DAK established at national and local levels by Mid Term 5.D5 Provincial sanitation monitoring systems operational in at least 8 Team ME Team ME UC IF Team ME Team ME Advocacy to Ministries in order to approve Norms and Standard Guidelines as well as Draft Manual 2-9

16 No. Output Task Deliverable USDP Outputs, Key Tasks, Deliverables 1 (Terms of Reference USDP) provinces by Mid Term; system based on national SPMs and systems developed under ISSDP QA system applied in cities and provinces. USDP 2 Cell Team Program Institutionalisation and Implementation 3 Activities and Results USDP prepared under ISSDP Outputs, Key Tasks (T) and Deliverables (D) as per USDP TOR relate to USDP support services towards PPSP Principal Cells and Teams for particular tasks and Deliverables are indicated; in practice other Cells and Teams will also be involved Deliverables relating to Program Implementation are presented in italics Text between squared brackets indicate internal differences in specifications in TOR Abbreviations: UC= USDP Cell; A=Advocacy (at PIU A); IF=Institutional and Finance (at PIU IF); T=Technical (at PIU T); KM= Knowledge Management; =Capacity Building and Training; ADV=Advocacy; ME=Monitoring and Evaluation (MONEV); IP= Institutional Preparation; SDI= Studies, Designs, Implementation; QA=Quality Assurance; FIN= Finance 2-10

17 3 MAIN ACTIVITIES NEXT THREE MONTHS: APRIL JUNE Completion of initial operations and logistics USDP team started its operations on 1 st February form the ISSDP office at Jl. Soeroso Nr. 50, which is shared with other entities from Bappenas, i.e. TTPS Secretariat and Pokja AMPL. In the period that the premises for the USDP cells at the and PIUs were provided with the necessary basic outfit such as office equipment, furniture and internet connections, the USDP Cell staff transferred gradually to these premises by March. Most of the logistics and operational issues, in particular those related to stable internet connections and hook up to the ISSDP system were resolved by March. For the next quarter the start up of the USDP mail system and USDP sharepoint site are foreseen. In addition, some further office equipment needs to be selected and procured. The initial start up period is foreseen to be completed with the issuing of the Inception Report three months after the project start, i.e. early May. The Inception report is scheduled to be discussed with TTPS and in a workshop with and the PIUs. It is expected that soon after USDP can gear up its support services to PPSP at full strength. 3.2 USDP support towards PPSP institutionalization and implementation In the next quarter the following main support activities are foreseen: USDP Cell at PIU A (Ministry of Health): 1. Support to National Workshop for the advocacy, recruitment and selection of cities for PPSP Batch C, i.e. a group of 49 cities to undertake preparation of White Books and SSKs in Preparation and implementation of training for EHRA studies in Batch B Cities, i.e. the group of 41 cities preparing White Books and SSKs in USDP Cell at PIU IF (Ministry of Home Affairs): 1. General support to Provincial and City Facilitators (under temporary contract with WSP and INDII for a period of two months, April May) by Questions& Answers through Internet and Phone. It is expected that the KMW will be contracted by MPW per 1 st June and then also take the facilitators under contract. 2. Support to the preparation of the Circular Letter from MOHA to all Local Governments involved in PPSP to inform them about various issues and activities required for a smooth further expansion of PPSP in the next budgetary cycle. 3. Initial discussions and preparation of separate training programs for staff of PIUs and staff of KMWs. 4. Update of the costs and investment requirements of PPSP, as well as related funding options. USDP Cell at PIU T (Ministry of Public Works): 1. Various discussions with Directorate of Environmental Sanitation regarding operational PPSP issues, and manning of the PIU Technical. To date only one part time staff available. Obviously the commitments and requirements from MPW for the successful start up of PPSP have not been adequately internalized. 2. Support to preparation and implementation of EHRA training, and to back up services for facilitators through contributions to the Questions & Answers services. 3. Preparations of a Brief on Program Memorandum which will describe approach and methodology for the program memorandum stage based on ongoing discussions and taking into account the suggestions and requirements from different stakeholders. Once consensus on the set up will be reached an initial try out with a selected group of pilot cities can be started up, providing that funds for required consulting services can be mobilized. 4. Start up with initial inventory of already available standards and guidelines which may be applied and integrated in the Program Memorandum Stage. 3-8

18 5. Review of available SSKs, and RPIJMs, and the implementation measures they propose, as an input for the PM Stage. USDP Cell at (Bappenas): 1. Regular support, guidance, assistance and suggestions to on PPSP development. is yet seriously understaffed. 2. One of the essential instruments, that will is badly required, is a sufficiently comprehensive Program Management Manual specifying the roles, tasks and responsibilities of the main PPSP stakeholders, and the way as well as timeframe in which essential activities will be implemented. USDP will offer its assistance for the joint development of the PMM together with TTPS and. This document will also have to address required policies and strategies regarding PPSP implementation. 3. Development of a Monitoring and Evaluation System for national, provincial, and local government levels, in joint cooperation with. 4. Formulation and further preparation of USDP s Knowledge Management instruments, including a.o. USDP s internal Sharepoint site with document management system, and a PPSP website attached to the TTPS Sanitation Portal. The envisaged USDP support activities during the next quarter (April June 2010) are further elaborated in the table below. Table 3.1 Activities scheduled for next quarter (April June 2010) No Activities Support to 1 Improve and strengthen the PPSP institutionalisation 2 Finalize national communication strategy for PPSP development Provide support to AKOPSI in implementing their role and functions as Advocacy Institution for government at Cities/Regencies 3 Build capacity and train provinces, regencies and cities including Regional Management Consultant (KMW) 4 Developing policy and strategy: Mainstream policy and sanitation strategy/ppsp Prepare Presidential Instruction of PPSP as national program Develop policy for the implementation of Presidential Instruction 5 Improve Knowledge and establish knowledge event: Support to the dissemination of Program Memorandum Support to the knowledge event held during the City Summit VIII in Tegal Develop indicators verifying achievement of PPSP targets prior to National Sanitation In depth Discussion event (Rembug Sanitasi Nasional) Support to the preparation of Program Memorandum Guidelines Support to PIU Advocacy 1 Endeavor to increase role of provinces in the city selection 2 Assist in preparation of City Sanitation Summit in Tegal Support to PIU Institutional and Finance 1 Support the establishment of pokjas at provincial level, and indirectly at city and district level. 2 Train and build capacity of pokja, KMW, PF and CF Support to PIU Technical I. City Sanitation Strategy 1 Identify national and regional institutions to serve as longer term resource centers for training and supply facilitators 3-9

19 No Activities 2 Train and build capacity for stakeholders: EHRA Training for pokja, PF and CF 3 Provide training for and PIU on development of white book and city sanitation strategy 4 Provide training for provincial pokja on development of white book and city sanitation strategy 5 Provide coaching, guidance, and technical to support cities and districts 6 Act as helpdesk for KMW, PF, and CF to provide coaching, guidance, and technical support. II. Program Memorandum 1 Inventory and assessment of existing guidelines stage 4 2 Gap analysis, development of procedures and guidelines for stage 4 3 Development of program memorandum format for stage 4 4 Identification and mobilisation of financial resources for stage 4 5 Program memorandum preparation: Pilot for Pekalongan, Kediri, Blitar 6 Develop guidelines for stage 5: inventory and assessment of existing 7 Develop guidelines for stage 5: gap analysis, development of procedures and guidelines for stage 5 8 PPSP guidelines package for stage 5 9 Facilitate small scale pilot projects Support to and PIUs: Monitoring and Evaluation 1 Support in implementing progress monitoring system 2 Support in implementing a regular feedback mechanism for the progress monitoring system 3 Establish a QA system for SSK formulation 4 Support and PIUs in implementing a QA system for SSK formulation 5 Support in developing and operate web based monev system 6 Provide guidance and support to the KMW,, PIU in monitoring PPSP and QA of sanitation strategy 7 Develop training program plan for provincial pokja in implementing monitoring and evaluation 3.3 Quarterly work plans for PPSP and USDP The quarterly work plan for the period April June 2010 for PPSP, as prepared by USDP for the and PIUs, is presented in Figure 3.1. The quarterly work plan for USDP for the period April June 2010 is presented in Figure

20 Figure 3.1 Work plan for PPSP 3-11

21 Figure 3.2 Quarterly work plan for USDP 3-12

22 4 ISSUES AND RECOMMENDATIONS Various implementation issues and risks have become apparent during the initial stages of PPSP and USDP. Main problems relate to adequate staffing of the and PIUs, timely availability of budgets for the many activities to be implemented, late deployment of Regional Managements Consultants who are to guide and coordinate the SSK process and conclude employment contracts with the facilitators, non availability yet of multi year budgeting to prevent the disruptive effects of annual contracting and implementation of services, low profile of TTPS working groups in supporting the challenging tasks of and PIUs. In particular the internalization of the particular roles, tasks and responsibilities of PPSP and its and PIUs, as well as of USDP and its cells and teams turns out to be a slow process that takes considerably more time than anticipated, in particular for the PIU Technical at PU, in fact the most crucial partner in PPSP. Issues requiring attention at this stage for the further successful development and implementation of PPSP include further definition of roles tasks responsibilities of TTPS and its member Ministries, and PIUs, development op operational guidelines and detailed work plans on PPSP implementation, strengthening of staffing in qualitative and quantitative terms, preparation of more solid multi year budgets for 2011 and subsequent years, formalization of PPSP as a national program. These main issues are further elaborated in the table below, which also suggests recommendations for the various issues and the main actors for follow up. Table 4.1 Issues and Recommendations No Issues Recommendation Main Actors TTPS and member Ministries 1 Ministerial Decrees re. establishment and staffing of and PIUs may need to be reviewed and updated to answer to current views on their roles, tasks and responsibilities 2 Define operational framework for Program Memorandum: methodologies re. studies and designs, division of tasks between central and local government, guidelines on funding, role and status of Pokja s, need for facilitators Updates to be prepared Develop one or more approaches and undertake pilots TTPS TTPS USDP 3 Lack of information and understanding re. Administrative Arrangements for USDP between Bappenas and the Embassy of the Kingdom of the Netherlands, and the contract between the Netherlands Embassy and the Consultants Consortium All relevant Arrangements re. USDP between Bappenas, the Embassy of the Kingdom of the Netherlands (EKN), and the Consultants Consortium need to be shared by TTPS/ with the Ministries participating in PPSP 4 Formal status and ownership of SSK Methodology SSK concept plays an important role in PPSP. The formal status, required contents, quality, endorsement, and ownership of the SSK Methodology need to be formally regulated between TTPS members Program Management Unit () 5 Roadmap, specifying PPSP targets only, needs to be expanded with Who, When, How documentation Preparation of a comprehensive Program Management Manual (PMM), to be prepared in close cooperation between TTPS and with support from USDP Bappenas TTPS TTPS (USDP) TTPS USDP 6 Overall full time management of PPSP and its Allocate funds for a fulltime TTPS 4-1

23 No Issues Recommendation require urgent upgrading in qualitative and quantitative terms 7 Legal Status of PPSP as a national program (Draft INPRES documentation prepared by USDP) (Executive) Director, recruit and appoint such Director; preference should be given to someone with a PU background at sufficient senior level INPRES documentation to be processed urgently; is most relevant for required multi year budgeting 8 Coordination between and PIUs to be improved Establish fixed meeting cycle with senior representation, formal agendas and Minutes of meeting specifying decisions and actions. Achievements, delays and substandard performance to be reported to higher echelons of participating Ministries at regular intervals 9 Resources, staff and funds, at and PIUs need to be expanded and increased in qualitative and quantitative terms for a program of the size of PPSP. 10 Distribution of tasks and responsibilities between and PIUs to be elaborated and clarified (e.g. ownership and responsibility for EHRA studies) 11 PPSP procedures, e.g. on DAGRI s Circular Letter to local government, require further elaboration in order to improve quality and speed of process and output 12 Proper scheduling and budgetary planning of events/workshops Program Implementation Units (PIUs) 13 Resources, staff and funds, at and PIUs need to be expanded and increased in qualitative and quantitative terms for a program of the size of PPSP. Formation plan on staffing ( ) for and PIUs to be developed; in addition capacity building and training plan Integrated work plan PIUs, PMM, distribution of operational tasks, MONEV on PIUs activities incl. enforcement options Guiding and coordinating role of, based on PMM Events: annual program to be established complete with budget and funding contributions from various parties Formation plan for and PIUs to be developed; in addition capacity building and training plan 14 Level of understanding of PIU staff on mobilization of authority and resources, in particular funds, within their own Ministry Specific training for PIU staff 15 Ownership in PIUs to be strengthened Level of delegation of responsibilities, and related decision making power and resources mobilization to be improved in order to enable PIUs to become creative vibrant initiating entities 16 Status of Provincial and City Facilitators Ensure fulltime availability of facilitators in PPSP participating cities/regencies, under multi year contracts 17 Information materials on PPSP need more completeness and coherence Once the modus operandi of PPSP is elaborated in more detail in the Program Management Manual updates on information materials need to be prepared; storage at central site, with improved Main Actors TTPS PIUs TTPS (USDP) TTPS TTPS PIUs TTPS PIUs (USDP) USDP TTPS TTPS PIU A 4-2

24 No Issues Recommendation accessibility 18 Development of Program Memorandum Position of PU and PIU T re. Program Memorandum to be clarified shortly 19 For the further elaboration of SSKs and development of Program Memorandum the Local Governments are in need of Guidelines and criteria for investment and funding 20 Local Governments needs guidelines on sanitation systems and technology options which qualify for support from central government USDP 21 Central system for document storage and retrieval not operational yet Formalization of Minimum Service Standards (SPM) by PU is urgently required Guidelines to be prepared by PU/PIU T Development of USDP Sharepoint site; once completed its use will be more stimulated and enforced 22 Coherence between PIUs on operations Information exchange between USDP Cells at PIUs so as to keep informed about developments in each PIU, and be able to pursue coherence between the PIUs 23 Logframe as presented in Technical Proposal needs to address in more detail the Program Memorandum Stage, and some of specified outputs and deliverables 24 Information on non availability of USDP funds for implementation of PPSP activities Logframe to be updated for Final Inception Report Information to be circulated to PIUs by, so as to prevent further misunderstandings Main Actors TTPS PU PU PIU T PU PIU T USDP USDP USDP 4-3