Sustainable Higher Education Research Alliances (SHERA) Program Performance Report Quarter 1 FY 2018 (October - December 2017)

Cooperative Agreement No: AID-497-A-16-00004

Prepared for:

Jalu Cahyanto, AOR Peter Cronin, Director Education Office, USAID/

Prepared by:

Institute of International Education (IIE) January 2018

Table of Contents

List of Acronyms and Abbreviations ...... 1 Executive Summary ...... 3 I. SHERA University Partnerships/Centers for Collaborative Research ...... 4 1.1 ANBIOCORE – IPB Subaward Execution ...... 4 1.2 CCR Lead Direct Mentoring Sessions ...... 4 1.3 CCR Activities – Key Highlights during the Reporting Period ...... 5 a. CCR-ARI ...... 5 b. SMART CITY ...... 6 c. CDSR ...... 6 d. NCSTT ...... 7 e. ANBIOCORE ...... 8 II. Monitoring Evaluation and Learning (MEL) ...... 8 2.1 CCR Baseline Study ...... 9 2.2 CCR Needs Assessment...... 9 2.3 Data Quality Analysis ...... 9 III. Other Program Activities that Contributed to SHERA’s Achievements ...... 10 3.1 SHERA Talkshow Outreach Event ...... 10 3.2 Stakeholder Engagement ...... 10 a. USAID/Indonesia ...... 10 b. Government of Indonesia ...... 10 c. Private Sector ...... 11 IV. Operations ...... 12 4.1 SHERA Website ...... 12 V. Challenges ...... 12 5.1 Monitoring, Evaluation and Learning ...... 12 5.2 Request for activity to address gender-related performance indicator ...... 13 5.3 IIE’s CCR Payment Advance and Financial Reporting Review Process ...... 13 5.4 CCR’s Operational and Program Capacity ...... 13 VI. Activities Anticipated for Next Quarter (January – March 2018) ...... 14 6.1 CCR Quarterly Meeting ...... 14 6.2 CCR Direct Mentoring ...... 14 6.3 Stakeholder Engagement ...... 14 6.4 USAID Mission Director Visit to CDSR - UGM ...... 14 6.5 MEL ...... 15 Annex 1: SHERA Quarterly Activity Record ...... 16 Annex II: CCR Quarterly Activity Record ...... 18

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List of Acronyms and Abbreviations ANBIOCORE Animal Biotechnology and Coral Reef Fisheries AOR Agreement Officer Representative BLU Badan Layanan Umum/Semi-autonomous Public Universities CCR Center for Collaborative Research CCR ARI CCR for Acute Respiratory Infections CDSR Center for the Development of a Sustainable Region DIPI Dana Ilmu Pengetahuan Indonesia/Indonesian Science Fund DQA Data Quality Assessment GDA Global Development Alliance GOI Government of Indonesia HEI Higher Education Institution IDIF Indonesian Danone Institute Foundation IIE Institute of International Education IPB Institut Pertanian Bogor/Bogor Agricultural University IRFF Indonesia Research Fund Forum ITB Institut Teknologi Bandung/Bandung Institute of Technology ITS Institut Teknologi Surabaya/Surabaya Institute of Technology KEMRISTEKDIKTI Ministry of Technology, Research, and Higher Education LPIK Lembaga Pengembangan Inovasi dan Kewirausahaan/Institute for Innovation and Entrepreneurship Development MIS Management Information System MEL Monitoring, Evaluation, and Learning MSU Mississippi State University NCSTT National Center for Sustainable Transportation Technology NREL National Renewable Energy Laboratory PIRS Performance Indicators Review Sheets RSHS Rumah Sakit Hasan Sadikin, Hasan Sadikin Hospital SHERA Sustainable Higher Education Research Alliances SMART CITY Scientific Modeling, Application, Research, and Training for City-centered Innovation and Technology SSU Savannah State University ST&I Science, Technology & Innovation TOD Transit-oriented Development UBB Universitas Bangka Belitung/University of Bangka Belitung UCB University of Colorado, Boulder UF University of Florida UGM Universitas Gadjah Mada/ UI Universitas Indonesia/ UIUC University of Illinois, Urbana-Champaign UNAIR Universitas Airlangga/ UNDANA Universitas Nusa Cendana/University of Nusa Cendana UNDIP Universitas Diponegoro/ UNG Universitas Negeri Gorontalo/University of Negeri Gorontalo UNIBRAW Universitas Brawijaya/ UNIPA Universitas / UNLAM Universitas Lambung Mangkurat/University of Lambung Mangkurat UNPAD Universitas Padjadjaran/ UNPATTI Universitas Pattimura/ UNRAM Universitas Mataram/ URI University of Rhode Island UNS Universitas Sebelas Maret/ UNSRI Universitas Sriwijaya/ UNSYIAH Universitas Syiah Kuala/

UNUD Universitas Udayana/ USAID United States Agency for International Development USG United States Government

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Executive Summary

From October 1- December 30, 2017, the Institute of International Education (IIE) completed a number of activities and milestones necessary to implement the Sustainable Higher Education Research Alliances (SHERA) program (Cooperative Agreement AID-497-A-16-00004). SHERA aims to foster linkages between Indonesian higher education institutions (HEI) and U.S-based universities, and across diverse Indonesian universities to enhance the research capacity of Indonesian HEIs in science, technology, and innovation (ST&I), improve the enabling environment for quality research, and promote access to research and professional development opportunities for women.

Of note, IIE finalized its pre-award process for all identified Indonesian HEIs to establish and host Centers for Collaborative Research (CCR) by executing its final subagreement with Institute Pertanian Bogor (IPB) to establish Interdisciplinary Graduate Education and Research in Animal Biotechnology and Coral Reef Fisheries (ANBIOCORE) within the priority research area of Food Security and Self- Sufficiency. As a joint collaboration between leadership from IPB’s Department of Veterinary Sciences and Faculty of Fisheries and Marine Sciences, ANBIOCORE will work with its institutional members and private sector and government partners to develop a collaborative engagement in fisheries, animal, and veterinary sciences that links biotechnology and sustainable food production through innovative research and high-quality education.

As reported last quarter, all CCRs faced the initial challenge of accessing funds, due to a lack of 1) processes and efficient systems for transferring funds internally, and 2) experience managing U.S. government (USG) funds. During this quarter, SHERA spent significant time addressing these challenges by conducting direct mentoring sessions to all CCR leads; working with the Government of Indonesia (GOI) Ministry of Research, Technology and Higher Education (Kemristekdikti) and CCR institutional leadership to document primary challenges and identify solutions; coordinating a meeting between necessary stakeholders to determine next steps; and conducting a needs assessment to determine the CCRs’ needs for immediate capacity building and near-term technical assistance to ensure their success in meeting their target results and supporting SHERA in achieving its objectives.

Other highlights from the quarter included organizing the first in a series of outreach events, referred to as SHERA Talk Shows, for CCR scholars, Kemristekdikti, and USAID to discuss CCRs’ research and innovations within their priority focus area, and demonstrate the role of SHERA in shaping the conversations within these areas in front of a live audience. This quarter’s event focused on Indonesian maritime research and innovation, and highlighted ANBIOCORE’s research on fisheries to support Indonesia’s food autonomy and the Center for the Development of a Sustainable Region’s (CDSR) research on the use of microalgae as a sustainable bioenergy supply option for the archipelago.

Lastly, the four CCRs who signed subagreements during the last quarter, Center for Collaborative Research on Acute Infectious Disease (CCR-ARI), Scientific Modeling, Application, Research, and Training for City-centered Innovation and Technology (SMART-CITY), CDSR, and National Center for Sustainable Transportation Technology (NCSTT), moved from start-up to full program implementation during this quarter. Program highlights included:

• CCR-ARI finalized and submitted their research protocols and questionnaire to their faculty’s ethics committee to seek approval for conducting human-subject research related to their proposed burden of disease study. • SMART-CITY conducted an Academic Writing Short Course for Junior Faculty Members & Graduate Students, in which 70% of participants (21) submitted articles for mentor review. • CDSR worked with their partners to submit papers to international journals and one conference proposal within their research area. • NCSTT organized a conference focused on innovations in electric vehicle supporting infrastructure.

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I. SHERA University Partnerships/Centers for Collaborative Research

1.1 ANBIOCORE – IPB Subaward Execution During this quarter, the Institute of International Education (IIE) executed its final subagreement with the identified Indonesian higher education institutions (HEI) to establish and host the project’s Centers for Collaborative Research (CCR). On October 28, it signed a subaward with the Institut Pertanian Bogor (IPB) to establish the Interdisciplinary Graduate Education and Research in Animal Biotechnology and Coral Reef Fisheries (ANBIOCORE) within the priority research area of Food Security and Self-Sufficiency, for a period of performance of October 1, 2017 – March 4, 2021.

SHERA anticipated a long pre-award negotiation process with this subrecipient because, as noted in past quarterly reports, SHERA determined during the pre-award risk assessment site visit that the candidate did not have the management capacity to handle the large funds under this subaward. For this reason, the original candidate, focused on cattle biotechnology for increased food production, and the alternate candidate from the same university, in the Faculty of Fisheries and Marine Sciences, integrated their proposals into one. The one, integrated proposal created a CCR that will work with institutional, private sector and local government partners to develop a collaborative engagement in fisheries, animal, and veterinary sciences that links biotechnology and sustainable food production through innovative research and high-quality education. This will enable the private sector and national and provincial governments to better plan for present and future food production systems on land and in the ocean. Institutional partnerships include Universitas Papua (UNIPA), Universitas Syiah Kuala (UNSYIAH), Universitas Padjadjaran (UNPAD), Universitas Brawijaya (UNIBRAW), Universitas Udayana (UNUD), Universitas Mataram (UNRAM), and Universitas Nusa Cendana (UNDANA) in Indonesia; and University of Rhode Island (URI) and Mississippi State University (MSU) in the U.S.

To ensure these two proposals were integrated smoothly, the SHERA team worked with the CCR representatives closely during the quarter, to support the team in developing an optimal CCR management structure, program description and budget. In the new structure, the CCR representative with expertise in animal biotechnology will be the CCR Director and the CCR representative with expertise in coral reef fisheries management will be the CCR Partnership Manager. This management approach will ensure that the CCR’s leadership represents both research areas and, in turn, will support the implementation of activities to achieve an integrated Monitoring, Evaluation and Learning (MEL) plan.

1.2 CCR Lead Direct Mentoring Sessions Per SHERA’s Year 2 workplan, to ensure CCR leads’ success in complying with SHERA’s requirements and procedures, SHERA conducted direct mentoring sessions during the quarter with each CCR. SHERA identified some topics to discuss based on overall programmatic updates, while other topics were determined in communication with each CCR prior to the meeting. Specifically, the SHERA team met with: • Center for the Development of a Sustainable Region (CDSR), led by Universitas Gadjah Mada (UGM), in Yogyakarta from October 18-20 to provide further training on voucher management, install the CCR-wide accounting system (QuickBooks), provide a refreshment session on the accounting system, and finalize their financial reporting through October. • ANBIOCORE-IPB at the SHERA office in Jakarta from November 8-10 to review their subaward under SHERA, review their M&E Plan and Implementation, and share information on quality benchmarking. • Center for Collaborative Research in Acute Respiratory Infections (CCR-ARI), led by Universitas Padjadjaran (UNPAD), in Bandung on November 14 and 17 to provide QuickBooks trouble shooting, and follow-up on financial reporting documentation and transaction filing. • National Center for Sustainable Transportation Technology (NCSTT), led by Institut Teknologi Bandung (ITB), in Bandung from November 15-16 to install QuickBooks, conduct training on the accounting system, and review financial transaction documentation and filing.

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• Scientific Modeling, Application, Research, and Training for City-centered Innovation and Technology (SMART-CITY), led by Universitas Indonesia (UI), in Depok from November 22-23 to provide QuickBooks trouble shooting, and follow-up on the CCR’s financial reporting documentation and transaction filing.

1.3 CCR Activities – Key Highlights during the Reporting Period This section provides general highlights from the CCRs’ activities during the reporting period. For additional details, see Annex I and II.

a. CCR-ARI Within SHERA’s research priority area of public health and infectious disease, CCR-ARI aims to enhance the capacity among Indonesian universities to perform quality and high-impact clinical research that addresses the burden of disease and use of immunizations, and prevents viral and bacterial respiratory illnesses in highly-impacted populations, specifically young children, pregnant women, and the elderly. During this quarter, CCR-ARI focused on negotiating and executing subagreements with four of its Indonesian affiliate members. Additionally, the CCR focused its attention on addressing the challenge that SHERA reported last quarter related to CCR-ARI-UNPAD’s access to funds from the rectorate bank account. Representatives from SHERA and the CCR’s leadership met with the Director of Finance to share the purpose of the subawards and umbrella agreement between the GOI and USAID, within which SHERA falls, as well as best practices on how other CCR lead institutions handle this type of funding. With an increased understanding, UNPAD’s Rector granted approval for the CCR to use the funds without being taxed.

As a special condition of the subawards between IIE and UNPAD, the CCR must receive approval from their ethics board before conducting human-subject research. During this quarter, CCR-ARI finalized and submitted their complete research protocols and questionnaire to UNPAD’s Faculty of Medicine ethics committee and is awaiting final approval. In addition, they’ve applied for research permits from three government agencies and already received permits from two of them. Once they receive ethical clearance and all the necessary permits, the CCR can proceed with its planned applied clinical research at the network hospitals. Meanwhile, CCR-ARI and U.S. affiliate partner University of Colorado, Denver (UCD) began weekly meetings to finalize a separate questionnaire. Lastly, in preparation for subject recruitment, CCR-ARI released an open call for doctors to participate in the research at its sites in Bandung and the surrounding area.

To ensure achievement of outcome targets, CCR-ARI established working groups for each of the CCR’s focus areas - Research, Education and Policy Study - which CCR scholars with education, experience and interest in the various topics will fill.

During the quarter, UCD faculty member Eric Simoes visited CCR ARI-UNPAD and led an Instrument Validation Workshop for UNPAD scholars and doctors at a participating hospital, Hasan Sadikin Hospital (Rumah Sakit Hasan Sadikin, RSHS). Dr. Simoes and UNPAD Faculty of Medicine members also led a Protocol Training for CCR field doctors and lab technicians, and doctors, nurses and lab technicians from network hospitals who will treat patients. With the training complete, they are one step closer to initiating the burden of disease subject recruitment, which they plan to begin in January 2018.

In addition, during the quarter CCR-ARI conducted site visits to several of its Indonesian affiliate members to assess their readiness and capacity for participation in the research. From the site visits, CCR-ARI-UNPAD determined that not all affiliate members have the needed -80oC freezer for bio- specimen storage. After communicating this need, affiliate members Universitas Lambung Mangkurat (UNLAM) and UNRAM procured the necessary equipment, UNSYIAH improved their electrical system to support such a freezer, and Universitas Pattimura (UNPATTI) agreed to procure the needed freezer shortly. CCR-ARI also visited network hospitals that will act as human subject recruitment centers in Bandung, Banda Aceh, Banjarmasin, and Ambon.

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Lastly, CCR-ARI-UNPAD conducted a Grants Management and Monitoring training for all Indonesian affiliate members to disseminate the consortium’s processes and management structure. Each affiliate partners’ Partnership Manager and Finance and Grants Manager attended the two-day training. In the near future, CCR-ARI plans to post their internal process flow to their website and institute weekly virtual meetings with all institutional partners to discuss the research process and discuss management challenges.

Representatives from CCR-ARI U.S. affiliate partner, UCD, assess current procedures at a participating hospital in Bandung. b. SMART CITY Within the research priority area of urban planning and development, SMART CITY aims to encourage research groups, technical laboratories and individual researchers to use interdisciplinary approaches in their work, collaborate on a global scale, and create scientific and technological innovations to respond to contemporary urban challenges. SMART CITY made strides this quarter in signing subagreements between UI and the CCR’s U.S. affiliate members, University of Florida (UF), Savannah State University (SSU) and University of Illinois, Urbana-Champaign (UIUC). This came after meetings with each to discuss the unique terms of their subawards.

During this reporting period, SMART CITY conducted an Academic Writing Short Course for Junior Faculty Members and Graduate Students from October 24-26 in Depok. Participants included students and scholars from its lead and Indonesian affiliate partners, including UI, UNPAD, Universitas Diponegoro (UNDIP), UNUD, and UNSRI. Of the 59 participants, 21 submitted articles following the course for review by mentors. As the CCR set its target number for the first event at 30, SMART CITY was pleased with its 70% achievement rate. Participants at SMART CITY’s Academic Writing Short Course c. CDSR CDSR, SHERA’s CCR within the research focus are of energy, environment and maritime sciences, is a multidisciplinary partnership that aims to ensure energy-efficiency and independence within

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Indonesia. During the quarter, CDSR representatives visited their U.S. affiliate member, University of Colorado, Boulder (UCB) to negotiate the terms of their subaward and discuss research implementation planning. Specifically, they discussed strategies for achieving targets related to SHERA’s performance indicators, planned for an upcoming visit for 32 Indonesian researchers to Colorado, and reviewed contract administration between UGM and UCB, which is still under negotiation and will take additional attention in the upcoming quarter. Building fluent and effective communication between CDSR’s Indonesian team and UCB was among the key successes from their trip to Colorado. CDSR representatives discussing their research plan with a representative from U.S. affiliate member, UCB While in Colorado, CDSR also visited the National Renewable Energy Laboratory (NREL) and meet with representatives to discuss their role as a CCR partner member, including leading trainings. Collaboration between CDSR and NREL will be developed with support from UCB in their Year 2 workplan.

Lastly, CDSR submitted a paper on biorefinery, co-authored by CCR scholars from institutional partners Institut Teknologi Surabaya (ITS), UI and UGM.

d. NCSTT As SHERA’s CCR within the research focus area of innovative technologies, NSCTT aims to work with it’s institutional, private sector and local government partners to provide an integrated transportation solution within the fields of technology, policy, infrastructure, and planning. During this period, NSCTT held the International Conference on Electric Vehicular Technology in from October 2-5, which focused on innovations in electric vehicle supporting infrastructure. CCR researchers and international technical experts attended.

Participants at the International Conference on Electric Vehicular Technology (ICEVT) 2018, Bali Additionally, on October 12, NCSTT collaborated with ITB’s Institute for Innovation and Entrepreneurship Development (Lembaga Pengembangan Inovasi dan Kewirausahaan, LPIK) to hold the ITB CEO NET & Technopreneurship Festival 2017, aimed at strengthening collaboration between higher education and industries and supporting research-based industrial innovation. NCSTT moderated a discussion forum on innovations in the country’s transportation industry, which included

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panelists from private sector companies, Indonesian Ministry of Transportation, Jakarta Mass Rapid Transit Corp. and researchers from ITB. NCSTT discussed transportation challenges in Indonesia, opportunities to collaborate with higher education, government and industry, and the powerful role of research collaborations such as SHERA.

In addition, an NCSTT scholar attended the International Conference on Engineering, Technology and Industrial Applications (ICETIA) from December 13-14 in Solo, Central . The scholar presented on the CCR’s NCSTT's session at the ITB CEO Net & Technopreneurship 2018, Bandung research results on the Metrocapsule Project, the proposed light rail system for Bandung, which is currently in the prototype stage.

On October 27-28, NCSTT held a workshop for the CCR’s research cluster teams at ITB to inform the researchers on the CCR’s expected outcomes, administrative requirements and management flows. Representatives from each Indonesian affiliate member attended. Following the workshop, several of the research clusters held coordination meetings. NCSTT’s REES Battery Characterization research clusters held a coordination meeting on December 15 at ITB with affiliate members UNSRI, UNDIP, and Universitas Sebelas Maret (UNS) to discuss the cluster’s research agenda, procurement procedures and budget allocation. NCSTT’s Transit-oriented Development (TOD) cluster held a coordination meeting on December 18-19 at UNSRI in Pelambang to plan for their research activity and upcoming site visits. The local site visit within Bandung was conducted on December 22-27.

e. ANBIOCORE As ANBIOCORE’s subaward was signed this quarter, their primary activity focused on technical meetings between the CCR lead and affiliate members to discuss the CCR’s strategic plan during the award, including training, research and publication targets, and lines of communication within the CCR.

ANBIOCORE's technical meeting with representatives from all Indonesian affiliate members, Bogor

II. Monitoring Evaluation and Learning (MEL) During this reporting period, SHERA’s MEL team confirmed the CCR baseline data, finalized the baseline study, and provided direct mentoring to CCRs. These activities are the basis for which the project will review its Performance Indicators Reference Sheets (PIRS) and develop an online data recording and management platform.

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2.1 CCR Baseline Study As reported in the last several quarterly reports, SHERA conducted a baseline study to assess the CCRs’ current conditions as they relate to the following topics: • Partnership capacity, and understanding of roles and responsibilities within the CCR; • Collaborative research capacity, including research quality, access to journals and readiness to utilize IT-based virtual platforms; and • Current activities and resources as they relate to SHERA’s results framework.

Understanding the CCRs’ current capacity, resources and activities will help SHERA identify technical assistance and capacity building activities to ensure the CCRs’ success in implementing their activities, meeting their target numbers, working towards sustainability, and supporting SHERA to achieve its program objectives. Last quarter, SHERA spent time during the one-on-one kick-off meetings clarifying definitions and survey questions. With this additional understanding, CCRs submitted updated responses. Through this process, SHERA discovered that the CCRs had different interpretations of some of the questions and which level within their institution they should consider in their response (institutional-level, faculty-level, etc.).

The initial findings of the baseline study exposed the strengths and weaknesses of each CCR member, and illustrated the capacity gap between and among the lead and affiliate institutions. One key finding from the study is that all CCR leads will have difficulty achieving SHERA’s second intermediate results indicator - ratio of citations to publications produced by Indonesian researchers – because, as it is currently listed in the program’s PIRS, the indicator only counts journal citations in Scopus. Through data analysis and discussions during the kick-off meetings, SHERA now knows that CCR institutions prefer alternate, user-friendly platforms, such as Research Gate and Google Scholar. SHERA plans to consult with Kemristekdikti whether the research database they created, Science and Technology Index (SINTA), could be a viable option before discussing any adjustment with this indicator with USAID/Indonesia.

Given the needed revisions to the data, SHERA completed the re-coding and analysis of the CCR baseline data during this reporting period. The MEL team is currently finalizing the findings and SHERA’s recommendations on how to use the findings to best support the CCRs. In the upcoming quarter, SHERA will present this to USAID and Kemristekdikti for further input and recommendations of how best to use this information to support the CCRs’ capacity.

2.2 CCR Needs Assessment As outlined in SHERA’s Year 2 work plan, to support the CCRs early in their implementation, SHERA conducted an online needs assessment to identify those areas where immediate capacity building is needed to ensure their success. The initial deadline for the CCRs to complete the online assessment was November 17, however not all CCRs completed it by this date. SHERA’s provided an extension to November 26, as it was important to receive input from all CCRs. This delayed the analysis of the results, which are now expected to be available by mid-February 2018. SHERA will share the findings with USAID and Kemristekdikti for their input on the type of capacity building most needed in the immediate future. The project will also use this information in identifying potential training sessions during the SHERA Annual Conference in the summer of 2018.

2.3 Data Quality Analysis During the quarter, SHERA’s MEL team meet on several occasions internally to assess the project’s data quality analysis (DQA). SHERA met with USAID to discuss their analysis and, together, they reviewed SHERA’s performance indicators that directly contribute to USAID/Indonesia’s performance program report in higher education. USAID identified one outcome indicator which does not match USAID’s gender required measurement, outcomes indicator 2.2.: % of CCR members with improved administrative and management systems in place. SHERA’s definition of this indicator, number of institutions in which improved research and management policies supported women’s access to participate in research collaboration, differs from that of the Mission, number of persons trained with

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USG assistance to advance outcomes consistent with gender equality or female empowerment through their roles in public or private sector institutions or organizations. As opposed to drafting a new indicator, SHERA and USAID decided to implement an additional activity that will address USAID’s definition of the outcome indicator 2.2. Following the meeting, SHERA’s MEL team began to work on such an activity, which will be shared with CCRs for consultation and feedback in the upcoming quarter. SHERA will share the results with USAID by mid-February 2018. See SHERA’s anticipated challenges in implementing such as activity in Section 5.2 below.

III. Other Program Activities that Contributed to SHERA’s Achievements

3.1 SHERA Talkshow Outreach Event SHERA initially planned for its first in a series of outreach events, termed SHERA Talk Shows, at @america on August 22 to bring together technical experts from CCRs, Kemristekdikti, and USAID to discuss recent research innovations and how SHERA is shaping the environment within its priority research areas. However, due to venue availability, @america moved the event to October 3. The event focused on Indonesian maritime research and innovation and included researchers from ANBIOCORE, Dr. Hawis Madduppa, who shared information on his research on fisheries to support Indonesia’s (Left to right) Dr. Hawis Maddupa (ANBIOCORE-IPB), Dr. Eko food autonomy, and CDSR, Dr. Eko Agus Agus Suyono (CDSR-UGM), Ahmad Hafidz (USAID/Indonesia), Suyono, who discussed the use of microalgae Peter Cronin (USAID/Indonesia, Education), Prima Setiawan as a sustainable bioenergy supply for the (SHERA/IIE) and Jalu Cahyanto (USAID/Indonesia AOR) Indonesian archipelago. Additionally, marine scientist and USAID representative Ahmad Hafidz moderated the conversation and encouraged interaction between panelists and participants, including scholars, researchers, ministry officials, development partners, and local high school students. See more details from the event in SHERA’s Quarterly Communications Report.

3.2 Stakeholder Engagement

a. USAID/Indonesia SHERA participates in monthly meetings with USAID/Indonesia to share updates on program performance, discuss current and anticipated challenges, and plan for the upcoming quarter.

b. Government of Indonesia SHERA participates in quarterly meetings with Kemrisktekdikti to report on SHERA’s performance and consult on key issues, which, this quarter, included financial management of semi-autonomous public universities (Badan Layanan Umum, BLU) and working unit public institutions, Scopus index, and Kemristekdikti technical reviewers’ involvement in monitoring the CCRs’ technical performance.

The GOI has also been heavily involved in several key internal challenges that have surfaced since CCR implementation. Namely, all CCRs experienced the same challenge related to a lack of internal and efficient systems to access funds from the rectorate-level bank account. As reported last quarter, SHERA has been in close communication with USAID, Kemristekdikti and all CCR leadership to address this challenge. Kemristekdikti is in the unique position to leverage their influence to encourage institutional leaders at each CCR lead to create internal efficiencies and enable CCRs to access these funds. A first step in leveraging Kemristekdikti’s influence took place on October 17 when Kemristekdikti hosted a meeting attended by all CCRs, in which they documented the primary challenges in accessing funds and agreed to send a letter to each institution’s rector noting the

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challenges. Dr. Ira N. Djarot, Director of Research and Development at Kemristekdikti, has since worked with the Secretary of the Directorate General of Research and Development Strengthening to review the letter and request the signature of the Directorate General of Research and Development Strengthening, who will have the most influence in affecting policy and process change. SHERA has since been informed that, before sending the letters to the rectors, it will first be shared with the Ministry of Finance to assess any potential compliance conflicts with national regulations.

In addition, through the leadership of Kemristekdikti’s Director of Research Systems, the GOI has actively worked with SHERA, the CCRs, and the leadership of their institutions to discuss and address the internal challenges related to funds management, procurement, and other key operational and administrative matters.

Lastly, SHERA has become a key resource to Kemristekdikti on several activities related to increasing the GOI’s research collaboration capacity. SHERA’s Program Director and MEL Specialist attended a Kemenristekdikti workshop on impact-based monitoring and evaluation using outcome mapping in Bandung on November 26-28. As a key resource during the event, SHERA presented their work related to the CCR Baseline Study, connecting workplans with MEL plans, and the role of performance indicators in leading program implementation. In addition, SHERA participated in monthly meetings as a part of a World Bank-funded program that is gathering international donors working Prima Setiawan, SHERA Program Director, explains the within the higher education sector in CCR’s internal challenges to access SHERA funds during a Indonesia to identify challenges in meeting with the GOI government and donor/development partnerships, as well as potential solutions. Out of these meetings, an informal multi-donor forum on research collaboration was created, called Indonesia Research Fund Forum (IRFF). This forum will meet quarterly and is housed temporarily at the Indonesian Science Fund (Dana Ilmu Pengetahuan Indonesia, DIPI). USAID and SHERA are both contributing members to the forum, and will lead the first meeting in the upcoming quarter.

c. Private Sector To ensure sustainability, SHERA sees the participation of the private sector as key contributor within research collaboration consortia. SHERA emphasized the importance of these private sector entities by including current private sector relationships or partners as an evaluation criteria during the selection process. Several of SHERA’s CCRs have longstanding relationships with private sector entities, and SHERA will support the CCRs to foster these relationships over their project periods.

In addition, SHERA actively seeks out potential partners and facilitates introductions to CCRs, based on needs and research focus, to continue to foster innovations and areas for growth. To support this initiative, USAID’s Global Development Alliance (GDA) introduced SHERA to ThermoFisher Scientific, a U.S. multi-national corporation with a primary business focus in science and a mission to enable customers to make the world healthier, cleaner and safer. During the previous quarter, SHERA coordinated an initial introductory meeting between Thermofisher, SHERA, and several of the CCRs. During this quarter, SHERA coordinated follow-up meetings with NSCTT-ITB and ANBIOCORE-IPB. As a result of these virtual meetings, Thermofisher will visit both campuses in March 2018.

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Additionally, USAID/Indonesia introduced SHERA to representatives from the Indonesian Danone Institute Foundation (IDIF), a non-profit organization whose parent company is Danone, a U.S.-based food company. IDIF’s objectives are to encourage research institutions pursuing new scientific findings, reduce funding barriers for talented scholars in pursuing graduate studies, encourage quality research, and promote publications of quality research in relevant international peer-reviewed journals. In November, SHERA coordinated an introductory meeting with IDIF and CCR-ARI-UNPAD. The two parties held a second meeting in December, however decided not to work together due to a lack of alignment in journal publication focus.

Lastly, the GDA introduced SHERA to Amazon World Services (AWS), a cloud database owned by Amazon. AWS promoted its service in supporting CCRs in cloud servers, data sharing and data computing. As a follow-up, the AWS Product Manager visited CDSR, and conducted virtual presentations to SMART CITY and NCSTT. In-person meetings have since been arranged to explore how the service can contribute to the CCRs’ activities.

IV. Operations

4.1 SHERA Website SHERA finalized the content and design for its program website this quarter and presented it to USAID. The website will be the primary online platform for SHERA to share program information with the general public. It will also be integrated with the CCR program portal, a private online space for CCRs to share information with one another. After review, SHERA’s AOR provided some feedback, and, ultimately, approved the final product. The USAID Communications team in Washington D.C. is currently reviewing the website for final approval.

V. Challenges

5.1 Monitoring, Evaluation and Learning In working with the CCR leads in-depth over the quarter, SHERA’s MEL team identified some initial key implementation challenges: • The majority of CCRs’ Year 1 MEL Plans continue to be mis-aligned with their Implementation Plans. This has to do with the CCR MEL Specialists’ lack of clarity in how the CCRs’ activity results contribute to the program’s performance indicators. For this reason, CDSR-UGM and ANBIOCORE-IPB do not have approved MEL Plans. SHERA will continue to provide technical assistance and direct mentoring in the upcoming quarter. • As it is currently defined, SHERA’s output indicator 3.2, # of scholars at CCR institutions with increased access to external research resources and academic research engines, will require an unrealistic investment of funds for CCRs to meet current targets. Additionally, CCR leads have expressed strong concern in their ability to provide their affiliates access to the platforms, based on account and log-in requirements. SHERA discussed these details with USAID during the DQA meeting process, and suggested adjusting this indicator to include e-library platforms used by other USAID/Indonesia projects that are less expensive and can be integrated on all CCR websites, enabling access among all CCR members to these resources. SHERA plans to wait until after dissemination of the CCR baseline study to make any revisions to the indicator. • Each CCR has a unique research design and management structure, which contributes to the complexity of the project’s MEL system and its quality benchmarking. In addition, the majority of the CCRs’ MEL teams are academics and researchers with minimal experience in programmatic performance monitoring. Thus, SHERA’s online data management information system (MIS) is critical to ensure the integrity of data collection, recording and reporting by having safeguards to minimize the risk of transcription errors or data manipulation. In addition, this system will correspond with subaward spending per designated activity, providing a further value to the CCRs and a more rebust monitoring system for the project. SHERA will conduct consultation to MIS specialists who worked on past USAID/Indonesia projects in the upcoming quarter.

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5.2 Request for activity to address gender-related performance indicator Based on the DQA consultation meeting, USAID/Indonesia requested that SHERA plan additional activities to contribute to the identified gender related indicator. SHERA believes that project-level results will be achieved if 1) CCRs have an improved understanding of the need to include gender mainstreaming at the institutional policy-level, and 2) institutions commit to updating policy accordingly and ensuring the policies are implemented.

SHERA sees funding as a key challenge to implementing additional activities as neither the project nor the CCRs have budgeted for theses. Additionally, the advocacy process at the institutional-level to address gender gaps takes time, as it is yet to be their main priority and there is no guarantee it would happen during the life of the project. SHERA will discuss with the CCRs for further input during the upcoming CCR Quarterly Meeting in January. This input will be shared with USAID during SHERA’s next quarterly meeting in mid-February.

5.3 IIE’s CCR Payment Advance and Financial Reporting Review Process CCRs have experienced delays in receiving funds due to the amount of time needed by the SHERA field office and home office to review and process their advance payment requests and financial reports. IIE is currently working to review its processes and procedures, and refine accordingly to increase efficiency and further streamline the process.

5.4 CCR’s Operational and Program Capacity Along with the operational and programmatic successes each CCR experienced, each CCR also experienced unique challenges this quarter. See an overview of each below:

CCR ARI – UNPAD CCR-ARI’s U.S. affiliate, UCD, has experienced internal challenges setting up their award with UNPAD in their systems. For this reason, although UNPAD has executed a subagreement with UCD, they have yet to receive an invoice. This impacts their appeared burn rate for the quarter. CCR-ARI is currently in conversation with UCD’s administration to understand the challenges, as well as what they can do to move this process forward. SHERA has also offered to provide guidance, if needed.

In addition, as mentioned above, CCR-ARI will require freezers that stay at -80oC to store bio- specimen from recruited subjects for microbiological examination. When conducting site visits, CCR- ARI was concerned to see that none of the affiliate members’ faculty labs or the network hospital in Ambon had such a freezer. It was a challenge for UNPAD to persuade the institutions to procure such a freezer, but they were ultimately successful.

SMART CITY - UI The CCR is facing significant administrative delays in accessing the funds from the rectorate account due to UI’s internal policies which require that their Finance Department review each proposed activity and detailed budget before releasing funds. SHERA representatives visited UI on November 27 to meet with its Office of Research Administration, and Departments of Treasury and Procurement within the Rectorate Finance team to discuss the challenges related to the internal flow of funds and procurement policies and possible solutions. As a stop-gap solution, the CCR has begun submitting activity details and budgets for multiple activities at once, to ensure timely access to funds. Hence, the planning and implementation time for each activity is longer than in the previous period.

CDSR – UGM CDSR experienced a delay in receipt of subaward funds due to incomplete procurement procedures and financial reports. This caused a delay in implementing planned activities and impacted the CCR team’s morale. As mentioned above, SHERA conducted direct mentoring sessions with CDSR in Yogyakarta in mid-October. Since then, CDSR’s financial reporting process has noticeably improved. An anticipated administrative challenge that CDSR began to discuss this quarter is the transfer of funds to their U.S. affiliate member, UCB. Due to the fact that the funds will be transferred in IDR and

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converted to USD, there will be a noticeable funds loss. In addition, UCB has noted that UGM’s payment mechanism will lead to an additional internal administrative fee. UGM will discuss further with UCB during contract drafting in the upcoming quarter in the hopes of reaching an agreement that benefits both institutions.

NCSTT – ITB The primary challenges NCSTT encountered this quarter were related to finance, program implementation and information systems. As the funding mechanism for the subawards under SHERA is different than grants from the GOI, ITB’s typical funding source, the CCR is still learning the new funds request process, approval flows, and procurement expectations. This caused a delay in submitting payment requests, receiving funds and, therefore, implementing activities. The delayed funding disbursement has also impacted their researcher’s enthusiasm. NCSTT and SHERA are working together to address these delays through continued communication and direct mentoring.

Lastly, the CCR is having a hard time accurately tracking data on program activities in a timely manner, especially for the time-intensive indicator that requires tracking citations of all researchers’ academic publications. To address this, NCSTT plans to develop a platform that will monitor of researchers’ academic publications and citations.

ANBIOCORE - IPB ANBIOCORE had to delay their technical meeting, which impacted the time by which they being working with their affiliates to identify roles and responsibilities and begin program implementation. The event was still able to happen in the quarter and the CCR is moving forward in activity planning and implementation. In addition, ANBIOCORE is currently struggling to reconcile funds spent on three CCR staff members hired by IPB three months before their period of performance. IPB is still determining how to handle these employees’ salary payments since the project cannot cover these expenses.

VI. Activities Anticipated for Next Quarter (January – March 2018)

6.1 CCR Quarterly Meeting Starting in Year 2, SHERA will implement quarterly meetings for all CCR lead representatives (leadership and management) to report on progress, successes, challenges and solutions over the last quarter and conduct planning for the upcoming quarter. This will include a review of each CCR lead’s work plan and budget, achievements and challenges in meeting key targets, and lessons learned. Attendees will include representatives from Kemristekdikti and USAID. The first meeting will take place in the upcoming quarter, at CCR-ARI-UNPAD in Bandung from January 15 – 17.

6.2 CCR Direct Mentoring SHERA’s Grants and MEL teams will conduct direct mentoring to each CCR lead in the upcoming quarter. The topics will include MEL, financial and grants management, and communications and outreach, however SHERA will customize the agendas to the needs and unique challenges of each CCR lead. The schedule will be determined in collaboration with each CCR lead, however, knowing that the first CCR Quarterly Meeting will take place in Bandung in January, SHERA will optimize the travel by conducting direct mentoring to NCSTT-ITB and CCR-ARI-UNPAD following the meeting.

6.3 Stakeholder Engagement As mentioned above, SHERA will co-lead IRFF’s first quarterly meeting at the DIPI office in February.

6.4 USAID Mission Director Visit to CDSR - UGM USAID/Indonesia Mission Director, Ryan Wishburn, will visit CDSR–UGM as a part of the planned trip to Yogyakarta on February 12. While awaiting a detailed agenda for the visit, SHERA is working with USAID and CDSR to draft a schedule and possible activities for his visit to the CCR.

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6.5 MEL In February, SHERA’s MEL team will present the CCR Baseline Study findings and recommendations to key stakeholders, including USAID and Kemenristekdikti. Direct mentoring sessions will focus on supporting the CCRs in their development of a MEL system and supporting the project in developing an MIS. Based on the findings, SHERA will continue with the development of a MIS over the next several quarters. In addition, all CCRs will submit program benchmarks to SHERA to ensure the same standard monitoring measurement across CCRs.

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Annex 1: SHERA Quarterly Activity Record

Participants Rector/ Total # of Location/Ci Faculty/ Date Activity Purpose of Activities Vice Participants Total ty SHERA Rector F M F M F M Provide assistance on voucher Direct Mentoring to Oct 18-20 preparation, install QuickBooks and CDSR office, 5 1 5 1 12 CDSR-UGM finalize financial reports through October Yogyakarta Ensure the reliability and quality of Data Quality Assurance SHERA’s program indicators, and its 20-Oct 1 3 1 3 8 Meeting contribution to the USAID mission SHERA performance indicators office, Jakarta Direct Mentoring to Finalize the CCR’s MEL Plan and 31-Oct SHERA 2 3 2 3 10 CCR-ARI Implementation Plan office, Jakarta Train the CCR on SHERA’s subaward, Direct Mentoring to finalize the MEL Plan and its 8 - 10 Nov 4 7 4 7 22 ANBIOCORE-IPB Implementation Plan, share information on SHERA quality benchmarking office, Jakarta Kemenristekdikti Increase capacity in M&E based on Seminar and outcome mapping International Workshop: Planning 26 - 28 Nov Bandung 2 2 2 2 8 Impact Based Monitoring and Evaluation, using Outcome Mapping

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14 Nov and Direct Mentoring to Provide follow-up training on QuickBooks CCR-ARI 2 2 2 2 8 17 Nov CCR ARI- UNPAD and financial transactions filing office, Bandung Install and provide training on NCSTT Direct Mentoring to QuickBooks, provide follow-up support 15 - 16 Nov office, 3 1 3 1 8 NCSTT-ITB on financial transactions filing, support the Bandung reconciliation of pre-financing

Direct Mentoring to Provide follow-up training on QuickBooks 22 - 23 Nov 2 2 2 2 8 SMART CITY-UI and financial transactions filing DRPM office, Depok Meeting with UI Office of Research Administration, 27-Nov Departments of Discuss the challenges related to the UI, Depok 1 1 3 4 4 5 18 Treasury and internal flow of funds and procurement Procurement with the policies Rectorate Meeting facilitated by Kemenristek with Discuss and document challenges in USAID, SHERA and 17-Oct accessing funds and procuring goods and 1 1 2 6 3 7 20 CCRs to discuss services internal administrative Hotel Blue challenges Sky, Jakarta Update program's progress and discuss Monthly meeting USAID office, 15-Dec highlights and issues in program 3 4 3 4 14 USAID - SHERA Jakarta implementation

Total 2 2 29 35 31 37 136

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Annex II: CCR Quarterly Activity Record

Total # of Location/ No CCR Date Activity Purpose of Activities Participants Total City F M Site preparation site visit to Mataram Disseminate CCR-ARI’s business Mataram, 1 CCR-ARI 5-6 Oct 9 9 18 to stablish the research consortium process and its target achievements NTB Site preparation site visit in Ambon to Disseminate CCR-ARI’s business Ambon, 2 CCR-ARI 3-6 Oct 23 9 32 stablish the research consortium process and its target achievements Site preparation site visit to Disseminate CCR-ARI’s business Banjarmasin 3 CCR-ARI 16-17 Oct Banjarmasin to establish the research process and its target achievements 7 10 17 , KalSel consortium Develop the clinical research 4 CCR-ARI 9-23 Oct Instrument Development workshop instrument Bandung 11 23 34 Meeting on Massive Open Online Develop MOOC material for the 5 CCR-ARI 9-Nov Bandung 1 2 3 Course (MOOC) development CCR’s online course Grant Management and Monitoring SHERA program frameworks, and 6 CCR-ARI 20-21 Nov Bandung 5 3 8 training monitoring and reports standards Prepare for upcoming Short Course Preparation meeting for Short Course 7 CCR-ARI 20-Nov on Clinical Epidemiology, to be held Bandung 0 2 2 on Clinical Epidemiology January 2018 Prepare the instrument validation 8 CCR-ARI 9 - 15 Nov Instrument Validation Workshop once the ethical clearance is released Bandung 9 6 15 Meeting to prepare for Digital Library Prepare for the digital library 9 CCR-ARI 20-Dec Bandung 1 3 4 Improvement project improvement project Discuss program implementation and 10 CCR-ARI 5-Dec Management meeting reporting Bandung 4 4 8 Prepare for upcoming Short Course Preparation meeting for Short Course 11 CCR-ARI 14-Dec on Clinical Epidemiology, to be held Bandung 3 1 4 on Clinical Epidemiology January 2018 12 CCR-ARI 19-Dec Management meeting Program coordination Bandung 5 5 10

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Total # of Location/ No CCR Date Activity Purpose of Activities Participants Total City F M 13 CCR-ARI 22-Dec Management meeting Program coordination Bandung 5 2 7 Instrument Validation consultation by To enhance and validate the research Bandung/C 14 CCR-ARI 27-Dec 0 1 1 U.S. affiliate member questionnaires olorado Promote SHERA program to researchers and stakeholders in Bangka Belitung; join the network of Pangkal Network building with Bangka 15 CDSR 6-7 Oct Universitas Bangka Belitung; build the Pinang, 5 2 7 Belitung stakeholders network of CDSR to PT PLN Bangka Belitung Belitung and Bangka Belitung governments Conduct preparation for signing of MoU and contracts with UCB; conduct preparation of detail research program in NZEB and BIPV with UCB; conduct preparation for Prof. Zhai visit to Indonesia; assess opportunity Travel to Colorado for intensive to develop larger cooperation with Colorado, 16 CDSR 18-28 Oct coordination meetings and establish UCB; increase or build research and 6 19 25 USA US institution network development cooperation with other US institutions; conduct benchmarking in management aspect of research and development institution; prepare the specific topic of activity and collaboration for the next exchange staff visit in 2018-2020. Develop sustainability matrix for 13 - 30 17 CDSR proposed hybrid energy system and 1 0 1 Nov Literature study as the first step in energy efficiency developing a sustainability matrix Yogyakarta 18 CDSR 1-30 Nov Publication of research product in Produce academic research product Yogyakarta 6 4 10 peer-reviewed journal (paper for journal/conference) and Jakarta

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Total # of Location/ No CCR Date Activity Purpose of Activities Participants Total City F M Develop CDSR SOP on funding for Producing SOP on CDSR's 19 CDSR 12-Dec research for scientific journals and International Scientific Publication Yogyakarta 4 2 6 conferences Award and Jakarta Develop research plan for Forest 20 CDSR 29-Dec Biomass-Based Renewable Energy as 2 2 4 Part of Biorefinery Develop research plan Bogor 21 CDSR 29-Dec Collaboration meeting between UMG Planning the research collaboration on 4 2 6 and UNG biorefinery between UNG and UMG Gorontalo Provide overview of MEL and Finance 22 CDSR 29-Dec Coordination meeting between UI & Grants systems, and discuss activity 6 3 9 and UGM TOR Depok 23 CDSR 27-Dec Formulate lessons learned of solar Increasing the understanding about 2 3 5 power plant in Karimunjawa energy systems in Karimunjawa Yogyakarta Maintenance of CDSR website to 24 CDSR 1 - 30 Dec ensure it is accessible to its target 3 3 6 Website maintenance audience Yogyakarta 25 CDSR 20-Dec Prepare Biorefinery & Microalgae 3 2 5 Training Planning training in UI in January 2018 Depok Develop sustainability matrix for 26 CDSR 1-31 Dec proposed hybrid energy system and Compiling literature for research 1 0 1 energy efficiency planning Yogyakarta Write conference paper titled 27 CDSR 1 - 30 Dec Transient Stability Assessment of Large 1 2 3 Scale Grid-Connected Photovoltaic on Producing academic research product Transmission System (paper for journal/ conference) Gorontalo 28 CDSR 1-20 Dec 2 0 2 Literature study Gain insight about supply chain design Yogyakarta 29 CDSR 9-Oct Define the facility development and 1 6 7 CDSR internal meeting production of derivative products Yogyakarta

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Total # of Location/ No CCR Date Activity Purpose of Activities Participants Total City F M

30 CDSR 1-Nov Define the facility development and 1 6 7 Internal Meeting production of derivative product Yogyakarta 31 CDSR 12-Dec Mapping biomass potential on Semujur Early study on the biomass potential in 2 1 3 Island Bangka Belitung Bogor 32 CDSR 1-Dec Define the facility development and 1 6 7 Internal Meeting production of derivative product Yogyakarta Prepare manuscript of research titled Enhanced Wind-driven Infiltration Model 33 CDSR 20 Nov 0 2 2 by Incorporating Wind Direction for Yogyakarta Design Purpose Accelerate research publication & Colorado Share knowledge and learnings within innovative transportation 34 NCSTT 2-5 Oct technologies, and enhance private and 8 33 41 International Conference on Electric public partnerships within electrical Vehicular Technology vehicular technology Sanur, Bali Build a consistent understanding of NCSTT’s business process under 35 NCSTT 27-28 Oct 5 15 20 Kick-Off Program and Operational SHERA, and the programs operating Management workshop and management requirements Bandung Shera knowledge and learning in 36 NCSTT 12-Oct-18 34 19 53 ITB CEO Summit media promotion innovative transportation technologies Bandung Participation in ICETIA (International Conference on Engineering, 37 NCSTT 13-14 Dec 0 1 1 Technology and Industrial Applications) Disseminate CCR research Surakarta Energy and Industry Manufacturing 38 NCSTT 7 - 8 Dec 0 1 1 Seminar 2017 (SIGER 2017) Disseminate CCR research Lampung Coordinate the RESS Battery cluster 39 NCSTT 15-Dec-18 8 7 15 RESS Battery cluster meeting researchers Bandung

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Total # of Location/ No CCR Date Activity Purpose of Activities Participants Total City F M Coordinate between researchers, formulate detailed research planning 40 NCSTT 18-19 Dec 4 3 7 and determine survey design and Coordination meeting location Palembang Improve the quality of scientific Academic Writing Short Course for SMART writing for junior faculty members, 41 24-26 Oct Junior Faculty Members and Graduate 25 34 59 CITY and graduate to post-graduate Students students from CCR partners Depok Build a consistent understanding of ANBIOC the CCR’s strategic plan, and 42 6-7 Dec Technical meeting Bogor 8 16 24 ORE communication lines between partnership members

Total 226 274 500

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