Sustainable Higher Education Research Alliances (SHERA) Program Performance Report Quarter 3 FY 2018 (April - June 2018)

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

Prepared for:

Jalu Cahyanto, AOR Education Office, USAID/Indonesia

Prepared by:

Institute of International Education (IIE) July 2018

Table of Contents

List of Acronyms and Abbreviations ...... 1 Executive Summary ...... 3 I. SHERA University Partnerships/Centers for Collaborative Research ...... 4 1.1 Overview of Results ...... 4 1.2 CCR Lead Direct Mentoring and Other Support ...... 4 1.4 SHERA Talk Show – Women in Science ...... 6 1.5 CCR Activities – Key Highlights during the Reporting Period ...... 6 a. CCR-ARI ...... 6 b. SMART CITY ...... 7 c. CDSR ...... 8 d. NCSTT ...... 8 e. ANBIOCORE ...... 9 II. Monitoring Evaluation and Learning (MEL) ...... 10 2.1 Quality Benchmarking ...... 10 2.2 Performance Indicators Review ...... 10 III. Other Program Activities that Contributed to SHERA’s Achievements ...... 10 3.1 Stakeholder Engagement ...... 10 a. Government of Indonesia ...... 10 b. Private Sector ...... 11 IV. Operations ...... 11 4.1 Program Management ...... 11 4.2 U.S.-based Finance Manager ...... 11 4.3 Modified Role of IIEF ...... 11 4.4 Project Office Relocation ...... 11 V. Challenges ...... 12 5.1 Visa Requirements for CCR Scholars’ Travel to the U.S...... 12 5.2 Delays in Execution of Second-tier Subawards ...... 12 5.3 IIE’s Payment Advance and Financial Reporting Review Process ...... 14 5.4 CCR Program and Operational Capacity ...... 15 VI. Activities Anticipated for Next Quarter (July -September 2018) ...... 17 6.1 SHERA Annual Conference ...... 17 6.2 CCR Quarterly Meeting ...... 18 6.3 CCR Direct Mentoring ...... 18 6.4 CCR Year 1 Assessments and Year 2 Work Planning ...... 18 6.5 Stakeholder Engagement ...... 18 6.6 IIE Home Office Travel ...... 18 6.7 MEL Officer Recruitment ...... 18 6.8 Government of Indonesia ...... 18 6.9 IIE Internal Audit ...... 19 Annex 1: IIE’s KPI Achievements ...... 20 Annex II: SHERA Quarterly Activity Record ...... 25 Annex III: CCR Quarterly Activity Record ...... 27 Annex IV: Status of CCR Agreements with Second-tier Recipients ...... 40

List of Acronyms and Abbreviations

ANBIOCORE Animal Biotechnology and Coral Reef Fisheries AOR Agreement Officer Representative CCR Center for Collaborative Research CCR ARI CCR for Acute Respiratory Infections CDSR Center for the Development of a Sustainable Region COP Chief of Party DG Director General G&C Grants and Contracts GDA Global Development Alliance GOI Government of Indonesia HEI Higher Education Institution IIE Institute of International Education IIEF Indonesian International Education Foundation IoT Internet of Things IPB Institut Pertanian Bogor/Bogor Agricultural University ITB Institut Teknologi Bandung/Bandung Institute of Technology ITS Institut Teknologi Surabaya/Surabaya Institute of Technology KEMRISTEKDIKTI Ministry of Technology, Research, and Higher Education KPI Key Performance Indicators MOU Memorandum of Understanding MIS Management Information System MEL Monitoring, Evaluation, and Learning MOOC Massive Open Online Course MSU Mississippi State University NCSTT National Center for Sustainable Transportation Technology PFI PT Proven Force Indonesia PIC Person in Charge PIRS Performance Indicators Review Sheets RSUD Rumah Sakit Umum Daerah/Regional Public Hospital SHERA Sustainable Higher Education Research Alliances SMART CITY Scientific Modeling, Application, Research, and Training for City-centered Innovation and Technology SOP Standard Operating Procedure SSU Savannah State University ST&I Science, Technology & Innovation TOD Transit-oriented Development TRL Technology Readiness Level UBB Universitas Bangka Belitung/University of Bangka Belitung UF University of Florida UGM Universitas Gadjah Mada/Gadjah Mada University UI Universitas Indonesia/University of Indonesia UIUC University of Illinois, Urbana-Champaign UNAIR Universitas Airlangga/Airlangga University UNDANA Universitas Nusa Cendana/University of Nusa Cendana UNDIP Universitas Diponegoro/Diponegoro University UNG Universitas Negeri Gorontalo/University of Negeri Gorontalo UNIBRAW Universitas Brawijaya/University of Brawijaya UNIPA Universitas Papua/University of Papua UNLAM Universitas Lambung Mangkurat/University of Lambung Mangkurat UNPAD Universitas Padjadjaran/Padjadjaran University UNPATTI Universitas Pattimura/University of Pattimura UNRAM Universitas Mataram/University of Mataram

URI University of Rhode Island UNS Universitas Sebelas Maret/Sebelas Maret University UNSRI Universitas Sriwijaya/Sriwijaya University UNSYIAH Universitas Syiah Kuala/ Syiah Kuala University UNUD Universitas Udayana/Udayana University USAID United States Agency for International Development USG United States Government UTP Universiti Teknologi Petronas/Petronas Technology University

Executive Summary

From April 1 – June 30, 2018, the Institute of International Education (IIE) completed 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. By establishing Centers for Collaborative Research (CCRs) within top Indonesian universities, SHERA, in collaboration with the Indonesian Ministry of Research, Technology, and Higher Education (Kemristekdikti), bring together Indonesian and U.S. scholars to conduct world-class research within priority research areas.

During the reporting period, IIE spent increased time and effort to develop SHERA’s private sector engagement strategy with the intent of supporting the CCRs’ in forming mutually beneficial relationships with the private sector and ensuring their sustainability beyond the life of the program. Two important activities conducted this quarter included identifying and dedicating a set amount of time for an IIE home office specialist to draft the framework for the strategy and developing a solicitation to recruit a local consultant who will implement the strategy on the ground while in close communication with the SHERA team. IIE posted the opportunity for a local consultant in June and will accept applications through July.

Other highlights from the quarter included holding the second in a series of outreach events, called SHERA Talk Shows. The date of this event aligned with Hari Kartini (National Women’s Day) and highlighted the role of women within science and technology in Indonesia and the role of SHERA in addressing the gender barrier within the sector. Organized by implementing partner the Indonesian International Education Foundation (IIEF), SHERA invited notable scientists to share their career paths and discuss the important role of women within technical fields.

Over the quarter, CCR leads continued to experience challenges in accessing and utilizing SHERA funds and delays in executing agreements with their U.S. and Indonesian affiliate partners, primarily due to a lack of processes and efficient systems for transferring funds internally, and inexperience managing U.S. government (USG) funds and entering into subagreements with second-tier recipients. IIE spent significant time addressing the CCRs’ cash flow challenge by hosting a two-day Grants and Finance Workshop and providing ongoing direct mentoring. All CCR leads attended the Workshop, and IIE’s Senior Grants Manager joined virtually to clarify several important topics. To address the delay in signing second-tier agreements, IIE’s Grants and Contracts (G&C) team followed-up with each CCR. In addition, to expedite the execution of sub-agreements between the CCRs and their US affiliates, IIE initiated conversations with several of the U.S. affiliates to move them forward internally, while the SHERA team followed-up with the CCR leads on a weekly basis to offer support and guidance. As a result of the targeted technical assistance, CCRs executed all pending subagreements this quarter except for two U.S. affiliates’ with University of Indonesia.

In the upcoming quarter, IIE and IIEF will work together to hold SHERA’s inaugural Annual Conference in Bogor to highlight the achievements of the CCRs during their first year of implementation and connect them with relevant stakeholders, including the private sector, national and local government, and state-owned enterprises. Following the Annual Conference, IIE will gather all CCR leads for a quarterly meeting to share lessons learned and best practices from quarter three and plan activities and budgets for quarter four. Along with regular work planning, IIE will provide targeted capacity building on reviewing invoices from U.S. institutions and work to address the current challenges related to CCRs’ access to funds and spending.

I. SHERA University Partnerships/Centers for Collaborative Research

1.1 Overview of Results SHERA’s Centers for Collaborative Research (CCR) have designed their research structure, approach, key performance indicator (KPI) targets and activities to meet their unique needs while working towards achieving the program’s objectives. Each CCR has its own strengths and areas for growth, which are reflected in their achievements against their targets outlined in their work plans. For example, the CCR focused on Innovative Technologies, the National Center for Sustainable Transportation Technology (NCSTT), led by Institut Teknologi Bandung (ITB), exceeded their target number of 11 peer-reviewed publications produced by their researchers by 45% (16 publications produced by the end of this quarter). While the CCR focused on the Environment, Energy and Maritime Sciences, Center for the Development of a Sustainable Region (CDSR), led by Universitas Gadjah Mada (UGM), has produced 10 to-date, while their target is 22, and the CCR focused on Urban Planning and Development, SMART CITY, led by Universitas Indonesia (UI) has produced eight to-date, only 8% of their target of 45 by the end of their Year 1.

NSCTT’s success in exceling in this indicator is due to the fact that producing Scopus-indexed journal publications is intrinsic in their activity design. During this quarter, NCSTT scholars attended several conferences that were already Scopus-indexed, which means that the associated proceedings and journals are already considered high quality, Scopus-indexed publications that can now be counted towards ITB’s achievements. This activity also supported their achievement in the number of scholars who presented at international conferences, which increased over this quarter from 18 to 54 (56% of target for the year).

Conversely, NCSTT’s target for the number of short-term trainings was lower than other CCRs. Notably, the CCR focused on Public Health and Infectious Disease, Center for Collaborative Research in Acute Respiratory Infections (CCR ARI), led by Universitas Padjadjaran (UNPAD), exceeded all other CCRs and their own target of 10 trainings, by conducting 11 short trainings by the end of this quarter. Both CDSR and NCSTT also had low achievement in the number of U.S. scholars visiting Indonesian institutions to lead short-term trainings for Indonesian institutions. However, both plan to increase these number in the upcoming quarter through their updates quarterly plan.

IIE continued to create opportunities over the quarter for CCRs to learn from one another. By sharing successes and lessons learned, CCRs can support others to learn from those areas in which they are excelling and strengthen those areas that require improvement.

SHERA’s achievements are directly correlated to those of the CCRs. At 247, SHERA met its target in number of scholars participating in collaborative research for the quarter. Overall, SHERA exceeded its output achievements under outcome 2.2, number of knowledge sharing events conducted and knowledge products created, in which 19 events were conducted through the end of the quarter, against the program’s target of 14 events, and 70 knowledge products were created, against the program’s targets of 57. Achievements under outcome indicators 1.2 and 2.1 were low due to planned activities that CCRs decided to delay to their Year 2 Implementation Plans. See a complete list of SHERA’s achievements per its KPI in Annex 1.

1.2 CCR Lead Direct Mentoring and Other Support IIE continues to experience challenges in receiving complete financial reporting and back-up from CCRs leads. This challenge impacts IIE’s ability to approve CCR expenses and hinders CCRs’ cash flow. IIE addressed these challenges during a Grants and Finance Workshop with all CCR leads on May 7-8 in Yogyakarta. During the activity, CCR lead representatives shared their challenges and learned from CCR leads who had overcome similar challenges. SHERA’s Grants Manager clarified the entire process flow: from CCR leads’ submitting financial reports to reconciling the CCR leads’ advances. During the session, USAID Agreement Officer Representative (AOR), Jalu Cahyanto, and

IIE Senior Grants Manager, Amy Parente, joined the call. The CCRs all agreed that meeting and talking virtually with the IIE home office representative enabled them to further understand IIE’s advance and financial reporting review process. It was also a good opportunity for IIE to hear from the CCR leads about the challenges they face within their institutions.

By the end of the Workshop, all CCR Grant Managers and their supporting staff demonstrated a deeper understanding of the importance to include complete back-up in their initial financial reporting submission. In addition, CCRs’ Partnership Managers committed to providing regular support and supervision to their Grants team to ensure the smooth submission and approval of expenditures. This, in turn, will decrease the number of days it takes IIE to review financial reporting and issue new advances. The end result is CCRs will be able to access program funds more quickly.

During the quarter, the SHERA team conducted monthly direct mentoring to all CCR leads. The monitoring focused on financial management, balance sheet in their financial systems, and their profit and loss positions. The objective of these sessions was to enable the CCR leads to better understand how their spending impacts their cash flow and the impact of late or incomplete financial back-up on their advance reconciliation in IIE’s financial system. Of note, SHERA’s Grants team spent significant time working with the CDSR team to reconcile their spending in April and May 2018, and the Animal Biotechnology and Coral Reef Fisheries (ANBIOCORE) team, led by Institute Pertanian Bogor (IPB) to reconcile their spending through April 2018. SHERA’s Grants Manager also began online sessions to provide an opportunity for both parties to share screens, review the same information, ask questions, and clarify any areas of confusion without the need to travel to meet in- person. These sessions were piloted with UGM and UNPAD, and all parties found this method productive while also being time and resource efficient. The SHERA team will use this method for regular remote check-ins with other CCR leads in the upcoming quarter.

In April, SHERA’s Monitoring, Evaluation, and Learning (MEL) team conducted a direct mentoring session with the SMART CITY team at UI in Depok. The session further defined the CCR’s processes for collecting and recording program data and connecting this with the CCR’s achievements towards the program’s KPIs. SMART CITY is unique among the CCRs as it doesn’t conduct direct research as a part of its activities, but provides grants and manuscript incentives to researchers; grants to doctoral students; and conference subsidies to researchers, doctoral students, and junior researchers. Given this unique structure, the SHERA team required additional time with the SMART CITY to ensure that the appropriate templates are used and data collected. For example, SMART CITY uses contracts with all researchers to ensure they meet specific deliverables. Using this contract, the SHERA team suggested that SMART CITY also include the requirement that the researchers submit Research Logbooks, Mentoring Logbooks and Activity Reports, required by all other CCRs, as part of their deliverables. This will ensure that SMART CITY collects the necessary data from its beneficiaries.

In May, SHERA’s MEL team conducted a virtual mentoring session with all CCR lead MEL team members. This meeting focused on aligning data recording and reporting processes, enhancing CCRs’ performance towards SHERA’s KPIs and documenting impact. During this session, the group determined that the CCRs need further support in gathering impact stories and disseminating this information in a reader-friendly format, as they do not have much experience with this. SHERA’s MEL team will provide follow-up sessions on gathering impact stories and disseminating information in the upcoming quarters.

Also in May, UNPAD conducted a Financial and Administrative Workshop for CCR ARI’s Indonesian affiliates to build their capacity related to financial reporting, procurement, and document filing. As UNPAD is the only CCR lead to have Indonesian affiliates with cost-reimbursable awards, which are auditable, it is important that their affiliates gain a strong understanding of the financial reporting requirements. To support the dissemination of information, SHERA’s Grants Manager and Grants Assistant led a session focused on USG compliance and best practices in financial management.

1.4 SHERA Talk Show – Women in Science In celebration of Kartini Day, Indonesia’s national day to recognize the contribution of women in society, SHERA hosted it’s second talk shows in a series that highlight the role of SHERA in shaping the science and technology (S&T) landscape in Indonesia. Three prominent women researchers presented their work and experience in technical fields: Prof. Cissy Kartasasmita, Director of CCR ARI; Prof. Pauline Panen, Senior Advisor for Kemristekdikti; and Ir. Nada Darmiyanti, M.Phil., Head of the Prof Pauline Panen presenting on the involvement of women researchers in Bureau of Cooperation and Public Indonesia at the SHERA Talk Show in April. Communication, Kemristekdikti. In additional, USAID/Indonesia Science and Technology Advisor, Clara Davis, shared her perspective on how USAID supports women’s equity in various sectors, including science and technology. The event took place on April 24 at the U.S. Embassy's American cultural center, @america. Audience members included students from technical science fields, as well as university staff, research enthusiasts and the media.

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

a. CCR-ARI CCR ARI achieved several administrative and programmatic milestones over the quarter. As they enter into their second year of implementation, the CCR’s research activities increased and so have their administrative duties related to collecting activity data, monitoring their second-tier recipients, and reporting to IIE. To support the additional demands, UNPAD hired an additional team member for CCR ARI who will focus on research data collection. To support a larger team, CCR ARI added two rooms to their office space, one of which will function as a manuscript writing clinic for scholars. Lastly, UNPAD’s drafted agreements with their two private sector partners, Biofarma in Indonesia and Pharmajet in the U.S., and negotiations are currently being finalized.

As a part of CCR ARI’s Burden of Disease Study, they conducted two protocol trainings for their sites at Universitas Pattimura (UNPATTI) in Ambon and Universitas Mataram (UNRAM) in Mataram. They plan to conduct similar trainings at an additional two sites in the upcoming quarter in Aceh and Banjarmasin. UNPATTI and UNRAM will proceed with contracts at each main and networking hospital to commence patient enrollment and data entry as soon as possible. Meanwhile, at the Bandung site, the data collection has already started and they’ve enrolled 19 subjects from their partner hospitals.

As a part of CCR ARI’s Immunogenicity Study, they conducted meetings for protocol development, technical preparation, and agreements in the Bandung and Mataram sites.

CCR ARI conducted several capacity building activities including a Short Course on English for Academic Writing; two workshops on Applied Clinical Research Training (Instrument Validation Workshop for Burden of Disease Study and Protocol Development for Immunogenicity Study); and research-related trainings, including Research Protocol Training for Burden of Acute Respiratory Infection in Hospitalized Adult and Children in Indonesia and Training for Collection and Shipment of

Viral Transport Medium and Nasopharyngeal Swab in regional public hospitals in Bandung, Ambon and Mataram (Ruman Sakit Umum Daerah (RSUD) Soreang-Bandung, RSUD Dr. M. Haulussy- Ambon, and RSUD Provinsi Nusa Tenggara Barat-Mataram).

CCR ARI affiliate Universitas Syiah Kuala (UNSYIAH) conducted two Good Clinical Practice (GCP) trainings to support their scholars who have yet to obtain GCP certification. They held trainings in April for staff and lecturers at UNSYIAH and in May for the clinic doctors at the partner hospital RSUD Zainoel Abidin in Banda Aceh. The target participants were scholars involved in the Burden of Disease Study, both from the faculty and hospital. In total, 80 individuals received GCP certification and increased their capacity towards performing collaborative research.

Currently, CCR ARI’s academic mentoring program under restructure, as the executive committee members did not accept the initial mentor-mentee pairings. In addition, one of the faculty members from U.S. affiliate University of Colorado, Denver (UCD) who was to serve as a mentor has withdrawn her participation due to conflicting commitments. This led to a further delay in the implementation of the mentorship program, which is now expected to commence in July 2018.

In addition, CCR ARI spent significant time developing material and curriculum for their Massive Open Online Course (MOOC), which is expected to commence in August 2018. Previously, CCR ARI anticipated developing their curriculum based on recordings from their Short Course on Research Methods and Epidemiologic Methods, conducted July 2017. However. due to limited feasibility, they decided to develop their MOOC based on a new course topic that can be designed specifically for virtual learning. The new topic will focus on basic writing skills, in demand by Indonesian academics to support their research publication outputs. The course will be developed in Bahasa Indonesia to attract a wider audience and have a greater impact beyond CCR affiliates and partners.

Lastly, in April CCR ARI conducted an event to promote gender empowerment among women researchers. Thirty-five women researchers presented their research results orally and through a poster presentation to an audience of 120 attendees. Moreover, during the event the Deans from all participating CCR ARI Indonesian affiliate universities signed a declaration supporting gender empowerment, called “Deklarasi Bandung untuk Wanita 2018” (Bandung Declaration for Women 2018). SHERA anticipates that this will provide CCR ARI with leverage when working with these institutions on institutional policies to better support women within technical fields.

b. SMART CITY During the quarter, the SMART CITY team at UI focused on executing subagreements with its Indonesian affiliate partners, including UNPAD, Universitas Diponegoro (UNDIP), Universitas Udayana (UNUD), and Universitas Sriwijaya (UNSRI). These three entities will focus on the following areas within the CCR:  Research Publications, IDR 540,000,000 per institution to produce a minimum of nine research publications in Scopus-indexed international proceedings;  Management Workshops, IDR 75,000,000 per institution to organize / participate in Management Workshops resulting in Standard Operating Procedure (SOP) documents governing policy and administrative research management; and  Organizing an international conference, IDR 200,000,000 per institution (UNSRI, for this point, is excluded).

SMART CITY held an important meeting with conference organizers who will support the CCR in distributing a call for proposals related to the Conference Subsidy for Junior Faculty Members & Doctoral Students and Financial Support for Indonesian Scholars' Participation in International Conferences in Science & Technological Innovation.

As a part of the CCRs various research clusters, the cluster focused on the Internet of Things (IoT), which will support access to tele-medicine, is currently developing a JAKPROS, a reproductive healthcare service application for citizens. The application was launched on May and is currently under evaluation.

The team leading the development of SMART CITY’s “Situation Room,” to increase Technology Readiness Level (TRL) of SMART CITY Infrastructure and Energy Consumption Monitoring Technology on a Small Region Scale, conducted the first Joint Planning Session with local government in Depok, representatives of Depok Smart City, the National Information and Communications Technology Council (Dewan Teknologi Informasi dan Komunikasi Nasional, WANTIKNAS), and TELKOM to initiate collaboration on the project. As a part of the session, six researchers were hired to implement the technical aspects of this project with the plan of identifying all applications that are used in Indonesia to support the “smart city” concept, survey several well-known “smart cities” in Indonesia, and coordinate with the local government in Depok in functioning the application and prototype of the situation room. The planned applications will include monitoring, data analysis, forecasting, and decision making for energy consumption, traffic, and pollutants.

c. CDSR CDSR led three trainings at ITB, IPB and UGM; presented at events in six countries; conducted 28 research activities; and submitted several journals. CDSR’s high participation of women was a highlight for the quarter, which has been a continued trend for the CCR, in which 45% of the 1,790 total participants have been women.

CDSR continued its field survey in Semujur Island to prepare for the development of a micro-algae-based bio-refinery and hybrid energy system by considering multiple aspects of sustainability. The team leading the survey included researchers from Universitas Bangka CDSR Training on Photo-voltaics and Smart Grid at UGM Belitung (UBB), IPB and UGM.

CDSR moved forward with outreach to potential new institutional partnerships. Specifically, UGM signed a Memorandum of Understanding (MoU) with Institut Teknologi Sepuluh Nopember (ITS) in Surabaya. This is monumental as CDSR now has five top-tier Indonesian universities working collaboratively to achieve a common purpose and support the potential for CDSR’s sustainability.

d. NCSTT To strengthen its relationship with the affiliate universities and finalize their agreements, ITB invited representatives from all partners to a daylong meeting in Bandung on April 4. The meeting led to finalized draft agreements, which have since been signed by all parties. NCSTT continued to develop a partnership with PT Karoseri Nusantara Gemilang, a bus assembling company, by inviting them to the meetings with the affiliates. During this meeting, NCSTT finalized the MoU.

ITB also signed an MoU with PT Proven Force Indonesia (PFI) on April 5 in Jakarta. PFI is a company engaging in productivity and efficiency for various sectors, including energy efficiency, clean energy, and transportation industry; and the MoU will facilitate its work with NCSTT on industrial cooperation and technology transfer.

Still related to collaborative research, ITB discussed a potential collaboration between NCSTT and Universiti Teknologi Petronas (UTP), a private university in Malaysia, during a meeting in Bandung on

April 18 to develop an integrated transport solution. The collaboration initiation with UTP is still being negotiated and NCSTT planes to continue conversations in the upcoming quarter.

Also on April 18, two NCSTT researchers presented their research progress on e-trike validation and certification at the Applied Science and Engineering Conference (AASEC) on April 18 in Bandung.

NCSTT participated in a coordination meeting with Kemristekdikti on May 14 in Jakarta in which the Ministry shared information on the new policies enacted by the government on research activities in Indonesia. During this meeting, they also discussed the Minister’s planned visit to the U.S. focused on enhancing research collaboration with top-tier U.S. universities.

NCSTT was proud to welcome the Minister and his delegation to their U.S. affiliate member, Massachusetts NCSTT scholar Dr. Poetro Sambegoro (left) Institute of Technology (MIT), in Boston on May 24. accompanied Kemriskteikti Minister Nasir during a meeting with MIT’s Chancellor of Academic NCSTT leveraged this visit to develop a stronger Advancement William Grimson (right). relationship with MIT, which now has strong support from Kemristekdikti. See more details from this visit in Section III.

In June, two NCSTT researchers attended MIT’s Professional Education Program. One attended a course called “Design, Innovation and Technology: Putting Ideas to Work,” while the other researcher enrolled in a course called “Design of Electric Motors, Generators and Drive System.” As a follow-up of this activity, NCSTT will hold a workshop for Indonesian CCR members to share the knowledge obtained from the short courses.

NCSTT also continued its research on battery characterization, e-trike validation and certification, transit-oriented development and transportation safety.

e. ANBIOCORE During this quarter, the highlights for ANBIOCORE were executing all subagreements with their Indonesian and U.S. affiliate partners and sending their scholars to international conferences to present their research. Their research activities were relatively limited due to their challenges reconciling their first advance from IIE. The CCR spent significant time with the SHERA team reviewing expenses and determining their allowability. See the ANBIOCORE section in the Challenges section below for more details.

In April, ANBIOCORE conducted a meeting with its Advisory Board to review their activities, achievements, and spending through April and to discuss the follow-up from their financial review and replacement of their Finance Manager.

In June, three ANBIOCORE scholars from the Faculty of Fisheries and Marine Sciences presented at the Asian Asia Pacific Coral Reef Symposium (APCRS) in Cebu, Philippines on June 4-8. ANBIOCORE scholars from the Faculty of Fisheries and Marine Sciences attended APCRS in the Philippines.

II. Monitoring Evaluation and Learning (MEL)

2.1 Quality Benchmarking Based on work done over the past several quarters, the CCRs progressed this quarter in developing several standards in procedures to support their research management and administrative policies. For instance, there are now agreed upon practices among all CCRs for implementing scholars’ participation in international conferences and incentives for peer-reviewed journal publications.

2.2 Performance Indicators Review IIE continued to work with CCRs and USAID to review and refine the program’s performance indicator reference sheet (PIRS) to best meet the program’s needs and reflect implementation realities. IIE reviewed the current definition of SHERA’s Goal 1 indicator, number of peer-reviewed scientific publications resulting from USG support to research and implementation program, based on the CCRs’ input and knowledge of the amount of time it takes for peer-reviewed articles to be published and cited. The current definition of “peer-reviewed writings” include writings by SHERA scholars which are reviewed by several other experts from the science and technology (S&T) fields before publication in a specialized journal, called “peer-reviewed journal.”

Based on input from CCRs, IIE recommends that SHERA expand its definition to include peer- reviewed journals or proceeding publications. In this definition, a publication would include publications that are labeled in the “Science and Technology” fields. This recommendation is based on the concern over SHERA’s Goal 2 indicator, ratio of citations to publications produced by Indonesian researchers. If only using the current definition of peer-reviewed writings, SHERA will limit CCRs’ achievements to only those citations from peer-reviewed journals. Including peer- reviewed proceeding publications can be an additional and important measurement of success under this indicator.

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

3.1 Stakeholder Engagement

a. Government of Indonesia In May, the Minister of Research, Technology and Higher Education, Prof. H. Mohamad Nasir, Ph.D., Ak. led a delegation to the U.S. to explore opportunities for increased research collaboration between Indonesia and U.S. higher education institutions. As SHERA is Indonesia’s hallmark research collaboration program between Indonesia and the U.S., leading up to their visit, the Ministry requested that the SHERA team submit information on all U.S. affiliate partners under SHERA. In addition, on May 14 the Director General of Research and Development invited CCR lead representatives and the SHERA team to Jakarta to gather information on their research collaboration, including CCRs’ research focus and plans, current and planned achievement targets, and involvement of Indonesian scholars as co-authors to increase citations from Indonesian research.

The delegation visited MIT on May 24 and included Minister Nasir, Dr. Ainun Na'im, Secretary General, Kemenristekdikti; Dr. Muhammad Dimyati, Director General (DG) of Research Development Strengthening, Ditjen Risbang; Ir. Nada Marsudi, S. M.Phil, Head of the Bureau of Cooperation and Public Communication, Kemrisktekditki; Bhimo Widyo Andoko SH. MH., Assistant Attaché of Education and Culture, Indonesian Embassy in Washington D.C.; and Dr. Poetro Sambegoro from ITB. The delegation met with Dr. William Grimson, Chancellor for Academic Advancement MIT and discussed future opportunities for building research collaboration partnerships between MIT and Indonesia.

During the meeting, the delegation learned about international collaboration initiatives at MIT and visited several labs, including MIT’s Media Lab, Abdul Latif Jameel Poverty Action Lab (J-PAL) and Computer Science and Artificial Intelligence Laboratory (CSAIL). CSAIL is a part of MIT’s

Department of Mechanical Engineering, the partnering department at NCSTT. Minister Nasir declared that the initial partnership under SHERA can be enhanced by the Ministry to support wider partnerships with other top-tier Indonesian universities. DG Dimyati furthered this statement by commenting that the Ministry has special funds allocated to support these partnerships.

b. Private Sector As reported last quarter, based on a series of meetings between USAID and IIE, SHERA identified the need to create a private sector engagement strategy to document the program’s goals and objectives in engaging with the private sector, identify benchmarks to qualify success, and create a roadmap for achieving these by the end of program. In April, IIE identified a U.S. - based team member who will leverage U.S. affiliates' relationships with the private sector, IIE's subject matter experts who have experience creating and/or formalizing relationships between universities and the private sector, and IIE's private sector partners. This specialist worked with SHERA’s Program Director and IIE’s Senior Grants Manager to develop a Terms of Reference for the solicitation for a local consultant to implement the strategy on the ground. This individual also created a draft strategy document, which will be further refined once IIE hires the local consultant. The SHERA team posted this opportunity locally and on IIE’s website in late June. Interviews will commence with eligible candidates in mid-August.

IV. Operations

4.1 Program Management IIE received a Notice of Poor Performance on May 14 from USAID Agreement Officer, Alexis McGinness, which mentioned two primary concerns: 1) delays in CCR implementation and approval of second-tier subawards, and 2) grant reporting and financial distributions. Program Lead for IIE’s USAID portfolio, David Simpson, sent a memo response on May 23. IIE recognizes and shares the concerns related to the delay in executing the second-tier subawards and the CCR leads’ low spending to-date, and spent significant time and resources over the quarter to address these issues. See Challenge sections 5.2 and 5.3 of this report for an overview of IIE’s actions through the quarter to address these concerns.

4.2 U.S.-based Finance Manager IIE filled the vacant finance specialist position this quarter and the individual began on June 11. Under SHERA, the finance specialist will process financial reports and advance requests as well as build the capacity of the field office team and CCR leads. Given the documented challenges in field and home office review and approval of CCR lead advance payment requests and reconciliations, this individual will play a critical role in staying up-to-date on CCR financial reporting and ensuring efficient reconciliation of advances and release of additional funds.

4.3 Modified Role of IIEF Based on updated guidance from USAID, CCR scholars and students traveling to the U.S. as a part of their CCR-related research will be required to travel using J1 visas. As SHERA was not designed as a participant training program, IIE had not factored this into the project’s organizational structure or budget. Thankfully, IIEF has expertise in this area and can provide the needed support. IIE is in the process of modifying their subagreement to account for this revision in responsibility. IIEF will hire a part-time team member to implement this work in the upcoming quarter. See more details about SHERA visa requirements for CCR scholars in Section 5.1: Challenges below.

4.4 Project Office Relocation In response to a termination letter from SHERA’s current land lord, the team spent time this quarter touring available offices spaces in Kunningan. While IIE would like to stay in Menara Imperium, which provides for increased access to its other USAID/Indonesia project teams and implementing partner, IIEF, it could not find available spaces that met the project’s specifications. With this in mind, the SHERA team worked with an agency to identify available spaces in close

proximity and decided upon a space in the Gran Rubina Office Park, located several kilometers from SHERA’s current office space.

V. Challenges

5.1 Visa Requirements for CCR Scholars’ Travel to the U.S. During the summer of 2017, IIE had several conversations with USAID representatives in D.C. with noted expertise in ADS 252 and 253, regarding USAID visa compliance and participant training programs. IIE planned these discussions with USAID regulation experts to time well with guidance the CCR leads would need when developing their Year 1 work plans and travel for their staff members and scholars to the U.S. During these initial conversations, USAID/DC determined that all individuals traveling to the U.S. under SHERA would not require J1 visas because they fell under the exception to exchange visitors, as “individuals working under a competitively awarded USAID cooperative agreement, or sub-agreement grant or sub-grant.” For this reason, during the CCRs’ Year 1 work planning, IIE did not provide any specific guidance or training on the J1 visa process.

IIE received updated guidance during this quarter after SHERA’s AOR spoke with several colleagues in the USAID/Indonesia office who determined that the exchange visitor exceptions only apply to individuals whose salaries are covered with USG funds. For this reason, while CCR team members’ travel to the U.S. does not require J1 visas, the CCR scholars are considered exchange visitors and, therefore, do need J1 visas to enter the U.S. Upon receiving this information, IIE first followed-up with the visa regulation expert in D.C., however he had since left his position and the new person- in-charge (PIC) gave guidance in concurrence with that of USAID/Indonesia.

To address this change, SHERA began negotiations with IIEF, who has expertise in visa processing under USAID participant training programs, to support this need. The SHERA team also developed a process flow, which outlines the parties involved in the process, their roles and responsibilities and the required documents needed at the various steps to successfully acquire a J1 visa. The SHERA team shared this updated guidance and process document with all CCR leads in May and will provide them an in-person overview of the process at the upcoming quarterly meeting in July. IIEF plans to hire the team member to support the J1 processing in August.

5.2 Delays in Execution of Second-tier Subawards As has been communicated to USAID, the CCR leads have experienced delays in executing their subagreements with their U.S. and Indonesian institutions. IIE cannot control the amount of time that a CCR lead or affiliate university needs to review and sign-off on agreements as these relationships are between the CCR leads and their affiliates. Each CCR lead has its own procedures, and the amount of review time required is dictated by the university. In addition, the CCR leads are in the process of building strong relationships and good communication with their U.S. affiliates, and, for some CCR leads, an important aspect of this is full and direct communication with their U.S. counterpart. While these are relationships between two parties, the CCR lead institutions and the CCR affiliate institutions, IIE spent significant time this quarter to understand the barriers, identify the best options for providing supplemental support to the CCR leads, and implementing those actions. Firstly, IIE conducted outreach to each CCR partner lead to identify barriers to establishing subagreements with second-tier recipients (CCR affiliates). These barriers included:  uncertainty as to the choice of subagreement type and access to a proper template,  scheduling the deliverables and related payments for Fixed Amount Awards (FAA), and  acceptance of indirect rates and costs from U.S. partner universities.

In the previous quarter, IIE created and shared templates, tools, and training materials with the CCR leads that were reinforced by the IIE Grants and Contracts (G&C) representative during the CCR quarterly meeting in March. During the quarterly meeting, IIE provided customized training on the benefits of cost-reimbursable and fixed amount awards and shared shell agreements for the two

types of funding mechanisms tailored for CCRs’ use. Additionally, IIE held one-on-one meetings with each CCR lead to discuss their unique challenges with each of their affiliates, identified the best type of award for each affiliate, discussed the purpose of negotiated indirect cost rates (NICRA) at U.S. institutions and the importance in adhering to them during budget negotiations, shared best practices on who to communicate with at U.S. universities to execute subagreements, and outlined the steps to subaward execution for each CCR lead. Invoice review and payment to U.S. affiliates will remain an important conversation for the upcoming Annual Conference and Quarter 3 Meeting with the CCRs, which IIE’s Senior Grants Manager from the U.S. will attend.

Results from the meeting included several CCRs deciding to switch funding mechanisms for their Indonesian and U.S. affiliates, which will lead to increased efficiencies in terms of deliverables, payment schedules, and monitoring. By the end of the meeting, each CCR had clear steps towards subagreement execution and a timeline for completion.

To continue these efforts, during this quarter, IIE took the following actions:  IIE’s G&C representative followed-up with each CCR lead to offer additional support.  The SHERA field office followed-up with each CCR lead on a weekly basis to receive status updates and troubleshoot challenges.  As IIE noticed delays in moving the U.S. affiliate subagreements forward, it reviewed draft agreements and consulted with the CCR leads on revisions. Examples of IIE’s assistance to the CCR leads in reviewing draft agreements include: o Phone call and in-person meeting between the SHERA Program Director and ITB regarding their subagreement with MIT on May 7 and follow-up email with the IIE home office on May 8. o Phone call between the SHERA Program Director and UGM regarding their subagreement with University of Colorado, Boulder (UCB) on May 4 and follow-up email with the IIE home office on May 9. o Phone call between IIE home office and University of Rhode Island (URI) regarding their subagreement with IPB on May 8.

Furthermore, IIE recognizes that its delay in executing its own subagreements with CCR lead institutions directly impacted the CCR leads’ own timelines for negotiating and implementing the second-tier agreements with their affiliates. As one of the first key deliverables to USAID, IIE’s baseline assessment of the higher education landscape for international partnerships and related White Paper, titled Assessment of the Landscape for Establishing Centers for Collaborative Research That Advance Science, Technology, and Innovation in Indonesia, notes, “SHERA is unique within the context of international partnership funding in Indonesia as past institutional partnership programs between the U.S. and Indonesia have always been led by the U.S. partner.” The findings from the assessment outlined the risks involved, stating that “the risk in transitioning the lead position to Indonesian HEIs is that they have had little, if any, experience designing and administering projects funded by the U.S. This is new territory for both sides and will require much bi-national discussion, negotiation, advising, and monitoring as the CCRs are put into action.” Given the complexity of these subawards, and the lack of experience of the Indonesian candidates, IIE’s pre- award assessments and subaward negotiations took longer than if these institutions had prior experience as prime subrecipients on USG awards. The pre-award field visits illustrated that supplemental program-specific processes and templates were necessary to ensure CCR leads’ compliance and successful management of subaward funds. Additionally, the team spent significant time during the pre-award phase offering technical assistance and building the capacity of the candidates to submit strong and detailed program descriptions and budgets. While it delayed CCR implementation, IIE feels strongly that this significant pre-award work enabled the CCRs to understand the rigorous expectations of managing USG funds and monitoring subrecipients under this subaward.

Due to IIE’s follow-up, liaising between the CCR lead and affiliates, and capacity building to the CCR leads, as of June 30 all second-tier agreements have been executed, with the exception of UI with two of their U.S. affiliates, Savannah State University (SSU) and University of Illinois, Urbana Champaign (UIUC). SHERA’s Program Director contacted the CCR’s Partnership Manager to discuss these delays and any areas where IIE could support the process. UI sent the finalized draft agreements to the affiliates’ in May and has yet to hear a response. To address these issues, a representative from SMART CITY will travel to the U.S. in August to meet the three affiliates and execute the two agreements. IIE will continue to monitor and track the progress of these awards at the home and field office level, as well as step in to move the agreements through the U.S. institutions as needed.

5.3 IIE’s Payment Advance and Financial Reporting Review Process As has been reported in the past, the CCR leads experienced delays this quarter in accessing funds to implement program activities and cover operational costs. SHERA understands the reason for this delay as twofold: 1) IIE’s processes and systems for reviewing and approving the advance payments, and 2) the CCRs’ inexperience in managing USG funds and their institutions’ lack of internal systems for accessing the funds.

As was reported to USAID in a memo on May 23rd, IIE has made progress in reducing the number of days associated with advance payment review and approval. In addition, IIE’s goal is to reduce the entire process by another 4 – 6 days. In addition, significant time and resources continues to be utilized to build the capacity of CCRs in preparing their advance requests. As noted above, CCRs are new to managing large and complex USG awards and IIE continues to provide targeted mentoring and feedback to the CCRs during the advance request process on items such as submitting payments requests that are realistic given their current internal administrative delays and reflective of their current subagreements status with affiliates, and that have the necessary prior approvals. IIE anticipates that, as all parties’ expectations become increasingly aligned, the review and approval time will decrease.

Of note, as a follow-up to the one-on-one sessions with each CCR lead during the quarterly meeting in March, the SHERA team has provided targeted capacity building through ongoing mentoring focused on producing advance requests that are aligned with their approved implementation plans, procurement timelines and financial reporting. In addition, SHERA led a refresher session from May 7-9 in Yogyakarta for all CCR leads’ Grants and Finance team members, in which they shared lessons learned and best practices while working with them to complete their next advance requests. During this meeting, Amy Parente and USAID AOR joined via video conference. This session provided specific time for the CCR leads to raise questions and share input on the process. IIE’s home office and field team staff responded with suggestions for reducing bureaucracy within the CCRs, and identified those areas in which the CCRs should focus attention in order to submit complete financial reports that require less back and forth. This, in turn, helped the CCRs to understand the IIE home office review process, as well as SHERA’s business process as a whole.

While reducing the time for reviewing and processing PARs is important, this alone will not solve the fundamental challenge of increasing CCR program expenditures, which must do with the CCR leads’ ability to access and utilize funds internally, and submit complete financial reports to IIE for review and approval. To address this challenge, the IIE home and field office staff continue to:

 Provide targeted assistance and direct-mentoring to the CCRs to improve their process in requesting advance funds and submitting financial reports to reconcile those funds. The CCRs’ increased capacity will enable them to compile and submit increasingly complete and accurate reports that IIE can review and approve in a timely manner. This will ultimately decrease the number of days for IIE to review and approve each advance request, as well as increase the amount of CCR spending that IIE charges to USAID. IIE could address this during the above mentioned meeting in Yogyakarta, in which it outlined the areas of CCR leads’

financial reports and back-up documentation that would lead to increased efficiency. Specifically, the SHERA team providing virtual mentoring and training to UNPAD in April and May, and IPB on June; and in-person mentoring to UNPAD in Bandung on May 3 to focus on grants management and processes. This will also be continued in the upcoming quarter during the Annual Conference and CCR Quarterly Meeting.  Advocate for SHERA among CCR institutional leadership and MoRTHE. Since further assessing and understanding the CCR leads’ internal administrative challenges to access the funds, the SHERA field team has met with CCR institutional leadership and relevant representatives from MoRTHE to determine possible policy changes or process alterations for accessing and reconciling funds, as some institutions’ are prohibitively lengthy. For example, at Universitas Indonesia (UI), the SMART CITY CCR team requested and reconciled funds per activity, and each request of funds took 28 days until quite recently. This severely impeded SMART CITY’s ability to implement activities in alignment with its work plan and slowed it’s burn rate. However, as has been the result of meetings with institutional leadership at UNPAD and UGM since CCR establishment at their institutions, targeted advocacy at UI resulted in the Vice Rector of Finance agreeing to provide the SMART CITY immediate access to SHERA funds beginning in April. IIE has reviewed SMART CITY’s expenses from April -May and already sees. an increase in spending as the CCR lead exercise increased autonomy over their funds for SHERA  Increase the capacity of the CCRs in reviewing U.S. affiliate invoices. Under the CCR ARI consortium, UNPAD has executed a subagreement with UCD. UCD had sent several invoices to UNPAD, however they had not paid them as they did not understand their indirect rate and invoice back-up. The SHERA team shared an invoice review check list and tracking tool, and led them through an exercise in interpreting their NICRA document to verify the indirect rate being charged. With this assistance, UNPAD felt confident reviewing the invoices and, in turn, reimbursed their U.S. affiliate in April. IIE plans to have a similar session for all CCR leads at the next quarterly meeting.

As noted in IIE’s program description for SHERA, IIE intended for the day-to-day program operations to be handled by the Jakarta field team, which would include grantee monitoring through financial and performance reports. Implementation of SHERA, however has required some flexibility on the part of IIE to meet the needs, demands and unique complexities of the program. As discussed in detail above, SHERA’s baseline assessment on the partnership landscape in Indonesia noted that SHERA’s partnership awards came at a unique moment in which there is a small set of Indonesian universities ready to lead the CCRs, however given the complexity of these subawards and the lack of experience at these institutions, potential risks to both IIE and these Indonesian institutions must be addressed. The CCR lead institutions’ lack of experience and systems to manage complex USG award was emphasized during IIE’s pre-award risk assessments and field visits to the successful candidates’ institutions. It is with this knowledge that IIE adapted the management structure to include two Grants Assistants to support the field office Grants Manager in monitoring subawards and deliverables. IIE has also involved additional home office support for SHERA, including for financial reporting, advance requests, and deliverables review, and supplemental capacity building for CCR leads and IIE field office staff. IIE believes that the hiring of the home office financial specialist will play an important role in supporting this process as well.

5.4 CCR Program and Operational Capacity Over the quarter, several CCRs met their performance indicator targets, while others exceeded their targets. However, there are several indicators that all CCRs encountered challenges achieving. In addition, CCRs experienced various financial management related challenges, as outlined in this report. For this reason, in consultation with SHERA’s AOR, IIE determined the need for all CCRs’ timelines for Year 1 to run through September 30, 2018. IIE will conduct a Year 1 performance assessment in the upcoming quarter through one-on-one meetings with each CCR to review the program activities and associated achievements against the approved Year 1 Implementation Plan and MEL Plan, actual spending to-date against the approved Year 1 budget, and the primary barriers,

breakthroughs, and challenges in meeting workplan targets. Moving the implementation cycle forward will serve the dual purpose of putting all CCRs on the same cycle – aligned with the USG fiscal year (October 1–September 30).

Along with challenges encountered across most CCR leads, each had unique challenges, as outlined below:

CCR ARI UNPAD has fallen behind in financial reporting to IIE, as they are having internal challenges reconciling their spending on the program. Until these funds are reconciled, UNPAD will not be able to clear their outstanding advances from IIE which will, in turn, impact their ability to implement program activities and achieve results. To support UNPAD, IIE worked with the CCR ARI team to calculate their program expenses against funds provided by the Rectorate. Additionally, SHERA’s Program Director and CCR ARI’s Director co-authored a memo to UNPAD’s Vice Rector of Finance to provide added support. The Vice Rector has yet to respond to the memo.

SMART CITY SMART CITY’s unique design does not align well with SHERA’s theory of change. Instead of holding themselves accountable to their achievements through a controlled collaborative management and research process, their outcomes and outputs are realized by individuals who receive grants or other forms of funding from the CCR. As mentioned above, SHERA continues to work with the CCR to better centralize the accountability over the CCRs’ achievements.

CDSR Until this quarter, UGM’s financial reporting has been timely and accurate. However, over the course of this quarter, UGM’s financial reporting back-up documentation became increasingly incomplete. CDSR’s management was not aware of this issue, and, once notified by IIE, worked closely with their team to understand the issue and find a solution. Through this, CDSR management realized that the administrative demands were too much for their current finance team. They’ve since brought on a new team member with prior experience in financial management and IIE has already noticed a difference in the quality of their reporting.

Another challenge related to UGM’s spending is that, during this quarter, they procured several items that may be considered restricted per ADS 312. IIE followed-up with the CCR for more details on the items and emailed a procurement approval request to SHERA’s Agreement Officer. In order to not further delay the review and approval of their financial reports, IIE approved all other costs for the financial report in question. This helped to further clear UGM’s advance balance in IIE’s system.

NCSTT ITB experienced operations-related challenges in managing program funds over the quarter due to Rectorate-level policies. NCSTT only has autonomy over small purchases below IDR 50 million for travel, office supplies and small research supplies. For any other items, NCSTT must have received advance funds from IIE in their Rector’s bank account to put in a request for larger procurements and staff salary payments. These payments take 26 days before NCSTT can access them. The SHERA team has met with Kemristekdikti on several occasions to explain this challenge, and the DG of Research and Development, Mr. Dimyati, and Director, Dr. Ira, have offered their support in facilitating a meeting between ITB’s Vice Rector of Finance and IIE to move this challenge forward. This will take place in the upcoming quarter.

Another internal challenge that slowed their financial reconciliation and cash flow had to do with unanticipated travel expenses. There were two unexpected trips to the U.S., one to support Kemristekdikti’s delegation trip to MIT and another to support ITB’s Vice Rector’s visit to MIT, both to discuss future collaboration opportunities. ITB’s system requires that the travel costs are

disbursed after the completion of travel and after submitting all required proof of travel. As the travel to MIT is expensive, NCSTT used funds which were available, namely operational funds, while they waited for the travel fund to be disbursed after the travel had been completed. However, there was gap between the completion of travel and funding disbursement from ITB, while there were other operational activities that required funds that ITB did not have access to because the fund had been used for travel to MIT.

In the future, NCSTT must do its best to use the funds in accordance with the activities in their initial work plan. It is inevitable that the plan will not be able to fully account for unplanned activities, however NCSTT must tightly control the use of funds, especially for activities that are not included in the initial plan and assess whether those unplanned activities can be funded and will not significantly disrupt other activities.

As outlined above in Section 5.1, IIE had not previously shared guidance with the CCRs regarding J1 visa requirements for scholars traveling to the U.S. As IIE was aware of summer travel to the U.S. for several NCSTT scholars, they notified this CCR immediately about the need to acquire this visa. However, MIT provided conflicting information that a J1 visa was not necessary to attend the Professional Executive Education courses. For this reason, ITB did not seek J1 visas until it was too late and they were required to seek a waiver from the Mission, which was granted on June 5 by the USAID/Indonesia Mission Director. Moving forward ITB and all CCR leads will begin the J1 visa process at least three months in advance to allow the necessary time to obtain the required visas.

ITB’s cash flow for SHERA was also hindered when IIE determined that one of their international flights was not in compliance with the Fly America Act and, therefore, could not be charged to the program. While IIE led a training on the Cost Principles, including the Fly America Act, during the CCR Workshop in March 2017, and, as instructed, ITB procured the services of a travel agent with experience using USG funds to purchase plane tickets to the U.S., this was a lesson learned to IIE that CCR leads require additional support to ensure compliance. After this finding, IIE instituted a new process in which all travel reservations to/from the U.S. must be reviewed and approved by the field and home office before flights are purchased.

ANBIOCORE As reported last quarter, the SHERA team worked closely with IPB to reconcile their initial advance from IIE, as their initial Finance Manager did not have the skills or capacity to adequately store and file back-up documentation. IIE now has their completed financial reporting through April 2018, which it will soon use to reconcile their initial advance. With this, they will release another tranche of funds to support ANBIOCORE’s program and operations-related activities.

This initial Finance Manager was replaced in May and the SHERA team spent significant time training her on the program’s financial reporting processes and requirements. They are working closely to organize all remaining expenses from the first Finance Manager and create a smooth system for all new expenses moving forward.

VI. Activities Anticipated for Next Quarter (July -September 2018)

6.1 SHERA Annual Conference In collaboration with IIEF, SHERA will hold its Annual Conference on July 9-11 at the IPB International Convention Center in Bogor. Under the event theme of “Partnerships for Innovation,” the objectives will include building the CCRs’ capacity in engaging with the private sector; sharing CCRs’ achievements, successes, and challenges during their first year of implementation; and discussing lessons learned and best practices in research collaboration management. Attendees will include representatives from the GOI, SHERA’s Advisory Board, development partners, USAID, technical researchers, CCR lead and affiliate partners, and the public and private sector.

6.2 CCR Quarterly Meeting IIE will hold a quarterly meeting with all CCR leads following the Annual Conference in Bogor from the afternoon of July 11 through mid-day on July 12. The meeting objectives include sharing successes, lessons learned, and challenges in meeting key targets during CCRs’ first year of implementation; discussing CCR plans for upcoming the quarter and Year 2 implementation; and identifying the primary operations-related challenges and sharing solutions.

6.3 CCR Direct Mentoring SHERA’s direct mentoring, both virtually and in-person, will continue during the upcoming quarter to meet the needs of the CCRs and work with them in addressing the major challenges. The SHERA team created a monthly mentoring calendar. Ad-hoc site visits will be scheduled as-needed.

6.4 CCR Year 1 Assessments and Year 2 Work Planning During the upcoming quarter, the SHERA team will meet with each CCR lead to conduct a thorough Year 1 assessment of their implementation. Each meeting will be two days, with the first day focused on reviewing their Year 1 Implementation Plans against their achievements, based on their key performance indicator targets, and their actual spending against their Year 1 budgets. The second day will take the learnings from Day 1 and use them to plan for their Year 2 implementation and work plans. Out of these meetings, IIE intends to gain a map of CCRs’ combined performance, documented Year 1 challenges, including why and proposed solutions, CCRs’ Year 2 implementation plans and budgets, including carry over of activities and targets not reached from Year 1 to Year 2. All in-person meetings will take place from mid-July – end of August.

6.5 Stakeholder Engagement SHERA’s Program Director will attend an all-day workshop on August 7 for USAID/Indonesia implementing partners’ Chiefs of Party (COP) to share lessons learned and challenges related to private sector engagement.

As mentioned above, IIE anticipates hiring a local consultant in the upcoming quarter to engage Indonesian business associations, drive potential and/or emerging partnerships, coach CCRs on aspects of their current relationships they’d like to strengthen, organize high-profile events, and support the Program Director in representing SHERA with the private sector in Indonesia.

6.6 IIE Home Office Travel Senior Grants Manager, Amy Parente, will travel to Indonesia to learn about CCR achievements, best practices and lessons learned, and meet program stakeholders during SHERA’s Annual Conference, and participate in small group sessions, trainings, and one-on-one meetings with CCR leads during the quarterly meeting to follow. She will also spend one-on-one time with the SHERA field team to provide targeted support. IIE’s Vice President of Government Programs, Edith Cecil, will also travel to Indonesia to participate in the SHERA Annual Conference and meet with high-level stakeholders and key partners as a senior IIE representative, including the GOI and USAID.

6.7 MEL Officer Recruitment IIE has determined that the SHERA MEL team needs someone at an Officer-level, as opposed to an Assistant-level, as had initially been proposed. This person will support the MEL Specialist in data validation and analyses through the development of a management information system for the program. Recruitment of this individual will start in the upcoming quarter.

6.8 Government of Indonesia Kemristekdikti holds a flagship annual event to celebrate National Technology Awakening Day (HAKTEKNAS) on August 10. Last year, the Ministry invited SHERA to present at a booth at the event, held in Makassar, which was an honor for IIE since it was the only international NGO invited to the event to present. As a sign of their continued support for the program and deep alignment

with its goals, Kemristekdikti has invited all CCR leads as well as the SHERA team to the 2018 event, to be held in Pekanbaru, Sumatra, to display their research and achievements at a large booth.

6.9 IIE Internal Audit IIE’s Internal Audit team will begin a full program audit of SHERA in July. The focus of the audit will include risk management, internal controls, and governance, as well as opportunities to look across IIE for best practices and resources that can be shared. The audit team will look at processes within IIE’s infrastructure and program teams in the U.S. and the SHERA field office, as well as two of it’s subreicpients, ITB and UNPAD, with a focus on contractual compliance, subrecipient monitoring, budget management, invoicing and revenue, and policy compliance. The Internal Audit team will travel to Jakarta for several days of in-person meetings with the SHERA team in mid-August and travel to Bandung for two-day meetings with each subrecipient the following week. At the end of the audit, the Internal Audit team will prepare a summary memo to share with USAID.

Annex 1: IIE’s KPI Achievements Results Performance Target FY2018 CDSR ANBIOCORE NCSTT ARI SMARTCITY Total Framework Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total End the Project Compiled Adjusted Targets Target Target Target Target Target 1. Number of peer-reviewed scientific publications resulting from 88 0.8 70 22 10 0 0 11 16 10 0 45 4 30 USG support to Sustainable research and Improvemen implementation t in Quality program and Quantity 2. Ratio of of Science citation to and publication 11 0.8 9 5 0 0 0 4 0 2 0 0 0 0 Technology produced by Research in Indonesia Indonesian researchers Higher 3. Number of Education academic Institutions. research initiatives whose findings 4 0.8 3 1 0 0 0 1 0 2 0 0 0 0 have been replicated, applied, or taken to market. Outcome I Improved capacity of faculty, PhD students and postdoctoral researchers in target Indonesian universities 1.1 % of scholars 30% 200% 59% 10% 9% 17% 13% 56% 19% 0% 0% 42% 13% 13% Outcome 1.1 who present at 98 1 98 15 14 4 3 54 18 0 0 25 8 43 conference 330 0.5 165 150 150 23 23 97 97 0 0 60 60 330

Results Performance Target FY2018 CDSR ANBIOCORE NCSTT ARI SMARTCITY Total Framework Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total End the Project Compiled Adjusted Targets Target Target Target Target Target 1.1.1. Number of short-term 32 0.8 26 6 6 10 4 4 1 10 11 2 2 24 training courses held 1.1.2. % of 69% 100% 69% 77% 93% 90% 100% 47% 86% 57% 80% 48% 92% 89% researchers 606 0.8 485 115 180 270 141 54 32 107 255 60 117 725 Increased participating in trainings in short-term 878 0.8 702 150 194 300 141 114 37 189 320 125 127 819 research training courses methods, 1.1.3. Number of writing and U.S. scholars presentation visiting s skills Indonesian institutions to 13 0.8 10 2 0 5 4 2 0 2 1 2 4 9 lead short-term training courses for Indonesian partner institutions 1.2 % of scholars 75% 100% 75% 63% 98% 17% 30% 100% 59% 74% 10% 100% 103% 71% who participate Outcome 1.2 263 0.8 210 95 147 4 7 97 57 37 5 30 31 247 in collaborative research 350 0.8 280 150 150 23 23 97 97 50 50 30 30 350 1.2.1. Number of Increased Indonesian professional scholars who exchanges participate in in- 40 0.8 32 4 0 0 0 4 2 2 0 30 1 3 and person faculty collaboration exchanges held s in the U.S.

2.1. % of 38% 100% 38% 0% 0% 0% 0% 29% 14% 0% 20% 100% 0% 6% Indonesian 3 1 3 0 0 0 0 2 1 0 1 1 0 2 institutions with Outcome 2.1 improved research policies 8 1 8 0 8 0 8 7 7 0 5 1 3 31 and systems in place. Institutional 2.1.1. Number of policies in Indonesian support for institutions that research and develop 2 1 2 0 0 0 0 0 0 0 1 2 0 1 management improved developed in research and CCR management members policies Outcome 2.2 2.2. % of CCR 58% 0% 58% 100% 14% 0% 0% 29% 0% 0% 0% 40% 20% 11%

Results Performance Target FY2018 CDSR ANBIOCORE NCSTT ARI SMARTCITY Total Framework Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total End the Project Compiled Adjusted Targets Target Target Target Target Target members with 11 0.8 9 7 1 0 0 2 0 0 0 2 1 2 improved administrative and 19 0.8 15 7 7 0 0 7 7 0 0 5 5 19 management systems in place. 2.2.1. Number of CCR websites that are 5 1 5 1 1 1 0 1 1 1 1 1 1 4 developed, operational and used regularly 2.2.2. Number of CCR knowledge 57 1 57 10 30 20 1 12 18 14 1 1 20 70 products created CCR best 2.2.3. Number of practices CCR knowledge documented sharing events and 14 1 14 2 6 1 0 8 4 1 1 2 8 19 held on best- disseminated practices & to Indonesian lessons learned higher education 2.2.4. Number of institutions people participated in activities addressing gender quality or NA NA NA NA 25 NA 0 NA 0 NA 128 NA 15 168 female empowerment in science and technology research

Results Performance Target FY2018 CDSR ANBIOCORE NCSTT ARI SMARTCITY Total Framework Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total End the Project Compiled Adjusted Targets Target Target Target Target Target Outcome 3 Enhanced collaboration in CCR/Consortium for collaborative research 3.1 % of 100% 100% 100% 100% 100% 100% 100% 100% 100% 100% 83% 100% 100% 98% institutions 41 1 41 8 8 10 10 8 8 6 5 9 9 40 Outcome 3.1 engaged in joint research 41 1 41 8 8 10 10 8 8 6 6 9 9 41 projects 3.1.1. Number of selected affiliate institutions 37 1 37 7 7 10 12 7 9 5 6 8 8 42 included in research Formal consortium relationships 3.1.2. Number of established scholars at CCR among U.S. institutions with and increased access Indonesian to external institutions 155 0.5 78 15 0 45 0 35 0 50 0 10 0 0 research resources and academic research engines. 3.2. % of 30% 100% 27% 60% 40% 38% 0% 14% 0% 20% 40% 20% 0% 13% Indonesian 9 1 9 3 2 3 0 1 0 1 2 1 0 4 institutions obtaining Outcome 3.2 external resources for 30 1 33 5 5 8 8 7 7 5 5 5 5 30 their joint research project

Annex II: SHERA Quarterly Activity Record Participants Total # of Rector/Vice No Date Activity Purpose of Activities Location/City Faculty/SHERA Participants Total Rector

F M F M F M USAID Workshop: Finance Refreshment for finance and grants 1 April 3 Management Workshop Part management under USAID projects Jakarta 0 0 1 1 1 1 2 2 Research Contract Discussion Assist the SMART CITY team with 2 April 5 Depok 0 0 1 3 1 3 4 – UI/SMART CITY research management MEL Direct Mentoring – UI/ Assist SMART SITY MEL management 3 April 19 Jakarta 0 0 3 2 3 2 5 SMART CITY and system establishment Assist the workshop on increasing the Women in Medical Research women researchers in medical science 4 April 20-21 Bandung 0 0 2 1 2 1 3 and Education – UNPAD/ARI in CCR ARI; ensure the objective of activity meets the target of KPI Facilitate the sharing and learning of SHERA Talk Show: Women in 5 April 24 women’s participation science and Jakarta 0 0 87 31 87 31 117 Science technology research in Indonesia Participate in learnings from the 6 April 25 Media Gathering Jakarta 0 0 2 0 2 0 2 Pediatric Practices in Indonesia Facilitate project update and 7 April 25 Monthly Check-in with USAID Jakarta 0 0 3 2 3 2 5 troubleshoot with USAID team Discuss pending issues under financial 8 April 26 Meeting with IPB Bogor 0 0 2 6 2 6 8 report by former Finance Manager Joint monitoring with UGM and USAID 9 April 29 Joint Monitoring Mission for installation online Karimun 0 0 1 0 1 0 1 monitoring solar panel usage Facilitate finance & grant discussion Finance & Grant Mentoring – 10 May 3 regarding the CCR's management and Bandung 0 0 1 2 1 2 3 UNPAD/ARI its reports Discuss and clarify barriers to Finance Refreshment 11 May 6 supporting document preparation Jogjakarta 0 0 15 12 15 12 27 Workshop among five CCRs Annual Planning – Facilitate CCR annual planning based 12 May 14 Bandung 0 0 5 4 5 4 9 UNPAD/ARI on budget year Facilitate an intensive mentoring to ARI 13 May 16 MEL Direct Mentoring Jakarta (virtual) 0 0 2 3 2 3 5 and ANBIOCORE MEL Direct Mentoring - Facilitate an intensive mentoring to the 14 May 22 Jakarta (virtual) 0 0 2 4 2 4 6 NCSTT & CDSR MEL focal points

Participants Total # of Rector/Vice No Date Activity Purpose of Activities Location/City Faculty/SHERA Participants Total Rector

F M F M F M MEL Direct Mentoring - Facilitate an intensive mentoring to the 15 May 23 Jakarta (virtual) 0 0 2 2 2 2 4 SMARTCITY MEL focal points

16 May 24 ANBIOCORE Financial Review Finalize review of ANBIOCORE October Bogor 0 0 1 3 1 3 4 2017 – April 2018 expenses

17 June 4 UI Audit from USAID Assist with the audit process on UI Depok 0 0 1 2 1 2 3 Annual Conference 2018 and 18 June 22 USAID-GOI Assistance Jakarta 0 0 1 1 1 1 2 Agreement (AA) no.497 - 030

19 June 26 Meeting Preparation Annual Conference and CCR Jakarta 0 0 3 2 3 2 5 assessment on program management Total 0 0 48 50 135 81 215

Annex III: CCR Quarterly Activity Record Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Provide insight to the training participants on the concept of energy use in building Gedung Building Energy research; Determine the Labtek IXB, Bandung, Simulation Training 4/19/2018 4/21/2018 Indonesia 19 16 methods used in Research Arsitektur West Java Training related to Energy and Passive ITB Strategy; Develop a research network among participants. Provide insight on road map of biorefinery and microalgae research; formulate research Training collaboration in the topic of IPB Course on forest biomass as new and International Bioenergy, Bogor, Training renewable energy; determine 4/4/2018 4/6/2018 Convention Indonesia 15 19 Biorefinery and Indonesia research method related to Center & Energy life cycle assessment and Hotel, Bogor Efficiency CDSR energy efficiency; and develop research network among

participants. Monitor training energy Monitoring building; discuss monthly Gedung Bandung, Training Energy Meeting report (logbook and activity 4/19/2018 4/4/2018 Arsitektur Indonesia 3 2 West Java Building report) and administration ITB and finance challenges. Monitoring Pangkalpinang, Monitoring survey and Pulau Survey in Research 3/30/2018 4/1/2018 Bangka Indonesia 3 1 mapping Semujur Semujur Belitung Socialize the CDSR Program to UGM researchers; open Synergy of opportunities for researchers CDSR to collaborate in CDSR University Meeting 4/17/2018 4/17/2018 Yogyakarta Indonesia 28 14 Researchers Programs; inform researchers Club, UGM Activities to contribute in CDSR’s incentive for conference and journal.

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Presentation in International Universitat Conference on Conference Paper presentation 4/25/2018 4/27/2018 Pompeu Barcelona Spain 1 0 Renewable Fabra Energy (ICREN) Give insight to post-graduate researchers and students about the concept of PV materials; provide insight to the training participants on the concept of smart grid and how to simulate smart grid Training for PV Training system using HOMER; 5/11/2018 5/13/2018 Hotel Harper Yogyakarta Indonesia 18 13 and smart grid determine methods used in research related to PV and smart grid; analyze hybrid PV system in Microalgae Park, Nogotirto, Yogyakarta; and develop research network among participants. International Conference on Parkroyal Paper Presentation and Architecture Conference 5/8/2018 5/11/2018 Hotel Batu Penang Malaysia 0 1 publication and Civil Ferringhi Engineering Presenting sustainable energy paper at Laser Display EDEN and Lighting Conference Publication of research 5/5/2018 5/7/2018 PLAZA Da Nang Vietnam 0 1 Conference / DANANG co-located with Optics and Photonics International

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Congress 2018

Present the paper entitled “Experiment on Colour Laser Display Mixing Using Tunable Red- and Lighting Pacifico Conference Green-Blue Light-Emitting 4/24/2018 4/27/2018 Yokohama Japan 1 0 Conference Yokohama Diode Against Flux Luminous 2018 and Chromaticity Coordinates Values” Presenting Present the paper entitled sustainable “Effect of Luminance and energy paper at Contrast on Psycho- the Laser physiological Response of Display and Dentist in General Lighting Examination Room of a Conference 4/24/2018 4/29/2018 Pacificio Yokohama Japan 1 0 Conference / Dental Hospital” in co-located with international conference Optics and (Laser Display and Lighting Photonics Conference / co-located with International Optics and Photonics Congress 2018 International Congress 2018). Strengthen collaboration among CDSR members; evaluate program implementation to achieve Partner targets in the first year; plan Meeting 5/9/2018 5/10/2018 Hotel Harper Yogyakarta Indonesia 11 21 Meeting strategy to accelerate the programs implementation in the first year; and amend contract documents between lead and affiliates.

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Discuss ANBIOCORE related issues that are important to improve the operation of CCR ANBIOCORE Management; Advisory Board provide guidance and insight, RM Leuit Socialization 4/12/2018 4/12/2018 Bogor Indonesia 7 0 Meeting as well as recommends Ageung actions, including policies and procedures of ANBIOCORE; facilitate the flow of information between IPB and ANBIOCORE Management Veterinary Discuss subaward agreement Teaching Meeting with between CCR ANBIOCORE Hospital ANBIOCORE URI Liaison Meeting 4/13/2018 4/13/2018 Bogor Indonesia 5 1 and University of Rhode Meeting Officer Island Room, IPB & Cucurak Discussions to increase the Partnership number of publications and Hotel Sari Meeting 5/14/2018 5/14/2018 Jakarta Indonesia 2 0 Meeting citations that will result from Pan Pacific the SHERA project Sign Enhance formal relationships Indonesia subagreements Sign established among Lead and with U.S. Bogor & Subagreement Institution and Affiliates 5/22/2018 5/22/2018 IPB & URI United 4 1 Partners Rhode Island IPB-URI Institutions in collaborative States of (University of research America Rhode Island) Sign subagreements Enhance formal relationships Indonesia with U.S. Sign established among Lead Bogor & & United Partners Subagreement Institution and Affiliates 6/10/2018 6/10/2018 IPB & MSU 4 1 Mississippi States of (Mississippi IPB- MSU Institutions in collaborative America State research University)

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Learn to disseminate and communicate in international atmosphere research result to wider audience; learn from Asia Pacific expert and discuss abut Coral Reefs International related topics for Ph.D. Marcopolo 6/4/2018 6/8/2018 Cebu Philippines 2 1 Symposium Symposium research; build wider Plaza Hotel (APCRS) networking for Ph.D. students in the international community; and learn from other researchers who have similar research topics. Annual Applied Science and Present proceeding paper and Grand Engineering Seminar completed the required 4/18/2018 4/18/2018 Bandung Indonesia 2 0 Tjokro Hotel Conference proceeding documents (AASEC) Signing Memorandum of Understanding Collaboration Expand collaboration with 4/5/2018 4/5/2018 Office Jakarta Indonesia 5 0 between ITB Meeting industries

NCSTT and Proven Force Indonesia Initiation of research collaboration Initiate research collaboration between Collaboration NCSTT between NCSTT and 4/18/2018 4/18/2018 Bandung Indonesia 6 0 NCSTT and Meeting Office Universiti Teknologi Petronas Universiti Teknologi Petronas Coordination Discuss and Finalize Collaboration NCSTT Meeting to Partnership Agreement Draft 4/4/2018 4/4/2018 Bandung Indonesia 10 3 Meeting Office Finalize CCR Between Lead and Affiliate

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Partnership University Agreement

Discuss and Finalize PT Karoseri Memorandum of Nusantara Collaboration Kapulaga Understanding Between CCR 4/4/2018 4/4/2018 Bandung Indonesia 11 5 Gemilang Visit Meeting Restaurant NCSTT and PT Karoseri to ITB Nusantara Gemilang Writing Improve CCR ARI scholars’ Workshop for Ruang Kuliah capacity in producing high Advance Meeting 4/10/2018 4/10/2018 D, RSP Bandung Indonesia 12 57 quality research publications Manuscript UNPAD Lt. 5 and writing scientific paper Preparation Protocol Children Short Training of Train participant to operate Growth and Technical 4/12/2018 4/12/2018 Bandung Indonesia 6 9 Research Field SECA weight scale Development Training Doctor Clinic, RSHS Ruang

CCR CCR Rapat Coordination Discuss plan for Penelitian Lt. Immunogenicity 4/11/2018 4/11/2018 Bandung Indonesia 8 5 Meeting Immunogenicity Study 1, Dept. IKA

ARI Study RSHS

Preparation for instrument CCR-ARI Instrument Workshop validation that will be UNPAD Validation 11/9/2017 11/15/2017 Bandung Indonesia 6 9 and Meeting performed after Ethical Meeting Workshop Clearance is released. Room, RSHS Discussion Meeting of CCR-ARI "Role of Discuss how the review team Coordination Meeting Women in will contribute in the Panel 4/12/2018 4/12/2018 Bandung Indonesia 0 4 Meeting Room, RSP Medical Discussion UNPAD Lt. 5 Research and Education"

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants

Socialization and Socialize and coordinate Ruang C, RSP Socialization 4/5/2018 4/5/2018 Bandung Indonesia 5 19 Coordination research workflow UNPAD Lt. 5 of the Research Workflow

Socialization Conference and Room Coordination Socialize and coordinate Internal on Research Socialization 4/9/2018 4/9/2018 Bandung Indonesia 17 19 research workflow Medicine Flow in Internal Department, Medicine RSHS Department

Technical Meeting on CCR-ARI Role of Coordinate technical UNPAD Technical Woman in preparation for upcoming 4/17/2018 4/17/2018 Meeting Bandung Indonesia 4 7 Meeting Medical event on 21 April Room, RSP Research and UNPAD Lt. 5 Education Course and Workshop on Kyriad Applied Good Course and Improve capacity of 4/16/2018 4/17/2018 Muraya Banda Aceh Indonesia 17 23 Clinical Workshop researchers Hotel Practice CCR- ARI Unsyiah Course and Workshop on Kyriad Applied Good Course and Improve capacity of clinician 5/8/2018 5/9/2018 Muraya Banda Aceh Indonesia 13 27 Clinical Workshop researchers Hotel Practice CCR- ARI Unsyiah

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants CCR-ARI Faculty of UNPATTI Coordination Update the status of SHERA Medicine, 4/25/2018 4/25/2018 Ambon Indonesia 3 5 Coordination Meeting activities Pattimura Meeting University Share knowledge about role The Role of Panel of women in faculty of De Paviljoen Women in Discussion & medicine environment and Hotel, Medical Scientific 4/21/2018 4/21/2018 Bandung Indonesia 13 115 encourage gender Kapoelaga Research and Research mainstreaming in faculty's Room Education Competition policy formulation. CCR-ARI Faculty of UNPATTI Coordination CCR-ARI UNPATTI Medicine 5/17/2018 5/17/2018 Ambon Indonesia 5 3 Coordination Meeting Coordination meeting Pattimura meeting University Scholar Discuss scholar agreement Faculty of Meeting CCR- Coordination and the scholar papers 5/18/2018 5/18/2018 Medicine Banda Aceh Indonesia 6 11 ARI Affiliate Meeting planning UNSYIAH Unsyiah RSUD Management Coordination Discuss hospital agreement Zainoel Meeting 5/18/2018 5/18/2018 Banda Aceh Indonesia 7 5 Meeting related to sample collection Abidin UNPAD Hospital

Ruang Meeting of Coordination Socialize and coordinate Tutorial 3, Finalization of 5/15/2018 5/15/2018 Bandung Indonesia 5 4 Meeting research workflow Gedung RSP Adult UNPAD Lt. 5 Questionnaire Discussion Collaboration Discuss agreement between RSUD Draft MCC 5/22/2018 5/22/2018 Soreang Indonesia 3 3 Meeting UNPAD and RSUD Soreang Soreang RSUD Soreang Discussion Collaboration Discuss agreement between RSUD Draft MCC 5/25/2018 5/25/2018 Soreang Indonesia 0 5 Meeting UNPAD and RSUD Soreang Soreang RSUD Soreang

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants CCR-ARI CCR-ARI Discuss current task and UNPAD Coordination UNPAD preparation for quarter 5/2/2018 5/2/2018 Bandung Indonesia 4 3 Management Meeting Meeting meeting with affiliate Meeting Room

CCR-ARI CCR-ARI UNPAD Coordination Review performance of PY 1 UNPAD 5/15/2018 5/15/2018 Bandung Indonesia 5 3 Management Meeting and PY 2 plan Meeting Meeting Room

CCR-ARI Education Coordination Coordinate CCR-ARI UNPAD Program 5/16/2018 5/16/2018 Bandung Indonesia 4 3 Meeting Education Program Y2 Meeting Meeting Room CCR-ARI CCR-ARI UNPAD Coordination Update research progress and UNPAD 5/30/2018 5/30/2018 Bandung Indonesia 8 9 Management Meeting next plan Meeting Meeting Room Applied Clinical Research Ruang Training Socialize and coordinate Serbaguna Socialization 5/31/2018 5/31/2018 Soreang Indonesia 10 14 Instrument research workflow RSUD Validation Soreang Workshop Disseminate updates on CCR- Progress Coordination ARI to scholars and prepare FK Unram, meeting CCR- 5/19/2018 5/19/2018 Mataram Indonesia 4 8 Meeting for upcoming protocol Mataram ARI FK Unram training Agreement Discuss research Praya, Nusa preparation Collaboration collaboration agreement 5/17/2018 5/17/2018 RSUD Praya Tenggara Indonesia 2 3 meeting with Meeting between FK UNRAM and Barat RSUD Praya RSUD Praya Agreement Discuss research Collaboration RSUD Prop. meeting with collaboration agreement 5/31/2018 5/31/2018 Mataram Indonesia 1 1 Meeting NTB RSUD Prov. between FK UNRAM and

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants NTB RSUD Prov. NTB

CCR-ARI UNSYIAH RSUD Discuss about hospital Agreement Collaboration Zainoel agreement related to sample 5/18/2018 5/18/2018 Banda Aceh Indonesia 7 5 Meeting with Meeting Abidin collection RSUD Zainoel Hospital Abidin

CCR-ARI CCR-ARI Discuss previous activities UNPAD Coordination UNPAD results and coordinate 5/17/2018 5/17/2018 Bandung Indonesia 5 7 Management Meeting Meeting upcoming activities Meeting Room

Discuss current progress in De Paviljoen CCR-ARI Collaboration Affiliates, challenges and next Hotel, Quarter 5/3/2018 5/4/2018 Bandung Indonesia 6 9 Meeting plan; and refresh financial Ketumbar Meeting procedure and reporting Room Train all key researchers and scholars from FK UNPATTI and affiliate hospitals for the Training on BoD research protocol; Research train data collection for all Protocol & key actors of BoD research Burden of RSUD dr. M Training related to research 6/4/2018 6/5/2018 Ambon Indonesia 12 24 Acute Haulussy instruments and data quality Respiratory control; and train the Study Initiation- specimen collection technical UNPATTI process, workflow and specimen aliquoting and storage and sample shipment.

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Training on Research Train all key researchers and Protocol & scholars from FK UNPATTI FK UNRAM Burden of Training and affiliate hospitals for the 6/7/2018 6/8/2018 & RSUD Mataram Indonesia 15 23 Acute BoD research protocol; train Prov. NTB Respiratory data collection for all key Study Initiation- actors of BoD research UNRAM related to research instruments and data quality Meeting for control; and train the preparation of SHERA specimen collection technical study trial in Meeting Socialization process, workflow and 4/6/2018 4/6/2018 Bandung Indonesia 3 4 pediatric Room, RSP specimen aliquoting, and emergency UNPAD Lt. 5 storage and sample shipment. department

Conduct face-to-face discussion with Prof. Yuguang Fang related to the research direction and detailed research steps; prepare the Short visit in join publications; discuss SMART Wireless possible research visits and/or Wireless Information join student supervision; Information

and obtain updated knowledge in and

CITY Networked the related research fields; Networked

Things and increase publication Things United Laboratory Research visibility (by building personal Laboratory University of States of (WINET) Meeting relations in the symposium). 4/13/2018 4/27/2018 (WINET) Florida America 5 0 Request for Proposal/RFP Provide integrated knowledge Universitas E-book for reference for SMART CITY SMART Indonesia, library (Online) Procurement scholars 4/1/2018 4/30/2018 CITY Depok Indonesia N/A N/A

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Researchers Research Gather scholars in Indonesia 4/25/2018 4/27/2018 Training Universitas Indonesia 7 Speed Dating Presentation and United States (US) to Room, KSDP Indonesia, Meeting present and discuss any Building Depok, West potential collaboration in Java research through SHERA program 3 Incentives Selecting Improve the quantity of SMART Universitas Selection Scholars international scientific CITY Indonesia, Manuscript Paper publications in UI related to OFFICE, Depok, West Researcher SMART CITY strategic topics. 4/1/2018 4/30/2018 ILRC Building Java Indonesia 1 1 Kick Off Dissemination Presentation and feedbacks by 5/24/2018 5/24/2018 KPPRI Room, Universitas Indonesia 16 7 Meeting and meeting each initial stakeholders ILRC Building Indonesia, Joint Planning Depok, West Session Java Energy Talk Webinar Delivering a webinar about 5/15/2018 5/15/2018 Chevron Universitas Indonesia 56 19 and Insight Grid Smartness Achieved Room, FTUI Indonesia, through Forecasting and Depok, West Energy Storage and How to Java write research papers that can get more citations? Scientific Seminar Delivering a webinar about 5/23/2018 5/23/2018 Chevron Universitas Indonesia 53 27 Article Scientific Article Academic Room, FTUI Indonesia, Academic Writing Depok, West Writing Java Workshop Seminar and Webinar Delivering a webinar about 5/15/2018 5/15/2018 Chevron Universitas Indonesia 56 19 Online Grid Smartness Achieved Room, FTUI Indonesia, Exchange through Forecasting and Depok, West Energy Storage and How to Java write research papers that can get more citations?

Title of Type of Date Date Male Female CCR Objective of Activity Venue Location Country Activity Activity Start End Participants Participants Incentives Selecting To improve the quantity of 5/1/2018 5/31/2018 ILRC Building Universitas Indonesia 4 3 Selection Scholars international scientific Indonesia, Manuscript Paper and publications in Universitas Depok, West Researcher Transferring Indonesia (UI) related to Java the Incentive SMART CITY' strategic topics. Incentives Selecting To improve the quantity of 6/1/2018 6/30/2018 ILRC Building Universitas Indonesia 6 5 Selection Scholars international scientific Indonesia, Manuscript Paper and publications in Universitas Depok, West Researcher Transferring Indonesia (UI) related to Java the Incentive SMART CITY' strategic topics. Signing Fixed Agreement Stipulating the Collaboration 1/2/2018 6/30/2018 SMART Universitas Indonesia 3 0 Amount Signing between Universitas CITY Office Indonesia, Agreement Indonesia and Indonesian HEI Depok, West (FAA) between Partners in SMART CITY Java Indonesian HEI Partners Organizing Internal Lay out of the Feasibility 6/7/2018 6/7/2018 SMART Universitas Indonesia 16 7 Strategy of the Meeting Study CITY Office Indonesia, Situation Room & Abuba Depok, Steak Margonda, Depok

Total 479 547

Annex IV: Status of CCR Agreements with Second-tier Recipients

Lead CCR Second-tier Recipient Agreement Date of Notes Executed? Execution Universitas Universitas Padjadjaran Yes 3-May-2018 Indonesia Universitas Diponegoro Yes 3-May-2018 (UI) - Universitas Udayana Yes 3-May-2018 SMART Universitas Sriwijaya Yes 3-May-2018 CITY Universitas Teknologi Sumbawa Yes 3-May-2018 University of Illinois, Urbana No Still under internal review within Champaign the U.S. institution. SMART CITY representative will travel to UIUC in August to discuss any outstanding concerns. University of Florida Yes 21-Nov- 2017 Savannah State University No SMART CITY’s PIC at this institution has transitioned to a new institution. SMART CITY representative will travel to SSU in August and discuss any outstanding concerns. Institut Universitas Syiah Kuala Yes 1-Mar-2018 Pertanian Universitas Padjadjaran Yes 1-Mar-2018 Bogor (IPB) Universitas Brawijaya Yes 1-Mar-2018 - Universitas Nusa Cendana Yes 1-Mar-2018 ANBICORE Universitas Udayana Yes 1-Mar-2018 Universitas Mataram Yes 1-Mar-2018 Universitas Papua Yes 1-Mar-2018 Mississippi State University Yes 7-June-2018 University of Rhode Island Yes 24-May- 2018 Institut Universitas Diponegoro Yes 4-April-2018 Teknologi Universitas Sriwijaya Yes 4-April-2018 Bandung Universitas Lambung Mangkurat Yes 4-April-2018 (ITB) - Universitas Sebelas Maret Yes 4-April-2018 NCSTT Institut Teknologi Kalimantan Yes 4-April-2018 Universitas Sam Ratulangi Yes 4-April-2018 Massachusetts Institute of Yes 23-May- Technology 2018 Universitas Universitas Syiah Kuala Yes 5-Oct-2017 Padjadjaran Universitas Lambung Mangkurat Yes 5-Oct-2017 (UNPAD) – Universitas Mataram Yes 5-Oct-2017 CCR ARI Universitas Pattimura Yes 5-Oct-2017 University of Colorado, Denver Yes 29-Sep-2017 Universitas Institut Teknologi Bandung Yes 4-Dec-2017 Gajah Mada Institut Pertanian Bogor Yes 4-Dec-2017 (UGM) - Universitas Indonesia Yes 4-Dec-2017 CDSR Universitas Bangka Belitung Yes 4-Dec-2017 Universitas Negeri Gorontalo Yes 4-Dec-2017 Universitas Muhammadiyah Yes 4-Dec-2017 Gorontalo University of Colorado, Boulder Yes 2-July-2018