Sustainable Higher Education Research Alliances (SHERA) Program Performance Report Quarter 3 FY 2020 (April-June 2020)

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

Prepared for:

Jalu Cahyanto, AOR Education Office, USAID/

Prepared by:

Institute of International Education (IIE) July 30, 2020

Table of Contents

List of Acronyms and Abbreviations ...... 3 Executive Summary ...... 4

I. COVID-19 ...... 5

II. IIE Program Activities and Operations ...... 5 CCR Subagreement Modifications ...... 5 USAID Approval of Revised SHERA Monitoring and Evaluation Plan ...... 6 SHERA Final Evaluation ...... 6 SHERA Disposition of Assets ...... 7 SHERA Booklet ...... 7 CCR Monitoring and Support ...... 7 Stakeholder Engagement ...... 9 a) USAID/Indonesia ...... 9 b) Kemenristek/BRIN...... 9 c) Partnership Outreach ...... 10 Operations ...... 10 b) IIEF Subagreement Modification ...... 10 c) MIS MEL ...... 11 d) Digital Outreach ...... 11 Challenges ...... 12 c) CCR ARI and ANBIOCORE Final Deliverables ...... 12 d) Indonesian News Agency Contract ...... 12

III. SHERA Partnerships/Centers for Collaborative Research ...... 13 3.1 CCR Activities − Key Highlights during the Reporting Period ...... 13 a) CDSR ...... 13 b) SMART CITY ...... 14 c) NCSTT ...... 15

IV. IIE Activities Anticipated for Next Quarter (July-September 2020) ...... 16 4.1 SHERA Final Evaluation ...... 16 4.2 SHERA Closeout Meeting ...... 16 4.3 SHERA Close Out ...... 16

Annex I: SHERA’s KPI Achievements ...... 17

Annex II: SHERA Quarterly Activity Record ...... 24

Annex III: CCR Quarterly Activity Record ...... 29

Annex IV: SHERA Success Stories ...... 30

Annex V: USAID SHERA Final Evaluation Terms of Reference ...... 33

List of Acronyms and Abbreviations

ANBIOCORE Animal Biotechnology and Coral Reef Fisheries AOR Agreement Officer Representative ASEAN Association of Southeast Asian Nations CCR Center for Collaborative Research CCR ARI CCR for Acute Respiratory Infections CDSR Center for the Development of a Sustainable Region COVID-19 Coronavirus Disease 2019 F&G Finance and Grants FY Fiscal Year G&C Grants and Contracts GOI Government of Indonesia HEI Higher Education Institution ICSCI International Conference on Smart City and Innovation IIE Institute of International Education IIEF Indonesian International Education Foundation IPB Institut Pertanian Bogor/Bogor Agricultural University IP Implementation Plan IR Intermediate Result ITB Institut Teknologi Bandung/Bandung Kemenristek/BRIN Ministry of Research and Technology/ National Research and Innovation Agency KPI Key Performance Indicator LASER PULSE Long-Term Assistance and Services for Research Partners for University-Led Solutions Engine LKBN ANTARA Lembaga Kantor Berita Nasional ANTARA/Indonesian News Agency MOU Memorandum of Understanding MIS Management Information System MIT Massachusetts Institute of Technology M&E Monitoring and Evaluation MEL Monitoring, Evaluation, and Learning NCSTT National Center for Sustainable Transportation Technology PD Program Director PIRS Performance Indicators Review Sheets PPP Public-Private Partnerships SGPP School of Government and Public Policy SHERA Sustainable Higher Education Research Alliances SMART CITY Scientific Modeling, Application, Research, and Training for City-centered Innovation and Technology ST&I Science, Technology & Innovation UGM Universitas Gadjah Mada/ UI Universitas Indonesia/ UKK PM SMART CITY Unit Kerja Khusus Pengabdian Masyarakat SMART CITY (Special Community Service Unit SMART CITY UNPAD Universitas Padjadjaran/ UNUD Universitas Udayana/ UTS Universitas Teknologi Sumbawa/Sumbawa Technology University USAID United States Agency for International Development USG United States Government

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Executive Summary From April 1 – June 30, 2020, 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 , 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 and Technology/ National Research and Innovation Agency (Kemenristek/BRIN, formerly KEMRISTEKDIKTI), brings together Indonesian and U.S. scholars to conduct world-class research within priority research areas.

SHERA had several achievements during this reporting period, including:

• In June 2020, CCR SMART CITY became a special research unit with legal standing under Universitas Indonesia (UI) called Unit Kerja Khusus Pengabdian Masyarakat SMART CITY, or Special Community Service Unit SMART CITY. • Through the University of Colorado at Boulder, CCR Center for the Development of a Sustainable Region (CDSR) received a U.S. National Science Foundation grant to conduct collaborative research and development for a green/smart city, beginning in July 2020. • 4 Scopus-indexed journal articles and 13 proceeding articles published (206 total), exceeding the program’s total target of 80 for the fiscal year. • 20 knowledge products created (100 total), greatly exceeding the program’s total target of 8 for the fiscal year. This quarter, the SHERA program shifted from CCR activity implementation to program closeout support. In February 2020, IIE learned from USAID that there would be no further funding available to support the program beyond IIE’s current obligation. IIE subsequently sent Institut Teknologi Bandung (ITB), Universitas Gadjah Mada (UGM), and UI formal closeout notifications and subagreement modifications, which changed the Period of Performance end date to June 30, 2020 and decreased the subagreement ceiling. Though IIE was unable to directly meet with CCRs and key stakeholders in person due to the COVID- 19 pandemic, IIE effectively adapted its work and supported the CCRs in final reporting requirements and subrecipient closeout procedures. Moreover, IIE worked closely with USAID this period to support USAID with its own reporting requirements to the GOI. In June 2020, IIE also secured a meeting with Kemenristek/BRIN and USAID to discuss the SHERA program’s closure, the transfer of program assets to the GOI, and coordination for a closeout ceremony with all program stakeholders in August 2020. As of June 30, 2020, UI and UGM are on track to submit all final deliverables within the timelines specified in their subagreements with IIE. Both have submitted their asset disposition plans to IIE, who has in turn shared them with USAID. Moreover, both institutions’ draft final financial reports show that the CCRs’ will have maximized their obligations. Finally, it should also be noted that Universitas Padjadjaran and Institut Pertanian Bogor, whose subagreements ended on January 31, 2020, submitted all final closeout documentation and signed their subrecipient release forms with IIE.

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I. COVID-19

This quarter, the COVID-19 pandemic continued to spread across the world and cases rose in both Indonesia and the United States. IIE’s staff in Jakarta closely monitored the situation and followed local regulations that limited out-of-home activities. Based on the local regulations and the public health emergency in Jakarta, IIE Home Office concurred with its Jakarta staff’s plan to continue teleworking from home during the entirety of this quarter. The only exception was when staff needed to visit the office to conduct tasks that required materials from the office. When that occurred, staff adhered to social distancing measures and took safety precautions. This plan was reviewed and renewed monthly and communicated to the USAID Agreement Officer Representative (AOR) in IIE’s weekly meetings with the AOR.

All IIE travel, both domestic and international, remains cancelled. While this did not affect core CCR support activities, the Communications and Outreach Specialist did have to cancel his plan to conduct in-person CCR success story interviews. However, he was able to conduct the interviews virtually. In addition, David Simpson, Director of USAID Programs at IIE, was forced to cancel his travel to Indonesia in June. Despite these hindrances, USAID SHERA staff have adapted to full-time telework and continue to perform their tasks to ensure SHERA is fully supported.

All Indonesian HEIs remain closed due to government regulations. Since each of the CCRs had largely completed program activities and were focused on subrecipient closeout procedures, their activities were largely unaffected by COVID-19. Each reported that all in-person activities and meetings were cancelled and rescheduled as virtual meetings. For example, CDSR was forced to shift its face-to-face procurement for a photovoltaic system in Semujur Island to online procurement. SMART CITY also had to reschedule its International Conference on Smart City Innovation 2020 from August to October 2020 in .

Remote work polices at each CCR did not prevent them from performing key administrative tasks, such as processing monthly financial reports for IIE, but remote work did slow processes down. Campus closures also meant that the transfer of funds from IIE to the CCRs was sometimes delayed, which then affected their ability to spend out their obligation in a timely manner. However, IIE worked with each CCR to find workaround solutions, ensured that regulations were followed, and avoided any undue administrative burden on the CCRs.

II. IIE Program Activities and Operations

CCR Subagreement Modifications

This reporting period, IIE shifted its program implementation to focus on CCR subrecipient closeout procedures, as well as its own close out of SHERA. As part of the subrecipient closeout process, IIE issued each CCR a subagreement modification on March 10, 2020 that changed the Period of Performance end date to June 30, 2020 and lowered the award ceiling to match the current obligation level of each CCR. UGM executed the modification during the previous quarter (March 31, 2020) but UI was unable to execute its modification until June 5, 2020. This delay was due to COVID-19, as the CCR team had trouble reaching the necessary university signatories in person to review and sign the modification. Despite the delay in executing the modification, UI fully cooperated with IIE during this period as it worked to close out its subagreement.

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USAID Approval of Revised SHERA Monitoring and Evaluation Plan

Following the funding notice that IIE received from USAID on February 12, 2020, IIE developed a revised Monitoring and Evaluation (M&E) Plan alongside its revised FY2020 Implementation Plan (IP). These revisions were negotiated through virtual meetings with the USAID SHERA AOR. The M&E Plan primarily changed the KPI targets for FY20 to reflect the early program end date, which thereby affected the KPI targets for the total program. The M&E Plan also included a Final Evaluation of the program (further information below) and updated Performance Indicator Reference Sheets. All changes were approved by the AOR on May 5, 2020.

SHERA Final Evaluation

As IIE revised its FY20 IP and USAID SHERA M&E plan, it also developed Terms of Reference (TOR) for the USAID SHERA Final Evaluation (TOR included in Annex V). The objectives of the Final Evaluation are to evaluate the program’s current indicators against its baseline findings, and to understand the program’s highlights, lessons learned, and USAID SHERA’s intended and unintended outcomes.

As IIE initially developed the TOR for USAID review, it saw that it would not be feasible to develop an end line survey as a direct comparison to on its original baseline survey from 2017. This was due to the fact that the program’s Key Performance Indicators (KPIs) had not yet been established during the original baseline survey. Subsequently, the Final Evaluation was adjusted to take the baseline survey into account, but also reflect the KPIs. The Final Evaluation also centered around the following three key questions:

1. How have SHERA’s grants contributed to the increased capacity of grantees’ scholars and researchers? 2. How have SHERA’s grants contributed to a strengthened and more inclusive research and management environment in grantees’ institutions? 3. How have SHERA’s grants contributed to a broader partnership among higher Indonesian institutions and external resources to increase collaborative research and its findings utilizations?

USAID approved the original Final Evaluation TOR on April 15, 2020 and the program team began conducting desktop reviews of the CCR quarterly and annual reports, as well as the CCR data uploads in the Management Information System (MIS). However, the SHERA program team soon afterwards experienced significant staffing changes shortly after the review process began. IIE subsequently reconfigured its Final Evaluation timeline and staffing structure. USAID approved the revised TOR on May 27, 2020. The preliminary findings of the Final Evaluation are due to USAID in July 2020 and the full Final Evaluation will be included in the IIE’s Final Report to USAID.

As part of its revised staffing structure in the TOR, IIE brought on two consultants to assist with the Final Evaluation. The first, Dr. Susan Buck Sutton, wrote the White Paper at the start of the program. As she was the first to evaluate the landscape of Indonesian HEIs for the program and determine potential challenges/areas for opportunity, her perspective in evaluating the program is invaluable. The second consultant, Nizma Fadila, was brought on to complete the desktop review of the CCR reports and validate the findings against the program’s M&E data. Ms. Fadila previously worked as IIE’s M&E Specialist for the USAID SHERA program through October 2019 and was a tremendous asset during the review process due to her experience working with the CCRs.

From mid-May through early June, Ms. Fadila worked with the IIE Field Office to finish conducting desktop reviews and to conduct direct interviews with the CCRs. Meanwhile, Dr. Sutton conducted her

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own review of the CCR data, as well as IIE’s reports to USAID. Once the team completed the data collection process, Dr. Sutton began drafting the Final Evaluation report. During the next reporting period, the report will be made available to USAID for review and comment. Dr. Sutton and IIE will also report the key findings to USAID during a virtual meeting in July 2020.

SHERA Disposition of Assets

On June 30, 2020, IIE submitted asset disposition plans to USAID for IIE, IIEF, UGM, and UI. IIE received USAID concurrence for UNPAD and IPB’s disposition plans last quarter. None of the respective disposition plans met the threshold for Agreement Officer approval. Each CCR requested that its assets be disposed to the Lead CCR, an affiliate university, and/or local partner. IIEF requested that it be allowed to keep its SHERA-funded assets, and IIE proposed that its assets be disposed to other USAID projects and a local school. In July 2020, USAID will share the plans with Kemenristek/BRIN to inquire whether the GOI is interested in receiving any of the assets and to receive concurrence on the disposition plans for the remaining assets.

SHERA Booklet

In February 2020, USAID AOR proposed the idea of creating a booklet for SHERA that highlighted the program and its achievements to a public audience. During this reporting period, the SHERA Outreach and Communications Specialist worked intensively to design and write the booklet with assistance from the Senior Grants Manager in the Home Office and the Field Office’s Monitoring, Evaluation, and Learning (MEL) Assistant. The USAID AOR also provided input during the writing process.

This 37-page draft of the booklet has been Figure 1: Cover of the SHERA Booklet reviewed by USAID and is now pending review with Kemenristek/BRIN. Once finalized, copies of the booklet will be shared with SHERA key stakeholders as part of the program’s closeout activities and handover to the GOI.

CCR Monitoring and Support

The USAID SHERA team worked closely with each CCR to close out their subagreements with IIE in an effective and timely manner. Though the team was unable to meet with the CCRs in person due to COVID-19 restrictions, IIE was able to closely monitor and mentor each subrecipient through virtual means, including phone calls, WhatsApp messaging, and videoconferencing.

On April 9, IIE hosted a coordination meeting with each CCR team to prepare for program closeout, discuss final deliverables, and work through any COVID-19 challenges. The USAID AOR also joined these meetings. During the meetings, each CCR briefly explained their activity plans for the quarter. The three CCRs mentioned that due to COVID-19, all in-person activities and meetings were cancelled and replaced with virtual meetings. The meeting was also an opportunity for IIE to discuss any technical issues related to SHERA implementation. IIE’s MEL Officer provided guidance on data input in the MIS while IIEF’s Communications and Outreach Specialist reminded all CCRs to continue to provide updates

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on any outreach activities, including media monitoring and social media activities, and to submit ‘Most Significant Change’ forms along with their final reports at the end of the program. Following the group coordination meetings, IIE’s staff followed up with individuals to provide further one-on-one guidance and support.

On May 11, IIE hosted another series of coordination meetings with the CCRs about subagreement closeout procedures. In each meeting, IIE’s Grants and Finance team walked the CCRs through asset management and disposition plans, final deliverables, remaining financial expenditures, contract closures, and timelines for submitting the subrecipient closeout form and subrecipient release forms. While IIE provided a workshop for all CCRs on these materials in October 2019, this meeting served as a check-in to determine where each CCR was at on each subset on of the closeout process and to provide direct Figure 2: IIE hosted a virtual coordination meeting with support on any issues/questions the CCRs CDSR to discuss the impact of and response to the COVID- had. 19 pandemic.

This quarter, IIE’s Senior Grants Manager also conducted an audit of CCR deliverables ahead of their closeout. Any questions related to CCR documentation were relayed to the CCRs and discussed in coordination with IIE’s Field Office. In June 2020, IIE’s Senior Grants Manager also sent each CCR a checklist of items due after June 30 to assist the CCRs in planning out final deliverables for closeout. This included a reminder about the CCRs’ reporting requirements for the USAID Development Experience Clearinghouse.

As of June 30, SMART CITY and CDSR are on schedule to submit all final deliverables as required by their subagreements. Both submitted their asset disposition plans to IIE, and their final financial and performance reports will be submitted the first half of July. For NCSTT, IIE secured its asset disposition plan but all other closeout documents are pending NCSTT submission (see further information below under Challenges).

SMART CITY Support

Audit As previously reported, UI is undergoing an audit for its 2019 expenditures as it received over $750,000 in U.S. government funding for that year. This includes its SMART CITY expenditures under the USAID SHERA program. The SHERA Program/Grants Manager worked closely with SMART CITY this quarter (activities included in Annex II), as well as the auditors at Paul Hadiwinata, Hidajat, Arsono, Retno, Palilingan & Rekan to ensure that all of the auditors’ inquiries were properly addressed. She also helped build the capacity of the SMART CITY finance team by teaching them how to adapt to a virtual audit (e.g. creating private folders for the auditors to access online), how to conduct proper follow-up with an auditor, and how to pull the correct type of financial data for the auditor’s review. In June 2020, the auditors confirmed that they would submit the preliminary report to all parties in July 2020.

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Stakeholder Engagement

USAID/Indonesia

IIE maintained its close communication with the USAID SHERA AOR as the program shifted into closeout mode. In March 2020, IIE’s SHERA team and the AOR established weekly coordination calls which were then continued throughout the duration of this reporting period. The AOR even joined SHERA staff on closeout coordination calls with the CCRs in April. Finally, IIE’s Home Office and Field Office staff held a call with the AOR on June 29, 2020 to debrief the Kemenristek/BRIN closeout coordination meeting and determine next steps for transferring the program’s assets to the GOI. The above practices have allowed all parties to address challenges and determine solutions in a timely manner.

IIE submitted its FY2020 Quarter 2 Performance report and SF-425, as well as a revised M&E Plan and FY2019 Value Added Tax Report, as part of its deliverables under Agreement No. AID-497-A-16-00004. In addition, IIE also submitted an accrual report which is not a required deliverable. The quarterly performance report also included a USAID-requested COVID-19 supplemental report, which asked all implementing partners to report on any challenges and solutions created by COVID-19. As the CCRs concluded all final activities under SHERA this quarter, the COVID-19’s impact on program activities was minimal. All deliverables were approved by USAID by the close of this quarter.

IIE also provided several more supplemental reporting pieces to USAID at the request of the AOR. In April, the SHERA team provided data and contextual information to the AOR to assist with USAID’s provincial evaluation. This evaluation aimed to provide information and updates for USAID/Indonesia regarding SHERA’s impact for the affiliates in East Nusa Tenggara, East , and East provinces. The evaluation encompassed challenges, significant impacts, and any activities from the affiliates in the three provinces during SHERA program. Two virtual meetings were conducted with the AOR in on April 24 and 29 April to discuss the findings and to conduct a final review before submission.

In March 2020, USAID requested that IIE submit budget and corresponding activity indicators for SHERA as part of USAID’s Activities and Funding Hand Over Notes to Host Government (BAST) for 2019. The data request covered the period of January 1, 2019- December 31, 2019. In June 2020, USAID shared the updated version of its BAST 2019 report with IIE and requested further details per cost category, as well as confirmation of the objective indicators. The final figures were submitted to USAID on June 29, 2020.

Kemenristek/BRIN

During the latter half of this quarter, IIE focused its efforts on securing and preparing for a meeting with USAID and the GOI (Kemenristek/BRIN). On June 18, 2020, IIE and USAID participated in a virtual meeting hosted by Kemenristek/BRIN to discuss the program’s closeout, handover to GOI, and asset management.

The USAID AOR and SHERA Program/Grants Manager started the meeting by recapping the program’s achievements and current state. Kemenristek/BRIN, represented by Octa Nugroho Sando, the Deputy Secretary of Research Strengthening and Development, then led the conversation by explaining the government’s regulations related to asset handover and management. IIE learned that all SHERA program assets must be handed over to the GOI, as facilitated by Kemenristek/BRIN, who would also consult with

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the Ministry of Finance. Since IIE’s relationship is with USAID, not the GOI, the AOR will help facilitate the process in the coming months.

Additionally, all parties discussed the potential schedule and format of the SHERA closeout ceremony. IIE and USAID proposed that the event be held during the fourth week of July 2020, in a semi-virtual setting due to COVID-19. This was based on the activity plan that IIE submitted to USAID prior to the meeting with the GOI. However, Kemenristek/BRIN resisted setting a date, as they did not want to determine logistics until the transfer of assets had been settled. As of June 30, the event is on hold until IIE receives further guidance from USAID and Kemenristek/BRIN. Figure 3: USAID SHERA program team participating in virtual meeting with Kemenristek/BRIN and USAID At the end of the meeting, SHERA’s Communications and Outreach Specialist had the opportunity to give a brief presentation regarding the draft SHERA booklet. As part of the involvement from the GOI in the project, SHERA asked Kemenristek/BRIN to prepare a preface for the booklet to go alongside IIE and USAID’s prefaces. The booklet was well-received and is currently being reviewed by Kemenristek/BRIN.

Finally, it should be noted that neither USAID nor IIE presented the transfer of the Management Information System (MIS), which houses SHERA’s MEL data, to the GOI during the June coordination meeting. Per USAID’s guidance, IIE listed the MIS MEL in its disposition plan that was submitted to USAID on June 30, 2020. From there, USAID will propose the transfer of the system to the GOI and IIE will determine next steps based on the GOI’s interest level.

Partnership Outreach

During the previous quarter, the USAID SHERA Program Director and Outreach and Communications Specialist met with the School of Government and Public Policy (SGPP) to discuss a potential partnership between the USAID SHERA program and SGPP. The goal was to use both SGPP’s public policy network and academic journal to disseminate the CCRs’ research to a broader audience. Due to COVID-19 closures and changes in IIE’s staffing, the program was unable to formalize an agreement between the two entities. However, SGPP is still very much interested in collaborating with the CCRs. Therefore, IIE has introduced the five CCRs to SGPP via a formal letter with the hope that the CCRs connect with SGPP as they move into their next phase of operation beyond the USAID SHERA program.

Operations

IIEF Subagreement Modification

On June 26, 2020, IIE issued a subagreement modification to its subrecipient, the Indonesian International Education Foundation (IIEF). The modification, which will be executed during the next reporting period, changed the end date to July 31, 2020, increased the total obligation by $4,100, lowered the award ceiling to match the obligation ceiling, and clarified IIEF’s deliverables schedule.

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MIS MEL

As noted above under Human Resources, SHERA’s MEL Officer departed IIE at the end of May 2020. Prior to his departure, IIE asked him to complete several deliverables in relation to the MIS MEL. They include the following:

• Updating Indicator 1.1.2 under Performance Indicators Review Sheets (PIRS) for all CCRs to display a total number of training participants, including aggregation by sex. • Creating a new module named “Scholars and Their Roles.” • Updating PIRS pages to display per year and per quarter under each CCR’s menu page. • Requesting SMART CITY data input for its Products and Engagement portals • Requesting that all CCRs review and update data if needed on their respective Dashboard pages

Additionally, the MEL Officer drafted a MIS User Guide and transferred over the primary access credential for the service and domain name to other Field Office staff members. If the GOI agrees to host the MIS MEL after the USAID SHERA Program closes, then IIE will be able to present the MIS User Guide as part of the handover process.

Finally, in June 2020, IIE utilized its MEL Consultant to cross-check and validate the KPI data in the MIS MEL. As noted above, IIE requested that all CCRs review and update their data in the MIS MEL since it had noticed discrepancies in the figures reported in the previous quarterly report and the data stored in the MIS MEL. Once those updates had been made, the MEL Consultant then reviewed and updated the FY2020 KPI achievements accordingly (see Annex I). Therefore, some indicators, such as Goal 1, are higher this quarter due to the achievements recorded in FY2020 Quarter 3 and adjustments made for underreported figures in FY2020 Quarter 2. The MEL Consultant also validated the KPIs for previous fiscal years for both the SHERA Evaluation and the forthcoming SHERA Final Report.

Digital Outreach

The USAID SHERA website saw 770 pageviews this quarter, with 577 visitors. Of those 577 visitors, 511 were new visitors to the website. To gain viewership on the website, the Communications and Outreach Specialist focused on regularly posting CCR success stories, which then drew new visitors to the website from the linked USAID SHERA social media accounts.

The USAID Facebook page had 11,113 followers while its Twitter account earned 17,100 impressions, with 188 impressions per day on average. Some of the traffic on the program’s social media accounts came from CDSR, as the CCR regularly maintained its own accounts and tagged USAID SHERA when posting about its activities.

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Statistics from USAID SHERA’s three digital media platforms– website, Facebook page, Twitter – ultimately showed a decrease in the number of engagements and audience. This was to be expected to a certain extent, as the CCRs decreased their activities to focus their attention on subrecipient closeout activities. However, this decrease was then compounded by COVID-19, which prevented the CCRs from holding in- person activities.

As the USAID SHERA program shifted from program implementation to program closeout, the USAID SHERA Communications and Outreach Specialist Figure 4: USAID SHERA Website Statistics, April – June 2020 also directed attention to preparing the USAID SHERA website for closure. The website has been backed up and a copy of the backup data has been shared with USAID. IIE and USAID have both proposed that KEMENRISTEK/BRIN inherit the website following the closure of the program but as of the close of this reporting period, the matter is still pending with the GOI.

Challenges

CCR ARI and ANBIOCORE Final Deliverables

Following UNPAD and IPB’s subagreement closures on January 31, 2020, both subrecipients had until March 30, 2020 to submit their final programmatic reports to IIE. They also had until April 30, 2020 to submit their subrecipient closeout certification forms and 1420-20 subrecipient release forms. As noted in the previous quarterly report, neither CCR met the March 30 deadline, despite frequent reminders and offers of assistance from IIE.

UNPAD eventually submitted its report to IIE on April 20, 2020 when it submitted its closeout documents package. However, the quality of the report was poor, as it was incomplete in parts or did not provide extensive details. The same was true for IPB, who delivered its draft report on April 27 but did not submit its subrecipient closeout documents and final copy of the report until early June 2020, after much follow-up from IIE. As of this report, IIE has received all key deliverables from UNPAD and IPB. Both CCRs’ final reports have also been shared with the USAID AOR.

Indonesian News Agency Contract

During the previous quarter, IIE reported that it had met with Lembaga Kantor Berita Nasional (LKBN) ANTARA, or the Indonesian News Agency, to introduce the USAID SHERA program and share its achievements from the past three years. This relationship was to be formalized through a contract with IIEF. Unfortunately, the USAID SHERA program was unable to move forward with this collaboration. This was due to two reasons. First, the SHERA Program Director was unable to finalize the contract prior to his departure from the program on April 30, 2020. Then, IIEF took on the coordination through its Communications and Outreach Specialist. However, IIE learned from IIEF that it had limited funds left in its sub-award with IIE to cover the cost of the contract and keep its SHERA staff member on through July

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31, 2020. Since IIE received this communication at the same time it was conducting a budget exercise for a potential obligation increase to NCSTT, IIE decided to set aside its cost-savings for NCSTT and not to move forward with the media contract.

III. SHERA University Partnerships/Centers for Collaborative Research

3.1 CCR Activities − Key Highlights during the Reporting Period

This quarter, each CCR focused on closing out remaining activities and finalizing reporting requirements for the USAID SHERA program. As reported earlier in this report, this was done in close coordination with IIE’s Grants and Finance team in Jakarta, with further support from IIE Home Office. Details on each CCR’s activities and sustainability plans can be found below. However, it should be noted that further information on the CCRs’ sustainability, best practices, lessons learned, and more, will be submitted in the forthcoming USAID SHERA Final Report from IIE.

CDSR

CDSR excelled in implementing its FY2020 IP and spending out its remaining obligation. Despite COVID- 19 and the general challenge of the SHERA program ending earlier than anticipated, the CDSR team adapted and maintained consistent financial projections and spending patterns. This speaks to CDSR’s strong leadership and management skills, as well as successful financial controls and processes.

CDSR focused on finishing its research activities and reporting requirements under the USAID SHERA program this reporting period. CDSR finalized its research and report writing on vertical axis wind turbines, renewable energy systems for rural households in Indonesia, as well as microalgae cultivation with Universitas Bangka Belitung. CDSR also continued to monitor its scholars’ proceeding papers and journals. One CDSR paper was accepted by a journal, with another three published this quarter. CDSR’s 2019 International Conference on Renewable Energy and Sustainable Built Environment also produced 27 proceedings, 10 of them written by SHERA-supported research.

Finally, as a means of capturing CDSR’s successes and research under the USAID SHERA program, CDSR produced a booklet and video entitled ‘Collaboration for Sustainable Regional Development.” These two items will be finalized in July 2020 and shared with IIE at that time, who will then share them with USAID.

CDSR Sustainability One of CDSR’s primary goals, particularly in FY2020, was ensuring its sustainability beyond the USAID SHERA program. CDSR analyzed and planned for sustainability in terms of its research goals and activities, as well as through establishing partnerships with diverse parties (governments, NGOs, private sector, universities). This includes increasing its efforts to create relationships with commercial partners so that it can secure funding outside of traditional donor sources. CDSR also recognized that the dissemination of the program and its achievements to the broader public was a vital pillar within its sustainability efforts. Therefore, CDSR systematically managed its media outreach to showcase the program’s efforts, results, and lessons learned. As a result, the CCR had 7,581 website visitors, 45,454 Instagram impressions, 15,264 YouTube viewers, 90,387 Facebook impressions, and 210,013 Twitter impressions as of June 30, 2020.

Additionally, CDSR’s synergy with its HEI consortia partners is particularly noteworthy. For example, a joint University of Colorado at Boulder – UGM – ITB team received a U.S. National Science Foundation grant to conduct collaborative research and development for a green/smart city, beginning in July 2020.

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Activities between UGM, Auburn University, California Polytechnic State University, and the University of Texas at Austin are other promising examples of collaboration that supports sustainability. The Gorontalo network is also growing by involving Universitas Gorontalo and various local partners.

Although CDSR’s current iteration has ended under SHERA, and the program and its structure will continue to change and grow in the months and years to come, CDSR will ultimately continue the legacy of its work that was established under the USAID SHERA program.

SMART CITY

During its final months under the USAID SHERA program, SMART CITY took significant strides in expanding its relationships with local and national government entities in Indonesia, and legally establishing itself as a sustainable center beyond the lifecycle of the USAID SHERA program. Further information on each activity can be found below.

Web-based Application: Assessment Instrument of Smart City for Regional Governance. In 2018, SMART CITY began discussing potential collaboration with the Indonesian Ministry of Internal Affairs to create an instrument capable of assessing smart city development in local and regional government. Those discussions then turned into a focus group discussion in 2019, where the Ministry expressed their intention to create a smart city assessment that could fit within the context of Indonesia’s governance development. SMART CITY continued the initiative and this quarter, it successfully developed a web-based application. This instrument will serve as a definitive data analytics tool for the Ministry to assess regional governance development. It scores each city’s governance progress through 10 smart city aspects and ranks all cities in Indonesia for quantitative and qualitative comparison. The result will provide the Ministry a clear view of every region's development stance, evaluate development objectives to improve regional planning, and improve national-regional government relations. As SMART CITY implements its sustainability plan beyond its June 30, 2020 end date with the USAID SHERA program, it will continue to assist the Ministry with the prototype’s implementation in Indonesia. There is also potential for the prototype to be utilized throughout the broader Association of Southeast Asian Nations (ASEAN) region, as Indonesia has been appointed to be the principal investigator in creating a Smart City Assessment for ASEAN’s Sustainable Development Goal target.

Web-based Application: Smart Land Surveillance System As previously reported to USAID, SMART CITY began its Smart Land Surveillance System in 2017, through which it developed a partnership with three local government entities and one private partner. These partners include the Agency for Regional Planning and Development (Depok City Government), the Regional Finance Agency (Depok City Government), the Investment Office and One Stop Integrated Services (Depok City Government), and PT Pangripta Geomatika Indonesia. In 2018, the SMART CITY team developed the concept of a land-control system with its government partners and interviewed more than 3 cities in Java to identify their needs. Then, it created a framework for a three-dimensional monitoring system in 2019 and began designing the prototype. This quarter, the CCR hired more technical experts to develop the web-based user interface and the prototype was finished. As of this reporting period, the implementation of the prototype is now targeted for early 2021 at the Depok City Agency for Regional Planning.

Third Annual International Conference on SMART CITY Innovation SMART CITY’s third annual International Conference on SMART CITY Innovation (ICSCI) is being organized by its affiliate Universitas Udayana (UNUD) and is scheduled to take place on October 27, 2020 in Bali. As previously reported, this conference is in partnership with the ASEAN University

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Network Regional Conference Energy, UI’s iDwell conference, and the USAID-supported Long-Term Assistance and Services for Research Partners for University-Led Solutions Engine. Due to COVID-19 travel restrictions and public health concerns, the conference will have options for both in-person and online participation.

As part of UNUD’s final milestone under its Fixed Amount Award with UI, UNUD led the conference paper selection process in April 2020. In the end, over 113 papers were peer-reviewed and accepted for presentation at the upcoming ICSCI conference. Additionally, UNUD’s research cluster exceeded targets and expectations, as UNUD established a research unit with official legal base under the Vice Rector Prof. Dr. Ir. I Nyoman Gede Antara, M.Eng. (UNUD’s previous SMART CITY manager). Scholars from the architecture and urbanism faculty at UNUD had a goal of establishing an independent research unit at the university with an urban development focus; however, the university’s partnership with SMART CITY and funding from the USAID SHERA program helped UNUD’s faculty realize that goal. The research unit is now in charge of organizing ICSCI 2020 and plans to continue its to collaboration with SMART CITY long after the USAID SHERA program ends. Further information on UNUD’s achievement can be found in Annex IV,

SMART CITY Sustainability SMART CITY aims to become a research and community development center focusing on science, technology, and innovation-based to improve the quality of life in Indonesia. Based on this objective, its sustainability framework is based on making SMART CITY a reliable partner for the government and private entities. In June 2020, SMART CITY became a special research unit with legal standing under UI. This unit is now called Unit Kerja Khusus Pengabdian Masyarakat SMART CITY (Special Community Service Unit SMART CITY), or UKK PM SMART CITY. It has seven objectives:

1. Development of web-based applications and situation room to solve urban challenges in Indonesia. 2. Consortium of capable researcher to carry-out innovative developments. 3. Community service improvement through national and international partnership, as well as with government entities. 4. Increased scientific publication and conference to disseminate technology-based smart city innovation. 5. Increased number of smart city studies. 6. Improved smart city systems for local and regional governance. 7. Increased financing capacity for SMART CITY programs.

As a special unit under UI, SMART CITY has received legal standing to commercialize the program and generate income for operational use and sustainability. The four programs will become the first income generator for SMART CITY. Partnership with Smart City Center at Universitas Udayana will also be continued for collaborative research, international conferences, and the UKK PM programs

NCSTT

NCSTT did not submit its FY2020 Quarter Three Performance Report to IIE; therefore, IIE cannot provide detailed information on NCSTT’s activities. However, based on the data that NCSTT submitted in the online MIS MEL system, IIE can report the following NCSTT achievements for this reporting period: • Thirteen articles published, including two journal articles and eleven proceeding articles. All were indexed in Scopus. • Fourteen knowledge products created (twelve proceeding articles, two papers).

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IV. IIE Activities Anticipated for Next Quarter (July-September 2020)

4.1 SHERA Final Evaluation In July 2020, Dr. Susan Sutton will complete her draft of the Final Evaluation report, which IIE will then review and submit to USAID for further feedback. IIE will also host a call with USAID and Dr. Sutton to discuss the findings of her report. Once the report is finalized, IIE will submit it as part of its Final Report to USAID. Key findings will also be presented to the GOI and CCRs during the SHERA Closeout Meeting (further details on the meeting below).

4.2 SHERA Closeout Meeting IIE plans to host a virtual (or semi-virtual, depending on COVID-19 restrictions) SHERA closeout meeting with officials from KEMENRISTEK/BRIN, USAID, and all five CCRs in August 2020. The purpose of the meeting is to transition the program from USAID and IIE, to the GOI and the CCRs. The exact timing of the event will depend on the transfer of SHERA program assets from USAID to GOI, as the GOI has informed IIE and USAID that it will not move forward with planning the event until the asset transfer has been settled.

4.3 SHERA Close Out During the next reporting period, IIE will fully focus its efforts on closing out the USAID SHERA program. This includes but is not limited to the following:

• Final subrecipient monitoring activities to collect remaining CCR deliverables • Final IIE reporting requirements to USAID • Administrative close out (document collection and shipment to IIE Home Office, etc.) • Transfer of assets per IIE’s disposition plan • Final meeting with USAID • Closure of SHERA office in Jakarta

Further details about IIE’s closeout plan are included in SHERA’s revised FY20 Implementation Plan.

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Annex I: SHERA’s KPI Achievements

SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target 1. Number of peer- reviewed scientific publications resulting from USG support 80 1 80 29 49 1 1 34 76 0 0 16 80 206 to research and implementation program Journal Articles 5 1 9 0 24 39 Proceeding Articles 44 0 67 0 56 167 Status of Scopus Indexed Scopus 49 1 76 0 80 206 Non-Indexed Scopus 0 0 0 2. Ratio of citation to publication produced by 14% 14% 3% 12% 0% 0% 0% 3% 63% 20% 12% Indonesia researchers Number of Cited 11 1 11 1 6 0 0 0 2 0 0 10 16 24 Publication Total Number of 80 1 80 29 49 1 1 34 76 0 0 16 80 206 Publication Journal Articles 1 2 10 13 Proceeding Articles 5 16 21 Number of Authors: 14 2 18 34 Male 10 2 12 24 Female 4 6 10

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target 3. Ratio of academic research initiatives whose findings are 4% 4% 3% 0% 0% 0% 8% 0% 0% 0% 5% 0% 0% utilized to address development challenges. Number of Research 3 1 3 1 0 0 0 1 0 0 0 1 0 0 whose Findings Number of Topic of 79 1 79 30 30 6 6 12 12 10 10 21 21 79 Research Improved capacity of faculty, PhD students and postdoctoral researchers in target Indonesian universities 1.1 % of scholars who present at 13% 13% 0% 0% 83% 83% 31% 31% 0% 0% 0% 0% 13% conference numerator 25 1 25 0 0 10 10 15 15 0 0 0 0 25 denominator 190 1 190 75 75 12 12 49 49 25 25 30 30 191 Male 7 13 20 Female 3 2 5 Age under 25 2 2 Age 25 - 45 4 6 10 Age 46 - 65 4 7 11 Age over or equal 66 1.1.1. Number of short-term training 0 1 0 0 0 0 0 0 0 0 0 0 0 0 courses held 1.1.2. % of researchers participating in 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% 0% short-term training courses

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target numerator 0 1 0 0 0 0 0 0 0 0 0 0 0 0 denominator 769 1 769 120 120 240 240 120 120 189 189 100 100 769 1.1.3. Number of U.S. scholars visiting Indonesian institutions to lead 0 1 0 0 0 0 0 0 1 0 0 0 0 1 short-term training courses for Indonesian partner institutions Male 1 1 Female Age 25 - 45 1 1 46 - 65 up to 66 Academic Level: Master Ph.D Students Postdoctoral 1 1 Students Number of visits 1 1 1.2 % of scholars who participate in 3% 3% 15% 15% 0% 0% 0% 5% 0% 0% 0% 0% 4% collaborative research numerator 9 1 9 9 9 0 0 0 3 0 0 0 0 12 denominator 281 1 281 62 62 54 54 55 55 65 65 45 45 281 Male 6 3 9

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target Female 3 3 1.2.1. Number of Indonesian scholars who participate in in- 0 1 0 0 0 0 0 0 0 0 0 0 0 0 person faculty exchanges held in the U.S. 1.2.2. Number of Indonesian scholars who receive ongoing 0 1 0 0 0 0 0 0 0 0 0 0 0 0 mentoring from U.S. university partners Strengthened, inclusive institutional environment for research and management in target Indonesian universities 2.1. % of Indonesian institutions with improved research 17% 17% 0% 0% 400% 400% 0% 0% 0% 0% 0% 0% 17% policies and systems in place. numerator 4 1 4 0 0 4 4 0 0 0 0 0 0 4 denominator 23 1 23 7 7 1 1 7 7 1 1 7 7 23 Lead 0 0 0 0 Affiliates 0 4 0 0 0 4 2.1.1. Number of institutions that develop improved 4 1 4 0 0 4 4 0 0 0 0 0 0 4 research and management policies developed Lead 0 0 0 0 Affiliates 0 4 0 0 0 4

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target 2.2. % of CCR members with improved 14% 14% 0% 0% 150% 150% 0% 0% 0% 0% 0% 0% 14% administrative and management systems in place. numerator 3 1 3 0 0 3 3 0 0 0 0 0 0 3 denominator 22 1 22 4 4 2 2 6 6 2 2 7 7 21 Lead 0 0 0 0 Affiliates 0 3 0 0 0 3 Gender (Y/N) 0 0 0 0 2.2.1. Number of CCR websites that are developed, 5 1 5 1 1 1 1 1 1 1 1 1 1 5 operational and used regularly 2.2.2. Number of CCR knowledge 8 1 8 5 11 0 0 2 84 0 0 1 5 100 products created Gender (Issues) 5 1 6 IEC materials 2 2 4 Modules Presentation 67 67 Materials Papers 12 12 Book 1 1 Patent 1 2 3 Research Report 8 2 3 13

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target 2.2.3. Number of CCR knowledge sharing events held 5 1 5 1 1 0 0 1 1 0 0 3 3 5 on best-practices & lessons learned 2.2.4. Number of people participated in activities addressing gender 146 1 146 0 0 146 146 0 0 0 0 0 0 146 equality or female empowerment in science and technology research. Male 32 32 Female 114 114 Enhanced collaboration in CCR/Consortium for collaborative research 3.1 % of institutions engaged in joint 124% 124% 100% 122% 100% 100% 100% 100% 100% 217% 100% 100% 121% research projects numerator 52 1 52 9 11 10 10 8 8 6 13 9 9 51 denominator 42 1 42 9 9 10 10 8 8 6 6 9 9 42 in-country based 8 8 7 12 5 40 US based 3 2 1 1 4 11 Third country based type of institution Academic 11 10 8 6 8 43 Private Sectors Public Sectors 7 7

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SMART Achieved Target FY 2020 CDSR ANBIOCORE NCSTT ARI Performance CITY 2020 Indicators CCRs SHERA Proposed CCRs CCRs CCRs CCRs CCRs Total Total Total Total Total Total Compiled Adjusted Targets Target Target Target Target Target 3.2. % of Partnerships Created 15% 15% 100% 20% 0% 0% 0% 0% 0% 0% 0% 0% 3% to Support Joint Research Projects numerator 4 1 4 5 1 0 0 0 0 0 0 0 0 1 denominator 27 1 27 5 5 8 8 7 7 5 5 5 5 30

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Annex II: SHERA Quarterly Activity Record

Participants Total # of Rector/Vice No Date Activity* Purpose of Activities Faculty/SHERA Participants Total Rector F M F M F M Coordination Meeting with Finance team CCR 1 4-Apr-20 Grant Monitoring 3 1 3 1 4 NCSTT to discuss projection of remaining Advance.

Weekly Coordination with Coordination Meeting USAID SHERA team and AOR 2 8-Apr-20 2 5 2 5 7 USAID AOR for update the activity

Coordination meeting with 3 8 3 8 11 NCSTT Coordination meeting with To prepare for program closeout, discuss final 3 9-Apr-20 4 7 4 7 11 SMART CITY deliverables and impact of COVID-19 Coordination meeting with 5 7 5 7 12 CDSR

4 10-Apr-20 Grant Monitoring PAR SMART CITY Discussion with Gamal and team 3 2 3 2 5

SHERA coordination To update current program and impact of COVID-19 5 15-Apr-20 2 7 2 7 9 meeting with USAID AOR to SHERA programs

Coordination Meeting with External Auditor PKF 6 16-Apr-20 Assisting Audit process regarding the data and G-Drive Storage, and files that 1 1 1 1 2 has been uploaded

Coordination meeting with PKF Auditor for the 7 20-Apr-20 Assisting Audit process 1 1 1 1 2 document and report CCR SMART CITY

Coordination meeting with PKF Auditor for the 8 21-Apr-20 Assisting Audit process 1 1 1 1 2 document and report CCR SMART CITY

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Participants Total # of Rector/Vice No Date Activity* Purpose of Activities Faculty/SHERA Participants Total Rector F M F M F M

Grant Meeting with CCR 9 22-Apr-20 Discussion on financial report data to Auditor PKF 2 1 2 1 3 SMART CITY

To update current program and impact of COVID-19 SHERA coordination 10 22-Apr-20 to SHERA programs: General operational, Final 1 5 1 5 6 meeting with USAID AOR Evaluation status, CCR Update, Booklet Discussion of NTT and To provide USAID AOR more information about 11 24-Apr-20 Template with affiliates and SHERA's program in East Nusa Tenggara 0 3 0 3 3 USAID AOR Province and East Java Province

Discussion of Provincial To discuss final findings of information related to 12 29-Apr-20 Template with USAID SHERA's activities in East Nusa Tenggara and East 0 3 0 3 3 AOR Java Provinces

Coordination meeting with PKF Auditor for the 13 28-Apr-20 Assisting Audit process 1 1 1 1 2 document and report CCR SMART CITY

To discuss and coordinate content for the SHERA 14 4-May-20 SHERA Booklet Discussion 0 2 0 2 2 booklet SMART CITY-Final 15 6-May-20 Follow up meeting with SMART CITY Evaluation SHERA weekly update 16 6-May-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

MEL Coordination with To provide latest update for SHERA team in Jakarta 17 8-May-20 5 6 5 6 11 CCRs and CCRs about new features in MIS MEL

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Participants Total # of Rector/Vice No Date Activity* Purpose of Activities Faculty/SHERA Participants Total Rector F M F M F M Coordination Meeting with External Auditor PKF, 18 11-May-20 Assisting Audit process SHERA and Finance team SMART CITY to discuss 2 3 2 3 5 management question/remarks audit. Coordination SHERA with 4 4 4 4 8 NCSTT team Discussion for anticipation June 30th Closing, status of Mod Document, Asset Management and disposal, Coordination SHERA with 19 11-May-20 Deliverables to IIE, Final Payment that than be charge 5 4 5 4 9 UI team to USAID SHERA, Status of Final Evaluation Coordination SHERA with Questionnaire. 6 4 6 4 10 CDSR team Discussion among team IIE Home Office with Pak Sigit in responding the limited of Fund and AOR has 20 12-May-20 IIE - NCSTT meeting shared the email of USAID HCP Director regarding 2 3 2 3 5 information on discontinue funds for SHERA Program. Coordination meeting with Office Manager USIP-1 21 12-May-20 Meeting with OM USIP-1 1 1 1 1 2 regarding Audit process, payment, and progress audit. Asia Region -- USAID Discussion among USAID's implementor about 22 12-May-20 COVID-19 Implementing COVID-19 response efforts and its impact on 0 0 0 Partner Call** operations using platform WebEx SHERA weekly update 23 13-May-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

Coordination Meeting with external Auditor PKF 24 13-May-20 Assisting Audit process 2 4 2 4 6 regarding CCR SMART CITY

SHERA weekly update 25 20-May-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

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Participants Total # of Rector/Vice No Date Activity* Purpose of Activities Faculty/SHERA Participants Total Rector F M F M F M Coordination Meeting with External Auditor PKF, 26 20-May-20 Assisting Audit process SHERA and Finance team SMART CITY to discuss 2 3 2 3 5 management question/remarks audit.

SHERA weekly update 27 27-May-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

Final Evaluation meeting To discuss and revise findings of CCR desktop review 28 28-May-20 1 2 1 2 3 with ANBIOCORE as part of the SHERA Final Evaluation

Final Evaluation meeting To discuss and revise findings of CCR desktop review 29 29-May-20 3 3 3 3 6 with CDSR as part of the SHERA Final Evaluation

Final Evaluation meeting To discuss and revise findings of CCR desktop review 30 3-Jun-20 2 2 2 2 4 with SMART CITY as part of the SHERA Final Evaluation

Final Evaluation meeting To discuss and revise findings of CCR desktop review 31 3-Jun-20 2 3 2 3 5 with NCSTT as part of the SHERA Final Evaluation To discuss the process of audit with External Auditor Audit USAID Entrance 32 16-Jun-20 PKF, USAID, USIP-1, MAPPI, SHERA and Finance 7 7 7 7 14 Meeting team SMART CITY.

SHERA weekly update 33 17-Jun-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

Coordination Meeting with external Auditor PKF, regarding the question from auditor that they are not 34 17-Jun-20 Assisting Audit process 1 3 1 3 4 fully understand of CCR SC is not Prime but CCR SC is only sub recipient of IIE

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Participants Total # of Rector/Vice No Date Activity* Purpose of Activities Faculty/SHERA Participants Total Rector F M F M F M IIE Meeting with To discuss SHERA closeout, handover to GOI, and 35 18-Jun-20 Kemenristek/BRIN and 7 16 7 16 23 asset management USAID SHERA and IIEF 36 19-Jun-20 To discuss IIEF closeout 2 2 2 2 4 coordination meeting SHERA weekly update 37 24-Jun-20 To discuss program updates with USAID AOR 2 4 2 4 6 with USAID AOR

Coordination Meeting with Finance team SMART CITY to discuss projection remaining Advance, 38 24-Jun-20 Grant Monitoring monthly reporting for Procurement Website 2 1 2 1 3 Instrument Assessment, QuickBooks entries and assets management disposal plan.

Coordination Meeting with external Auditor PKF, regarding the 1st draft audit report, For SHERA 39 30-Jun-20 Assisting Audit process 1 3 1 3 4 there is a discrepancy total expense incurred during 2019 (Jan-Dec) with Data base that being audited.

0 0 93 147 93 147 240

* All activities were conducted virtually during this quarter via online teleconferencing platforms. ** Number of participants is not included, as the USAID-hosted virtual meeting did not list participant data.

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Annex III: CCR Quarterly Activity Record

Method Actual Type of Objective of Date Date No CCR* Title of Activity of Location Venue Activity Activity Start End Activity Male Female

Coordination To discuss Meeting with implementation SMART AUN, IDwell, Collaboration challenges Virtual 6-Apr- 6-Apr- Other 1 Skype 2 6 CITY SMART CITY UI Meeting because of COVID- (Online) 20 20 Countries and Udayana 19 and alternative Team solutions Conference To discuss the Coordination SMART Collaboration technical progress Virtual 22- 22- 2 Meeting with Indonesia Skype 1 3 CITY Meeting of ICSCI (Online) Apr-20 Apr-20 Smart City implementation Udayana To discuss a Coordination mitigation 18- 18- SMART Meeting: ICSCI Collaboration Virtual 3 strategy for the May- May- Indonesia Skype 3 2 CITY with ASEAN Meeting (Online) conference in 20 20 AUN - RCEneE October Coordination SMART Meeting with Collaboration To discuss ICSCI Virtual 3-Jun- 3-Jun- 4 Depok Skype 4 4 CITY AUN and Meeting implementation (Online) 20 20 Udayana Team

Total 10 15

*SMART CITY was the only CCR this quarter to report CCR activities. CDSR focused on administrative closeout of its subaward and NCSTT did not submit its deliverables this quarter (see further information under the Challenges section).

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Annex IV: SHERA Success Stories

Sustainable Higher Education Research Alliances

USAID SHERA Fast Tracks Indonesian University on Path to

Accreditation and Peer Recognition

Located on Kalimantan Island, ITK was established in 2014 and only offered an electrical Background program to undergraduate students at its start. As a new university, ITK had limited facilities and researchers, and the university struggled to gain recognition from other As a new higher education institution, Indonesian higher education institutions (HEIs). With limited resources and connections, Institut Teknologi Kalimantan (ITK) ITK faced many barriers as it sought to develop its advanced technologies research. faced challenges in developing

advanced research on technologies. In Those challenges were then compounded when the time came for ITK’s assessment by the 2017, the National Center for

National Accreditation Agency (Badan Sustainable Transportation

Akreditasi Nasional), which measured the Technologies (NCSTT) opened the institution against thresholds for international door for ITK to improve its capacity publications, international conference attendance, through collaborative research. As a and partnerships with other institutions. ITK did result of its partnership with NCSTT, not meet any of the requirements at that time. ITK successfully upgraded its

Dr. Mohammad Muntaha, ITK’s Partnership accreditation status from a ‘C’ to ‘B.’ Manager, remembered, “It was a hard time for us. We had tried to improve our capacity through ITK researcher presenting during a 2018 Led by Institut Teknologi Bandung many ways, but we had not reached the maximum NCSTT program coordination meeting. (ITB), NCSTT is one of the USAID results.” SHERA program’s five Centers for Collaborative Research (CCRs), This all changed in 2017 when ITB, the lead university of NCSTT, asked ITK to join its which focuses on seeking integrated research consortia as an affiliate institution. Through NCSTT, ITK suddenly had the solutions for transportation problems opportunity to join collaborative research on applied engineering and technology for in Indonesia. transportation systems, which gave ITK more recognition amongst its peers. Impact Since joining NCSTT, ITK has been involved in several research activities led by ITB, namely in developing batteries for electric vehicles. In 2018, ITK researchers also participated in It was a challenge for ITK to follow all two of the CCR’s trainings in Banjarmasin and Manado. These trainings helped ITK’s USAID regulations and rules at the researchers improve their skills in writing academic papers in English. As a result, a total of beginning of the USAID SHERA five Scopus-indexed academic papers were published. Additionally, ITK has been able to program, as it was the institution’s broaden its networks through attending international events such as the ITB-led 6th first time joining an international International Conference on Electric Vehicular Technology 2019 in Bali. “It’s an honor for us to be part of NCSTT and have the opportunity to broaden our networks and to collaborate collaborative research project. Since with researchers from various universities,” Muntaha shared. 2017, ITK has grown under the mentoring and support it has All these achievements contributed to ITK finally passing its accreditation assessment in received from NCSTT and the overall 2018, when it successfully gained a ‘B’ score after having received a ‘C’ in 2014. Muntaha USAID SHERA program. It has mentioned that it was the NCSTT activities that played a significant role during the achieved newfound success in assessment process. “Through NCSTT, the number of international publications and publishing Scopus-indexed academic attended international conferences have increased. Other than that, we also have built papers, increasing its visibility at partnerships with other HEIs and other stakeholders in conducting collaborative research,” international conferences, and Muntaha reflected. seeking potential research partnerships.

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Sustainable Higher Education Research Alliances

USAID SHERA Research Partnership Enhances Capacity of State Laboratory in East Java

As one of the world’s most populous countries, Indonesia must maintain its livestock supply to ensure food security. Balai Besar Inseminasi Buatan (BBIB) Singosari, the Center Background for Artificial Insemination, supplies 60 percent of frozen semen production for Indonesia’s livestock supply needs in Indonesia, making it the largest center of its kind in the country. Led by Institut Pertanian Bogor (IPB), Despite its large output, BBIB Singosari struggled to improve its researchers’ capacity. Center for Collaborative Research “We provide resources, such as laboratory and its facilities, frozen semen, research Animal Biotechnology and Coral Reef samples, reagents, and experts for external partners. But our researchers have limited Fisheries (CCR ANBIOCORE) opportunity to join in collaborative research due to their daily routines,” said Drh. Enniek focuses on strategic collaborative Hewijanti, Head of BBIB Singosari. engagement in animal (livestock and fisheries) biotechnology for In 2018, Universitas Brawijaya (UB), an ANBIOCORE affiliate institution, opened the door sustainable food production through to international partnerships for BBIB Singosari. In partnership with ANBIOCORE, BBIB innovative research and high-quality Singosari researchers directly participated in the research process with UB scholars, education. enhanced their knowledge related to Madura cattle, and even became co-authors on two Scopus -indexed academic publications. BBIB Singosari’s researchers also participated in ANBIOCORE trainings and workshops, including an academic writing training led by Dr. Erdogan Memili from Mississippi State University in early 2019. Impact

BBIB Singosari’s collaboration with

ANBIOCORE provided the CCR’s

researchers with valuable access to

laboratory space and free frozen

semen research samples. In turn, the

ANBIOCORE partnership also

provided added value for BBIB

Singosari. Through ANBIOCORE,

BBIB Singosari gained access to an

international partnership network

that helped the research institution

achieve government indicators,

conduct collaborative research with

reputable universities, enhance the Enniek (second from the right) showcasing BBIB’s laboratory facilities to visiting scholars. capacity of its researchers, and co-

author academic publications. “Being part of ANBIOCORE is an added value for BBIB Singosari. This collaboration is considered by the central government as an international engagement between Indonesian and the US institutions,” remarked Enniek. As a state-owned laboratory under the Ministry of Agriculture, this is a great achievement for the organization, as the central government considers international collaboration a key indicator for the improved capacity of the organization. According to Enniek, BBIB Singosari has received broader recognition from reputable universities since joining ANBIOCORE, thanks to the USAID SHERA program’s broad network in Indonesia and the U.S. As a result, many Indonesian universit ies have visited BBIB Singosari to learn more about its animal biotechnology research.

Enniek (center, holding poster) celebrating the Although ANBIOCORE completed its grant under the USAID SHERA program in January CCR-BBIB Singosari partnership at an 2020, the CCR is maintaining its partnership with BBIB Singosari and UB as it continues to ANBIOCORE’s event in 2019 collaborate with both institutions on animal biotechnology research. As Enniek shared, “We have built the network and will utilize it for further potential collaboration.” 31

Sustainable Higher Education Research Alliances

Universitas Udayana Establishes SMART CITY Research Center

When UNUD joined the USAID SHERA program in 2018 as an affiliate university in Background CCR SMART CITY’s consortia, the university’s researchers suddenly had the opportunity to collaborate with other experts and broaden their networks. SMART CITY, led by Universitas Through the program’s support and mentorship, UNUD began to increase its Indonesia (UI), is one of the USAID number of publications and produced nine Scopus-indexed academic papers. SHERA program’s five Centers for Collaborative Research (CCRs). It However, one overarching challenge persisted. SMART CITY’s research focused on focuses on urban planning and urban planning and development issues, which meant that its researchers were development issues in Indonesia. coming from diverse scientific background and departments at UNUD. The interdisciplinary nature of the research made it quite challenging at times for SMART CITY helped one of its UNUD’s researchers to conduct collaborative work, particularly when trying to affiliate universities, Universitas coordinate and communicate outside their respective departments and faculties. Udayana (UNUD, to establish its own “Although we were the affiliate of SMART CITY, we didn’t have a local forum to interdisciplinary research center by regularly discuss any issues related to urban planning and development issues,” said providing training on research Dr. Gusti Ayu Made Suartika, Head of UNUD’s Research Cluster. management and policy development.

UNUD’s CCR researchers took this idea to the university Impact and local government, who in UNUD’s establishment of its own turn fully supported the SMART CITY Research Center was a initiative. Today, the UNUD significant achievement for this SMART CITY Research Center university. When UNUD originally is active under the university’s joined the USAID SHERA program, it Research and Community anticipated that it would focus on Service Institution (Lembaga publishing academic papers. However, Penelitian dan Pengabdian this research center was a hugely Masyarakat) and is directly positive, unexpected outcome for the UNUD at a 2018 SMART CITY workshop monitored by the Rector. The university. Through the research center, UNUD has been able to local government also supports the center and invites the researchers to provide broaden its network, engage with the scientific advice on urban planning issues in Bali. local government of Bali, and address

urban planning and development The establishment of the SMART CITY Research Center has provided UNUD’s issues. researchers with many opportunities to improve their capacity. For example, the center held a public lecture in May 2019 in collaboration with the Embassy of Japan’s Energy Attaché in Indonesia, which drew 150 students and faculty members from UNUD. Additionally, to broaden its networks, UNUD’s SMART CITY Research Center has sought out collaboration with Indonesian research partners from a variety of universities outside the SMART CITY consortia, and is now preparing to host the Third International Conference on SMART CITY Innovation in October 2020. “This research center will be continuously developed for further research collaboration to support the local government. We are glad that finally, we were able to establish our own research center,” Suartika concluded. UNUD meeting with Government of Bali and the Government of Japan in 2019.

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Annex V: USAID SHERA Final Evaluation Terms of Reference

Terms of Reference

Title of Activity Type of Activity USAID SHERA – Final Evaluation Assessment

Background

The USAID Sustainable Higher Education Research Alliance (SHERA) is currently in its fourth year and is scheduled to close on September 30, 2020. Since the program is forced to close before its original date end date of May 4, 2021, IIE must complete its program assessment cycle earlier that what was initially designed. IIE conducted a baseline survey in 2017 (using an online survey approach) and its mid-program assessment was replaced by a sustainability assessment in 2019, which was conducted by the USAID/Monitoring & Evaluation Support Project. IIE will now move the 2021 endline survey to 2020 to complete the assessment cycle.

The final evaluation will differ slightly from the baseline survey. The 2017 baseline questionnaire was based on SHERA’s Results Framework to achieve Goals 1, 2, and 3, when SHERA’s Key Performance Indicators (KPIs) had not yet been established. The KPIs were defined and approved after the completion of the baseline survey. Therefore, most of the baseline key questions are no longer relevant for the endline assessment. Adjustments are required to reflect current KPIs. However, the overall themes will remain the same: 1) Increased capacity of scholars 2) Strengthened and inclusive institutional environment for research and management 3) Enhanced partnerships among higher education institutions and external resources for research collaboration IIE will incorporate the findings of this assessment into the project’s final report. However, ahead of that report, IIE will present the findings to USAID and the GOI for learning purposes.

Objectives

The objectives of the final evaluation are: - To evaluate SHERA’s current indicators against the baseline findings - To understand SHERA’s program highlights, lessons learned, and the program’s intended/unintended outcomes Method • Desktop Review− IIE will use the following information sources: o CCR quarterly and annual reports o IIE SHERA quarterly and annual reports o Management Information System data • Online Survey o A short and quick online survey to collect targeted information from the CCRs

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• Direct Interviews1 o In-depth interviews with CCRs focused on collecting information on grantees’ learning and the outcomes of SHERA’s technical assistance o Targets for key informant interviews (KIIs) and locations will be determined based on desktop review results Key Questions 1. How have SHERA’s grants contributed to the increased capacity of grantees’ scholars and researchers? a. What do you see as having changed compared to the period before SHERA’s grants? b. How has this benefited your institutions? c. Do you see any unintended outcomes (either positive or negative) as results of scholars’ increased capacity that you have not expected? 2. How have SHERA’s grants contributed to a strengthened and more inclusive research and management environment in grantees’ institution? a. What do you see as having changed compared to the period before SHERA’s grants? b. How is this benefited your institutions? c. Do you see any unintended outcomes (either positive or negative) as results of these change within your institutions? 3. How have SHERA’s grants contributed to a broader partnership among higher Indonesian institutions and external resources to increase collaborative research and its findings utilization? a. What do you see as having changed compared to the period before SHERA’s grants? b. How is this benefited your institutions? c. Do you see any unintended outcomes (either positive or negative) as results of these changes? The Assessment Team • Gwendolyn Schaefer, Senior Grants Manager • Dewi Dhini, SHERA Program and Grant Manager • Susan Sutton, U.S. M&E Consultant • Nizma Fadila, Indonesia M&E Consultant • Mochamad Syifa, Communication and Outreach Specialist

The above team will coordinate with other SHERA team members. Deliverables • Final evaluation report

1 Plans for direct, in-person interviews may be affected by travel restrictions for COVID-19. IIE will seek alternative methods of conducting direct interviews if necessary.

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Timeline June June July July Activities March April May W1 - W2 W3 - W4 W1 - W2 W3 - W4 1. SOW review and approval by IIE X 2. SOW review by USAID X X 3. Desktop review preparation X 4. Desktop review X X X 5. Development of online survey questionnaire X 6. Distribution of online survey to CCRs X 7. Direct interviews with CCRs X X 8. Data analysis X 9. Preliminary draft report due to IIE X 10. Preliminary findings discussion with USAID X 11. Submission of two-pager summary of findings to USAID X 12. Final report X

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