Knowledge Transfer and the Quality Management System to upscale DEWATS in Indonesia and other SEA countries

Jutta Camargo

Pogung Baru, Block AI/ No. 12, Sleman, 55284 Yogyakarta, Indonesia LPTP - DEWATS, Yogyakarta, Indonesia (E-mail: juttacamargo@gmail.com, jutta.camargo@cimonline.de)

1. Abstract The objective of this report is to analyze the importance of Knowledge Management transfer of Decentralized Waste Water Treatment System (DEWATS) technology for the Sanitation sector in countries in South East Asia that have still insufficient coverage of household connection to sanitation systems. It examines also how the regional Program Sustainable management of natural resources in South-East Asia linked and supported the new South East Asian (SEA) Partner in preparing, planning and implementing new DEWATS projects during the last 3 years. One important aspect was the knowledge transfer from the Indonesian Partners, that have already 500 DEWATS projects implemented, and how their experiences could be utilized to support the new SEA partners. Hence a major role played the Quality Management System (QMS), an internal DEWATS Standard that has been developed to upscale DEWATS in Indonesia in 2006. An expert team from BORDA Yogyakarta - the QMS Certification Body BSD - developed and conducted a variety of training programs and set up knowledge management exchange structures to support the new SEA partner offices in DEWATS implementations. As a result the new SEA partners could finish their first DEWATS projects, finalize their own QMS documentation - adapted to national standards and regulations and set up a regional SEA Certification Body, to conduct in the future Audits of DEWATS projects by themselves. Keywords: Quality; Up scaling; Knowledge Transfer, Monitoring

2. INTRODUCTION The following paper is looking into the activities of BORDA SEA in the last years to disseminate the DEWATS technology in South East Asia. The author analyzes the important role of Knowledge Transfer for new BORDA Partners in the SEA region. One important aspect was the fact, that the Indonesian Partners have DEWATS CBS projects already implemented since 2002 and DEWATS SME projects since the 90ies. Hence there has been a wide range of Knowledge Transfer activities to the new SEA Partner offices, but this paper focus especially on the important role that played the implementation of the Quality Management System and related activities. The Quality Management System is a BORDA internal document with technical standards for design, building and implementing DEWATS projects. The Quality Management System was developed in Indonesia in 2006 because of the rapid growing number of project implementation and to avoid a loss of quality and control during

project implementation. The Quality Management System was used by the Indonesian BORDA Partners since 2007. In 2008 the BORDA program Sustainable management of natural resources in SouthEast Asia started to support disemination of DEWATS projects in the Philippines, Vietnam, Cambodia, Laos and DERES and DEWAS in Southern China. The Quality Management System was used to support many of these partners in facilitating the planning, designing and building of their first DEWATS projects. Consequently the paper explain how this program was involving training activities, regular exchange of knowledge and lesson learned to facilitate the implementation of DEWATS projects in the new partner countries successfully and sustainable.

3. BACKROUND INFORMATION AND ACTIVITIES Set up of the Quality Management System To develop a QMS document for DEWATS project has its origin back in 2002, when in Indonesia the first DEWATS projects for Comunity Based Sanitation Projects were implemented by BORDA and three local Partner NGOs. BORDA and the Indonesian Partners working since many year together. One old Partner is LPTP in Yogyakarta, working with BORDA since 1989 together. BALIFOKUS in Denpasar is a BORDA partner since 2002. And the NGO Best with the main offices in Tangerang and a branch office in Surabaya is working with BORDA since 1999 together. The national SANIMAS program in Indonesia started at this time as a small pilot program to find out if it is possible to implement DEWATS systems in poor and densely populated neighborhoods in Indonesia successfully, one of the most populated Islands in the world. For the Indonesian SANIMAS -Sanitation solution for the Community program, BORDA and Partner started to build in 2003 around 4 6 pilot projects, at this time financed mainly from International Donor programs (WB, AusAid, BMZ). After the success of the projects and approval from Central and Local Government, there was a growing demand for more DEWATS projects in Indonesia and financial support from the Central and Local Governments. Finally DEWATS Project implementations went up to more than 120 DEWATS projects per year in 2009. The success of the SANIMAS program caused soon the dilemma, to implement those projects on time, with high quality and sustainability in difficult technical and infrastructural surroundings. Soon the 3 local NGOs could not anymore manage those high implementation numbers with the same project quality. Beside the social preparation in all location also the technical and financial control during project supervision was becoming more difficult. In 2006 the growing number of projects made it necessary to start to develop the Technical DEWATS Standard Document, an BORDA internal Quality Management Standard (QMS) to control all project implementation steps from feasibility study, design, construction parameter, procedures of supervision during construction until monitoring activities. The DEWATS QMS was developed by a team of DEWATS expert from BORDA and the Indonesian Partners. This Working Group QMS was set up in 2006 and meet regular to discuss latest technical changes, inputs and develops the yearly

updated QMS versions. The QMS documentation is providing Technical Standard Forms to document and control all steps of preparation, planning and building of DEWATS projects. The developed SOPs guide the Engineer how to use the QMS standard forms and design parameter in all DEWATS project activities. Set up a Certification Body (BSD) in Indonesia In order to implement and revise the QMS and develop new documents, an internal BORDA Certification Body the BSD was set up in 2006 in BORDA Indonesia. The BSDs function is an independent unit to manage all activities for the QMS standard documentation and the Certification of DEWATS Projects. Other tasks beside developing the QMS documents is the regular preparation of training activities for the Partners Engineers and to conduct internal BORDA Audit/ Label activities to certify DEWATS projects in Indonesia. Furthermore the BSD served as a link between BORDA and the DEWATS experts in the Indonesian BORDA Partners to exchange and circulate the latest technical information for DEWATS project implementation. Finally after the BSD has updated and developed a new QMS version each year, the BSD is conducting a training to socialize and present the latest version to each Partner office in Indonesia. Certification of DEWATS projects - Audit and Label activities Together with the QMS document also the internal Audit and Label system for DEWATS projects was developed and set up. The BSD prepared for this DEWATS Certification system clear Audit/ Label guidelines and procedures. Beside instruction how to plan and prepare the Audit, how to choose and train internal Auditors from the BORDA network, also a training program was developed to certify staff (Design Engineers, Supervisors, and Assistant Supervisors) in all Partner offices. The Certification procedures and system was introduced to the Partner in Indonesia in 2007. The new procedures made it possible to control project quality in DEWATS projects and to cope with the growing demand of projects. And the standardized QMS procedures facilitated the preparation steps, standardized the project design and made the implementation more efficient and transparent. Regular staff training organized and conducted by the BSD supported the Design Engineers and Supervisors to better plan, design and supervise the growing number of SANIMAS project implementations each year. The QMS Certification activities of projects and staff became also a useful instrument to identify constraints and deficiency in the partner NGOs. The Certification steps of DEWATS projects based on 4 activities: 1. Desktop Audit: During the Desktop Audit the Partners Documentation structures is checked if the responsible Engineer is using the QMS technical forms and instructions properly during the project implementation. 2. Label Audit: During the Label Audit activities the Auditor together with the BORDA Partner is conducting field visits of selected DEWATS projects to check if all QMS standards have been implemented. Any findings are defined in the Audit Nr. I as minor or mayor Non-conformities and those are explained to the Partner. To correct those Nonconformities the Partner has usually one year time until the 2. Audit for the same project. During the Audit Nr. II also effluent samples of the effluent of the DEWATS plant have to be taken and analyzed to evaluate the performance of the treatment system.

3. Staff Certification hard competencies: The third aspect of the Audit procedures involved the certification of Design Engineers, Supervisor and Assistance Supervisor. After staff participated in the BSD training activities a final standardized test is conduced and evaluated. 4. Staff Certification soft competencies: Besides the training, also the staff needs to be evaluated about his performance and efficiency of work during project implementations. This is done with questionnaires that have to be filled by the Management of the Partner office. All Certification activities are coordinated between the BSD Auditors and the BORDA Partner. The BSD Auditors are elected based on defined criteria. The BSD Auditors are representatives from the Partner offices and the BORDA office in Yogyakarta. These Auditors need to prove long experiences working in DEWATS projects. To keep the BSDs Auditors team neutral, the Partner Auditors cross check and certify DEWATS projects of another Partner office. Beside the task to control the DEWATS project and if QMS standards are implemented they also give advice how to improve the projects quality and WWTP performance. QMS and Knowledge Management Activities: To support better implementation of new QMS standards and Certification procedures an important aspect was also to improve the Knowledge Management structures in the BORDA Partners in Indonesia. Those activities started together with the SEA project activities and aimed to set up an electronically document management system (EDMS). The need for an EDMS based on findings during the first QMS Desktop Audit in 2008 when the Auditors noticed missing forms and planning documents in all Indonesian Partner offices. Therefore the implementation of the administrative and technical set up for an EDMS system was closely linked to the developing of the QMS and certification system in BORDA SEA. After the set up of a functioning system, to manage better the QMS documentation, also other office activities and programs were included into the EDMS system. The program also facilitated the reporting procedures to the BMZ that financed many project activities in the BORDA Partners. Finally the implementation of the EDMS was one important aspect to transfer the lesson learned of QMS implementation and knowledge from DEWATS projects in Indonesia to the new South East Asia Partner offices. Knowledge Transfer to the South East Asian BORDA network In 2008 the BORDA regional program Sustainable management of natural resources in South-East Asia started to support local Partner in the Philippines, Vietnam, Cambodia, Laos, South China and Indonesia. BORDA had already existing project cooperations with the local Partner ZUT in Hangzhou, China; the YEDI office in Kunming, the IRH in Hanoi, Vietnam, the former Partner COMPED in Cambodia and the BORDA office BNS in the Philippines. New Partner was the BORDA office in Phnom Penh, and Lire in Laos. In 2008 the SEA network had in total 12 Partner offices, working on DEWATS, DERES (Decentralized Energy Supply) and DEWAS (Decentralized Water Supply) projects in 6 countries in

SEA. The priority for a successful support of our new and existing partners was to develop a regional system that included training programs to involve experts from the BORDA office in Yogyakarta and Senior Auditors from the Indonesian Partners to train the existing and new staff in the SEA partner offices. In 2008 a QMS training program for the new Engineers was organized in Yogyakarta to train them in design and construction principles of the DEWATS technology. The QMS documents were the bases for the training activities. Besides the classroom training the participant were trained in the field and visiting existing projects, already operational but also projects during construction mainly around Yogyakarta. In the next step the BSD team organized additional DEWATS trainings. Here are some of the conducted training activities for SEA Partner: - DEWATS & Wastewater Fundamentals Training in Cambodia 26 April 1 May 2009 for Cambodia & Vietnam engineers - Training & Testing for SEA DE & SEA Supervisor in Indonesia 1 13 February 2010 - QMS MonEv training for Supervisor in Cambodia, Laos and Vietnam, June 2010 - Auditor Training for Engineer Philippines in Cambodia - June 2010 In the LIRE office in Laos a BORDA expert from Indonesia supported the first DEWATS project during one year. The expert facilitated all project steps from feasibility study until hand over together with the Lao Partner and trained the Lao Project staff, how to use and implement QMS standards. Besides the technical training, BSD and the BORDA expert team also worked together with the Partner office in developing their own QMS version that needed to be adapted to the specific country standards and regulations and translated into the local languages. Regular support and advice were given to develop a local QMS standard document. After the partner offices started to developed their own QMS documents in 2009 the BSD also started to involve the SEA partners in the Audit procedures. In the BNS Philippines, a try out certification was conducted in 2009 that was linked with a training of staff about DEWATS Audit Procedures. Beside the training activities also a regional network with our SEA partner offices was established to exchange knowledge, discuss technical and social question during their first project implementation. The Knowledge Management System EDMS supported this exchange of information, project data and facilitated from the beginning of the project the reporting structures to the BORDA office in Yogyakarta. Another support of our local SEA network was the introduction of Monitoring and Evaluation procedures that had been developed in 2009 for the Indonesian projects.

4. RESULTS Achievements from the Indonesian BORDA Partners The development and implementation of the DEWATS QMS system together with efficient Knowledge Management Structures (EDMS) made it feasible to implement up to 120 DEWATS projects per year in Indonesia with an equivalent number of staff. (See info in table 1 and 2). The table shows clearly how it was possible for the partner to cope with the fast growing demand for more project implementation each year. The QMS system, that was developed in 2006 and implemented in 2007 made the DEWATS project implementations more efficient and qualified the staff for the high numbers of project under the aspect to guarantee the quality of DEWATS systems.

Table 1 Number of DEWATS projects implemented by the Indonesian Partner

Table 2 Number of staff in Indonesian Partner offices Beside the Audit results shown later in table 3, the certification of DEWATS projects and staff have several other benefits for the CBOs, the operators and the communities. During the field visit of the Auditors, all aspects in the DEWATS system are checked in detail, the CBO and operator get an input about the findings and an additional Operation and Maintenance training is conducted.

During the second Label field visit, the effluent values are tested (COD) and analyzed if the DEWATS effluent complies with national environmental standards or not. And finally during the evaluation of the Audit and Label results a document to the Partner office and the community is developed with recommendations how to solve problems in their DEWATS project. Achievements in other SEA BORDA Partners SEA Certification Supervisor - Testing Results 2009 - 2010

BORDA SEA Partner

Table 3 - The evaluation of results shown that the majority of Supervisors have a good Knowledge of QMS and DEWATS and all trainees except one passed the final test With the QMS training activities in the SEA partner projects and an efficient knowledge transfer, the partner office was operational and could better identify donors, project locations and start to implement their first DEWATS projects. The Partner in Laos and Cambodia started to implement their first DEWATS projects in 2009 and 2010. LIRE office, Laos: - In 2010 the first DEWATS project could be implemented in Vientiane, NUOL Dormitory Residents. - In 2011 in Cooperation with Jica, one DEWATS CBS and 1 DEWATS SME in Vientiane could be implemented. Another DEWATS projects for the Agriculture College of Luang Praban is in planning phase. BORDA office, Cambodia: - In Cambodia, there are 3 DEWATS projects operation. 1. Project in Trapeang Sab Commune, Bati District-CBS (2009), 2. Project in Kday Takoy Village, Kien Svay District Orphanage (2010) and 3. Project in Chroy Chang Va Commune, Russey Keo District, SBS (2010).

BNS, Philippines: - The BNS have project implementation since 2006, all DEWATS SME projects: 5 projects for Slaughterhouses, 3 projects for Public Marked, 1 project for Hospital and 1 project for Public Building. BORDA office and ICIC office, Vietnam: - First project implementation in 2007: Kim Bang General Hospital, 2008 projects: Asian Animals Fund, Thanh Hoa Pediatrics, Kieu Ky commune, 2010 projects: Ha Phong Slaughterhouse, Ninh Khanh prison. Our SEA - Partner in Kunming and Hangzhou are not implementing DEWATS projects, but DERES and DEWAS projects. Those partners are supported and involved in training activities and part of the SEA network with the Knowledge Management Structures. Additional Achievements in SEA partner offices: Beside the training activities and project implementations some other activities could be successful completed. 1. In 2010 the BNS in Philippines, BORDA Cambodia and LIRE in Laos have already finalized their own DEWATS QMS document, adapted to their national construction standards, in Cambodia also in Khmer language. 2. All partners have implemented the QMS in their new project implementation. Hence it was possible to start to develop a regional SEA Certification Body and to plan DEWATS Certification activities. 3. In 2010 a regional SEA - Certification body (DCCB) was established and is now operational for all regional partner offices. The MoU between the new Certification Body, the Partner and the BORDA office in Yogyakarta was signed. 4. Also in 2010 an Auditor Training was organized in Cambodia to train a new Auditor from the BNS office, Philippines. 5. And for a new Cambodian DEWATS project, build in 2010, a Label I and Audit was successfully conducted. The Lead Auditor for this activity was an Indonesian DEWATS Expert from LPTP. Table 4.Certification results from the first Audit and Label activity in Cambodia: Desktop Audit Label Audit I Results Nonconformity Mayor Nonconformity Minor 0 0

The Auditor confirmed that the Cambodian Partner has the QMS standards in his project implemented. Only minor problems were found and will be repaired by the Partner.

QMS and the MonEv activities in DEWATS projects In 2009 the BORDA office in Yogyakarta started to develop a Monitoring and Evaluation Program for DEWATS projects in Indonesia, to encounter problems in older DEWATS project implementations. This program started in 2009, when results from Audits and Supervision activities made it necessary to improve the Monitoring and Evaluation for DEWATS projects. The QMS procedures always had requested Monitoring activities from the Partner after the DEWATS was operational. With the upscaling of DEWATS and a total number of around 500 projects allover Indonesia, the Partner had difficulties to conduct the requested QMS monitoring activities for their projects and to support older projects. The new MonEv program is conducted in two steps: 1. Detailed Monitoring, done by BORDA Partner in the first 2 years after the DEWATS project is operational. Focus is to check QMS standards, the effluent values and sludge heights in the DEWATS plant, the O/M performance, the social components etc. 2. Pre-Monitoring for DEWATS systems older than 2 years, involving the Community Based Organization (CBO) to conduct a basic technical and administrative check of their project. Supported and coordinated is the activity by AKSANSI, the CBOs association and since 2011 Partner of the BORDA network. Furthermore an Evaluation system for the Monitoring results was developed. For the evaluation of the results, a standard SOP is used to define mayor and minor DEWATS problems. Also an IT-program was prepared to evaluate the Pre-MonEv forms. And new forms and SOPs for Detailed Monitoring evaluation were completed. The new MonEv program is now an integrated part of the QMS system and aims to make DEWATS projects more sustainable and support better the CBOs, operators and Communities. Some findings from 2010 monitoring activities in Indonesia: Technical Problems: 1. SSS system (control chambers and pipes) not conform with QMS standards 2. Biogas is not operational, not used or not connected to the user 3. Missing or insufficient planning documents 4. Rainwater discharged in the DEWATS plants Social Problems: 1. Low user numbers then design after operational in the CSC 2. Monthly O/M service fees are not paid by the users to the operator/ CBO 3. O+M in DEWATS is insufficient, training to operator insufficient 4. Operator and CBO performance insufficient 5. CONCLUSIONS The SEA network will continue to work on strategies how to successfully disseminate DEWATS technology for poor communities and SMEs in South East Asia. The number of project implementations in the new SEA Partner reflects the success of the Knowledge Transfer of QMS, EDMS, MonEv and other activities in the last 3 years.

The set up of the SEA Certification Body strengthen the new partner and is important for future exchange and lesson learning between SEA Partners. Additional the SEA Certification Body will be based and linked to the BSD Expert group in Yogyakarta and working jointly on the regular revision of the QMS standards but also receive training activities and other support. Finally the successful implementation of QMS and developing national adapted QMS documents make the SEA partner more independently. Also with their first successful DEWATS projects the partners have good references to address it to new Donors or Government Programs to support and finance future DEWATS projects. And with the established knowledge management structures and a Database available to all SEA Partner, they can benefit from the R+D program on DEWATS new technologies that are conducted in the BORDA office in Yogyakarta. Similarly the Monitoring and Evaluation Program will be further developed and implemented in Indonesia mainly by the new Partner AKSANSI and after the results are shared with the DEWATS Database and transferred in the training to the SEA Partner. Future Activities for SEA Partner in 2011 1. SEA staff certification 1st step: Testing the Engineer with scoring system already done in 2010 2nd step: Experiences of Engineer should be recorded and compiled 3rd step: Soft competences evaluation by Partner Management needs to be done 2. Reviewed & Revision of the QMS documents for every country partner 3. For the Cambodian Partner the Label Audit II need to be conducted 4. For the Philippine Partner BNS the Label Audit I will be conducted 5. The new SEA Certification Body will meet and discuss tasks and activities 6. Training for new Auditors from SEA Partner will be conducted

6. REFERENCES BSD, BORDA Yogyakarta, DEWATS QMS Documentation and Certification procedures, Version 2006 2010 MonEv Working group, BORDA SEA, Monitoring and Evaluation program 2010, Data from MonEv Program 2008-2010 BSD team, BORDA Certification program Indonesia, Audit and Label results 2009 2010. Ludwig Sasse, DEWATS Decentralized Wastewater Treatment in Developing Countries, Publisher BORDA, 1998. Andreas Ulrich, BORDA Bremen, Project documentation: Sustainable management of natural resources in South-East Asia. 2008.

7. ABBREVIATION AKSANSI AUSAID BALIFOKUS BEST BMZ BNS BORDA BSD CBO COD CSC DERES DEWAS DEWATS EDMS ICIC LIRE LPTP MONEV MOU QMS R+D SEA SBS SME SSS WWP WB YEDI ZUT Association of the Comunity Based Organisationsg Australian Government Overseas Aid Program NGO in Denpasar (Projects in Bali, Ntt and Sulawesi) Institute for Integrated Economic and Social Development German Federal Ministry for Economic Cooperation and Development Basic Needs Services Philippines Bremen Overseas Research and Development Association DEWATS Certification Body in Indonesia Community Based Sanitation Chemical Oxygen Demand Community sanitation center Decentralized Energy Supply Decentralized Water Supply Decentralized Wastewater Treatment Systems Electronically Document Management System International Cooperation, Hanoi, Vietnam Lao Institute for Renewable Energy Center for Community Based Environmental Technology, NGO Monitoring and Evaluation Memorandum of Understanding Quality Management System Research and Development South East Asia School Based Sanitation Small and Medium Enterprizes Simplified Sewage Systems Waste Water Treatment Plant World Bank Yunnan Environment Development Institut Zhejiang University of Technology