Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia ©2018 The World Bank International Bank for Reconstruction and Development The World Bank Group 1818 H Street NW, Washington, DC 20433 USA April 2018 DISCLAIMER This work is a product of the staff of The World Bank with external contributions. The findings, interpretations, and conclusions expressed in this work do not necessarily reflect the views of The World Bank, its Board of Executive Directors, or the governments they represent. The World Bank does not guarantee the accuracy of the data included in this work. The boundaries, colors, denominations, and other information shown on any map in this work do not imply any judgment on the part of The World Bank concerning the legal status of any territory or the endorsement or acceptance of such boundaries. 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By combining the Bank’s global knowledge with country investments, this model generates more firepower for transformational solutions to help countries grow sustainably. Please visit us at www.worldbank.org/water or follow us on Twitter at @WorldBankWater. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia iv Foreword Indonesia has more decree No. 27/PRT/M/2015 on the management of dam than 200 dams, with safety, which is based on dam safety conceptions, 192 dams owned by namely structural safety, surveillance, and emergency the Ministry of Public preparedness. In this regard, the role of Dam Works and Housing Safety Unit (DSU) is crucial to ensuring proper dam (MPWH). These are management. registered as single The Ministry of Public Works and Housing together with purpose or multi- the World Bank introduced the concept of Maturity purpose dams for Matrices for institutional benchmarking of dam safety irrigation, water in Indonesia as a tool to assess and evaluatethe supply, hydropower, implementation of dam safety activities within and and flood control. among the Dam Safety Units. The ten components There are also 32 assist the DSU to develop program planning, identify dams owned by state- program activities, allocate resources, and plan owned companies and maintenance and physical rehabilitation based on the the private sector, targets established for each DSU. such as those under PT. PLN (Persero)1, PT Pembangkitan Jawa Bali (PJB)2, BP Along with the implementation of the second phase of Batam3, PT Indonesia Power4, among others. the Dam Operational Improvement and Safety Program (DOISP), which is aimed to increase dam safety and Indonesian’s River Basin Organizations are responsible dam function in water supply owned by the MPWH, the for water resources management, including the Directorate General of Water Resources urges the dam construction, operation and maintenance of water managers to measure dam safety as well as develop resources infrastructure. Due to the number and comprehensive plans for the maintenance and physical importance of the country’s dams, the dam safety rehabilitation using the Maturity Matrices to build aspects and their functions should be under good sustainable dam management in Indonesia. management. This is in line with Article 2 of MPWH Jakarta, November 2018 1 Indonesian State Electricity Company Dr. Ir. Hari Suprayogi, M. Eng. PT Pembangkitan Jawa-Bali produces and supplies electricity in East Java and 2 Bali, and operates as a subsidiary of PT PLN (Persero). Direktur Jenderal Sumber Day Air 3 Batam Indonesia Free Zone Authority Kementerian Pekerjaan Umum dan Perumahan Rakyat 4 Indonesia Power is one of the subsidiaries of PT PLN (Persero) Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia v Foreword As the largest archipelago in the world, Indonesia The World Bank has a long history of support to the faces a number of challenges when it comes to Government of Indonesia in their efforts to improve ensuring water security. Growth in water withdrawals dam safety. The development of Maturity Matrices compared to the available supply, coupled with the together with the Ministry of Public Works and Housing island geography and lack of storage, is predicted (MPWH) represents an important contribution to these to lead to high levels of water stress by 2040. Part ongoing efforts. Maturity Matrices are a key part of of the Government’s strategy to address these this. They provide an objective method for assessing challenges involves investing in the development of the effectiveness of the operation, maintenance, hydraulic infrastructure to increase storage capacity surveillance and emergency preparedness and improve security at the nexus of water, food, programs. They are developed through a highly and energy. This is part of a broader strategy to participative consultative process of development promote economic prosperity and poverty reduction and are embedded within the legal and institutional measures by storing water for productive purposes. framework for dam safety in the country. In addition to providing a tool to assist with self-assessment Ensuring the safety of dams and downstream of the dam safety program, the Maturity Matrices communities is increasingly important. The challenges help to identify and communicate both components of rapid population growth and urbanization, along and activities within the dam safety program, as with increasing climate variability and rainfall well as inform the allocation of resources and their intensification, and an aging infrastructure all prioritization. This will provide an important tool contribute to accentuating the related hazards. The to support implementation of the Dam Operational poorest bear the heaviest burden. That’s because and Improvement Safety Program (DOISP) Phase II in they are typically the most vulnerable to the impacts strengthening the national dam safety institutions, of drought, floods, and landslides; they also pursue restoring functionality, operational performance, and livelihoods that depend on climate-sensitive sectors. economic productivity of large dams across Indonesia. In response to these factors, the World Bank The World Bank extends its appreciation to the supports a number of initiatives aimed at helping Government of Indonesia, especially the Ministry client countries to addressing such hazards and of Public Works and Housing and those related improve the overall operational, maintenance stakeholders who have actively contributed to and management of hydraulic infrastructure. the development of the Maturity Matrices. We hope that this tool will be used by dam operators and managers under the MPWH and extended to application in the private sectors as a joint effort to apply the dam safety principles and promote a process of continuous improvement. Jennifer J. Sara Senior Director Global Practice, Water Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia vi Acknowledgements The development of Maturity Matrices for Institutional The team is grateful for the advice provided by the Benchmarking of Dam Safety in Indonesia is part peer reviewers for the Indonesian Water Resources of a broader program of World Bank support to the Sector Support Program: Satoru Ueda (Lead Dam water resources and irrigation sector in Indonesia. Safety Specialist), William Rex (Lead Water Resources The World Bank team and its consultants are grateful Specialist), Ximing Zhang (Senior Dam Safety Specialist), for the contributions and consultations from those and Paula Freitas (Senior Water Resources Specialist). involved from the Ministry of Finance, the Ministry of Planning and the Ministry of Public Works and The successful development and application of the Housing. While acknowledging these contributions, the Maturity Matrices for Benchmarking Dam Safety is due findings, interpretations, and conclusions expressed to the leadership and guidance provided by the Ministry herein do not necessarily represent the views of these of Public Works and Housing, particularly Ir. Agung individuals or their organisations. Djuhartono and Ir. Adek Rizaldi from the Directorate of Operations and Maintenance in the DG Water Resources, The World Bank team was led by Marcus Wishart (Senior the following members of the panel for the national Water Resources Specialist and Task Team Leader) and dam safety competition: Ir. Widagdo, Ir. Agus Jatiwiryono, included Martin Albrecht (Water Resources Management Ir. Hartanto, Ir. Ruchyat Kustomi, Ir. Abdul Hanan Specialist), Agus Jatiwiryono (Dam Specialist), Ilham Akhmad, Ir. Joko Mulyono, along with the participation Abla (Irrigation Specialist), Deviariandy Setiawan (Senior and commitment of the officials and staff from the Water and Sanitation Specialist), David Ginting (Water participating Balais: BBWS Bengawan Solo, BBWS Resource Specialist), Isabel Duarte (Program Assistant) Brantas, BBWS Ciliwung- Cisadane, BBWS Cimanuk- and Nina Herawati (Program Assistant). The work was Cisanggarung, BBWS Citarum, BBWS Mesuji-Sekampung, implemented under the leadership of Sudipto Sarkar BBWS Pemali-Juana, BBWS Pompengan-Jeneberang, (Practice Manager) of the World Bank with valuable BBWS Serayu Opak, BWS Bali- Penida, BWS Kalimantan- guidance provided by Rodrigo Chaves (Country Director III, BWS Nusa Tenggara-I, BWS Nusa Tenggara-II, BWS for Indonesia). Sumatera-I, and BWS Sumatra-IV.. The Maturity Matrices for Benchmarking Dam Safety This work received financial support from the Australian Institutions in Indonesia are based on work developed Government through the Department of Foreign by Damwatch Engineering Ltd of New Zealand under Affairs and Trade and the Indonesia Infrastructure the leadership of Peter Amos (Managing Director and Support Trust Fund (INIS TF). The views expressed in Principal Engineer), Nigel Connell (Water Resource this publication are the author’s alone and are not Engineer), and Viculp Lal (Senior Structural Engineer) necessarily the views of the Government of Indonesia, with guidance and review from Murray Gillon (Principal the Australian Government or the World Bank. Consultant) and Neil Blaikie (private consultant). Research into the legal framework for dam safety was provided by John Pisaniello (Associate Research Professor of Engineering Law) and Joanne Tingey- Holyoak (Senior Lecturer and Researcher) from the University of South Australia as part of the Global Assessment of Legal and Institutional Frameworks for Dam Safety. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia vii Executive Summary Indonesia has a large and growing portfolio of large Maturity Matrices have been developed for dam dams distributed across the island archipelago. owners and operators to assess the effectiveness of a This infrastructure is important in supporting the dam safety program against in-country standards and Government’s vision of security at the nexus of water, guidelines, or, good industry practice as considered food, and energy and contributing to economic most appropriate. The primary benefit from using prosperity and poverty reduction measures by storing dam safety-related Maturity Matrices is the improved water for productive purposes. understanding of the effectiveness or maturity of the dam safety program across the whole range of dam The development of Maturity Matrices for Institutional safety activities. This understanding of performance Benchmarking of Dam Safety in Indonesia is intended to across a range of different metrics for dam safety allows provide a method for assessing the effectiveness of the for owners and operators to monitor performance over operation, maintenance, surveillance and emergency time. It also allows national regulatory bodies to assess preparedness programs adopted by dam authorities. performance across different operators and owners. The Maturity Matrices can serve a wide range of The Maturity Matrices also provide a useful means functions and are intended to be used as a tool to communicate the effectiveness of a dam safety to help in identifying and prioritise areas for program to wider audiences. As part of continuous improvement in the dam safety program, compare improvement initiatives, the matrices allow areas the performance of the dam safety program over requiring improvement to be identified and time, contrast the effectiveness of different programs prioritised for targeted investment and resourcing. across different dam management units, and inform This can also be applied over time or across a the prioritisation of resources for dam operation, portfolio to identify systemic issues and target maintenance and safety improvement. interventions and remedies accordingly. Maturity Matrices are a powerful tool to evaluate how The Maturity Matrices developed herein have been well developed a process or program is performing. developed with due recognition of the Indonesian They are typically based on a system used to context. The foundations are provided by the national demonstrate the state of practice in an organisation legal and regulatory framework with the specific for performing an activity. The matrix shows elements identified and further elaborated through advancing maturity from a rudimentary or elementary a series of workshops and expert consultations. The level of practice through stages to advanced, expert Maturity Matrices are focused on the operations of or good industry practice. the Dam Management Units within the Balais, or basin organisations, and targeted to the dam safety standards and guidelines in Indonesia, or best industry practice as considered most appropriate in-country. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia viii Acronyms BBWSs Balai Besar Wilayah Sungai(s) BSN National Standardization Agency of Indonesia BWSs Balai Wilayah Sungai(s) DGWR Directorate General for Water Resources DMU Dam Management Unit DOISP Dam Operational Improvement and Safety Project DSC Dam Safety Commission DSU Dam Safety Unit EAP Emergency Action Plan FEMA Federal Emergency Management Agency Ha Hectares ICOLD International Committee on Large Dams INACOLD Indonesian National Committee on Large Dams (Komite Nasional Indonesia untuk Bendungan Besar - KNI-BB) MPWH Ministry of Public Works and Housing MW Mega Watt PFMA Potential failure modes analysis PJTs State-Owned River Agency (Perusahaan Umum Jasa Tirta) Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia ix Contents Foreword iv Acknowledgements vi Executive Summary vii Acronyms viii 1.0 INTRODUCTION 1 Dam Portfolio and Trends 2 Dam Safety Management 5 Maturity Matrices for Benchmarking Dam Safety 6 2.0 THE INSTITUTIONAL FRAMEWORK FOR DAM SAFETY ASSURANCE 7 Government Oversight and Regulator 8 3.0 THE LEGAL FRAMEWORK FOR DAM SAFETY ASSURANCE 13 4.0 DEVELOPING MATURITY MATRICES FOR DAM SAFETY IN INDONESIA 19 Principles and Process 20 Maturity Levels and Differentiators 22 Component Matrices 24 Relationship Between Master Matrix and Component Matrices 26 5.0 APPLICATION OF THE MATURITY MATRICES IN INDONESIA 27 Methods of Evaluation 28 Steps of the Procedure 29 The Scoring Workbook 31 Workshop Preparation and Participation 32 6.0 APPLYING THE OUTCOMES TO IMPROVE DAM SAFETY 33 7.0 CONCLUSIONS AND RECOMMENDATIONS 37 APPENDIXES 41 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia x Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 1 1.0 Introduction Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 2 Dam Portfolio and Trends Indonesia has a long history of dam development, of 5.5 billion cubic meters and an installed capacity with an extensive network of more than 2,200 dams. of 5,545 MW. Three of these are under Badan Of these, 213 are classified as large under Ministerial Pengusahaan Asahan, four under Vale and another Regulation Number 27/PRT/M/2015. There are 164 11 under the national power utility. There are dams registered as being for single purpose use with another 25 hydropower facilities installed on multi- another 49 registered as multi-purpose reservoirs purpose facilities to give 43 dams in total used in (Table 1). The majority of these (183 as of 2016) are owned by the Ministry of Public Works and Housing (MPWH) and used primarily to provide bulk water for Indonesian Large Dams (Purpose and Numbers) Table 1 irrigation. In the absence of water services charges Purpose of Dam Number for many sectors, including irrigation, revenues from Irrigation + Water Supply 23 hydropower and domestic and industrial water supply provide important revenue streams to finance the Multi- Irrigation + Hydropower 13 Purpose Irrigation + Hydropower + Water Supply 13 costs associated with operation and maintenance (O&M) of public assets. In addition to irrigation, Hydropower + Water Supply 0 hydropower, and water supply, many dams also Irrigation only 110 provide flood protection benefits for downstream Single Hydropower only 18 communities and assets through regulating flows. Purpose Water Supply only 6 Tailing or other 30 There are also 30 registered dams owned by various Irrigation total 159 corporations. This includes 18 single purpose Multi + Single Hydropower total 43 hydroelectric dams with a total reservoir capacity Purpose Water Supply total 41 Completion Date of Dams in Indonesia Figure 1 Number of Dams 16 14 SUMATERA JAVA KALIMANTAN BALI WEST NUSA EAST NUSA SULAWESI MALUKU MALUKU UT. 12 10 8 6 4 2 0 1911 1921 1931 1941 1952 1962 1972 1982 1992 2002 2012 2022 Year Dams Construction Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 3 the generation of hydropower. In addition, there are in Indonesia are located in Java, which accounts for six dedicated water supply dams (five dams under nearly 60 percent of the population, with most used to BP Batam and one under Krakatau Tirta Industri), support some 750,000 hectares of irrigated agriculture. complimented by another 35 multi-purpose dams that This represents 11 percent of the total national were developed primarily for irrigation purposes but irrigated area. This portfolio includes 70 large dams also provide water for domestic supplies. providing the island with the highest absolute water storage volume, at around 8.6 billion cubic meters. The majority of dams owned and operated by the With several of the dams built during colonial times MPWH are more than 20 years old (70 percent), with before Indonesia’s independence in 1945, Java’s dams roughly 20 percent built prior to independence in 1945. are also the oldest. There was a period of very low investment in dams from independence through until the times of political In order to realize the broader vision of water security, upheaval were over in the 1970s. From the 1980s this food security and energy security, the Government was followed by three decades of development, with has initiated an ambitious program of new dam more than 70 dams completed in the 1990s. This period construction between 2014 and 2019. This includes 65 in the 1990s represented a doubling of efforts from the new dams, the majority of which are located in Java decade before and after, and accounts for more than (24), followed by Sumatra (11), Sulawesi (9), East Nusa half of the current portfolio. These thirty years saw more Tenggara (7), Kalimantan (5), West Nusa Tenggara (4), than twice the number of dams constructed than in the Bali (3) and Maluku (1) and Papua (1) (Figure 2). Overall seven decades before (Figure 1). costs are estimated at more than 70 Trillion Rupiah (around USD 5 billion) in total, with a total storage The development of dams in Indonesia relates to volume of 6.5 billion cubic meters, and an estimated geography (Table 2). More than 40 percent of the dams 460,382 Ha of irrigated land to be served. Distribution of Dams in Indonesia Table 2 BENEFIT NUMBER OF REGISTERED DAMS TOTAL VOLUME ISLAND Irrigation Hydropower Supply Total Large Small (103 m3) (ha) (mw) (m3/sec) Sumatera 20 20 0 2,865,254 118,467 988 7.97 Java 91 70 21 8,631,765 726,049 4,609 51.94 Kalimantan 9 7 2 1,225,713 5,304 0.4 1.78 Bali 5 5 0 27,158 5,230 1.5 0.53 West Nusa Tenggara 62 51 11 270,149 51,229 0.5 0.47 East Nusa Tenggara 15 9 6 33,525 4,926 - - Sulawesi 9 9 0 506,055 36,384 515 2.50 Maluku 1 1 0 275 - - - Maluku Utara 1 1 0 - - - - TOTAL 213 173 40 13,559,895 947,589 6,115 65.20 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 4 Distribution of Existing and Planned Dams in Indonesia Figure 2 Benefit Cost No Vol Irr WS HP Trillion Dams (103 m³) Ha m /sec 3 MW IDR Benefit Cost 20 2,850,000 118,467 988 7.97 - No Vol Irr WS HP Trillion 11 985,000 88,002 9.59 108.34 11 Dams (103 m³) Ha m3/sec MW IDR 9 506,055 36,384 515 2.5 - Benefit Cost No Vol 9 1,380,620 75,217 9.20 35.68 10 Irr WS HP Trillion Dams (103 m³) Ha m3/sec MW IDR Benefit Cost 9 1,225,713 5,303 0.40 1.78 - No Vol Irr WS HP Trillion 5 916,570 33,472 13.30 22.35 8.5 Dams (103 m³) Ha m3/sec MW IDR 2 275 - - - - 1 15,000 2,900 1.04 3.20 1.6 Sumatera Kalimantan Maluku Sulawesi Papua Jawa Bali NTB NTT Benefit Cost Benefit Cost No Vol No Vol Irr WS HP Trillion Irr WS HP Trillion Dams (103 m³) Dams (103 m³) Ha m3/sec MW IDR Ha m3/sec MW IDR 91 8,600,000 726,048 4,609 51.94 - 0 - - - - - 24 2,674,370 222,841 24.93 154.96 26 1 200,000 - - 50.00 4.7 Benefit Cost Benefit Cost No Vol No Vol Irr WS HP Trillion Irr WS HP Trillion Dams (103 m³) Dams (103 m³) Ha m3/sec MW IDR Ha m3/sec MW IDR 5 27,158 5,230 1.5 0.53 - 15 33,525 4,926 - - - 3 29,600 7,586 3.74 3.86 2 7 216,590 14,696 1.44 3.90 5.6 Benefit Cost No Vol Irr WS HP Trillion Dams (103 m³) Ha m3/sec MW IDR 62 270,148 51,229 0.48 0.47 - 4 99,920 12,134 0.75 10.30 2 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 5 Dam Safety Management Dam safety management and dam safety assurance or extraordinary situation. In the event of emergency or in Indonesia is the responsibility of the dam owner. exceptional circumstances, the operation of the dam as This is in accordance with Article 77 of Ministerial well as the reservoir is prioritized for the purpose of dam Regulation Number 27/ PRT/M/2015 and based on and environmental safety. three fundamental principles: 1. structural safety; Dam maintenance, as well as maintenance of the 2. surveillance; and, reservoir, consists of: 3. emergency preparedness. 1. preventative maintenance aimed at preventing This approach reflects international practice. Structural damage and quality deterioration of the dam safety is addressed initially in dam design. Operational construction and any complementary building and dam safety requires a surveillance program with checks to extend its life cycle; and assessments of on-going safety and preparation for 2. extraordinary maintenance that includes repair emergencies should they arise (Figure 3). work, retrofitting or modification works and rehabilitation based on specific needs outside the Operation of the dam, as well as the reservoir, is scheduled maintenance, aimed at repairing any intended to optimize the utilization of water and water damage caused by deterioration of its integrity, resources, and maintain the safety of the dam, and after flooding, earthquakes, control equipment consists of: failure, other failure (structural, hydraulic, seepage, operation, etc.), due to vandalism, etc. 1. dam operation; 3. reservoir maintenance which is also provided for 2. dam maintenance; and under the Regulation and is aimed at maintaining 3. monitoring of the dam condition. the reservoir function according to its age serviceability, the quantity and quality of water in Dam operation is performed by controlling the water the reservoir and in order to maintain the safety of discharge to meet the water needs of downstream users, the dam. including the environment, along with flood operation, to control the water level in reservoir and flood control to Dam monitoring is conducted with the aim of mitigate downstream flooding, and measures to quickly identifying symptoms of any problems occurring in discharge the reservoir water during a state of emergency the dam to enable early action to be taken by the dam management unit in a quick and precise manner. The Dam Safety Concept in Indonesia Figure 3 Dam Management Units must submit periodic reports with information on the condition of the dam as well as the reservoir to the relevant agencies. DAM SAFETY CONCEPT Emergency preparedness is the third element of the dam safety framework. Dam safety is unique in that it represents an extreme situation characteristic of a low probability event with a high consequence or hazard. Structural Emergency safety Surveillance concept Given the high population densities in many areas the legislative provisions are important in providing operational tools to reduce the likelihood of dam failure and manage the potential impacts associated appropriate routine emergency in the event of a dam failure. During preparation, the design checks preparation downstream communities that would be affected by any potential dam failure and the provincial and local authorities responsible for early warning, Minimization of risk Mastering of remaining risk evacuation and post-flood assistance, are required to be consulted. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 6 Maturity Matrices for Benchmarking Dam Safety Maturity Matrices are based on a system used to Maturity Matrices to assess the effectiveness of dam demonstrate the state of practice in an organisation safety programs are already in use by hydropower for performing an activity. The matrix shows dam owners in North America and Europe. These advancing maturity from a rudimentary or elementary are not directly applicable to the Indonesian context level of practice through stages to advanced, expert given differences in the approach to dam safety or good industry practice. management. The Matrices developed herein are therefore significantly different, being focused on Maturity Matrices are a powerful tool to evaluate how the operations of the Dam Management Units and well developed a process or program is performing. targeted to the dam safety standards and guidelines Maturity Matrices have been developed for owners in Indonesia, or good industry practice as considered to assess the effectiveness of a dam safety program most appropriate in-country. against in-country standards and guidelines, or, best industry practice as considered most appropriate. The objective for developing Maturity Matrices specific to the Indonesian context was to provide The primary benefit from using dam safety-related a method for assessing the effectiveness of the Maturity Matrices is the improved understanding of the operation, maintenance, surveillance and emergency effectiveness or maturity of the dam safety program preparedness programs adopted by dam authorities. across the whole range of dam safety activities. This The outcome of this assessment is intended to be understanding of performance across a range of used to provide a tool that will help in identifying and different metrics for dam safety allows for owners prioritise areas for improvement in the dam safety and operators to monitor performance over time, program, compare the performance of the dam safety it also allows national regulatory bodies to assess program over time, contrast the effectiveness of performance across different operators and owners. different programs across different dam management units, and inform the prioritisation of resources for The Maturity Matrices are a valuable means to dam operation, maintenance and safety improvement. communicate the effectiveness of a dam safety program to wider audiences. As part of continuous improvement initiatives, the matrices allow areas requiring improvement to be identified and prioritised for targeted investment and resourcing. This can also be applied over time or across a portfolio to identify systemic issues and target interventions and remedies accordingly. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 7 2.0 The Institutional Framework for Dam Safety Assurance Management of the dam, and dam safety assurance, as well as the reservoir is the responsibility of the dam owner according to Article 77 of the Ministerial Regulation Number 27/ PRT/M/2015. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 8 Government Oversight and Regulator Indonesia is a unitary republic divided into five layers Within the MPWH, the Directorate General of Water of government: central, provinces, districts (kabupaten) Resources (see Figure 5) is responsible for the and municipalities (kota), sub-districts (kecamatan), following as defined in “Peraturan Menteri Pekerjaan and villages (kelurahan/desa). The archipelago is Umum dan Perumahan Rakyat nomor 15/PRT/M/2015 administratively divided into 33 provinces1, which include tanggal 21 April 2015”: two special regions and the special area of the capital city of Jakarta. These are further sub-divided into smaller 1. Formulation of policies in the field of conservation entities of districts (413), municipalities (98), sub-districts of water resources, water resources utilization and (9,982), villages (80,414) and neighbourhoods. control of water damage on surface water sources, and utilization of groundwater in accordance with The wide range of decentralization programs and reforms the provisions of the legislation that came into effect in 2001 replaced the previous 2. Implementation of policies in the field of integrated system of centralized government and development and sustainable water resources management in planning. These reforms gave greater authority, political accordance with laws and regulations power, and financial resources directly to sub-national 3. Preparation of norms, standards, procedures, and spheres of government. The powers transferred include criteria in the field of water resources management those of executing a wide range of responsibilities in 4. Provision of technical guidance and supervision in the areas of health, primary and middle-level education, the field of water resources management public works, environment, communication, transport, 5. Evaluation and reporting in the field of water agriculture, manufacturing, and other economic sectors. resources management Prior to this reform program, sub-national governments 6. Administration of the DGWR had mainly functioned as implementing agencies of 7. Implementation of other functions provided by the national policies and programs. Minister of Public Works and Housing Ministry of Public Works and Housing River Basin Organisations - Balais The MWPH is responsible for formulating and Given the unique characteristics of the country’s implementing policies for water resources management; topography and climate, a system of “river basin road management; the provision of housing; the management” has been established in Indonesia development of residential areas; housing finance; that combines a number of independent river basins arrangements for buildings, water supply systems, into larger administrative “river territories” or WiIayah waste water management systems and environmental Sungai(s). Introduction of the Water Law in 2004 drainage, as well as waste management and construction introduced a national system of river basin management services. The Ministry is also tasked with implementation carried out by public river basin organizations referred of human resource development in the area of public to as either Balai Besar Wilayah Sungai(s) (BBWSs) or works and public housing, in addition to the strategic Balai Wilayah Sungai(s) (BWSs). These Balai fill both integration of public works infrastructure development. regulatory and management functions, as well as The Water Law gives the MPWH the responsibility to undertaking construction, operation, and maintenance manage and develop the water resources including the of river infrastructure and irrigation systems larger than licensing of water infrastructure and dam safety. The 3,000 hectares. Provincial water agencies also provide management structure of MPWH is shown in Figure 4. water resource and river basin management in provincial 1 Badan Penyelenggara Jaminan Sosial-Kesehatan (Social Security Agency for Health Insurance) The two special regions are Nanggroe Aceh Darussalam at the northern tip of Sumatra and Yogyakarta in Central Java, along with the special capital city district of Jakarta (DKI) and the 30 Provinces: (1) Bali; (2) Banten; (3) Bangka-Belitung; (4) Bengkulu; (5) Gorontalo; (6) Jambi; (7) Jawa Barat; (8) Jawa Tengah; (9) Jawa Timur; (10) Kalimantan Barat; (11) Kalimantan Selatan; (12) Kalimantan Tengah; (13) Kalimantan Timur; (14) Kalimantan Utara; (15) Lampung; (16) Maluku; (17) Maluku Utara; (18) Nusa Tenggara Barat; (19) Nusa Tenggara Timur; (20) Papua; (21) Papua Barat; (22) Riau; (23) Riau Kepulauan; (24) Sulawesi Selatan; (25) Sulawesi Tengah; (26) Sulawesi Tenggara; (27) Sulawesi Utara; (28) Sumatra Barat; (29) Sumatra Selatan ; (30) Sumatra Utara. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 9 basins and basins of national river territories, in by 33 river basin organizations, including the BBWSs coordination with the national river basin agencies. and lower level BWSs, as well as the two state-owned river agencies (Perusahaan Umum Jasa Tirta, PJT I/II). There are 131 such territories are under central, Fifty-three WSs are under provincial control and 15 are provincial, or district control. The central government, under district control, although basin management under the overall direction and management of the at the district level is largely inactive. The provinces DGWR, controls the more significant river basins, have their own water resources management agencies which total 63 river territories. These are managed (dinas), that manage river basins under their control. Ministry of Public Works and Housing Management Structure Figure 4 Ministry of Public Works and Housing Dam Safety Commission Inspector General Secretary General Agencies [Badan] Directorates General Research & Human Infrastructure Toll Road Water Supply Water Housing Housing Construction Development Resources Roads CK Resources Provision Finance Guide DG Secretary Implementation Units [Balais] Directorates Centers Water Dam Safety Operations & Irrigation River & Bulk Dam Unit B(B)WS B(B)WS B(B)WS Resources BWRM/P Maintenance & Swamp Coastal Water Construction Planning MPWH Directorate General of Water Resources Management Structure Figure 5 Ministry of Public Works and Housing Directorate General of Water Resources DG Secretary Implementation Units [Balais] Directorates Centers Water Dam Safety Operations & Irrigation River & Bulk Dam Unit B(B)WS B(B)WS B(B)WS Resources BWRM/P Maintenance & Swamp Coastal Water Construction Planning Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 10 The dinas may be involved in some management while PJTs manage their assets for commercial return. activities in national river territories in coordination The head of the Dam Management Unit is required to with related B(B)WSs. meet the following requirements: The roles and responsibilities of the B(B)WSs include 1. Hold a certificate of expertise in the field of dam water resources management, planning, construction, management issued by competent authorities in operation and maintenance in the context of the accordance to relevant provisions of law. conservation of water resources, water resources 2. Have the competence in the management of the development, utilization of water resources and dam as well as the reservoir. control of water resources in the river basin. This includes the following functions: The requirements and procedures for the establishment of the Dam Management Unit are 1. Preparation of water resource management plans carried out in accordance with guidelines established for the basin; by the Minister. To date, 39 guidelines and manuals 2. Planning and implementation of protected area have been adopted. management of water resources in the basin; 3. Water resources management, including the Operation and maintenance of the dam, as well as the conservation, development, utilization, and control reservoir, consists of: of water resources in the basin; 4. Preparation of technical recommendations in the am operation and maintenance, intended 1. d granting of licenses for the provision, allocation, use, to optimize the utilization of water and water and exploitation of water resources in the basin; resources and maintain the dam safety; 5. O&M of water resources infrastructure in the basin; dam maintenance; and 2. 6. Management of hydrological systems; monitoring of the dam condition. 3. 7. Organization of data and information on water resources; MPWH require operation of the dam to be performed 8. Facilitation of coordination team of water resources by controlling the water discharge to meet the needs management in the basin; of downstream users, including the environment, along 9. Empowerment of communities in the management with flood operation, to control the water level in the of water resources; reservoir and flood control to mitigate downstream 10. Implementation of the Central River Region flooding, along with measures to quickly discharge administration. the reservoir water during a state of emergency or extraordinary situation. In the event of emergency or exceptional circumstances, the operation of the dam as well as the reservoir is prioritized for the purpose of Dam Management Units dam and environmental safety. In the case that the central government is the dam owner, the Minister appoints the technical The DMU must submit periodic reports with implementation unit responsible for water resource information on the condition of the dam as well as the management or one of the two state-owned river reservoir to the relevant agencies. The information on agencies to be the dam manager. The dam manager is the dam as well as the reservoir conditions includes: assisted in carrying out the management of the dam, as well as the reservoir, by a Dam Management Unit. 1. Structural and operational behaviour; 2. The readings of instruments and their Under these provisions, the B(B)WSs are the interpretation, the results of the inspection, and designated technical implementation units along with safety evaluations; two state-owned river agencies (Perusahaan Umum 3. Modification or rehabilitation; Jasa Tirta , PJT I/II). B(B)WS and BWS dams rely on 4. Events related to dam safety; Government funding for maintenance and operation, 5. The condition reservoir including water allocation. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 11 The DMU must provide an information system Under the former Government Regulations the Dam for each dam, as well as the reservoir, that can Safety Commission was the regulator for dam safety be accessed by the public. This should include assurance, including different ministries/agencies who regular updating on the collection, processing, and own the dam. However, the prevailing regulations are provision of data and information on the dam as only binding on those dams under the MPWH. This well as the reservoir. notwithstanding, other agencies continue to adhere to the provisions of the current Ministerial regulations. The Dam Safety Commission is responsible for: Dam Construction Centre The DGWR and the B(B)WSs are supported by the Dam 1. conducting assessments of dam safety; Construction Center (Pusat Bendungan) whose role 2. providing recommendations regarding dam safety; and and responsibilities are outlined in the Peraturan 3. conducting dam inspections. Menteri Pekerjaan Umum dan Perumahan Rakyat nomor 15/PRT/M/2015 tanggal 21 April 2015. These In carrying out these functions, the Dam Safety include the following: Commission has a legal mandate to exercise the following functions: 1. Preparation and implementation of guidance norms, standards, procedures, and criteria for 1. Give recommendations to the Minister before granting dams, lakes, water, and ponds, as well as the any design approval, initial charge permits, operation physical conservation of water resources; permits, approval of design for dam modification or 2. Readiness assessment and execution of activities rehabilitation, and permit on dam disposal; in dams, lakes, water, and ponds, as well as the 2. Provide recommendations to the Minister in charge physical conservation of water resources; of governmental affairs in the environmental area 3. Planning arrangements for dams, lakes, water, before granting initial placement of mining waste and ponds, as well as the physical conservation of and the operation permit for the dam intended for water resources; mining waste storage; 4. Human resource development relating to the 3. Provide technical advice and guidance; management of dams, lakes, water, and ponds, 4. Evaluation of the results of activities undertaken by as well as the physical conservation of water the technical implementing unit field of dam safety; resources; 5. Organize inspection of the dam. 5. Implementation of administrative affairs of the centre. The DSC membership comprises representatives of government and state-owned companies such as the owner of the dam, professional association, and another government agency related to dams as Dam Safety Commission appointed by the minister (Figure 6). The Chairman of A Dam Safety Commission has been in place since the DSC is the Director General of Water Resources. 2007 and was re-established under Ministerial Decree No. 03/KPTS/M/2016 to assist the MPWH in: 1. p roviding recommendations regarding dam Dam Safety Unit safety to the Minister during each phase of dam The Dam Safety Commission is supported by the development, such as design, construction, Dam Safety Unit (DSU) under the DGWR in the operation, rehabilitation, and dam closure; MWPH who are responsible for providing technical 2. evaluating the activities of the Dam Management and administrative support to the Commission. The Unit in order to make recommendations to the roles and responsibilities of the DSU are outlined in Minister; and Peraturan Menteri PU No. 25 / PRT / M / 2006. The 3. preparing an accountability report to the Minister. specific responsibilities include the following: Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 12 1. Data collection and processing for every dam; Indonesian National Committee on Large 2. Assessment of dam construction and management; Dams 3. Dam inspection; 4. Providing technical advice on dam construction; The Indonesian National Committee on Large Dams 5. Dissemination and guidance on dam safety; (INACOLD: Komite Nasional Indonesia untuk Bendungan 6. Drafting regulations, guidelines, technical Besar - KNI-BB) is a professional organization that serves instructions on dam safety; on the Dam Safety Commission and has an active role 7. Monitoring the implementation of dam in the development, operation and maintenance of construction safety aspects; large dams in Indonesia through the activities of the 8. Inventories and registration of dam as well as its organization and its members. INACOLD has been an hazard classification; active member of the International Commission on Large 9. Dam archive management. Dams (ICOLD) since 1967, and maintains relationships with other regional and international institutions. In line with its goal, the INACOLD/KNI-BB aims to Panel of Experts develop and maintain large dams to create a more The regulations also provide for the appointment of a effective and efficient means of the development and Panel of Experts comprising technical experts upon the management of water resources for the wealth of the recommendation of the Dam Safety Commission and community. This is achieved through: Dam Safety Unit. This is intended to support the dam owner and is recommended under the legislation in 1. Development and management in the planning, cases involving either: implementation, and operation and maintenance of large dams; ew technology in dam design and construction, 1. n improving the quality of expertise and 2. 2. dams greater than 75m in height and storing least responsibility of Indonesia’s Technical Experts on 100 million cubic meters, or dams in the field of large dams; and 3. a high hazard dam. actively participating in the improvement of 3. wealth for the Indonesian people through the development and management of large dams through water resources management. The Structure of the Dam Safety Commission Figure 6 Dam Safety Commission Chairman [DG Water Resources] Secretary [non member] Member Member Member [Government and Stated-owned company [Professional Association] [Other Government agencies related to representatives as the dam owners] the dam as appointed by the minister] Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 13 3.0 The Legal Framework for Dam Safety Assurance Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 14 The legal basis for dam development, operation and maintenance, and safety is based on a civil law system, intermixed with customary law and the Roman Dutch law, and comes in different forms. The official legal hierarchy is enumerated under Law No. 10 Year 2004 on the Formulation of Laws and Regulations and includes the following: 1. The 1945 Constitution (Undang-Undang Dasar 1945 or UUD’45) 2. Law (Undang-Undang or UU) and Government Regulation in Lieu of Law (Peraturan Pemerintah Pengganti Undang-Undang or Perpu) 3. Government Regulation (Peraturan Pemerintah or PP) 4. Presidential Regulation (Peraturan Presiden or Perpres) 5. Regional Regulation (Peraturan Daerah or Perda) Dam regulation has evolved through three distinct periods and is currently governed through Regulation of the Minister, Public Works and Housing, No. 27/PRT/M/2015 specifically on dams. The Ministerial Regulation was enacted in response to the repeal by judicial review in 2014 of the Water Resources Law No.7 of 2004. Prior to 2004, dam safety was regulated under the Water Resources Law No. 11/1974 and Ministerial Regulation No. 72/1998 on Dam Safety. The regulation replaced the country’s first, non-mandatory Dam Safety Guidelines (SNI No.1731-1989-F) issued in 1989 by the National Standardization Agency of Indonesia (“BSN”). During this period, Indonesia moved toward a more integrated approach to water resources management. This was codified through the Water Resources Law No.7 of 2004. Between 2004 and 2015, the primary enabling legislation was provided through the Water Resources Law No.7 of 2004, with specific provisions required through the Spatial Planning Law No. 26 of 2009 and the Environment Law No. 32 of 2009. Specific provisions were stipulated through Ministerial Regulation No. 72/1998 on Dam Safety, a Ministerial Decree on the Dam Safety Commission and Government Regulation No. 37/2010 on Dams, approval of which was expedited following the failure of the Situ Gintung dam that occurred on March 27, 2009. After 2015, following repeal of the Water Resources Law No.7 of 2004, Indonesia reverted back to operating under Water Law No. 11 of 1974 and Ministerial Regulation No 72/PRT/1997 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 15 on Dam Safety. This regulation was subsequently The division of hazard levels is based on the number repealed and replaced by Ministerial Regulation of potential fatalities exposed to the risk of the dam No. 27/2015 on Dams and Ministerial Decree No. 03/ collapsing (Table 4). This is based on the assumption KPTS/M/2016 on Dam Safety Commission. that each household consists of one family and that each family includes five people that live in one The overarching provisions cover all dam types and house. The risk is defined by the dam height, volume, all types of ownership. The criteria used to define a downstream population, and management status dam for the purpose of registration under Ministerial using the Modified ICOLD (also used in the World Regulation Number 27/ PRT/M/2015 is based on the Bank financed Dam Operational Improvement and ICOLD definition and includes the following: Safety Project (DOISP)), the Anderson Method (as a check) and the FEMA Guidelines. Special criteria have 1. Dam with height of 15 metres or more measured also been included in the 2015 Ministerial Regulation from the lowest point in the foundation; (Chapter V) for “high dams” over 75 meters requiring 2. Dam with height of 10 metres up to 15 metres the appointment of an International Panel of Experts. measured from the lowest point in the foundation with the following provisions: Under Ministerial Regulation No.27 of 2015 Article 77(1) the • the dam crest length shall be at least 500 dam owner is primarily responsible for dam management metres; and safety. However, the previous provisions relating • the capacity of the reservoir at least 500,000 to liability and responsibility for dam failure included cubic metres; or in Chapter IV.4 of Regulation 37 of 2010 has now been • the maximum flood discharge must be at least removed from the new Ministerial Regulation 27 of 1,000 cubic metres per second. 2015. It is possible that the regulator could also be 3. Any dam with particular level of difficulty to the held responsible for dam safety since the Dam Safety foundation or dam designed using new technology Commission takes quite a hands-on assessment role and/or dam that have a high hazard class. (rather than just a compliance-audit role) and provides technical support to the MPWH in performing its duties The High Hazard Class is determined based on the as an “independent dam safety supervisor”. criteria provided in the “Guidelines for Determining Dam Hazard Classification (1998)”, as well as the The main tenants of the dam safety approach “Technical Guidance for Dam Hazard Classification described earlier are defined under Article 2(4): (2011)”. The dam safety hazard level is classified into 4 categories based on the ICOLD Bulletin 167: 1. structural safety to avoid any structural failure, hydraulic failure, as well as against seepage failure; 1. Low Danger Level; 2. operation, maintenance and monitoring; and 2. Medium Danger Level; 3. readiness for emergency preparedness. 3. High Danger Level; and 4. Very High Danger Level. Dam safety licencing is required in every phase of dam development. The licencing process involves a number of regulatory agencies and the dam owners (Figure 7). Dam Hazard Level Table 3 Distance from the Dam (in Km) Number of Households (Cumulative) 0–5 0 - 10 0 - 20 0 - 30 >30 0 1 1 1 1 1 1 – 20 3 3 2 2 2 21 – 200 4 4 4 3 3 > 200 4 4 4 4 4 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 16 Dam Safety Licensing Process Figure 7 Application of dam safety approval from owner to the Ministry (e.g. Director General of Water Resources) Site inspection and discussion (DSU, DSC and dam owner) First assessment on data and report (by dam safety unit) Dam safety Revised report assessment by DSU Fullfilled RSGM*? DSC Technical Session Dam safety assessment by DSU Fullfilled dam safety Revised report *? DSC Plenum Session Dam safety assessment by DSU Fullfilled Revised report RSGM*? Recommendation to the Ministry of Public Works and Housing Approval issued by Ministry of Public Works and Housing * RGSM = Regulations, Guidelines, Standards and Manuals related to dam safety. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 17 Dam inspections and safety reviews are required for Periodic reports are required to be submitted to the the development of the dam, during construction and relevant agencies by the DMU, including structural operation and maintenance. The inspection of the dam and operational information on the behaviour of includes the dam and the reservoir conditions; readings from instruments and their interpretation, the results of 1. data collection for: the inspection, and safety evaluations; modification • consideration of the study, preparation of or rehabilitation; events related to dam safety and technical advice and dam inventory; extraordinary incidents; and the condition of reservoir, • monitoring the implementation of the dam including water allocation. The DMU must also construction safety aspects; and provide an information system on the dam as well • clarification of the report on the implementation of as the reservoir that can be accessed by the public. development and report management of the dam. This should specify: the collection, processing, and 2. Inspections include reporting on: provision of data and information on the dam as well • site location, as the reservoir; and be regularly updated. • monitoring the implementation of the construction, The legislative provisions for emergency preparedness • implementation of reservoir impoundment, relating to dam safety are intended to ensure that the • major inspection, dam manager is prepared for the worst conditions in • extraordinary inspection, the event of a catastrophic failure. The draft emergency • special inspection, and action plan should contain specific actions relating to • inspection upon request of the dam builder, dam safety as well as community rescue actions and manager or owner. environmental safety and should be based on potential failure modes analysis of the dam. To meet the Failure to follow-up on any of the recommended actions emergency preparedness level, the DMU must have: results in suspension of the operational permit. 1. emergency action plans; The dam owner, dam manager and Dam Management 2. equipment and material to act accordingly in an Unit, as well as the technical implementation units, are emergency; required to keep and maintain documents relating to 3. updated emergency action plans in accordance the original construction as well as management of the with current conditions; dam and reservoir. This should include the following 4. preparation for stand-by emergency personnel; documents which are supposed to be submitted to the 5. socialization to potentially affected community on local agency in charge of the local government archive the potential dam failure; and by the dam owner: 6. socialization to provincial and local government of districts/cities whose territory may be affected by 1. planning; the potential dam failure. 2. environmental management; 3. land acquisition; Emergency Action Plans have been developed for about 4. construction including the dam’s as-built drawing; 80 dams, of which 56 have been financed under DOISP. 5. operating and maintenance instructions, These are based on the Hazard Classification Guidelines monitoring the behaviour of the dam, history prepared under the original Dam Safety Project and of the dam operation, as well as the emergency approved by the Indonesian Dam Safety Committee action plan; and in 1999, along with the Emergency Action Plan (EAP) 6. report on the implementation of environmental Guidelines prepared under DOISP. In the draft of the management and monitoring. emergency action plan, the dam builder can obtain technical input from the water resource management in the river basin and input from affected communities against any potential dam failure. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 18 In the case that one river basin has more than one The dam safety precautions are provided by: dam, the emergency action plan for each dam should be made into one unified emergency action plan. 1. notifying the relevant parties to the dam; When a dam is built in a river basin that already 2. operating hydro-electro mechanical equipment of has a dam, preparation of the emergency action the dam; and plan for that dam being built must also involve 3. taking necessary steps to prevent the collapse the dam management unit that already exists in of the dam, with community rescue actions addition to involving local technical agencies and conducted in accordance to prevailing regulations. local communities. The emergency action plan for the existing dam should be adjusted to be integrated into one unified emergency action plan together with emergency action plan for other dams in the basin. If in one river basin more than one dam is built at the same time, the emergency action plans shall be prepared in a coordinated manner so that all the emergency action plans shall be made into one unified emergency action plan. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 19 4.0 Developing Maturity Matrices for Dam Safety in Indonesia Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 20 Principles and Process The development of Maturity Matrices for institutional safety activities around the world. The Master Matrix benchmarking of dam safety in Indonesia is primarily contains summary descriptions of each maturity level concerned with the surveillance and emergency for every component of the dam safety program. preparedness principles of dam safety management (as shown in Figure 8). A dam safety program is made Development of Maturity Matrices appropriate for up of a number of components, ranging from dam Indonesia followed an iterative and consultative safety practice in the field to support functions and process. This included an initial review and governance required to provide assurance of dam conceptualization of the Maturity Matrices based safety. Maturity Matrices are intended to reflect the on a detailed review of the legal hierarchy, specific most important components of a dam safety program dam safety regulations and technical guidelines , and it is important to keep in mind that Maturity the institutional responsibilities, followed by expert Matrices evaluate dam safety programs and not review and verification. individual dam types or systems (e.g. earth fill versus concrete or local operation versus remote operation). The Maturity Matrices were refined and validated through working sessions with officials from The Maturity Matrix is a simple two axis chart with the MPWH, dam managers from the Balais, ‘Maturity Level’ on the horizontal axis and ‘Components’ and consultations with key stakeholders. The describing the main activities under the dam safety Maturity Matrices and the method of evaluation program on the vertical axis (as shown on Figure 9). were presented, self-assessments by dam safety The Maturity Matrices are high level and selective representatives of Balais were carried out and the in the detail used to assess dam safety program Maturity Matrices subsequently adjusted to address maturity. They are outcomes based and should not be feedback. considered an expert system. Components align with the terminology of the International Commission on In Indonesia, Balais have responsibilities beyond Large Dams (ICOLD) and are common groupings of dam dam safety that extend into catchment management, water resource management, along with bulk water distribution operation and maintenance. Where Coverage of the Maturity Matrices within the Figure 8 appropriate the Maturity Matrices were adjusted Indonesian Dam Safety Concept to included these management activities. This was particularly important to align the Maturity Matrices with the criteria used by the MPWH in the annual performance assessment of the Balai for dam safety. DAM SAFETY CONCEPT The Maturity Matrices were subject to a final round of facilitated self-evaluation by representatives from the Balai’s. The criteria were codified into the maturity scoring and programmed into a Scoring Workbook. Structural Emergency safety Surveillance concept This was applied as part of the annual dam safety assessment carried out by the MPWH. appropriate routine emergency design checks preparation Minimization of risk Mastering of remaining risk Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 21 Master Matrix Structure (Note: these descriptions are not used for assessing maturity level) Figure 9 Master Matrix Maturity Level Dam Safety Program Component Level 1 Level 2 Level 3 Level 4 Level 5 1 Governance 2 Information Management 3 Dam Safety Training and Education 4 Surveillance [summary description] 5 Spillway and Outlet equipment 6 Reservoir Operations 7 Dam and Spillway Maintenance 8 Audits and Reviews 9 Managing Dam Safety Issues 10 Emergency Preparedness Note: these descriptions are not used for assessing maturity level Workshopping the Development of Maturity Matrices with representatives from the Dam Management Units (May 2017) Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 22 Maturity Levels and Differentiators Five maturity levels were defined and adopted with 3. Portfolio of dams smaller than those regulated by even steps between successive levels. The descriptions the Regulation from the Minister of Public Works and typical characteristics for each of the proposed and Housing. maturity levels were defined and refined through the consultative process with representatives from the Guided by the legal and regulatory framework for dam MPWH and participating Balais (Table 4). safety in Indonesia, the appropriate level of maturity for different Balai can be differentiated (as shown in The general characteristics that indicate the progression Table 5). The targeted Maturity Level for each DMU of maturity across the matrices are referred to as should be defined as appropriate to the characteristics differentiators. These are characteristics of the dam of the portfolio of dams under the Balai. safety program that differentiate between the different maturity levels (Figure 10). The adopted differentiators Applying the same level of maturity to each Balais is are used to formulate the line item descriptions of each counterproductive considering that some Balai do maturity level in the component matrices. not have the same risk profile or resources of other Balais. The maturity level should be tailoured to the Recognising the wide range of assets owned by Balais, specific context and conditions. This should give due the appropriate level of maturity for a DMU portfolio of consideration to the number and type of dams, including dams is dependent on: consideration of height, reservoir size, type, etc., the size of the population and value of assets downstream, the 1. The national importance of dams in the portfolio, resources available to the Balai and others as relevant. e.g. a dam providing water or power to a significant population that is vital to the national economy; For large portfolios with a wide range of dam sizes, grouping 2. Portfolio of dams without one of national such a large portfolio of dams into sub-groups as described importance and including one or more dams as in Table 5 was assessed as prudent. Each group of the regulated by the Minister of Public Works and portfolio was assessed using the Matrix assessment and the Housing Regulation No. 27/PRT/M/2015; and target Maturity for each sub-group in accordance with Table 5. Maturity Level Descriptions and Typical Characteristics Table 4 Maturity Level Level 1 Level 2 Level 3 Level 4 Level 5 Needing Development Elementary Good Practice Very Good Practice Best Practice Maturity Level Lacks conformance to Conforms to Generally High degree of High degree of understanding Description applicable guidelines, applicable conforms to conformance with and conformance with standards and best guidelines, applicable applicable guidelines, applicable guidelines, standards practice standards and guidelines, standards and best and best practice. No significant best practice standards and practice with good opportunities for improvement in some areas best practice understanding Illustrative Target Levels of Maturity Table 5 DMU Portfolio Example Target Maturity Level 1 One or more dam of National Importance 4 or 5 Very Good or Best Practice One or more dam as regulated by the Minister of Public Works and Housing Regulation 2 3 Good Practice No. 27/PRT/M/2015 Only dams smaller than those regulated by the Minister of Public Works and Housing 3 2 Elementary Regulation No. 27/PRT/M/2015 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 23 Maturity Levels and Differentiators (The general characteristics indicating progression of maturity Figure 10 across the matrices are referred to as differentiators) INCREASING MATURITY / EFFECTIVENESS Level 1 Level 2 Level 3 Level 4 Level 5 Needing Development Elementary Good Practice Very Good Practice Best Practice Inwardly focused Inwardly and outwardly focused Poor communications Good communications across groups Simple systems Smart systems Individual dam safety planning Portfolio dam safety planning Reactive Proactive Poorly organized Well organized Stand alone activities Integrated activities Poor quality assurance Good quality assurance Activities not done Activities done to program Issues and risks poorly understood and managed Issues and risks well understood and managed Failure modes not used Failure modes used and understood Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 24 Component Matrices Component matrices list the activities that are needed Each ‘Component’ in turn has its own matrix. Those for carrying out each component of the dam safety ‘component’ matrices again have the maturity levels program. The activities are listed on the vertical axis. on the horizontal axis with the activities for that The horizontal axis represents the maturity level. Each component listed on the vertical axis. column represents an increasing level of maturity in the component (which is sub-divided into activities). A For example, Figure 11 shows the Governance Matrix matrix shows advancing maturity from a rudimentary with its activities of Regulation, Delegated Roles and or elementary level of practice through stages to Responsibilities, Internal and External Communication advanced or best practice. and Resourcing. The dam safety program ‘Components’ and their The maturity level evaluations are carried out using ‘Activities’ were defined through the consultative the component matrices. process and are listed in Table 6. Dam Operation and Safety Program Components and Activities Table 6 Component Activity Regulation Delegated Roles & Responsibilities 1 Governance Internal & External Communication Resourcing Standards, Policies, Plans and Procedures Physical Infrastructure 2 Information Management Operational Studies, Reviews and Reports Dam Safety Flow Control Equipment 3 Dam Safety Training and Education Reservoir Operation Incident and Emergency Preparedness Surveillance Program Inspections 4 Surveillance Instrumentation and Data Management Dam Safety Assessment Spillway and Outlet Equipment Program Inspections and Maintenance 5 Spillway and Outlet Equipment Testing System Performance Assessment Operation Protocols 6 Reservoir Operations Relationships with External Stakeholders Debris Management Dam, Reservoir and Access maintenance 7 Dam and Spillway Maintenance Spillway and Outlet Structure maintenance Dam Safety Program Audits Dam Safety Program Reviews 8 Audits and Reviews Dam Safety Reviews Flow Control Equipment Reviews Issue Management System Managing Non-conformances 9 Managing Dam Safety Issues Managing Physical Infrastructure Issues Managing Dam Safety Deficiencies Hazard and Consequence Identification Owner Emergency Preparedness Plans (EPPs) 10 Emergency Preparedness Relationships with Community and External Agencies Tests and Exercises Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 25 At the intersection of an Activity (or Component) and Consider the following Example: a maturity level is a collection of line items. There are generally 2 to 4 line items per activity (labelled A line item in the Component 1: Governance Maturity (a) to (c) in Figure 12). The line items describe the Matrix “Regulation” activity progresses from Maturity characteristics that match a particular maturity level Level 1 to Maturity Level 5 as follows: for that activity (Refer to Figure 12 which shows the governance component matrix). • Level 1 is “(b) Relevant policy and regulations not met” These line items contain descriptions that are • Level 2 is “(b) Relevant policies and regulations consistent and develop across the maturity levels. generally met” This allows the user to identify the current status and • Level 3 is “(b) Relevant policies and regulations met” to identify the requirements for achieving a higher • Level 4 is “(b) Relevant policies and regulations met maturity rating. and sometimes exceeded” • Level 5 is “(b) Relevant policy and regulations met and generally exceeded” An example of the component level Governance Matrix and its Activities used to carry out the Figure 11 maturity level evaluations. Governance Maturity Level Component matrix Level 1 Level 2 Level 3 Level 4 Level 5 Activity Needing Development Elementary Good Practice Very Good Practice Best Practice Alignment with Regulation Delegated Roles & Responsibilities Internal & External Communication Resourcing Component matrix line items (e.g. Governance) Figure 12 Governance Maturity Level Component matrix Level 1 Level 2 Level 3 Level 4 Level 5 Activity Needing Development Elementary Good Practice Very Good Practice Best Practice (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Alignment with Regulation (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Delegated Roles & Responsibilities (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Internal & External Communication (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Resourcing (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (c) [line item] (c) [line item] (c) [line item] (c) [line item] (c) [line item] Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 26 Relationship Between Master Matrix and Component Matrices The relationship between the Master Matrix and the Component Matrices is shown in Figure 13. The ten component matrices, when scored, roll up into the Master Matrix which displays a summary of the maturity level achieved by the Dam Management Unit being evaluated. Relationship Between Master Matrix and Component-Matrices Figure 13 Master Matrix Maturity Level Dam Safety Program Component Level 1 Level 2 Level 3 Level 4 Level 5 1 Governance 2 Information Management 3 Dam Safety Training and Education 10 Dam 4 Surveillance Safety 5 Spillway and Outlet equipment Program 6 Reservoir Operations Components 7 Dam and Spillway Maintenance 8 Audits and Reviews 9 Managing Dam Safety Issues 10 Emergency Preparedness 10 Component Matrices Components Activities Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 27 5.0 Application of the Maturity Matrices in Indonesia Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 28 Methods of Evaluation The evaluation of dam safety program maturity is best An internal facilitator who is external to the dam safety conducted as an audit or a series of review workshops program may be objective but may not understand where the maturity levels and descriptors are tested and dam safety drivers and the industry practice on which checked against documentation and established practice. the maturity levels are based. A facilitator is necessary to direct the process and The external independent facilitator understands the the workshops. This person could be internal to the industry practice that underpins the maturity levels but organization and part of the dam safety program, may not understand the context specific dam safety internal but external to the dam safety program, drivers. This person would provide objectivity and industry or a dam safety engineer or expert external to the benchmarking examples to assist with maturity evaluation. organization that is familiar with the purpose and function of the Maturity Matrices. The choice of whether to use a dam safety engineer or expert may depend on the complexity of the dam The internal dam safety facilitator would have a portfolio and dam safety program. The engineer or deep understanding of the dam safety program, but expert may also assist in developing program maturity may be too close to the program to make objective advancement strategies. The external/independent assessments and may find some of the necessary facilitator’s objectivity will add credibility to the maturity questions confronting. matrix evaluations and advancement programs. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 29 Steps of the Procedure The following steps direct the user through the process The worked example for the Governance Component of evaluating their dam safety program activities, Matrix demonstrates the following: and finally, to document and demonstrate their current dam safety program maturity status. The final 1. All ‘Governance Activities’ have achieved an documentation exercise is programmed into the Scoring ‘Elementary’ maturity level (coloured yellow) Workbook described below. However, it is important 2. The ‘Governance Program’ can therefore be that the user understands the process explained below considered to have achieved an ‘Elementary’ which is automated in the Scoring Workbook. maturity level (Maturity Level 2) 3. The ‘Internal & External Communication’ activity have Step One. Start with the Governance component achieved ‘Good Practice’ (Maturity Level 3) and ‘Very matrix and systematically identify the line items for Good Practice’ (Maturity Level 4) maturity levels each Governance activity that best represent the 4. The ‘Regulation’ activities have achieved ‘Good characteristics (or maturity level) of the user’s dam safety Practice’ (Maturity Level 3) program. The achieved maturity level for an activity is 5. It is noteworthy that one line item in both the that highest level where all line items are selected. ‘Regulation’ and ‘Resourcing’ activities achieved a level of maturity higher than the maturity level assigned to The presentation of the component maturity results the activity. This is because all line items contribute to is achieved by colouring the selected sub-element the maturity level achieved by each activity maturity level line items. This provides a snapshot of 6. From this example it can be concluded that there the maturity level of a whole surveillance component. is further development required in the ‘Delegated Roles and Responsibilities’ and ‘Resourcing’ activities Assigning the Matrix level for each activity sub-item to advance the whole Governance ‘Component’ to at is the crucial activity and the thoroughness with least a ‘Good Practice’ (Maturity Level 3) which this is done determines the standard attained 7. The achievement of the ‘Very Good Practice’ maturity for the benchmarking evaluation. An example for level for ‘Internal and external communication’ the Governance Component Matrix is demonstrated is recognized but it does not change the fact that below (Figure 14). the Governance ‘Component’ as a whole has only achieved an ‘Elementary’ Maturity Level 2. This step has been programmed into an Excel workbook (The Scoring Workbook). This is described in more detail below and in Annex 1. Governance Component-Matrix Example Evaluation Presentation Figure 14 Governance Maturity Level Component matrix Level 1 Level 2 Level 3 Level 4 Level 5 Activity Needing Development Elementary Good Practice Very Good Practice Best Practice (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Alignment with Regulation (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Delegated Roles & Responsibilities (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Internal & External Communication (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] (a) [line item] Resourcing (b) [line item] (b) [line item] (b) [line item] (b) [line item] (b) [line item] (c) [line item] (c) [line item] (c) [line item] (c) [line item] (c) [line item] Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 30 Step Two. Repeat step one for each dam safety From the worked example for the three components program ‘Component Matrix’. above (Figure 16) it can be concluded that: 1. The ‘Governance’ and ‘Dam Safety Training Step Three. Roll the component matrix evaluation and Education’ components have achieved an from Steps One and Two into the Master Maturity ‘Elementary’ maturity level, while recognizing some Matrix. This step is illustrated for the ‘Governance’ of their activity line items (or sub-activities) are example above (Figure 14) with a simplified direct scale rated in more advanced maturity levels. down, or rolled up example shown below (Figure 15). 2. The ‘Information Management’ component has achieved a ‘Good Practice’ maturity level while recognizing that two of its sub-activities have rated Step Four. Complete the ‘Master Matrix’. Figure at ‘Very Good Practice’ maturity level. 16 provides an example displaying the first three 3. When rolling up the score from the ten Component ‘Components’ to indicate how it would appear and Matrices to the Master Matrix, only activities with all function. sub-activities fulfilling the matrix level roll up to the Master Matrix. In the example shown in Figure 16 only Activity 2 Information Management rolls up at maturity level 3. Governance Roll-Up into Master Matrix (1 element shown) Figure 15 Maturity Level Dam Safety Program Component Level 1 Level 2 Level 3 Level 4 Level 5 Needing Development Elementary Good Practice Very Good Practice Best Practice Governance Master Maturity Matrix Example Presentation (3 Components shown) Figure 16 Maturity Level Dam Safety Program Component Level 1 Level 2 Level 3 Level 4 Level 5 Needing Development Elementary Good Practice Very Good Practice Best Practice Governance Information Management Dam Safety Training and Education COMPLETE FOR ALL DAM SAFETY PROGRAM COMPONENTS Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 31 The Scoring Workbook An evaluation of the whole dam safety program is The Scoring Workbook is based in Excel to ensure that achieved once all the elements of the dam safety it can be widely applied and requires little specialised program (refer Master Matrix) are assessed and the training. The workbook automates the recording and results depicted on the Master Maturity Matrix. presentation of the maturity scores for each of the ten component matrices above (Figure 13) and then The completed Master Matrix provides a visual transfer these to generate the Master Matrix record representation of the maturity level of the dam (equivalent to Figure 9). safety program managed by the DMU which is being assessed. Other forms of visual representation The Excel Scoring Workbook can also generate are presented in the Excel Scoring Workbook, User circumplex plots of the Master and Component Matrices. Manual and radial plots from the self assessments Instructions and explanation of the Excel Scoring are presented in Appendix 2 herein. Workbook are included in Annex 1. These alternative plots are presented in Appendix 2 and can be used by DMUs as considered appropriate for presentation and communication of the maturity of their dam safety program. Illustrative example of the circumplex plots generated by the Excel Scoring Workbook to Figure 17 visualize the results of the assessment of dam safety programs within individual Balai. 10. Audits and 1. Governance Reviews 9. Managing Dam 2. Information Safety Problems Management 8. Emergency 3. Dam Safety Preparedness Training and Education 7. Dam and Spillway 4. Surveillance Maintenance 6. Reservoir Operations 5. Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 32 Workshop Preparation and Participation The success of the self assessment depends on inclusion of all key personnel who are critical to achieving the goals of the dam safety program. The personnel may vary with each element (or sub- element), however, the appropriate operational, engineering, managing, and wider organization support roles that contribute to the dam safety program should participate in the evaluation. Other key stakeholders (e.g. executive managers or external parties) may also be consulted in the planning and, if necessary, included in the evaluation. This will ensure their requirements are considered and that the outcomes will be in a form that will be understood and lead to effective program advancement approvals. If external facilitators are used it is recommended that they be engaged in the early planning stages to utilize their expertise in the evaluation processes and workshop structure. Early participation will maximise the evaluation efficiency and the value of the outcomes. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 33 6.0 Applying the Outcomes to Improve Dam Safety Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 34 Once the maturity evaluation is complete for the dam The MPWH uses benchmarking among the national safety program, the DMU may choose to set higher dam safety institutions (the Balais) to create a positive maturity goals for specific elements and sub-elements tension and motivation within these institutions and then identify the gap between these goals and the for executing their dam safety management current maturity status. Maturity level goal setting may responsibilities. This is instilled through a Dam Safety also be completed prior to an evaluation. The line item Competition run by the MPWH on an annual basis. descriptors above the evaluated levels can be used as The competitive nature of the Dam Safety Competition a guide to develop activities and plans to reach the creates an environment for improvement at all levels desired levels. within these organisations. This in turn fuels an appetite for knowledge, a need to know, which responds Improving the maturity level for any particular activity favourably to training in dam safety management. requires identifying the constraint on maturity improvement and then addressing the constraint The Dam Safety Competition is a voluntary (summarised in Table 7). The DMU may then consider assessment in which individual Balais with dam safety how program maturity advancements are best responsibilities choose to compete. The Balais that prioritized and staged to achieve the most appropriate compete in the competition manage a variety of dam path to improvement for their organizational goals. portfolios (Table 8) and the competition is divided These can be used to inform the establishment of into three categories of dam dependant on reservoir an improvement program in order to define specific volume (Table 9). Balais can choose to compete in one targets, identify activities, determine resource or more competition categories. requirements and agree on an implementation plan. This should be accompanied by a continuous evaluation The competition has two components. The first is a program to enable course correction as needed. workshop where representatives from the competing Balai come together to present their respective Setting target Maturity Levels should be done with department activities. These presentations are judged recognition of the specific context and conditions. by a panel made up of six retired senior managers Applying the same level of maturity to each Balai can appointed by MPWH. Each presenter is questioned be counterproductive considering that some Balais do on their presentation by the panel and provided an not have the same profile or resources as other Balais. opportunity to respond. The second is a series of The maturity level should therefore be tailoured and site inspections by the panel to the offices and dam give due consideration to the number and type of sites of each of the competing Balais. This provides dams, including consideration of height, reservoir an onsite review and verification of the presentations size, type, etc., the size of the population and value made by the representatives from the participating of assets downstream, the resources available to the Balai and so the second component counts for 80 Balai and other factors as relevant. percent of the total score achieved by each Balai in the Dam Safety Competition. Illustrative Maturity Identification and Improvement Table 7 Constraint Improvement Notes Human resource Hire Due to lack of staff Human resource competence Training Hire trainer perhaps from Balai with competence Training in Potential Failure Modes Continuous training and awareness for all institutions Understanding failure modes Analysis involved in dam safety Lack of facilities Invest in facilities Project financing available Integrated system within balai and Continued investments in data collection systems and Monitoring Systems central levels monitoring platforms Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 35 It is important to note that the focus of the dam safety Review of the results from the facilitated self- competition has been dam specific, although more assessments (Appendix 2) shows the following: than one dam may be represented in the competition. In comparison, the Maturity Matrices evaluate the 1. Almost all Balai self-assessments provided scores performance of the organization in managing the at Level 1 and 2 for a number of components; i.e. safety of the portfolio of dams under its jurisdiction. are at elementary level or need development. 2. Some Balais score better where they are well The Maturity Matrices for dam safety were introduced resourced. into the competition along with the use of the Excel 3. Balais scoring at higher maturity levels could assist Scoring Workbook. Representatives from the each of Balais needing development. the competing Balai undertook a self-assessment of 4. Many Balais noted weaknesses in meeting training their respective dam portfolio management programs needs. using the dam safety maturity matrix Excel Scoring 5. Many Balais expressed challenges with Workbook as part of the Competition. Results of this self- communication through their organisation assessment are included in Appendix 2 herein. The panel 6. There is need for Emergency Preparedness was introduced to the tool and guided through the steps Planning within almost all Balais; required to provide a facilitated self assessment. This 7. Some Balais assessed themselves at the highest serves the basis for integrating the provisions into the level (Level 5 = Best Practice) for some components. competition and for the panel to act as facilitators in the Independent assessment of the Balai will help to field based workshops for evaluating the performance confirm if such a high score is reasonable. under the Maturity Matrices. Balai Portfolio Dam Numbers and Competition Categories Table 8 Total No Competition Category Balai of Dams Reservoir volume < 2 Mm3 Reservoir volume 2-20 Mm3 Reservoir volume >20 Mm3 Bali Penida 5 2 3 --- Bengawan Solo 33 13 15 52 Brantas 17 5 5 73 Ciliwung – Cisadane 1 1 --- --- Cimanuk Cisanggarung 7 2 2 3 Citarum 5 3 1 11 Kalimantan III 7 4 3 --- Mesuji Sekampung 3 --- --- 3 Nusa Tenggara I 62 47 9 6 Nusa Tenggara II 14 11 3 --- Pemali Juana 17 4 9 4 Pompengan Jeneberang 4 --- 1 3 Serayu Opak 3 --- --- 3 Sumatera I 5 3 2 --- Total 183 95 53 35 1) 1 dam managed by PJT 2 2) 1 dam managed by PJT 1 3) 7 dams managed by PJT 1 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 36 Dam Management Units Competing in 2017 Dam Safety Competition Table 9 No. DMU Name of Dam Comment Category I (Volume > 20 million m3) 1 BBWS Serayu Opak Sempor 2 of 3 dams managed 2 BBWS Serayu Opak Sermo 3 BBWS Pemali Juana Jati Barang 1 of 4 4 BBWS Bengawan Solo Pondok 1 of 4 5 BBWS Pompengan Jeneberang Kalola 6 BBWS Pompengan Jeneberang Ponre-ponre All > 20 Mm3 managed 7 BBWS Pompengan Jeneberang Bili-bili 8 BBWS Cimanuk Cisanggarung Darma 2 of 3 dams > 20 Mm3 9 BBWS Cimanuk Cisanggarung Malahayu 10 BWS Nusa Tenggara I Pengga 1 of 6 11 BBWS Mesuji Sekampung Way Jepara 2 of 3 dams > 20 Mm3 12 BBWS Mesuji Sekampung Way Rarem Category II (Volume 2-20 million m3) 1 BBWS Pemali Juana Penjalin 1 of 9 2 BBWS Bengawan Solo Gonggang 1 of 15 3 BBWS Pompengan Jeneberang Salomekko 1 of 1 4 BBWS Cimanuk Cisanggarung Setu Patok 1 of 2 5 BWS Nusa Tenggara I Tiu Kulit 6 BWS Nusa Tenggara I Sumi 3 of 9 dams managed 7 BWS Nusa Tenggara I Pelaperado 8 BWS Nusa Tenggara II Tilong 1 of 3 9 BWS Kalimantan III Samboja 2 of 3 dams managed 10 BWS Kalimantan III Manggar Category III (Volume < 20 million m3) 1 BBWS Pemali Juana Panohan 1 of 4 2 BBWS Brantas Sampean Baru 1 of 5 3 BWS Nusa Tenggara I Surabaya 1 of 47 4 BBWS Bengawan Solo Parangjoho 1 of 13 5 BBWS Ciliwung Cisadane Gintung 1 of 1 6 BBWS Cimanuk Cisanggarung Bolang 1 of 2 7 BWS Bali Penida Benel 1 of 2 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 37 7.0 Conclusions and Recommendations Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 38 The development of Maturity Matrices for benchmarking assessment across the individual Balai provides a dam safety in Indonesia provides an objective relative measure to contrast the effectiveness of dam method for assessing the effectiveness of the safety programs across the different dam management operation, maintenance, surveillance and emergency units. With continued application, the Maturity preparedness programs under implementation by the Matrices will similarly allow for comparison of the Dam Management Units in the Balais. The consultative performance of the individual dam safety programs process for development of the matrices results in a within a Balai over time. This will help in identifying tool that is embedded within the legal and institutional appropriate interventions, inform the allocation of framework for dam safety in Indonesia. In addition resources, and their prioritisation for dam operation, to providing a tool to assist with self-assessment of maintenance and safety improvement. the dam safety program, the Maturity Matrices help to identify and communicate both components and Comparison of the different Balai’s should be done activities within the dam safety program. carefully and in recognition of the similarities and differences in dam portfolios. The Balai are organised The Maturity Matrices will further help in identifying and resourced based on the size, purpose and and prioritising areas for improvement in the complexity of their portfolio of dams. A Balai with a dam safety program. Application of the maturity large number of dams essential for drinking water and Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 39 having high potential impact if they fail should not be The Maturity Matrices provide a mechanism to compared to a Balai responsible for a small number of systematically identify those challenge areas within irrigation dams in isolated locations. the Balai. Dedicated training and capacity building programs can be aligned to address those systematic All improvements in the dam safety management issues that manifest across the national portfolio programs of the Balais rely on budget allocations. and all Balais. In other areas where some Balais In the absence of irrigation service fees the revenue are performing well, peer-to-peer learning can be streams are limited and the dam safety programs implemented to leverage expertise within the existing rely on transfers from government. The results of the structures. Sourcing trainers from a Balai scoring maturity assessment can assist in communication high level of maturity to train personnel in Balais of the budget needs as well as help to inform scoring low level of maturity in a certain dam safety prioritization within a fixed resource environment to program component or activity could be trialled where ensure that resources are allocated where they are competence is a constraint on maturity level. most needed. Potential Failure Modes Analysis (PFMA) is a useful The level of understanding of dam performance exercise that can be used to guide and inform dam mechanisms and connecting these mechanisms with safety personnel on where to focus dam safety interpretation of surveillance data varies between observations and inspections, where to strategically Balais. The Balais are currently required to send perform an investigation or install instruments to surveillance data to the central Dam Safety Unit for monitor dam performance. The process and results assessment and archiving. This results in lack of of the PFMA can also help to identify and prioritize rigorous dam performance assessment based on O&M deficiencies, identify the need for improved surveillance data within Balais. There is a need to operational processes, and targeted training needs. improve the feedback loops so that the outcomes of the surveillance data assessment are sent back The systematic application of PFMA can be used to to the respective Balai for action. This will help re- inform the development of the Maturity Matrices. A enforce the circle of improvement and adaptation. The PFMA is an informal identification and examination Maturity Measures provide a measure to benchmark of “potential” failure modes for an existing dam by the evolution of performance. a team of persons based on a review of all existing data and information, input from field and operational Currently the assessment of surveillance data carried personnel, site inspections, completed engineering out by the Balais is driven by trends in individual analyses, identification of potential failure modes, surveillance readings without an overall understanding failure causes and failure development and an of the engineering involved in the safe performance understanding of the consequences of failure. of the dam. Accordingly, while there is ostensibly compliance with the dam safety legal framework, Carrying out a PFMA for dams within the portfolio of there is a lack of institutional understanding of dam each Balai can help enhance the understanding and performance. This risk would be reduced by improved insights into the risk exposure and target surveillance communication but also by building dam safety to identified failure modes. This is accomplished by understanding in Balai. Improved communication of including and going beyond the traditional means for surveillance data assessment results by the central assessing the safety of a dam by intentionally seeking Dam Safety Unit is necessary for understanding by input from the diverse team of individuals who have both Balais and the senior management of MPWH information about the performance and operation of Directorate General Water Resources and potentially the dam. PFMA can subsequently be used to develop an higher in the MPWH management. appropriate program to enhance and focus the visual Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 40 surveillance and instrumented monitoring program, The Maturity Matrices could be expanded to assess as well as the dam safety inspection process, identify dam safety in portfolios beyond the Balai under shortcomings or oversights in data, information or the supervision of the MPWH. This could include analyses necessary to evaluate dam safety and a the Dam Management Units, or their equivalents, potential failure mode and help to identify the most among the hydropower operators and private dam effective dam safety risk reduction measures. While few, owners with some modifications. The same benefits if any, Balai currently apply PFMA on a systematic basis, should be achieved and consistency across all dam this approach could significantly improve effectiveness portfolios in Indonesia. of surveillance, understanding of potential dam failure mechanisms and in turn improve initial understanding Employing a consistent approach across the national of surveillance data by the Balais, prior to sending portfolio of large dams could provide an important the surveillance data to the central Dam Safety Unit. regulatory reporting tool. This could be used to Integrating the development of staff from the Balais, report against agreed metrics as part of the annual the Dam Safety Unit and the Dam Safety Commission and comprehensive safety reviews of all of dams in in the application of PFMA with the implementation Indonesia. These could be formalised through an of the Maturity Matrices would provide strong positive annual national dam safety report. re-enforcement through adaptation of the dam safety program in response to specific issues. The Government is implementing the second phase of the Dam Operational Improvement and Safety Variability in the results of the self-assessments Project (DOISP). This is aimed at: (i) increasing the carried out by the Balai indicates that consistency has safety and the functionality with respect to bulk yet to be achieved. An independent assessment would water supply of large MPWH-owned dams/ reservoirs, validate the self-assessment capacity and provide and (ii) strengthening the safety and operational calibration. The panel used to evaluate the Dam Safety management policies, regulations and administrative Competition, and the competition itself, provides capacity. Specific outcome indicators include an important opportunity to continue to refine the strengthening national dam safety institutions, as application of these Maturity Matrices. This will also well as restoring the safety, operational performance, help to calibrate the self assessments nationally and economic life of a number of large dams and to provide a relative barometer of performance. An reducing the impact of sedimentation. Within this independent facilitator is recommended for future use context, the Maturity Matrices provide a robust, of the Maturity Matrices. tested and easy to apply method of benchmarking the performance of institutions involved in dam The Maturity Matrices have not been applied to assess safety. The project provides an opportunity to sustain the dam safety support functions being provided by further development, application and refinement of the MPWH. For example the central Dam Safety Unit the Maturity Matrices through a systematic bi-annual supporting the Dam Safety Commission undertakes approach that is embedded within a financially data analysis from monitoring instruments as a supported framework for implementation. centralised service. This is a key activity within the overall dam safety framework but is not assessed within the current use of the Maturity Matrices for benchmarking dam safety programs within the Balai. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 41 Appendixes Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 42 Appendix 1: The Excel Scoring Workbook The Excel Scoring Workbook consists of thirteen 4. Start with Component 1 Governance matrix worksheet worksheets: Instructions, Master matrix, ten Activity scoring each activity line item (using the score button Matrices and a summary worksheet. in the appropriate Maturity Matrix column) and also enter justification for each score chosen; The instructions, which are included in the Excel 5. Repeat for each of the 10 worksheets consecutively, Scoring Workbook, are repeated below. 1 Governance through 10 emergency Prep. The procedure from outset of a new benchmarking The Master Matrix and Summary Worksheets are assessment is to: automatically completed by the Excel Scoring Workbook program as scoring proceeds. 1. Install the Excel Scoring Workbook on a computer that has Excel installed; The results can be printed or captured electronically 2. Open the Excel Scoring Workbook; for record purposes. Figure C1 shows the Governance 3. Reset the entire workbook with the button on the Matrix with the scoring buttons included and those Instruction worksheet; (judged appropriate) scored. Component 1 Governance Maturity Matrix Figure C1 Using Maturity Matrices to Evaluate Dam Safety Programs Component 1: Governance Maturity Matrix Scoring Form Governance is defined as the organizational commitment to, and resourcing and oversight of, the effective delivery of a dam safety program and management of dam safety risk. Maturity Level Activity Remarks 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5. Best Practice 1-A. Policy and RegulaƟon (a) LiƩle or no understanding of (a) Some understanding of relevant (a) Relevant policies and regulaƟons (a) Relevant Policies and regulaƟons (a) Relevant Policies and regulaƟons relevant policies and regulaƟons. policies and regulaƟons. generally understood. well understood. well understood, with good [RegulaƟons and Policy regarding relaƟonship with the Dam Safety dam safety.] Commission 1 2 3 4 (b) Relevant policy and regulaƟons (b) Relevant policies and regulaƟons (b) Relevant policy and regulaƟons (b) Relevant policies and regulaƟons (b) Relevant policy and regulaƟons not met. generally met. met. met and someƟmes exceeded. met and generally exceeded. 1 2 3 1-B. Roles & ResponsibiliƟes (a) LiƩle or no definiƟon and (a) Roles and responsibiliƟes are (a) Roles and responsibiliƟes are (a) Roles and responsibiliƟes are well (a) Roles and responsibiliƟes are well understanding of roles and poorly defined and understood. generally defined and understood. defined and understood locally. defined and understood throughout [Roles and ResponsibiliƟes as they responsibiliƟes. the Dam Management Unit (DMU) relate to the Dam Safety Program] and Ministry. 1 2 3 4 (b) Personnel not enabled to perform (b) Personnel poorly enabled to (b) Personnel enabled to perform (b) Personnel enabled and (b) Personnel enabled and strongly roles and responsibiliƟes. perform roles and responsibiliƟes. roles and responsibiliƟes. encouraged to perform roles and encouraged to perform roles and responsibiliƟes. responsibiliƟes and improve dam safety outcomes. 1 2 3 1-C. Internal & External (a) Poor communicaƟon within and (a) CommunicaƟon confined to (a) Two-way formal and informal (a) EffecƟve two-way formal and (a) EffecƟve and regular two-way CommunicaƟon between the DMU and Ministry. formal lines of communicaƟon within communicaƟon happens between all informal communicaƟon between all formal and informal communicaƟon the DMU and between DMU and levels within the DMU and Ministry. levels within the DMU and Ministry. between all levels within the DMU [Internal communicaƟons within the Ministry. and Ministry. DMU, Ministry of Public Works and Housing. External communicaƟon 1 2 3 4 with the community] (b) LiƩle or no external (b) Only informal external (b) Two-way external communicaƟon (b) EffecƟve two-way external (b) EffecƟve and regular two-way communicaƟon between the DMU communicaƟon happens between happens between the DMU and key communicaƟon exists between the external communicaƟon happens and key stakeholders. the DMU and key stakeholders. stakeholders. DMU and key stakeholders. between the DMU and key stakeholders. 1 2 3 4 1-D. Resourcing (a) Financial and equipment (a) Financial and equipment (a) Financial and equipment (a) Financial and equipment (a) Financial and equipment resources fall well short to achieve resources insufficient to achieve all resources sufficient to achieve basic resources sufficient to achieve a high resources sufficient to achieve a high [Provision of appropriate human, basic outcomes of dam safety basic outcomes of dam safety outcomes of dam safety program level of outcomes of dam safety level of efficient outcomes of dam financial and equipment resources program program program safety program and to implement for delivery of the Dam Safety improvement opportuniƟes Program] 1 2 3 4 (b) Human resources fall well short to (b) Human resources insufficient to (b) Human resources sufficient to (b) Human resources sufficient to (b) Human resources sufficient to achieve basic outcomes of dam safety achieve all basic outcomes of dam safety achieve basic outcomes of dam safety achieve a high level of outcomes of dam achieve a high level of efficient program program program safety program outcomes of dam safety program and to implement improvement opportuniƟes 1 2 3 (c) LiƩle or no succession planning. (c) Succession planning and (c) Succession planning and (c) Succession planning fully in place (c) Succession planning fully in place implementaƟon is inadequate. implementaƟon generally in place. and implemented to improve dam safety outcomes and implemented 1 2 3 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 43 In Figure C1 the roll up maturity is determined by the highest maturity achieved over each activity. This is represented by the Red dashed line in Figure C1. The Maser Matrix is generated by the Excel Scoring Workbook program similar to Figure C2. Figure C2 Shows the Governance component of the Master matrix. To complete the assessment the other 9 component matrices (Component Matrices 2 to 10) need to be scored (similar to Component 1 shown in Figure C1). Master Matrix Governance Component Figure C2 Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice 1-A (b) 1 2 1-B (b) 1 2 3 1-C (b) 1 2 3 1-D (c) 1 Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 44 The instructions INSTRUCTIONS worksheet of the Excel Scoring 1) a) Enable Macros if you are prompted to do so upon opening the  Workbook (see image below) Workbook. b) SAVE this Workbook to a folder 2) RESET Entire Workbook if it contains previous responses (save a copy, if required) Do this by clicking the "RESET ENTIRE WORKBOOK" button - see image below: Image only → 3) a) Proceed to the Worksheet Tab titled "1. Governance".  This is the maturity matrix titled "Component 1: Governance Maturity Matrix" b) RESET the Worksheet if it contains previous responses Do this by clicking the "RESET SCORING FORM" button - see image below: Image only → c) For each line item, select a response by clicking on a radio button in the row d) For each selection, insert text in the Remarks column to justify your response to the questions below: QuesƟon 1: What elevates your maturity level selecƟon from the maturity level one level lower? QuesƟon 2: What prevents your maturity level selecƟon from moving one level higher? Remarks Insert text → e) Proceed to the next line item and so on, until you have completed the Worksheet If you change your mind, you can reset the form again by clicking the RESET button. Note that clicking the RESET button will delete ALL responses in the Worksheet Responses to individual line items can be changed by selecting the appropriate button 4) Once finished, proceed to the next Tab Finish selecting responses on each Tab until you have completed all forms The "Master Matrix" highlights will be generated automatically once all forms are complete 5) Your responses are plotted on the Tab titled "Summary". Take a PRINT of this 'Summary' Worksheet for your record. 6) Polar plots are generated in the sheet titled "Polar_Plots" Do this by clicking the "Plot All Charts" button - see image below: Take a PRINT of this 'polar_plots' Worksheet for your record. Image only → 7) You can RESET this entire Workbook by clicking the button below: (you will be prompted for confirmation) Actual BuƩon !! → RESET ENTIRE  WORKBOOK Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 45 Appendix 2: Results of the Maturity Matrices Batam Participant List Semarang Participant List Maturity Level Legend 1. BBWS Bengawan Solo BBWS Bengawan Solo 1. Needing Development 2. BBWS Brantas BBWS Brantas 3. BBWS Ciliwung-Cisadane BBWS Ciliwung-Cisadane 2. Elementary 4. BBWS Cimanuk-Cisanggarung BBWS Cimanuk-Cisanggarung 5. BBWS Citarum Did Not Participate 3. Good Practice 6. BBWS Mesuji-Sekampung BBWS Mesuji-Sekampung 7. BBWS Pemali-Juana BBWS Pemali-Juana 4. Very Good Practice 8. BBWS Pompengan-Jeneberang BBWS Pompengan-Jeneberang 9. BBWS Serayu Opak BBWS Serayu Opak 5. Best Practice 10. BWS Bali-Penida BWS Bali-Penida 11. BWS Kalimantan-III BWS Kalimantan-III 12. BWS Nusa Tenggara-I BWS Nusa Tenggara-I 13. BWS Nusa Tenggara-II BWS Nusa Tenggara-II 14. BWS Sumatera-I Did Not Participate 15. BWS Sumatra-IV Did Not Participate Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 46 Appendix 2A: Component Overview (Master Matrix) for Balais BBWS Bengawan Solo 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 47 BBWS Brantas 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 48 BBWS Ciliwung-Cisadane 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 49 BBWS Cimanuk-Cisanggarung 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 50 BBWS Citarum 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) Not Present Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 51 BBWS Mesuji-Sekampung 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 52 BBWS Pemali-Juana 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 53 BBWS Pompengan-Jeneberang 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 54 BBWS Serayu Opak 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 55 BWS Bali-Penida 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 56 BWS Kalimantan-III 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 57 BWS Nusa Tenggara-I 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 58 BWS Nusa Tenggara-II 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) 10 Audits and Reviews 1 Governance 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 59 BWS Sumatera-I 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) Not Present Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 60 BWS Sumatra-IV 10 Audits and Reviews 1 Governance Workshop 2 (May 2017) 9 Managing Dam Safety 2 Information Problems Management 8 Emergency 3 Dam Safety Training Preparedness and Education 7 Dam and Spillway 4 Surveillance Maintenance 6 Reservoir Operations 5 Spillway and Outlet Equipment Workshop 3 (July 2017) Not Present Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 61 Appendix 2B: Comparison between Balais 1. Governance Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 62 2. Information Management Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 63 3. Dam Safety Training and Education Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 64 4. Surveillance Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 65 5. Spillway and Outlet Equipment Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 66 6. Reservoir Operations Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 67 7. Dam and Spillway Maintenance Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 68 8. Emergency Preparedness Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 69 9. Managing Dam Safety Problems Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 70 10. Audits and Reviews Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 71 Component Overview Workshop 2 (May 2017) BWS Sumatra-IV BBWS Bengawan Solo BWS Sumatera-I BBWS Brantas BBWS Ciliwung-Cisadane BWS Nusa Tenggara-II BBWS Cimanuk- BWS Nusa Tenggara-I Cisanggarung BWS Kalimantan-III BBWS Citarum BBWS Mesuji-Sekampung BWS Bali-Penida BBWS Pemali-Juana BBWS Serayu Opak BBWS Pompengan- Jeneberang Workshop 3 (July 2017) BWS Nusa Tenggara-II BBWS Bengawan Solo BWS Nusa Tenggara-I BBWS Brantas BWS Kalimantan-III BBWS Ciliwung-Cisadane BBWS Cimanuk- BWS Bali-Penida Cisanggarung BBWS Serayu Opak BBWS Mesuji-Sekampung BBWS Pompengan- BBWS Pemali-Juana Jeneberang Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 72 Appendix 3 This appendix defines the dam safety program component activities and differentiators for each of the 10 Component Matrices. The Maturity Matrices have been developed through a consultative process with dam safety officials from the river basin organisations in indonesia. They are intended to be specific to the Indonesian context and provide a method for assessing the effectiveness of the operation, maintenance, surveillance and emergency preparedness programs adopted by dam authorities. Throughout it is important to keep in mind that it is an assessment of the dam safety activities across the whole portfolio of dams managed by the Dam Management Unit which is being assessed. The assessment is not for an individual dam within a Dam Management Unit portfolio of dams. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 73 Using Maturity Matrices to Evaluate Dam Safety Programs Dam Safety Program MASTER MATRIX NB: Master Matrix provides general description of what is contained in the component. It is not used for assessment. DMU refers to Dam Management Unit, the organisational unit responsible for the safety of the dam. Maturity Level Component 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice Generally complete Comprehensive understanding Incomplete understanding understanding of Dam Safety of Dam Safety problems. Full of Dam Safety problems and Generally meeting Best Practice problems. Generally complete recognition of resourcing Poor understanding of Dam risks. Incomplete recognition level, and also developing, trialling recognition of resourcing needs throughout DMU. Safety issues and risks, of resourcing needs. Problem and implementing new technology, 1. Governance needs. Problem management Problem management and poor recognition of management considered methods and systems to improve sometimes considered fully integrated with the resourcing needs generally in isolation from the effectiveness of dam safety in conjunction with the organization’s overall problem organization’s overall problem program governance. organization’s overall problem management policy and management policy and practice. management policy and practice. practice. Generally meeting Best Practice Efficient information level, and also developing, trialling Little or no information Limited information Effective information cataloguing, security, and 2. Information and implementing new technology, cataloguing, security, and cataloguing, security, and cataloguing, security, and search and retrieval tools, Management methods and systems to improve search and retrieval tools search and retrieval tools search and retrieval tools with appropriate training of effectiveness of dam safety DMU staff information management. Comprehensive training with Generally meeting Best Practice Little or no training with Structured training with some Some training with little consideration of dam safety level, and also developing, trialling 3. Dam Safety no consideration of dam consideration of dam safety consideration of dam safety education, knowledge transfer and implementing new technology, Training and safety education, knowledge education, knowledge transfer, education, knowledge transfer and succession planning, and methods and systems to improve Education transfer and succession succession planning, and dam and succession planning high level of understanding of effectiveness of dam safety training planning safety portfolio problems dam safety portfolio problems and education. Program developed with Program developed with Program developed with some Generally meeting Best Practice Program developed with consideration of likelihood little or no consideration consideration of consequences level, and also developing, trialing consideration of consequences and consequences of failure. 4. Surveillance of consequences of failure. of failure. Program sufficient and implementing new technology, of failure. Program sufficient Program sufficient for Program insufficient for dam for limited dam safety methods and systems to improve for dam safety assessment. comprehensive dam safety safety assessment. assessment. effectiveness of surveillance. assessment. Program developed with Program developed with some Program developed with Generally meeting Best Practice Program developed with little or no consideration of consideration of reliability consideration of reliability, level, and also developing, trialling consideration of reliability 5. Spillway reliability or consequences of and consequences of failure. likelihood and consequences and implementing new technology, and consequences of failure. and Outlet failure. Program insufficient Program sufficient for limited of failure. Program sufficient methods and systems to improve Program sufficient for spillway Equipment for spillway and outlet spillway and outlet equipment for comprehensive spillway reliability and performance and outlet equipment system equipment performance system performance and outlet equipment system assessment of spillway and outlet performance assessment. assessment. assessment. performance assessment. equipment. Reservoir operations Reservoir operations Generally meeting Best Practice Reservoir operations established with a high Reservoir operations established with a good level level, and also developing, established with some level of understanding of established with little or no of understanding of reservoir trialling and implementing new 6. Reservoir understanding of reservoir reservoir safety. Strong understanding of reservoir safety. Generally strong technology, methods and systems Operations safety. Some functional relationships and high level safety. Poor relationships relationships and good level of to improve effectiveness of relationships with of common understanding with communities. common understanding with reservoir operations and safety of communities. and collaboration with communities. communities. communities. Generally meeting Best Practice Well structured maintenance level, and also developing, trialling 7. Dam and Unstructured maintenance Structured maintenance Maintenance considers some based on failure modes and and implementing new technology, Spillway with little or no consideration considers consequences of consequences of failure likelihood and consequences methods and systems to improve Maintenance of consequences of failure failure of failure effectiveness of dam and spillway maintenance. Good level of understanding High level of understanding Generally meeting Best Practice Emergency Preparedness Basic level of understanding of emergency issues with of emergency issues with level, and also developing, trialling Plans are non-existent of emergency issues with Emergency Preparedness Emergency Preparedness 8. Emergency and implementing new technology, or show little or no Emergency Preparedness Plans Plans based on established Plans based on established Preparedness methods and systems to improve understanding of emergency based on some stakeholder emergency processes and emergency processes and high effectiveness of emergency issues and public consultation stakeholder and public level of stakeholder public preparedness. consultation consultation Comprehensive consideration Generally meeting Best Practice Incomplete consideration Generally complete of dam safety problems. level, and also developing, trialling 9. Managing of dam safety problems. consideration of dam safety Prioritization and resolution Little or no consideration of and implementing new technology, Dam Safety Prioritization and resolution problems. Prioritization based on high level of dam safety problems methods and systems to improve Problems considers some consequences and resolution considers understanding of failure effectiveness of dam safety of failure. consequences of failure. modes, likelihood and problem management. consequences of failure risk. Incomplete consideration Generally complete Full consideration of DMU’s Generally meeting Best Practice of Dam Management Unit’s consideration of DMU’s dam portfolio and dam safety Poorly developed program. level, and also developing, 10. Audits and (DMU’s) dam portfolio in dam portfolio in program. risks in program. High level of Low commitment and trialling and implementing new Reviews program. Commitment and Demonstrated organizational organizational commitment, response to findings. methods and systems to improve some response to some commitment and response to transparency and active effectiveness of audits and reviews. findings. findings. response to findings. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 74 Using Maturity Matrices to Evaluate Dam Safety Programs Component 1: Governance Maturity Matrix Governance is defined as the organizational commitment to, and resourcing and oversight of, the effective delivery of a dam safety program and management of dam safety risk. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Relevant Policies and (a) Little or no understanding (a) Some understanding (a) Relevant policies and 1-A. Policy and (a) Relevant Policies and regulations well understood, of relevant policies and of relevant policies and regulations generally Regulation regulations well understood. with good relationship with regulations. regulations. understood. the Dam Safety Commission [Regulations and Policy (b) Relevant policies (b) Relevant policy and regarding dam safety.] (b) Relevant policy and (b) Relevant policies and (b) Relevant policy and and regulations met and regulations met and generally regulations not met. regulations generally met. regulations met. sometimes exceeded. exceeded. (a) Roles and responsibilities (a) Little or no definition and (a) Roles and responsibilities (a) Roles and responsibilities (a) Roles and responsibilities are well defined and 1-B. Roles & understanding of roles and are poorly defined and are generally defined and are well defined and understood throughout the Responsibilities responsibilities. understood. understood. understood locally. Dam Management Unit (DMU) and Ministry. [Roles and Responsibilities as they (b) Personnel enabled relate to the Dam Safety (b) Personnel not enabled (b) Personnel poorly enabled (b) Personnel enabled (b) Personnel enabled and and strongly encouraged Program] to perform roles and to perform roles and to perform roles and encouraged to perform roles to perform roles and responsibilities. responsibilities. responsibilities. and responsibilities. responsibilities and improve dam safety outcomes. 1-C. Internal & External (a) Communication (a) Effective and regular (a) Two-way formal and (a) Effective two-way formal Communication (a) Poor communication confined to formal lines of two-way formal and informal informal communication and informal communication within and between the DMU communication within the communication between all happens between all levels between all levels within the [Internal and Ministry. DMU and between DMU and levels within the DMU and within the DMU and Ministry. DMU and Ministry. communications within Ministry. Ministry. the DMU, Ministry of Public Works and (b) Only informal external (b) Two-way external (b) Effective two-way external (b) Effective and regular two- (b) Little or no external Housing. External communication happens communication happens communication exists way external communication communication between the communication with the between the DMU and key between the DMU and key between the DMU and key happens between the DMU DMU and key stakeholders. community] stakeholders. stakeholders. stakeholders. and key stakeholders. (a) Financial and equipment (a) Financial and equipment resources sufficient to (a) Financial and equipment (a) Financial and equipment (a) Financial and equipment resources sufficient to achieve a high level of resources fall well short to resources insufficient to resources sufficient to achieve a high level of efficient outcomes of dam achieve basic outcomes of achieve all basic outcomes of achieve basic outcomes of outcomes of dam safety safety program and to dam safety program dam safety program dam safety program 1-D. Resourcing program implement improvement opportunities [Provision of appropriate (b) Human resources human, financial and (b) Human resources fall (b) Human resources (b) Human resources (b) Human resources sufficient to achieve a high equipment resources well short to achieve basic insufficient to achieve all sufficient to achieve basic sufficient to achieve a high level of efficient outcomes for delivery of the Dam outcomes of dam safety basic outcomes of dam safety outcomes of dam safety level of outcomes of dam of dam safety program and Safety Program] program program program safety program to implement improvement opportunities (c) Succession planning (c) Succession planning (c) Succession planning and (c) Little or no succession (c) Succession planning fully fully in place to improve and implementation is implementation generally planning. in place and implemented dam safety outcomes and inadequate. in place. implemented Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 75 Using Maturity Matrices to Evaluate Dam Safety Programs Component 2: Information Management Maturity Matrix Information Management is defined as the collation, cataloguing, safe storage, retrieval and change control of all documented information relevant to the delivery of a dam safety program. Management of surveillance time-series data is evaluated in Surveillance Sub-Matrix Component 4. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Information is stored and (a) Little or no information (a) Some information is (a) Information is stored and (a) Information is stored and secure, with encryted digital is stored stored and secure secure secure, with digital backup backup 2-A. Indonesian (b) Limited catalogue of (b) Some information is (b) Information is generally (b) Information is well (b) Information is Standards, Regulations, information catalogued catalogued catalogued comprehensively catalogued Policies, Plans and Procedures (c) Ineffective search and (c) Effective search and (c) Effective search and (c) Efficient search and (c) Comprehensive search retrieval of information retrieval of some information retrieval of information retrieval of information and retrieval of information [Dam Safety related] (d) Comprehensive system (d) Effective system for (d) Efficient system for (d) Little or no up-to-date (d) System for maintaining for maintaining up-to- maintaining up-to-date maintaining up-to-date information up-to-date information date information, with information information notifications about updates 2-B. Physical Assets (a) Information is stored and (a) Little or no information (a) Some information is (a) Information is stored and (a) Information is stored and secure, with encryted digital [Technical information is stored stored and secure secure secure, with digital backup backup (incl. drawings) on dams, appurtenant (b) Limited catalogue of (b) Some information is (b) Information is generally (b) Information is well (b) Information is structures, spillway information catalogued catalogued catalogued comprehensively catalogued and outlet equipment, (c) Ineffective search and (c) Effective search and (c) Effective search and (c) Efficient search and (c) Comprehensive search investigations, design retrieval of information retrieval of some information retrieval of information retrieval of information and retrieval of information and construction, (d) Comprehensive system (d) Effective system for (d) Efficient system for upgrades, instruments, (d) Little or no up-to-date (d) System for maintaining for maintaining up-to- maintaining up-to-date maintaining up-to-date reservoir slopes, roads, information up-to-date information date information, with information information services] notifications about updates 2-C. Operational (a) Information is stored and (a) Little or no information (a) Some information is (a) Information is stored and (a) Information is stored and Information secure, with encryted digital is stored stored and secure secure secure, with digital backup backup [Information that (b) Limited catalogue of (b) Some information is (b) Information is generally (b) Information is well (b) Information is documents the ongoing information catalogued catalogued catalogued comprehensively catalogued operation, maintenance and surveillance of dams (c) Ineffective search and (c) Effective search and (c) Effective search and (c) Efficient search and (c) Comprehensive search and their reservoirs. retrieval of information retrieval of some information retrieval of information retrieval of information and retrieval of information Includes procedures, maintenance history, (d) Comprehensive system (d) Effective system for (d) Efficient system for photos and videos, (d) Little or no up-to-date (d) System for maintaining for maintaining up-to- maintaining up-to-date maintaining up-to-date incident reports, changes information up-to-date information date information, with information information in operation.] notifications about updates 2-D. Studies, Reviews (a) Information is stored and (a) Little or no information (a) Some information is (a) Information is stored and (a) Information is stored and and Reports (incl. secure, with encryted digital is stored stored and secure secure secure, with digital backup compliance) backup [Information that (b) Limited catalogue of (b) Some information is (b) Information is generally (b) Information is well (b) Information is documents studies and information catalogued catalogued catalogued comprehensively catalogued reviews undertaken on, or in relation to, dams and their reservoirs. Includes (c) Ineffective search and (c) Effective search and (c) Effective search and (c) Efficient search and (c) Comprehensive search dam classifications, retrieval of information retrieval of some information retrieval of information retrieval of information and retrieval of information identification of threats, performance (d) Comprehensive system (d) Effective system for (d) Efficient system for assessments, safety (d) Little or no up-to-date (d) System for maintaining for maintaining up-to- maintaining up-to-date maintaining up-to-date reviews, reporting to the information up-to-date information date information, with information information Dam Safety Commission.] notifications about updates Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 76 Using Maturity Matrices to Evaluate Dam Safety Programs Component 3: Dam Safety Training and Education Maturity Matrix Dam Safety Training and Education of persons responsible for and involved with the Dam Safety Program as appropriate to the nature of the dam safety activities and level of risk involved with each. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Comprehensive training, (a) Comprehensive training, (a) Training in principles of (a) Comprehensive training (a) Comprehensive training including refresher courses, including refresher courses, dam safety management in principles of dam safety in principles of dam safety in principles of dam safety in principles of dam safety focussed on responsibilities of management focussed on management focussed on management focussed on management focussed on Dam Management Unit (DMU) responsibilities of DMU responsibilities of DMU responsibilities of DMU responsibilities of DMU managers* and supervisors managers* and supervisors managers* and supervisors managers* and supervisors managers* and supervisors of Dam Safety Unit and Dam of Dam Safety Unit and Dam of Dam Safety Unit and Dam of Dam Safety Unit and Dam of Dam Safety Unit and Dam Management Unit Management Unit Management Unit Management Unit Management Unit (b) Comprehensive training, (b) Comprehensive training, (b) Training in dam behaviour, (b) Comprehensive training in (b) Comprehensive training in including refresher courses, in including refresher courses, in failure modes and features dam behaviour, failure modes dam behaviour, failure modes dam behaviour, failure modes dam behaviour, failure modes of DMU's dams, their dam and features of DMU's dams, and features of DMU's dams, and features of DMU's dams, and features of DMU's dams, instrumentation and the their dam instrumentation and their dam instrumentation and their dam instrumentation and their dam instrumentation and 3-A. Dam Safety Training analysis of surveillance data the analysis of surveillance the analysis of surveillance the analysis of surveillance the analysis of surveillance to establish safety status of data to establish safety status data to establish safety status data to establish safety status data to establish safety status [Training program for dams, for DMU engineers and of dams, for DMU engineers of dams, for DMU engineers of dams, for DMU engineers of dams, for DMU engineers managers, supervisors, technicians in dam safety and technicians in dam safety and technicians in dam safety and technicians in dam safety and technicians in dam safety engineers and program program program program program surveillance inspectors ] (c) Comprehensive training, (c) Comprehensive training, (c) Comprehensive training (c) Comprehensive training (c) Training in dam inspections, including refresher courses, including refresher courses, in dam inspections, in dam inspections, instrumentation readings, in dam inspections, in dam inspections, instrumentation readings, instrumentation readings, maintenance and calibration, instrumentation readings, instrumentation readings, maintenance and calibration, maintenance and calibration, general dam behaviour and maintenance and calibration, maintenance and calibration, general dam behaviour and general dam behaviour and warning signs and actions general dam behaviour and general dam behaviour and warning signs and actions warning signs and actions specific to DMU's dams, for warning signs and actions warning signs and actions specific to DMU's dams, for specific to DMU's dams, for DMU surveillance inspectors specific to DMU's dams, for specific to DMU's dams, for DMU surveillance inspectors DMU surveillance inspectors DMU surveillance inspectors DMU surveillance inspectors (d) Monitoring of training (d) Monitoring of training (d) General monitoring of (d) Monitoring of training (d) Monitoring of training program content and its program content and its training program content and program content and its program content and its implementation, with implementation, with its implementation implementation implementation continuous improvement continuous improvement (a) Comprehensive training, (a) Comprehensive training, (a) Training in equipment (a) Comprehensive training (a) Comprehensive training including refresher courses, including refresher courses, operation and maintenance, in equipment operation in equipment operation in equipment operation in equipment operation reliability requirements, and maintenance, reliability and maintenance, reliability and maintenance, reliability and maintenance, reliability equipment failure modes, requirements, equipment requirements, equipment requirements, equipment requirements, equipment consequences of equipment failure modes, consequences failure modes, consequences failure modes, consequences failure modes, consequences failure, and effect on dam of equipment failure, and of equipment failure, and 3-B. Spillway and Outlet of equipment failure, and of equipment failure, and safety, for DMU equipment effect on dam safety, for DMU effect on dam safety, for DMU Equipment effect on dam safety, for DMU effect on dam safety, for DMU engineers equipment engineers equipment engineers equipment engineers equipment engineers [Training program (b) Comprehensive training, (b) Comprehensive training, (b) Training in practical (b) Comprehensive training (b) Comprehensive training for persons involved including refresher courses, including refresher courses, operation and maintenance in practical operation and in practical operation and with the operation, in practical operation and in practical operation and of equipment, with an maintenance of equipment, maintenance of equipment, maintenance, inspection maintenance of equipment, maintenance of equipment, appreciation of reliability with an appreciation of with an appreciation of and testing of spillway with an appreciation of with an appreciation of requirements, equipment reliability requirements, reliability requirements, and outlet equipment reliability requirements, reliability requirements, failure modes, and equipment failure modes, and equipment failure modes, and essential for safe control equipment failure modes, and equipment failure modes, and consequences of equipment consequences of equipment consequences of equipment of the reservoir] consequences of equipment consequences of equipment failure, for operators and failure, for operators and failure, for operators and failure, for operators and failure, for operators and maintainers maintainers maintainers maintainers maintainers (c) Monitoring of training (c) Monitoring of training (c) General monitoring of (c) Monitoring of training (c) Monitoring of training program content and its program content and its training program content and program content and its program content and its implementation, with implementation, with its implementation implementation implementation continuous improvement continuous improvement Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 77 Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Comprehensive training, (a) Comprehensive training, (a) Comprehensive training (a) Comprehensive training (a) Training in operating including refresher courses, including refresher courses, in operating rules for in operating rules for rules for management of in operating rules for in operating rules for management of river basin management of river basin river basin reservoir flows management of river basin management of river basin reservoir flows to avoid reservoir flows to avoid to avoid overtopping; critical reservoir flows to avoid reservoir flows to avoid overtopping; critical dam overtopping; critical dam dam and equipment features overtopping; critical dam overtopping; critical dam and equipment features and equipment features and impacts; impact on and equipment features and equipment features 3-C. River Basin and impacts; impact on and impacts; impact on communities vulnerable to and impacts; impact on and impacts; impact on Management and communities vulnerable to communities vulnerable to flooding, for DMU River Basin communities vulnerable to communities vulnerable to Reservoir Operation flooding, for DMU River Basin flooding, for DMU River Basin Manager(s) flooding, for DMU River Basin flooding, for DMU River Basin Manager(s) Manager(s) Manager(s) Manager(s) [Training program for (b) Comprehensive training, (b) Comprehensive training, persons involved with (b) Comprehensive training in (b) Comprehensive training in (b) Training in operating rules, including refresher courses, including refresher courses, the operation of river operating rules, equipment operating rules, equipment equipment operation and in operating rules, equipment in operating rules, equipment basins and reservoirs, as operation and performance operation and performance performance and effect on operation and performance operation and performance relevant to dam safety and effect on dam safety and and effect on dam safety and dam safety and communities and effect on dam safety and and effect on dam safety and function] communities vulnerable to communities vulnerable to vulnerable to flooding, for communities vulnerable to communities vulnerable to flooding, for DMU's Reservoir flooding, for DMU's Reservoir DMU's Reservoir Manager flooding, for DMU's Reservoir flooding, for DMU's Reservoir Manager Manager Manager Manager (c) Monitoring of training (c) Monitoring of training (c) General monitoring of (c) Monitoring of training (c) Monitoring of training program content and its program content and its training program content and program content and its program content and its implementation, with implementation, with its implementation implementation implementation continuous improvement continuous improvement (a) Comprehensive training, (a) Comprehensive training, (a) Comprehensive training (a) Comprehensive training (a) Training in incident including refresher courses, including refresher courses, in incident management and in incident management and management and emergency in incident management and in incident management and emergency preparedness emergency preparedness preparedness plans, and emergency preparedness emergency preparedness plans, and downstream plans, and downstream downstream consequences plans, and downstream plans, and downstream consequences of failure, of consequences of failure, of of failure, of DMU managers, consequences of failure, of consequences of failure, of DMU managers, engineers DMU managers, engineers engineers, and supervisors in DMU managers, engineers DMU managers, engineers and supervisors in dam safety and supervisors in dam safety dam safety program and supervisors in dam safety and supervisors in dam safety program program 3-D. Incident and program program Emergency Preparedness (b) Comprehensive training, Training and Education (b) Comprehensive training (b) Comprehensive training, (b) Training in incident including refresher courses, (b) Comprehensive training in incident management including refresher courses, management and emergency in incident management in incident management [Training and Education and emergency equipment in incident management equipment operation, and and emergency equipment and emergency equipment program for persons operation, and consequences and emergency equipment consequences of equipment operation, and consequences operation, and consequences involved with incident of equipment failure, of operation, and consequences failure, of DMU operators and of equipment failure, of of equipment failure, of DMU and emergency DMU operators and their of equipment failure, of DMU their supervisors DMU operators and their operators and supervisors management, including supervisors operators and supervisors supervisors dam safety personnel, operational personnel (c) Comprehensive education, (c) Comprehensive education, (c) Education in incident (c) Comprehensive education (c) Comprehensive education and wider ministry including refresher courses, including refresher courses, management and emergency in incident management and in incident management and officials] in incident management and in incident management and preparedness, of wider emergency preparedness, of emergency preparedness, of emergency preparedness, of emergency preparedness, of ministry officials that wider ministry officials that wider ministry officials that wider ministry officials that wider ministry officials that contribute to dam safety contribute to dam safety contribute to dam safety contribute to dam safety contribute to dam safety outcomes outcomes outcomes outcomes outcomes (d) Comprehensive monitoring (d) Monitoring of training (d) General monitoring of (d) Comprehensive monitoring (d) Monitoring of training of training program content program content and its training program content and of training program content program content and its and its implementation, with implementation, with its implementation and its implementation implementation continuous improvement continuous improvement * DMU managers includes both those with dam safety responsibility and those with responsibility for whole of organization decisions and financial approvals Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 78 Using Maturity Matrices to Evaluate Dam Safety Programs Component 4: Surveillance Maturity Matrix Surveillance is defined as the close monitoring of dam behaviour, including collection, analysis and evaluation of data from visual inspections and instrumentation. Includes containment or outlet structures that have a dam (reservoir) safety function. May include a variety of appurtenant structures including tunnels, penstocks, supply outlets and spillways including their energy dissipation facilities. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice 4-A. Surveillance (a) Program developed (a) Program developed (a) Program developed (a) Program developed Program with little or no with consideration of (a) Program developed based on with consideration of with consideration of consideration of consequences of failure, consequences of failure (dam consequences of failure consequences of failure, [It is about the DMU consequences of failure, including downstream break analysis), failure modes and including dam height failure modes, and management of the dam height or reservoir consequences, dam type and performance history and reservoir volume performance history surveillance programs volume performance history carried out for their (b) Little or no (b) Partial (b) Generally complete (b) High degree of (b) High degree of detailed portfolio of dams, the documentation of documentation of documentation of documentation of documentation of surveillance way this management is surveillance program surveillance program surveillance program surveillance program program set up, and it's execution. (c) Program delivered and (c) Program delivered and It si not about the (c) Minimal delivery of (c) Incomplete delivery (c) Program delivered and exceeds generally meets quality meets quality assurance activities required to program of program. quality assurance objectives assurance objectives objectives either implement the surveillance of each (d) Structured process and (d) Little or no process for (d) Process exists (d) Structured process and (d) Well-structured process and dam, or to manage the practice for escalation and escalation of surveillance for escalation of practice for escalation of practice for escalation of surveillance overall surveillance tracking of surveillance issues surveillance issues surveillance problems problems tracked to resolution program.] problems. (a) Unstructured (a) Inspections with (a) Well-structured (a) Structured inspections inspections with little some structure and inspections with (a) Scope and frequency of inspections consider consequences of or no consideration of consideration of consideration of based on consequences of failure failure including downstream consequences of failure consequences of failure consequences of failure, (dam break analysis) and failure consequences, dam type and including dam height and including dam height failure modes, and modes, performance history 4-B. Inspections performance history reservoir volume and reservoir volume performance history (b) Systematic and thorough recording [Visual inspection of (b) Little or no recording (b) Incomplete (b) Generally complete (b) Systematic and thorough and reporting of inspections, dams and appurtenant and reporting of recording and reporting recording and reporting of recording and reporting of evidenced by specific attention to structures] inspections of inspections inspections inspections. anomalies (e.g. photographic record, leakage water samples, measurements) (c) Little or no process for (c) Process exists for (c) Structured process exists (c) Structured process exists (c) Well-structured process exists for escalation of inspection escalation of inspection for escalation of inspection for escalation and tracking of escalation of inspection problems and problems problems problems inspection problems problems tracked to resolution (a) Little or no (a) Instrumentation (a) Reliable instrumentation (a) Reliable instrumentation (a) Comprehensive, reliable instrumentation contributing to contributing to key Dam contributing to most Dam instrumentation contributing to all contributing to Dam some Dam Safety Safety Assessments. Safety Assessments. Dam Safety Assessments. Safety Assessments. Assessments. (b) Little or no (b) Reactive instrument (b) Instruments generally (b) Instruments systematically 4-C. Instrumentation instrument maintenance maintenance for (b) Proactive instrument maintenance maintained for calibration maintained for calibration and Data Management for calibration and calibration and for calibration and functionality and functionality and functionality (includes Lake Levels functionality functionality and Surveys) - applies to (c) Generally complete (c) Little or no (c) Incomplete (c) Comprehensive whole dam portfolio documentation and good (c) Complete documentation and documentation of documentation of documentation and level of understanding of understanding of installation, installation, operation installation, operation understanding of installation, [Instruments installed, installation, operation and operation and maintenance and maintenance and maintenance operation and maintenance maintained, and maintenance monitored for assessing (d) Comprehensive (d) Comprehensive instrument data dam performance and (d) Generally complete instrument data collection, collection, well-structured data detecting failure modes. (d) Some planned (d) Little or no instrument instrument data collection, well-structured data management, quality assurance and instrument data data collection, data data management, quality management, quality data security, with data accessible Data management collection and basic management and quality assurance and data security, assurance and data security, and suitable for time-history and relates to the overall data management with assurance with data accessible as time- with data accessible and other analysis. Capability to install system used for data some quality assurance history suitable for time-history and data logging or remote reading of collection, telemetry, other analysis instruments, when necessary. storage, retrieval and (e) Well-structured process quality assurance.] (e) Structured process in (e) Well-structured process in place for (e) Little or no process (e) Ad-hoc process in place for identification, place for identification, identification, recording and escalation for identification and exists for identification recording and escalation of recording and escalation of of instrument alarm problems and escalation of instrument and escalation of instrument alarm problems instrument alarm problems, problems tracked to resolution in alarm issues instrument alarm issues and problems tracked to and problems tracked suitable time-frame. resolution Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 79 Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Condition and (a) Condition and (a) Condition performance evaluation performance evaluation (a) Condition and performance and performance considers dam type, considers dam type, evaluation based on consequences evaluation considers inspection and inspection and of failure, dam type, inspection (a) Little or no condition dam type, inspection instrumentation information, instrumentation information, and instrumentation information, and performance and instrumentation performance history of performance history of the performance history of the evaluation. No statement information and the the dam, knowledge of the the dam, knowledge of the dam, knowledge of the expected 4-D. Dam Safety of safety status of each performance history of expected performance of expected performance of the performance of the design with full Assessment dam. the dam. Lacking clear the design, some awareness design with consideration consideration of applicable failure statement of safety and consideration of failure of failure modes. Clear modes. Clear statement of safety [Analysis and evaluation status of each dam. modes. Clear statement of statement of safety status of status of each dam. of the dam’s condition safety status of each dam. each dam. and performance, (b) Review of dam safety (b) Review of dam safety resulting in an (b) No review of dam (b) Little review of dam (b) Review of dam safety assessment assessment by dam safety assessment by senior dam assessment of its safety safety assessment. safety assessment. by dam safety specialist. engineer. safety engineer. status] (c) Incomplete reporting (c) Generally complete (c) Comprehensive reporting (c) Comprehensive reporting of (c) Little or no reporting of evaluation findings reporting of evaluation of evaluation findings and evaluation findings and surveillance of evaluation findings and and surveillance findings and surveillance surveillance problems tracked problems tracked to resolution in a surveillance problems problems problems tracked to resolution suitable time-frame. (d) Little or no (d) Some identification (d) Generally complete (d) Complete identification (d) Complete identification and referral identification and referral and referral of dam identification and referral of and referral of dam safety of dam safety problems in a suitable of dam safety problems safety problems dam safety problems problems time-frame Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 80 Using Maturity Matrices to Evaluate Dam Safety Programs Component 5: Spillway and Outlet Equipment Maturity Matrix Spillway and Outlet Equipment is defined as gates, valves and associated power supplies, control systems and communications that contribute to safety of the dam and reservoir. Includes equipment for outlet structures that perform a dam safety containment function i.e., electrical and mechanical components. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Program developed with (a) Program developed with (a) Program developed (a) Program developed with (a) Program developed with consideration of reliability little or no consideration of with some consideration of consideration of reliability, consideration of reliability, and likelihood of failure. reliability or likelihood of reliability and likelihood of likelihood and consequences likelihood and consequences Some consideration of 5-A. Spillway and Outlet failure failure of failure of failure and failure modes consequences of failure Equipment Program (b) High degree of up-to-date (b) Little or no (b) Generally complete (b) High degree of (b) Partial documentation documentation with digital [It is about the spillway documentation documentation documentation backup and outlet equipment program itself, the way (c) Incomplete delivery of (c) Program meets or (c) Program generally meets (c) Program meets all quality it is set up, and its (c) Poor delivery of program program with some quality exceeds all quality assurance quality assurance objectives assurance objectives delivery. It is not about issues objectives the activities required to (d) Well-structured process (d) Well-structured process deliver it.] and practice for escalation (d) Little or no process for (d) Process exists for (d) Structured process and and practice for escalation of equipment problems escalation of equipment escalation of equipment practice for escalation of of equipment problems and problems tracked to problems problems equipment problems and problems tracked to resolution in a suitable resolution time-frame (a) Unstructured inspections (a) Inspections and (a) Well-structured (a) Well-structured (a) Inspections and and maintenance with maintenance based on inspections and maintenance inspections and maintenance maintenance includes some little or no consideration of reliability and likelihood of based on reliability, based on reliability, failure consideration of reliability reliability or likelihood of failure. Some consideration of likelihood and consequences modes and likelihood and and likelihood of failure failure consequences of failure of failure consequences of failure (b) Comprehensive preventive (b) Comprehensive preventive maintenance based on high (b) Reliance on corrective (b) Some corrective (b) Emphasis on preventive maintenance based on high level of understanding. maintenance but commonly maintenance completed maintenance. Corrective level of understanding. Corrective maintenance delayed. Little or no promptly. Some preventive maintenance generally Corrective maintenance completed promptly and preventive maintenance. maintenance. completed promptly 5-B. Inspections and completed promptly. considering enhancements Maintenance requirements (c) Systematic and thorough [Inspections and (c) Little or no recording and (c) Incomplete recording and (c) Generally complete (c) Systematic and thorough recording and reporting of maintenance of spillway reporting of inspections and reporting of inspections and recording and reporting of recording and reporting of inspections and maintenance, and outlet equipment maintenance maintenance inspections and maintenance inspections and maintenance included in a maintenance to assess condition and management system. reliability] (d) Generally complete (d) Contingency plans and (d) Contingency plans and contingency plans and spares inventory based on (d) Little or no contingency (d) Some contingency plans spares inventory based on spares inventory considering reliability, failure modes plans and spares and spares reliability, failure modes and reliability and likelihood of and likelihood of failure and likelihood of failure failure updated continuously. (e) Well-structured process (e) Well-structured process exists for escalation of (e) Little or no process for (e) Process exists for (e) Structured process exists exists for escalation of inspection and maintenance escalation of inspection and escalation of inspection and for escalation of inspection inspection and maintenance problems and problems maintenance issues maintenance issues and maintenance problems problems and problems tracked to resolution in a tracked to resolution suitable time-frame. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 81 Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Testing program (a) Testing program established as a routine and established as a routine and sufficient to demonstrate sufficient to demonstrate performance of the (a) Testing program performance of the (a) Testing program equipment, including wet (a) Testing program is established as a routine and equipment, including wet established as a routine tests of gates. Key facilities insufficient to demonstrate sufficient to demonstrate tests of gates. Some and mostly sufficient to identified for comprehensive performance of the performance of the testing of power supplies, demonstrate performance of testing of power supplies, equipment equipment, including wet instrumentation, controls, the equipment instrumentation, controls, tests of gates backup systems including backup systems including measurement of electrical/ measurement of electrical/ hydraulic loads, and operator hydraulic loads, operator capability capability 5-C. Equipment Testing (b) Testing procedures fully (b) Testing procedures fully (b) Testing procedures are consider operator safety, (b) Testing procedures (b) Testing procedures consider operator safety, [Functional testing of incomplete and developed operating constraints, mostly complete with some generally consider operator operating constraints, spillway and outlet with little or no consideration operator capability and consideration of operator safety, operating constraints, operator capability and equipment, under of operator safety, operating training opportunities. safety, operating constraints, operator capability and training opportunities. a range of loading constraints, operator Testing procedures regularly operator capability and training opportunities. Test Testing procedures are conditions, using all capability and training revised and kept up-to-date. training opportunities. procedures are documented. well documented, regularly combinations of power opportunities. Little or Communities impacted by Test procedures are mostly Consideration of communities revised and kept up-to-date. supply and control, no documentation of test equipment testing advised documented. impacted by testing Communities impacted by to confirm reliable procedures. and managed to ensure equipment testing advised operation] public safety (c) Programmed testing is (c) Testing is irregular and (c) Programmed testing is (c) Programmed testing is implemented. Test results are (c) Little or no testing incomplete. Test results mostly implemented. Test implemented. Test results are well documented and include carried out. Little or no mostly documented in a results are documented in a well documented and include description of any problems, documentation of test results. check-sheet format. check-sheet format description of any problems along with suggested improvements (d) Process in place for (d) Process in place for (d) No process in place (d) Incomplete process in (d) Process in place for recording, analysing, recording, analysing, for recording, analysing, place for recording, analysing, recording, analysing, assessing and referral of assessing and referral of assessing and referral of assessing and referral of assessing and referral of equipment performance equipment performance equipment performance and equipment performance and equipment performance and and test problems. Problems and test problems. Problems test problems test problems test problems tracked to resolution in a tracked to resolution suitable time-frame (a) Condition and (a) Condition and (a) Condition and performance assessment performance assessment performance assessment against criteria and considers against criteria and considers (a) Condition and against criteria and considers problems identified during problems identified during performance assessment problems identified during inspection, maintenance inspection, maintenance (a) Little or no condition and considers reliability, inspection, maintenance and testing, consequences and testing, consequences performance assessment consequences of failure and and testing, consequences of failure, the design and of failure, the design and the performance history of of failure, the design and performance history of the performance history of the equipment performance history of the equipment. Consideration 5-D. System Performance the equipment. Limited equipment. Consideration of of applicable failure modes, Assessment consideration of applicable applicable failure modes. likelihood and consequence failure modes. of failure. [Criteria for assessment (b) Assessment includes most (b) Assessment includes all (b) Assessment includes all of spillway and outlet (b) Little or no consideration (b) Some consideration of problems identified during problems identified during problems identified during equipment and overall of inspection, maintenance inspection, maintenance and inspection, maintenance and inspection, maintenance and inspection, maintenance and system performance and testing problems testing problems testing testing testing and other reviews are the Indonesian dam safety standards, (c) Comprehensive reporting regulations and (c) Generally complete of assessment findings (c) Comprehensive reporting applicable guidelines] (c) Little or no reporting of (c) Incomplete reporting of reporting of assessment and equipment problems. of assessment findings and assessment findings and assessment findings and findings and equipment All problems prioritized equipment problems. All equipment problems equipment problems problems. Preliminary level of and a prioritized schedule problems prioritized. prioritization of problems. of measures to restore functionality. (d) Comprehensive referral of (d) Comprehensive referral of (d) Little or no identification (d) Some identification and (d) Referral of prioritized prioritized equipment-related prioritized equipment-related and referral of equipment- referral of equipment-related equipment-related dam dam safety problems and dam safety problems and related dam safety problems dam safety problems safety problems tracked to resolution in a tracked to resolution timely manner Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 82 Using Maturity Matrices to Evaluate Dam Safety Programs Component 6: Reservoir Operations Maturity Matrix Reservoir Operations is defined as the safe operation of dams and their reservoirs in the context of water management, operational and duty of care requirements and public safety. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Procedures developed and (a) Procedures developed (a) Procedures developed (a) Procedures developed and (a) Procedures developed and maintained to operate the and maintained to operate and maintained to operate maintained to operate the maintained to operate the reservoir with consideration the reservoir with little or no the reservoir with some reservoir with consideration reservoir with consideration of equipment capability consideration of equipment consideration of equipment of equipment capability and of equipment capability and and safety, failure modes, capability and safety, and capability and safety, and safety, dam failure and safety safety, failure modes and likelihood of dam failure and dam failure dam failure of communities safety of communities safety of communities (b) Understanding of 6-A. Operation Rules (b) Understanding of (b) Little or no understanding (b) Some understanding (b) Understanding of reservoir operation and safety and Responsibilities reservoir operation and of reservoir operation and of reservoir operation and reservoir operation and requirements by DMU staff safety requirements by DMU safety requirements by Dam safety requirements by DMU safety requirements by DMU including dam-specific critical [Rules, responsibilities staff including dam-specific Management Unit (DMU) staff staff staff failure modes and relevant and activities for the safe critical failure modes monitoring instrumentation operation of dams and (c) Mostly complete and (c) Complete and up-to their reservoirs under all (c) Little or no recording (c) Some recording and (c) Complete and adequate adequate recording and date adequate recording operating conditions] and reporting of reservoir reporting of reservoir recording and reporting of reporting of reservoir and reporting of reservoir operations operations reservoir operations operations operations (d) Structured process (d) Structured process (d) Unstructured process (d) Structured process for identification and for identification and (d) Little or no identification for identification and for identification and management of reservoir management of reservoir or management of reservoir management of reservoir management of reservoir operating problems, operating problems, operating problems operating problems operating problems and problems tracked to and problems tracked to resolution resolution in a timely manner (a) Weak or no community (a) Functional community (a) Mostly strong community (a) Strong community (a) Excellent community relationships with little or relationships with some relationships with good level relationships with common relationships with common no common understanding common understanding of of common understanding 6-B. Relationships with understanding of reservoir understanding of reservoir of reservoir operations and reservoir operations and their of reservoir operations and Communities operations and their effects operations and their effects their effects effects their effects (b) Contacts with community (b) Contacts with community [Liaison and relationship (b) Little or no contacts with (b) Some contacts with (b) Contacts with community kept up-to-date and DMU kept up-to-date and DMU with external community community kept up-to-date kept up-to-date staff kept informed of staff and community kept communities affected changes informed of changes by reservoir operation, including land and water (c) Topics and frequency of (c) Topics and frequency of users and public] (c) Little or no (c) Topics and frequency of (c) Topics and frequency of communications planned and communications planned and communications with communications not well communications planned and executed, and communication executed, and communication communities planned or executed executed problems tracked to problems tracked to resolution resolution in a timely manner (a) Debris Management (a) Debris Management (a) Debris Management (a) Debris Management (a) Debris Management Plans developed with Plans not developed or Plans developed with Plans developed with some Plans developed with strong understanding of developed with little or no strong understanding of understanding of the threat understanding of the threat the threat posed by debris understanding of the threat the threat posed by debris posed by debris and the posed by debris and the and the means available to posed by debris and the and the means available to means available to manage means available to manage manage those threats, with means available to manage manage those threats, with those threats those threats continuous improvement and 6-C. Debris Management those threats continuous improvement review of plans (b) Documented monitoring [The identification and (b) Little or no monitoring (b) Documented monitoring (b) Monitoring and (b) Monitoring and and management during mitigation of dam safety and management during and management during management during floods management during floods floods with strong risk associated with floods with limited floods with strong with some understanding of with understanding of understanding of problems debris in reservoirs understanding of problems understanding of problems problems caused by debris problems caused by debris caused by debris, with blocking spillways and caused by debris caused by debris continuous improvement outlets] (c) Effective routine debris removal to protect the (c) Debris removal not (c) Effective routine debris (c) Little or no effective (c) Effective routine debris dam and equipment, with implemented or inadequate removal to protect the debris removal to protect the removal to protect the dam continuous improvement to protect the dam and dam and equipment, with dam and equipment and equipment including developing, trialling equipment continuous improvement and implementing new technology and methods. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 83 Using Maturity Matrices to Evaluate Dam Safety Programs Component 7: Dam and Spillway Maintenance Maturity Matrix Dam and Spillway Maintenance is defined as the maintenance of civil structures and constructions associated with the dam and reservoir. Includes structural maintenance or repairs, erosion protection, vegetation control and drain maintenance (surface and internal relief drainage) and other activity necessary to maintain safety and functionality of the dam and components. Includes spillways and outlets that perform a dam safety function, along with their electrical and mechanical components. Note: Spillway and Outlet Equipment maintenance is evaluated in Component 5. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Maintenance follows (a) Maintenance follows an established proactive an established routine (a) Corrective maintenance (a) Maintenance mostly (a) Maintenance follows procedure based on procedure based on performed on an as-needed follows an established an established routine failure modes, Emergency failure modes, Emergency basis routine procedure procedure Preparedness Plans and Preparedness Plans and good good practice incorporating practice. advances in technology (b) Emphasis on preventive (b) Emphasis on preventive (b) Mostly corrective (b) Emphasis on preventive maintenance. Corrective 7-A. Dam, Reservoir and (b) Little or no maintenance maintenance. Corrective maintenance performed maintenance. Corrective maintenance completed Access Maintenance performed or constrained maintenance generally depending on availability maintenance completed promptly; budget, materials by availability of budget, completed promptly; budget, of budget, materials and promptly; budget, materials and equipment available with [Maintenance of the materials and equipment. materials and equipment equipment. and equipment available. continuous improvement in dam structure, reservoir generally available. efficiencies features and dam access routes, including security (c) Recording and reporting of physical assets] (c) Recording and reporting of maintenance activities is (c) Little or no recording and (c) Some recording and (c) Recording and reporting of maintenance activities is complete and easily accessed reporting of maintenance reporting of maintenance of maintenance activities is complete and easily accessed in electronic form, across the activities activities mostly complete in electronic form Dam Management Unit (DMU) and Ministry (d) Structured process exists (d) Structured process exists (d) Little or no process for (d) Unstructured process for (d) Structured process exists for escalation of maintenance for escalation of maintenance escalation of maintenance escalation of maintenance for escalation of maintenance problems and problems problems and problems problems problems problems tracked to resolution in a tracked to resolution timely manner (a) Maintenance follows (a) Maintenance follows an established proactive an established routine procedure based on (a) Corrective maintenance (a) Maintenance mostly (a) Maintenance follows procedure based on failure modes, Emergency performed on an as-needed follows an established an established routine failure modes, Emergency Preparedness Plans and basis routine procedure procedure Preparedness Plans and good good practice incorporating practice. advances in technology and methods 7-B. Spillway (b) Emphasis on preventive (b) Emphasis on preventive (b) Mostly corrective (b) Emphasis on preventive Maintenance (b) Little or no maintenance maintenance. Corrective maintenance. Corrective maintenance performed maintenance. Corrective performed or constrained maintenance generally maintenance completed depending on availability maintenance completed [Maintenance of by availability of budget, completed promptly; budget, promptly; budget, materials of budget, materials and promptly; budget, materials spillways and their materials and equipment. materials and equipment and equipment available with equipment. and equipment available. access routes, including generally available. continuous improvement. security of physical (c) Recording and reporting assets] (c) Recording and reporting (c) Little or no recording and (c) Some recording and (c) Recording and reporting of maintenance activities is of maintenance activities is reporting of maintenance reporting of maintenance of maintenance activities is complete and easily accessed complete and easily accessed activities activities mostly complete in electronic form, across the in electronic form DMU and Ministry (d) Structured process exists (d) Structured process exists (d) Little or no process for (d) Unstructured process for (d) Structured process exists for escalation of maintenance for escalation of maintenance escalation of maintenance escalation of maintenance for escalation of maintenance problems and problems problems and problems problems problems problems tracked to resolution in a tracked to resolution timely manner Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 84 Using Maturity Matrices to Evaluate Dam Safety Programs Component 8: Emergency Preparedness Maturity Matrix Emergency Preparedness is the identification of dam failure consequences and planning for response to events that might lead to dam failure. Includes hazard and consequence identification, emergency plan preparation, external relationship building, and emergency tests and exercises. BNPB refers to Badan Nasional Penanggulangan Bencana, which is Indonesia’s National Agency for Disaster Management. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Little or no understanding, (a) Threats and potential (a) Threats and potential (a) Some understanding, evaluation or documentation (a) Threats and potential failure modes thoroughly failure modes thoroughly evaluation and of threats and potential failure modes evaluated, evaluated, understood and evaluated, understood and documentation of threats failure modes and understood and vulnerabilities documented vulnerabilities documented and potential failure modes vulnerabilities. The vulnerabilities documented. using readily available using state-of-art analysis and vulnerabilities. The Emergency Preparedness Plan The Emergency Preparedness analysis techniques. The techniques and research. The Emergency Preparedness is not formulated or does Plan is formulated to address Emergency Preparedness Plan Emergency Preparedness Plan 8-A. Threat and Plan is formulated to address not adequately address the all of the above. is formulated to address all is formulated to address all Consequence some or most of the above. above. of the above. of the above. Identification (b) Consequences of failure (b) Consequences of failure (b) Little or no understanding, (b) Some consequences (b) Consequences of failure of of the dam and equipment of the dam and equipment [Identifying and evaluation or documentation of failure of the dam and the dam and equipment are are thoroughly evaluated, are thoroughly evaluated, understanding of of consequences of failure of equipment are evaluated, evaluated, understood and understood and documented understood and documented threats, dam incidents, the dam and equipment understood and documented documented using readily available using state-of-art analysis failure sequences, and analysis techniques techniques and research their consequences for inclusion in the (c) Comprehensive flood (c) Little or no consideration (c) Flood monitoring and (c) Generally complete Emergency Preparedness (c) Flood monitoring and monitoring and event of flood monitoring and event event forecasting considered flood monitoring and event Plans, which include event forecasting considered forecasting, with inputs from forecasting to some extent forecasting Emergency Action Plans] specialist organisations (d) Reviews by panel (d) Reviews for changes comprising internal and (d) Little or no reviews (d) Infrequent or unstructured (d) Reviews for changes in threat, potential failure external reviewers, for for changes in threat, reviews for changes in threat, in threat, potential failure modes, likelihood and changes in threat, potential potential failure modes or potential failure modes and modes and consequences of consequences of failure e.g., failure modes, likelihood and consequences of failure consequences of failure failure e.g., 5 yearly 5 yearly consequences of failure e.g., 5 yearly (a) DMU's Emergency Action (a) DMU's Emergency Action (a) Emergency Action Plans (a) DMU's Emergency Action (a) DMU's Emergency Action Plans are documented, Plans are documented, do not exist and little or no Plans are documented, Plans are documented, practical, demonstrate practical, demonstrate understanding of Emergency practical, demonstrate some practical, demonstrate good comprehensive comprehensive Action Plans by Dam understanding of emergency understanding of emergency understanding of emergency understanding of emergency Management Unit (DMU) staff. identification and response identification and response identification and response identification and response among key DMU staff among all DMU staff (b) Emergency Action Plans are developed and alarm (b) Emergency Action Plans (b) Emergency Action Plans (b) Emergency Action systems introduced in (b) Emergency Action Plans are developed and alarm are developed and alarm Plans are developed in collaboration with BNPB 8-B. DMU Emergency do not exist or are developed systems introduced in systems introduced in collaboration with BNPB Services and Police, and Action Plans with little or no collaboration collaboration with BNPB collaboration with BNPB Services and Police, and with public consultation, with BNPB Services and Services and Police, and Services and Police, and with little or no public education and participation. [Emergency Action Pans Police with public consultation and with public consultation, consultation and education Emergency Action Plans are to prepare for and act education education and participation reviewed and updated with during a dam safety inclusion of DMU staff. emergency] (c) Comprehensive definition (c) Good definition and (c) Comprehensive definition (c) Little or no definition and (c) Some definition and and understanding of roles understanding of roles and and understanding of roles understanding of roles and understanding of roles and and responsibilities, including responsibilities among key and responsibilities among responsibilities responsibilities all DMU staff, BNPB Services DMU staff all DMU staff and Police. (d) Generally complete and (d) Regular review and (d) Regular review and frequent review and updating updating of Emergency Action (d) Little or no review or (d) Infrequent review and updating of Emergency Action of Emergency Action Plans Plans every 3 years, and also updating of Emergency Action updating of Emergency Action Plans every 3 years, and also every 3 years, and also after after tests and exercises and Plans Plans after an emergency event to an emergency event to also an emergency event to include lessons learnt. include lessons learnt. include lessons learnt. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 85 Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Mostly functional (a) Mostly strong (a) Excellent relationships (a) Weak or no relationships, relationships, and some (a) Strong relationships and relationships, and good and understanding of with little or no understanding of emergency understanding of emergency understanding of emergency emergency actions and understanding of emergency actions and responsibilities actions and responsibilities actions and responsibilities responsibilities by all parties 8-C. Relationships with actions and responsibilities by some or all parties by all parties involved by all parties involved involved Community and External involved Agencies (including BNPB (b) Little or no relationship (b) Some relationship (b) Relationship continuity (b) Relationship continuity (b) Relationship continuity and Police) continuity included in the continuity included in the included in the plan and mostly included in the plan included in the plan plan plan continuously improved upon [Maintain relationships (c) Compatible and communication (c) Little or no compatibility (c) Some compatibility (c) Mostly compatible (c) Compatible communication systems with the community, and between communication between communication communication systems communication systems and emergency command External Agencies, for systems and emergency systems and emergency and emergency command and emergency command structures across area of DMU effectiveness of response command structures across command structures across structures across area of DMU structures across area of DMU responsibility, and with other to emergencies] area of DMU responsibility area of DMU responsibility responsibility responsibility DMUs in the area. (d) Complete and frequent (d) Mostly complete and (d) Complete and frequent (d) Little or no maintenance (d) Infrequent maintenance maintenance of contact frequent maintenance of maintenance of contact of contact information of contact information information, with alternative contact information information contact information (a) Tests and exercises (a) Tests and exercises (a) Tests and exercises internal to DMU organisation, (a) Tests and exercises internal to DMU organisation, (a) Little or no tests and internal to DMU organisation, mock emergency exercise internal to DMU organisation, mock emergency exercise as exercises internal to DMU mock emergency exercises as the need arises or every mock emergency exercises as the need arises or every 2 organisation as the need arises or every 2 years, involving multiple the need arises years, involving two to three 2 years dams and river systems dams within the DMU within the DMU (b) Tests and exercises (b) Tests and exercises 8-D. Tests and Exercises (b) Tests and exercises including External Agencies, (b) Tests and exercises including External Agencies, (b) Little or no tests and including External Agencies, mock emergency exercises sometimes including External mock emergency exercises [Test and exercise exercises including External mock emergency exercises as the need arises or every Agencies, mock emergency as the need arises or every 5 Emergency Action Plans Agencies as the need arises or every 5 years, involving multiple exercises as the need arises years, involving two to three and preparedness at 5 years dams and river systems dams within the DMU appropriate intervals to within the DMU assess effectiveness, and (c) Tests and exercises are identify improvements] (c) Tests and exercises are (c) Some tests and exercises documented, lessons learnt (c) Tests and exercises are documented, lessons learnt are documented, some analysed, communicated and documented, lessons learnt analysed, communicated and (c) Few tests and exercises lessons learnt analysed improvements to Emergency analysed and communicated. improvements to Emergency are documented, lessons and communicated. Some Preparedness Plans and Improvements to Emergency Preparedness Plans and learnt analysed or improvements to Emergency Emergency Action Plans Preparedness Plans and Emergency Action Plans are communicated. Preparedness Plans and are routinely implemented. Emergency Action Plans are routinely implemented. Tests Emergency Action Plans are Tests and exercises include implemented and exercises include staff implemented staff from other dams within from other DMUs the DMU Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 86 Using Maturity Matrices to Evaluate Dam Safety Programs Component 9: Managing Dam Safety Problems Maturity Matrix Managing Dam Safety Problems is defined as collecting, categorizing, tracking, prioritizing, investigating, assessing, treating and reporting dam safety issues. Dam Safety Problems are categorized as Non-conformances, Physical Infrastructure Issues and Dam Safety Deficiencies. In a Dam Safety Program, dam safety problems are usually identified in the Surveillance, Reservoir Operations, Emergency Preparedness, Spillway and Outlet Equipment, Dam and Spillway Maintenance, and Audit and Review components. For the purpose of Maturity Matrices, Managing dam safety problems does not include implementation of remedial works. This assessment deals with Dam Safety Programs as far as they relate to the ‘Operation and Maintenance’ of dams. Implementation of dam remedial works relates to ‘Life Extension and Upgrade’, which is outside the scope of this assessment. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice 9-A. Dam Safety Problem (a) Organized and (a) Organized, thorough and up-to- (a) Little or no collection (a) Incomplete identification (a) Organized identification Management System thorough identification and date identification and collection of problems from and collection of problems and collection of problems collection of problems from of problems from identification identification sources from identification sources from identification sources [The overall system for identification sources sources collecting, categorizing, (b) Little or no recording (b) Incomplete recording of (b) Generally complete (b) Comprehensive recording (b) Comprehensive and up-to-date tracking, prioritizing, of problem details problem details recording of problem details of problem details recording of problem details investigating, assessing, (c) Problems not (c) Incomplete (c) Most problems (c) Complete categorization of (c) Complete and up-to-date treating and reporting categorized categorization of problems categorized problems categorization of problems dam safety problems. The system would (d) Little or no tracking (d) Generally complete (d) Comprehensive tracking (d) Comprehensive and up-to-date usually consist of (d) Incomplete tracking and and reporting of problem tracking and reporting of and reporting of problem tracking and reporting of problem documented processes reporting of problem status status problem status status status and procedures, and supporting tools.] (a) Little or no assessment (a) Some assessment (a) Assessment of effects of (a) Assessment of effects of (a) Assessment of effects of all of effects of non- of effects of non- most non-conformances on all non-conformances on non-conformances on dam safety conformances on dam conformances on dam dam safety program dam safety program program and reservoir operations 9-B. Managing Program safety program safety program Non-Conformances (b) Corrective measures are (b) Corrective measures are (b) Corrective measures (b) Corrective measures are (b) Corrective measures identified for some non- identified for most non- are identified for all non- identified for all non-conformances not identified [The prioritization conformances conformances conformances with consideration of improvements and resolution of (c) Some non- Non-conformances, (c) Most non-conformances (c) All non-conformances (c) All non-conformances (c) Non-conformances conformances prioritized investigation, prioritized and scheduled to prioritized and scheduled to prioritized and scheduled to restore not prioritized or and scheduled to restore assessment, treatment restore dam safety program restore dam safety program dam safety program outcomes and scheduled dam safety program and reporting.] outcomes outcomes maintain safe reservoir operations outcomes (d) Some corrective (d) Most corrective (d) All corrective measures taken, (d) Corrective measures (d) All corrective measures measures taken and measures taken and reported and tracked to resolution not taken or reported taken and reported reported reported and their effectiveness proven (a) Little or no assessment (a) Some assessment (a) Assessment of effects (a) Assessment of effects of (a) Assessment of effects of all dam of effects of dam safety of effects of dam safety of most dam safety all dam safety infrastructure safety infrastructure problems on 9-C. Managing Dam infrastructure problems infrastructure problems on infrastructure problems on problems on dam safety dam safety program and reservoir Safety Infrastructure on dam safety program dam safety program dam safety program program operations Problems (b) Corrective measures are (b) Corrective measures (b) Corrective measures are (b) Corrective measures (b) Corrective measures are identified for some non- are identified for most identified for all Problems with not identified identified for all problems [The prioritization conformances problems consideration of improvements and resolution of (c) Some problems (c) Most problems (c) All problems prioritized and Physical Infrastructure (c) All Problems prioritized (c) Problems not prioritized and scheduled to prioritized and scheduled to scheduled to restore dam safety problems, investigation, and scheduled to restore dam prioritized or scheduled restore dam safety program restore dam safety program program outcomes and maintain assessment, treatment safety program outcomes outcomes outcomes reservoir operations and reporting.] (d) Some corrective (d) Most corrective (d) All corrective measures taken, (d) Corrective measures (d) All corrective measures measures taken and measures taken and reported and tracked to resolution not taken or reported taken and reported reported reported and their effectiveness proven (a) All deficiencies assessed based (a) Most deficiencies (a) Little or no assessment (a) Some assessment (a) All deficiencies assessed on likelihood and consequence assessed based on of effects of dam safety of effects of dam safety based on likelihood and of dam failure. Some critical likelihood and consequence deficiencies deficiencies consequence of dam failure deficiencies assessed using of dam failure 9-D. Managing Dam advanced methods. Safety Deficiencies (b) Corrective measures (b) Unacceptable (b) Corrective measures are (b) Corrective measures (b) Corrective measures are identified for some deficiencies assessed for identified for all deficiencies with not identified identified for all deficiencies [The prioritization and deficiencies treatment consideration of improvements resolution of Dam (c) All deficiencies prioritized and Safety Deficiencies, (c) Deficiencies not (c) Some deficiencies (c) Unacceptable (c) All deficiencies prioritized scheduled to restore dam safety investigation, prioritized or scheduled prioritized and scheduled deficiencies prioritized and and scheduled to restore dam program outcomes and maintain assessment, treatment for treatment for treatment scheduled for treatment safety program outcomes reservoir operations and reporting.] (d) An inventory of (d) An inventory of (d) An inventory of unacceptable (d) Little or no reporting (d) Some reporting of unacceptable deficiencies, unacceptable deficiencies, deficiencies, their treatment plan of deficiencies or planned deficiencies, their treatment their treatment plan and their treatment plan and and current status is reported treatment plan and current status current status is reported current status is reported regularly and tracked to resolution regularly Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia 87 Using Maturity Matrices to Evaluate Dam Safety Programs Component 10: Audits and Reviews Maturity Matrix Audits and Reviews are defined as: 1. Dam Safety Program Audits and Reviews: • Dam Safety Program Audits are usually to check that the Dam Management Unit’s (DMU’s) dam safety program’s systems, processes and procedures are being followed. • Dam Safety Program Reviews review the effectiveness of a dam safety program and the appropriateness of its systems and processes. 2. Dam Safety and Spillway and Outlet Equipment Reviews: • Dam Safety Reviews review the dam safety status and dam safety management practices of individual dams. • Spillway and Outlet Equipment Reviews review the functional performance and management practices of a dam’s equipment. Maturity Level Activity 1. Needing Development 2. Elementary 3. Good Practice 4. Very Good Practice 5 Best Practice (a) Audits are usually (a) Audits are programmed (a) Audits are programmed and (a) Audits are programmed and (a) Little or no audit of programmed and scope is and scope is aligned with scope is aligned with DMU's dam scope is aligned with DMU's DMU's dam safety program. usually aligned with DMU's DMU's dam portfolio and portfolio, failure modes and dam portfolio. 10-A. Dam Safety dam portfolio. consequences of failure. consequences of failure. Program Audits (b) Little or no consideration (b) Auditor experience and (b) Auditor experience (b) Auditor experience and (b) Auditor experience and of auditor experience competence is sometimes and competence generally competence is comprehensively competence is considered [Audit of a DMU’s and competence during considered during selection considered during selection considered during selection of during selection of auditor dam safety selection of auditor of auditor of auditor auditor programs, to (c) Little or no participation (c) Usually positive (c) Positive and proactive (c) Positive and proactive check that stated (c) Positive participation in the in the audit by the Dam participation in the audit by participation in the audit by participation in the audit by the objectives and audit by the DMU Management Unit (DMU) the DMU the DMU DMU, with continuous improvement procedures are (d) Audit findings referred being achieved] (d) Some audit findings (d) Audit findings referred (d) Audit findings referred to DMU (d) Little or no referral to DMU management and referred to DMU management to DMU management and management and identified actions of audit findings to DMU identified actions prioritized and identified actions identified actions prioritized prioritized and implemented in a management. for implementation and prioritized for implementation. for implementation. timely manner tracked to resolution. (a) Reviews are usually (a) Reviews are programmed (a) Reviews are programmed (a) Reviews are programmed (a) Little or no review of programmed and scope is and scope is aligned with and scope is aligned with DMU's and scope is aligned with DMU's dam safety program. usually sometimes aligned DMU's dam portfolio and dam portfolio, failure modes and DMU's dam portfolio. with DMU's dam portfolio. consequences of failure. consequences of failure. (b) Little or no consideration (b) Reviewer experience and (b) Reviewer experience (b) Reviewer experience and 10-B. Dam Safety (b) Reviewer experience and of reviewer experience competence is sometimes and competence generally competence comprehensively Program Reviews competence considered during and competence during considered during selection of considered during selection of considered during selection of selection of reviewer selection of reviewer reviewer reviewer reviewer [Review of the effectiveness of a (c) Usually positive (c) Positive and proactive (c) Positive and proactive (c) Little or no participation (c) Positive participation in the DMU’s dam safety participation in the review by participation in the review by participation in the review by the in the review by the DMU review by the DMU the DMU the DMU DMU, with continuous improvement programs] (d) Review findings referred (d) Review findings referred to DMU (d) Some review findings (d) Review findings referred (d) Little or no referral of to DMU management and management and identified actions referred to DMU management to DMU management and review findings to DMU identified actions prioritized prioritized for implementation. and identified actions identified actions prioritized management. for implementation. Actions Actions are tracked to resolution in prioritized for implementation. for implementation. are tracked to resolution. a timely manner. (a) Review scope and (a) Review scope and (a) Review scope and (a) Review scope and frequency (a) Little or no review of frequency usually consider frequency consider frequency consider dam consider dam performance, 10-C. Dam Safety dam safety. dam performance and dam performance and performance, and likelihood failure modes, and likelihood and Reviews consequences of failure consequences of failure. and consequences of failure. consequences of failure. (b) Little or no consideration [Review of the (b) Some consideration of (b) General consideration (b) Consideration of reviewer (b) Comprehensive consideration of reviewer experience and dam safety reviewer experience and of reviewer experience and experience and competence of reviewer experience and competence in the type management competence in the type of dam competence in the type of dam in the type of dam during competence in the type of dam of dam during reviewer practices including during reviewer selection during reviewer selection reviewer selection during reviewer selection selection Emergency Preparedness (c) Little or no commitment (c) Some commitment and (c) Demonstrated commitment (c) Proactive commitment (c) Proactive commitment and Plans and dam and response by the DMU to response by the DMU to and response by the DMU to and response by the DMU to response by the DMU to findings findings of the dam safety findings of the dam safety findings of the dam safety findings of the dam safety of the dam safety review, with safety status of review review review review continuous improvement individual dams; includes spillways (d) Review findings referred (d) Review findings referred to DMU (d) Some review findings (d) Review findings referred and outlet (d) Little or no referral of to DMU management and management and identified actions referred to DMU management to DMU management and structures] review findings to DMU identified actions prioritized prioritized for implementation. and identified actions identified actions prioritized management. for implementation. Actions Actions are tracked to resolution in prioritized for implementation. for implementation. are tracked to resolution. a timely manner. (a) Review scope and (a) Review scope and (a) Review scope and (a) Review scope and frequency (a) Little or no review frequency usually consider frequency consider frequency consider equipment consider equipment performance, of spillway and outlet equipment performance and equipment performance and performance, and likelihood failure modes, and likelihood and equipment. consequences of failure. consequences of failure. and consequences of failure. consequences of failure. 10-D. Spillway and (b) Little or no consideration (b) Some consideration of (b) General consideration (b) Comprehensive consideration (b) Consideration of reviewer Outlet Equipment of reviewer experience and reviewer experience and of reviewer experience and of reviewer experience and experience and competence in Reviews competence in the type of competence in the type of competence in the type of competence in the type of the type of equipment during equipment during reviewer equipment during reviewer equipment during reviewer equipment during reviewer reviewer selection [Review of the selection selection selection selection management (c) Proactive commitment and (c) Little or no commitment (c) Some commitment and (c) Demonstrated commitment (c) Proactive commitment practices and response by the DMU to findings and response by the DMU to response by the DMU to and response by the DMU to and response by the DMU to functional of the spillway and outlet findings of the spillway and findings of the spillway and findings of the spillway and findings of the spillway and performance of a equipment review, with continuous outlet equipment review outlet equipment review outlet equipment review outlet equipment review dam’s spillway and improvement outlet equipment] (d) Review findings referred (d) Review findings referred to DMU (d) Some review findings (d) Review findings referred (d) Little or no referral of to DMU management and management and identified actions referred to DMU management to DMU management and review findings to DMU identified actions prioritized prioritized for implementation. and identified actions identified actions prioritized management. for implementation. Actions Actions are tracked to resolution in prioritized for implementation. for implementation. are tracked to resolution. a timely manner. Maturity Matrices for Institutional Benchmarking of Dam Safety in Indonesia