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Operations Manual

VERSION 1 (SEPTEMBER 2011)

Poverty Reduction Support Facility is managed by GRM International on behalf of AusAID

Poverty Reduction Support Facility

Operations Manual Poverty Reduction Support Facility

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GRM INTERNATIONAL PTY LTD

ABN 98 989 481 583 ACN 010 020 201

Trustee House

Level 6, 444 Queen Street Brisbane Queensland 4000

GPO Box 449 Brisbane QLD 4001

Telephone: +617 3025 8500 Facsimile: +617 3025 8555

www.grminternational.com


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FOREWORD GRM International Pty Ltd (‘GRM’ or the ‘Company’) was incorporated in 1968 to provide consultancy,

advisory and management services to clients in Australia and overseas. We take pride in our commitment

to quality outcomes, honesty and professional integrity, personal and team empowerment and

development, and above all to respect stakeholders/clients and to assist them to meet their needs.

To this end, our project management is based on practical experience, flexibility, mediation and

negotiation, and the drawing together of stakeholders in a working partnership. By promoting the

equitable involvement of communities and recognising that both men and women must participate in the

planning and implementation of development activities, we are able to enhance the ideas of all involved in

achieving sustainable development.

We are also committed to the achievement of high ethical standards and expect that all team members and

consultants will not only meet the minimum standards of our Code of Conduct, but will strive and

encourage others to achieve the highest standards of conduct possible. Our Code is developed to provide

all members of GRM with a set of guiding ethical principles and associated obligations to assist in the

determination of an acceptable standard of conduct during the course of our work together. It aims to

ensure that we promote a positive image of the Company and its team members at all times and that

embarrassment will not be brought on the Company or its shareholders, clients or other partners through

lack of understanding of the standards of ethics and conduct expected.

To achieve a high standard of service delivery, this set of procedures has been developed for quality control

and to provide guidelines that will assist in the effective and efficient management and implementation of

the Facility.

The independent oversight and audits of the Facility, from both a financial and performance point of view,

can be onerous at times but we have endeavoured to keep time involved in reporting for administrative

and audit purposes to a minimum so that maximum time is dedicated to planning and implementation of

the Facility. We wish to, however, maintain and improve our high standard of project management,

particularly in difficult environments. To this end, these guidelines are under constant review to provide

flexibility and the ability to improve administrative and reporting functions required under our contract

with our Clients. We therefore welcome any suggestions or ideas you may have which could improve the

quality and efficiency of service delivery. Any such suggestions should be passed through the GRM

Contractor Representative responsible for your Facility or direct to myself should you wish.

Finally, I wish you success in this Facility and hope you achieve a high level of personal and professional

satisfaction in doing so.

GARY JACKSON

Asia Pacific Regional Director


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TABLE OF CONTENTS

1. PRSF Introduction............................................................................................7

1.1 Background to the Poverty Reduction Support Facility ...............................................................7

1.2 PRSF Objectives ............................................................................................................................7

1.3 PRSF Governance Structure .........................................................................................................8

2. Management Responsibilities and Structure ................................................. 13

2.1 GRM’s PRSF Management Team ...............................................................................................13

2.2 Facility Communications ............................................................................................................15

2.3 PRSF Workplan...........................................................................................................................19

2.4 Facility Reporting .......................................................................................................................19

2.5 Confidentiality............................................................................................................................20

2.6 Cultural Awareness ....................................................................................................................20

2.7 Media .........................................................................................................................................20

2.8 Intellectual Property ..................................................................................................................20

3. Office Procedures and Management ............................................................. 21

3.1 Work Days and Working Hours..................................................................................................21

3.2 Absence ......................................................................................................................................21

3.3 Access Cards and Keys ...............................................................................................................21

3.4 No-Smoking Policy .....................................................................................................................21

3.5 No-Food Policy ...........................................................................................................................21

3.6 Dress Code .................................................................................................................................21

3.7 Use of Facility Vehicles...............................................................................................................22

3.8 Parking Facilities ........................................................................................................................22

3.9 Cleaning Services .......................................................................................................................22

3.10 Office Stationary ........................................................................................................................22

3.11 Use of Mobile Phones / Office Phones and Faxes ......................................................................22

3.12 Use of Meeting Rooms...............................................................................................................23

3.13 Travel Policy (for AusAID Funded Activities) ..............................................................................23

3.14 Attendance at International Conferences (for PRSF Funded Activities).....................................24

3.15 Attendance at Local Workshops (for PRSF Funded Activities) ...................................................25

3.16 Safety and Security Guidelines...................................................................................................27

3.17 IT Procedures .............................................................................................................................27

3.18 IT Software and Hardware Policies ............................................................................................28

4. Human Resource Management ..................................................................... 30

4.1 Salary and Benefits ....................................................................................................................30

4.2 Recruitment Process ..................................................................................................................31

4.3 Mobilisation and Induction Procedures .....................................................................................32

4.4 Leave Entitlements.....................................................................................................................33

4.5 Public Holidays ...........................................................................................................................33

4.6 Performance Appraisal ..............................................................................................................33


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4.7 Professional Development .........................................................................................................34

4.8 Ethics and Code of Conduct .......................................................................................................34

4.9 International Adviser Visa Processing........................................................................................35

4.10 Compliance with AusAID Policies ...............................................................................................36

4.11 Termination of Contract/ Demobilisation..................................................................................36

4.12 Dispute Resolution .....................................................................................................................36

4.13 PNPM TA Management .............................................................................................................37

5. Financial Management .................................................................................. 39

5.1 Facility Funding ..........................................................................................................................39

5.2 Purchasing and Procuring Procedures .......................................................................................39

5.3 Wages Procedures .....................................................................................................................42

5.4 Financial Administrative Procedures .........................................................................................43

5.5 Accounting/End of Month Procedures.......................................................................................43

5.6 Financial Reporting ....................................................................................................................44

5.7 Audits .........................................................................................................................................44

5.8 Multi-Donor Trust Funds ............................................................................................................44

5.9 Fraud Policy................................................................................................................................45

6 Activity Planning and Management Cycle ...................................................... 47

6.1 Coordination and Management ................................................................................................47

6.2 Terminology ...............................................................................................................................47

6.3 Activity Planning and Management Cycle .................................................................................48

6.4 Activities Directed By AusAID.....................................................................................................52

7. Procurement and Subcontracting Procedures.................................................. 53

7.1 Compliance with Commonwealth Procurement Guidelines ......................................................53

7.2 Procurement Method ................................................................................................................53

8. Grant Management......................................................................................... 58

8.1 Introduction ...............................................................................................................................58

8.2 Guiding Principles ......................................................................................................................58

8.3 Selection Criteria ........................................................................................................................59

8.4 Selection process........................................................................................................................61

8.5 Partner Grants Monitoring and Reporting Overview ................................................................64

8.6 Partner Grants Directed By AusAID ...........................................................................................64

9. Monitoring And Evaluation ............................................................................. 65

9.1 Introduction ...............................................................................................................................65

9.2 M&E Procedures ........................................................................................................................65

10. Risk Management.......................................................................................... 69


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REVISIONS LIST

Issue / Rev Date Comments/Details By Whom

Version 1 30TH September 2011 Version 1 finalised and submitted to

AusAID. To be socialised with TNP2K

through a workshop planned in October

2011.

Peter Riddell-Carre,

Deputy Team

Leader


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ANNEXES 1. PRSF / TNP2K Contact Details

2. Safety and Security Plan

3. Travel Request Form

4. Expense Reimbursement Form

5. Policy on Allowances

6. Workshop ToR

7. Workshop Check

8. Workshop Evaluation

9. Adviser Terms of Reference Template

10. Interview Question Template

11. Referee Check Sheet

12. Mobilisation Check List

13. Leave Application Form

14. List of Public Holiday

15. Performance Appraisal Template

16. AusAID Adviser Performance Appraisal Template

17. Code of Conduct

18. Employee Exit Interview Form

19. Exit Clearance Check-List

20. PNPM Monthly Progress Report

21. PNPM 6 Monthly Status Report

22. Timesheet

23. Invoice

24. Supply Request Form

25. Petty Cash Voucher Form

26. Quote Evaluation Form

27. Purchase Order Form

28. Asset Register

29. Initial Activity Design Template

30. Activity Design Template

31. Activity Monitoring Form

32. Information for Tenderer

33. Procurement Report

34. Partner Proposal Narrative Template

35. Proposal Assessment Template


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ACRONYMS

AAO Assistant Administration Officer

ADP Activity Design Proposal

AGIS Australian Government Investigation Standards

APBN Anggaran Pendapatan & Belanja Negara; (State Budget)

AUD Australian Dollar

AusAID Australian Agency for International Development

Bappenas Badan Perencanaan dan Pembangunan Nasional (the Indonesian National

Development Planning Board)

BUMN Badan Usaha Milik Negara (State-Owned Companies)

CR Contractor Representative

CSOs Civil Society Organizations

DAC Evaluating Development Assistance

DTL Deputy Team Leader

EA Evaluability Assessment

EPO Exit Permit Only

F&PM Finance and Procurement Manager

FSC Facility Steering Committee

GIZ The Deutsche Gesellschaft für Internationale Zusammenarbeit

GoA Government of Australia

GoI Government of Indonesia

GRM GRM International Pty Ltd

GS Gender Specialist

HRM Human Resource Manager

IAP Initial Activity Proposal

IDR Indonesian Rupiah

Inpres Instruksi Presiden (Presidential Instruction)

IT Information Technology

KITAS Kartu Ijin Tinggal Sementara (Limited Stay Permit)

KPI Key Performance Indicator

KRA Key Results Area

LES Local Engaged Staff

LTA Long Term Advisor

M&E Monitoring and Evaluation

MC Managing Contractor

MDSA Multi-Donor Special Account

MFR Mid-Term Financial Report

MTR Mid-Term Review

NGO Non-Governmental Organization

PA Partner Agency


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Perpres Peraturan Presiden (Presidential Regulation)

PFR Project Final Report

PKH - CCT Program Keluarga Harapan – Conditional Cash Transfer

PM Project Manager

PNPM Program Nasional Pemberdayaan Masyarakat; (The National Program for

Community Empowerment)

PNS Pegawai Negeri Sipil (Government Officer)

Pokja Kelompok Kerja (Working Group)

PPLS Pendataan Program Perlindungan Sosial; (Data Collection Program of Social

Protection)

PRIF Poverty Reduction Interim Facility

PRSF Poverty Reduction Support Facility

PSF PNPM Support Facility

PWGC Policy Working Group Coordinator

PSU Program Support Unit

RFT Request for Tender

SetNeg Sekretaris Negara (State Secretariat)

SMEs Senior Micro-Economist / Private Sector Specialist

TAP Technical Assessment Panel

QA Quality Assurance

QFR Quarterly Financial Report

SOP Standard Operating Procedures

SoS Scope of Services

SPT Social Protection Team of AusAID Jakarta

STA Short Term Technical Assistance

TA Technical Assistance

TKPK Tim Koordinasi Penanggulangan Kemiskinan; (Coordination Team for Poverty

Reduction)

TL Team Leader

TNP2K Tim Nasional Percepatan Penanggulangan Kemiskinan (National Team for

Accelerating Poverty Reduction)

ToR Term of Reference

WB World Bank


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1. PRSF INTRODUCTION

1.1 Background to the Poverty Reduction Support Facility

The Poverty Reduction Support Facility (PRSF, “the Facility”) is designed in response to the Vice President’s

request for Australia to provide support for The National Team for Accelerating Poverty Reduction (TNP2K).

TNP2K was established through the Presidential Regulation Perpres No. 15/2010 on Accelerating Poverty

Reduction to lead the coordination and oversight of all poverty reduction programs under three clusters of

the national poverty reduction strategy. In line with the Vice President’s request, PRSF has been designed

to operate as a multi-donor support structure, into which other donors may contribute to the activities

implemented by the PRSF. The Facility is a 3.5 years initiative until the end of the current Presidential term,

31st December 2014.

PRSF builds upon the support that has been provided to TNP2K over the Poverty Reduction Interim Facility

(PRIF, July 2010 – June 2011). The objective of the Interim Facility was to lay the foundations for the

establishment of the full Facility, getting the people and systems in place. The core functions of the Interim

Facility are being continued through the PRSF, namely: recruitment and performance management of staff;

supporting workshops, konsinyasi, and field trips; supporting office management including office rent and

utilities; procurement of equipment; and IT support. In addition PRSF is providing support to TNP2K and

AusAID in the commissioning and management of research activities, studies, pilots, surveys, evaluations

and grants and providing monitoring and evaluation services.

1.2 PRSF Objectives

The goals and objectives of PRSF are aligned with TNP2K, the Presidential Instruction (Inpres) No. 15/2010,

and are consist with the overarching goals of sustainable poverty alleviation within the 2008-2013 AusAID

Country Strategy under the Australia Indonesia Partnership. The long term / medium goals and objectives

are:

Long Term Goal:

To increase the rate of poverty reduction in Indonesia and reduce the

impact of shocks and stresses on the poor and vulnerable

Medium Term Goal:

Improve the quality of policy advice for poverty programs

Objectives:

The Objective of PRSF is to assist TNP2K to achieve its goals to:

a) Design and oversee a large-scale program of social assistance and

poverty reduction;

b) Consolidate, simplify, and improve the efficiency of existing programs;

and

c) Identify important but troubled social assistance programs and resolve

their implementation problems.


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The expected outcomes of the support to TNP2K will be achieved over different time horizons. Longer term

and interim outcomes are outlined below.

Longer term outcomes (3 years +)

a) Implementation of policy advice improves the effectiveness of social assistance and poverty

reduction programs.

b) Social assistance programs are better targeted.

c) Poor families eligible for social assistance programs have reliable access to these programs.

d) Greater appetite within the diverse implementing agencies of GoI to implement integrated

poverty programs.

Interim outcomes

a) Policy working groups produce policy advice that directly influences program decisions.

b) Policy advice is realistic and implementable.

c) Evaluations and pilot programs provide evidence base for policy formulation.

d) Gaps in social assistance coverage are identified and actioned.

e) AusAID participates in key policy discussions, in technical committees and influences

decision making.

1.3 PRSF Governance Structure

Figure 1 outlines the basic governance and management structure for PRSF:


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Figure 1: PRSF Basic Management and Governance Structure

The Vice-President chairs TNP2K which includes all government agencies responsible for the planning,

financing and implementation of poverty reduction programs. The regulation also mandated an Executive

Secretary, housed in the Office of the Vice-President, which is responsible for: drafting policies and

programs, setting targets, developing a targeting database, carrying out monitoring and evaluation, and

conducting analyses and providing technical and administrative support for TNP2K.

Key roles and responsibilities of the organisational divisions and key stakeholders in the PRSF Governance

Structure are outlined below and the contact details of PRSF/TNP2K Personnel in Annex 1:

a) The Policy Working Groups: The Policy Working Groups are responsible in providing high quality policy

advice to TNP2K that directly influences program decisions to improve the effectiveness and efficiency


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of poverty reduction programs in Indonesia. The Policy Working Group comprises of six program

working groups each representing policy areas and programs in poverty alleviation. These six working

groups are:

(i) Pokja 1: Working group for the unification of targeting,

(ii) Pokja 2: Working group for health protection for the poor (GIZ funded);

(iii) Pokja 3: Working group for family-based social assistance (Cluster 1);

(iv) Pokja 4: Working group for community-based social assistance (Cluster 2);

(v) Pokja 5: Working group for micro and small enterprises (Cluster 3);

(vi) Pokja 6: Working group for monitoring and evaluation.

The Policy Working Groups are led by The Policy Working Group Coordinator, supported by the Policy

Advisor and coordination and administrative support provided by Assistant Coordinators.

b) The Secretariat: The Secretariat conducts administrative, planning, budgeting, data and information,

advocacy and communication functions. The Secretariat support plays the following roles:

i. Coordination with the provincial and district poverty teams;

ii. Coordination with technical working groups;

iii. Coordination with non-government organisations, including the private sector and state-owned

companies (BUMN) on their poverty reduction support;

iv. Maintain the database of poverty reduction programs supported by the government (including by

sectoral ministries);

v. Maintain the database of poverty reduction programs supported by the non-government

organisations;

vi. Maintain complaint handling mechanisms; and,

vii. Strategic communications and external relations for poverty reduction programs.

The Secretariat is led by the Head of the Secretariat and there are 6 Divisions, each with their own heads:

Planning and Budgeting; Program Implementation; Data and Information; Program Support Unit (PSU);

Advocacy and Publication and Media Division

c) Cluster 1 Taskforce: The role of the taskforce is to support the implementation of policy

recommendations into actions by the relevant agencies, and to provide information on implementation

challenges and other operational level issues to the Policy Working Groups. Cluster 1 Task Force

overseeing the implementation of Social Assistance Programs is located at TNP2K. Cluster 2 Taskforce is

located in the Ministry For People’s Welfare, and Cluster 3 Taskforce under the Ministry For Economic

Affairs.


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d) The Facility Steering Committee (FSC): The FSC is yet to be established, but it is envisaged it will be the

official governance forum for the strategic decision making on the scope and focus of PRSF. The FSC will

have responsibility for: the policy and strategic direction of the program; and reviewing and endorsing

the Facility workplans and funding proposals. The FSC will meet twice a year and it will be co-chaired by

the representatives of TNP2K and AusAID. It may also include representatives of international

development partners that also contribute to PRSF.

e) Facility Steering Committee Secretariat: is yet to be established but it is envisaged it will perform the

following support roles for the FSC: event management; donor coordination; organise and minute

meetings; prepare technical reviews; development monitoring and evaluation works; prepare six monthly

work plans for approval by the FSC: provide quarterly progress reports and an annual narrative report; and,

produce the draft project digests

e) AusAID: AusAID is the prime donor funding and supporting PRSF, and has been providing support to

TNP2K since April 2010. AusAID specific objective of supporting the Facility is to play an active role to

contribute to the direction of poverty (particularly social assistance) programs. The key roles and

responsibilities are:

(i) Managing AusAID’s High Level Policy dialogue with GoI;

(ii) Contract and overseeing the Managing Contractor (MC);

(iii) Monitor the Facility’s performance in fulfilling its stated roles;

(iv) Actively participate in peer reviewing policy proposals and in policy setting fora, ensuring

contribution to quality policy development;

(v) Request occasional support for studies, training, and documentation from the Managing

Contractor;

(vi) Engage senior AusAID advisers in semi-annual progress review of the Facility;

(vii) Establish and manage the Multi-Donor Special Account (MDSA) within which funds for

reimbursement within the PRSF will be placed; and

(viii) Management of agreements with every donor who contributes to the Facility.

GRM International (GRM): GRM is the Managing Contractor contracted by AusAID and the core team is co-

located with TNP2K, to perform the following services:

(i) Management of the PRSF and overall responsibility for all activities, services and tasks ensuring

inclusion of gender, and analysis of gender in Facility at all levels;

(ii) Management of the GRM PRSF Core Team and of all financial, contractual, recruitment,

procurement, human resource management, administrative and secretarial services;

(iii) Overseeing detailed design, contracting, supervision and reporting of all Work Plan activities

implemented through PRSF, including, as directed by AusAID, ad-hoc commissioned studies and

review and activities for other poverty reduction;


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(iv) Overseeing all administrative, logistic and procurement requirements for PRSF, including

conducting all aspects of office management, security, paying office rent and utilities and

maintaining equipment;

(v) Recruitment (approximately 60 positions), personnel management and performance

management;

(vi) Management of Unallocated Short Term Technical Assistance (STA) for specific specialist areas

or assignments; including the recruitment, contract, manage and monitor the services of key

STA personnel.

(vii) Communicate with and report to AusAID and the Facility Steering Committee, and/or TNP2K, as

appropriate on issues regarding activity management, including but not limited to

implementation, monitoring, quality assurance, programming and establishment of budgets.

(viii) Providing support to the Facility Steering Committee (FSC), and FSC Technical

Committees/Technical Secretariat; and

(ix) Provision of monitoring and evaluation services;


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2. MANAGEMENT RESPONSIBILITIES AND STRUCTURE

2.1 GRM’s PRSF Management Team

GRM Core Team

GRM’s Core Team (“specified personnel”) is co-located with TNP2K and consists of:

Figure 2: GRM Core Team

Patrick Sweeting – Team Leader (TL) is responsible for the day-to-day leadership, guidance and strategic

management of PRSF. This includes leadership in managing the implementation of the PRSF; supporting the

design, implementation and monitoring of research activities; providing supervision and technical advice;

management, coordination, quality control and risk management; and submission of all reports to AusAID.

Peter Riddell-Carre – Deputy Team Leader (DTL) is responsible for overseeing the management of the PRSF

office; operational management, procurement, subcontracting and oversight of activities; overseeing the

HR management, finance and procurement systems and processes; and monitoring research activities,

ensuring transparent procedures are implemented, key deliverables/outputs are met, and activities are

managed within budget parameters.

Kharisma Nugroho - Monitoring and Evaluation (M&E) Specialist is responsible for developing a

Monitoring and Evaluation (M&E) System that can articulate and monitor PRSF’s work flow in terms of

performance, quality, and impact as well as tracking the deliverables (outputs), key risks, and ensure

financial compliance. The M&E system will be developed with active involvement of stakeholders. This will

include participatory design of indicators (output, outcome and impact); means of verification;

responsibility centres; reporting periods, templates and formats; and feedback mechanisms. M&E Specialist

also responsible for planning and monitoring the implementation of activities and grants.


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Mohammad Maulana – Technical Assistance Coordinator (PNPM & PRSF) is responsible for managing the

AusAID-funded Technical Assistance for PNPM including managing annual work plans, technical outputs

and formal reporting; coordinating the role within PRSF – with a specific terms of reference to look for

opportunities to share lessons and experience between PRSF and PNPM; collate the work products of the

PNPM TA staff into brief and targeted monthly reports; and facilitate cross learning between PRSF staff and

PNPM staff.

Fitryanti - Human Resource Manager (HRM) is responsible for management of personnel recruitment

systems, advertising, selection and short-listing of all staff to be hired under PRSF; preparation of

contracts, processing of appointments and terminations, staff appraisal, staff training and professional

development and other ongoing staff management requirements; and liaising with GoI managers to ensure

that the personnel management needs are met for PRSF funded members of the Secretariat, Working

Groups, the Task Force for Cluster 1 and support staff for the FSC Technical Committees.

Yantie Taulu - Finance & Procurement Manager (F&PM) is responsible for the development and

implementation the PRSF financial management systems; planning and monitoring of the PRSF

procurement procedures and contracts; disbursement of salary and allowances; and managing and

supervising procurement of outsourced work and contractors.

Wawang Wahyu - Information Technology (IT) Manager is responsible for the overall management of the

IT systems, including server structure, system security, internet and email connectivity, the phone system

and developing and applying an IT policy; providing routine ‘help desk’ support for IT users; and

maintaining an electronic filing/records management system.

Ana Mariana - Assistant Administrative Officer (AAO) is responsible for coordinating with TNP2K for

organising PRSF-funded meetings/workshops/conferences; organising travel, accommodation, visa, and

other logistical support; and assisting with the management of daily office operations including the office

filing system and archiving of documents.

GRM Management Team

Ratna Kreshtiana – GRM Project Manager (PM) is the main contact for issues related to the head contract

between AusAID and GRM. She is responsible for providing management support from GRM to PRSF

personnel, ensuring the Facility deliverables are met; invoices submitted to AusAID on time; funds

disbursed from GRM to the PRSF bank account, and developing systems for the smooth daily operations of

PRSF.

Ken Marshall – Contractor Representative (CR) is ultimately responsible for the delivery of the services in

the Head Contract, and provides quality assurance and back-stopping support in the management and

implementation of PRSF.


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Short Term Technical Assistance (STA)

There is a pool of funds available to bring in short term technical experts at key strategic points during the

implementation of PRSF to provide additional resources to inform designs, policy development,

management and/or operational matters. The management of the STA advisors will be follow the same

mobilisation, induction, performance management and demobilisation procedures outlined in Chapter 4.

Below are details of STA positions that have currently been allocated to support specific functions over the

duration of the implementation of PRSF:

Anne Lockley – ST Gender Specialist (GS) is responsible for developing, continually reviewing and updating

a Gender Strategy and Action Plan; assessing capacity building needs at TNP2K and developing and

delivering training courses; reviewing the standard operating procedures and ensuring all procedures are

gender sensitive; and reviewing the M&E System and ensuring the system and indicators are gender

sensitive. Anne’s inputs will be 6-8 weeks per year over the life of PRSF.

Tbc – ST International M&E Specialist is responsible for supporting the full time national M&E Specialist

both in the development and implementation of M&E system for the facility. This entails: supporting

conducting an Evaluability Assessment of the PRSF with full stakeholder participation; supporting the

development and design of the M&E Plan that reflects current international standards for evaluation

practices; and supporting the implementation, on-going review of the M&E Plan and dissemination of

lessons learnt. The ST M&E Specialist inputs will be 12-16 weeks per year over the life of PRSF.

Pre-Qualified Pool of STA (consultants and organisations): a pool of pre-qualified consultants and

organisations will also be ascertained through a widespread open tender process. This pool will then be

managed in a similar manner to a ‘period contract’ so that STA can be drawn upon in a responsive and

rapid manner.

2.2 Facility Communications

Given the involvement of so many different parties in the management and implementation of the PRSF,

effective communication channels are essential for the success of the Facility. As a general guide, the

following protocols should be followed:

Within GRM Core Team (see Figure 2 above)

• The Team Leader is responsible for the day-to-day leadership, guidance and strategic management of

PRSF. The Deputy Team Leader, M&E Specialist and Technical Assistance Coordinator (PNPM & PRSF)

report directly to the Team Leader.

• The Deputy Team Leader is responsible for the operational management of PRSF. The Human Resource

Manager, Finance and Procurement Manager, IT Manager and Administrative Assistant Officer report

directly to the Deputy Team Leader.

• Formal communication related to the Head Contract should be directed to the GRM Project Manager; if

required the GRM Project Manager will consult with the Contractor Representative.


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• Monthly meetings will be held between the GRM Core Team to review progress and discuss any issues

that arise.

Coordination between GRM Core Team and TNP2K

Clear communication channels between the GRM Core Team and TNP2K are essential for ensuring efficient

and effective coordination during the implementation of PRSF. Some key guiding principles include:

Nature of Query from TNP2K Staff Key Contact Point in GRM Core Team

Technical and Strategic Direction related to PRSF Team Leader, cc Deputy Team Leader

Operational Management: including Office Management

Systems and Procedures; Operational Management Procedures;

Procurement; Subcontracting;

Deputy Team Leader, cc Team Leader

Activity and Grant Design, Procurement, Management and

Implementation

Team Leader, cc DTL, Activity Design

Specialist, Finance and Procurement

Manager, M&E

PNPM TA management, including monitoring and evaluation of

works plan, technical outputs, and logistical support.

Technical Assistance Coordinator

(PNPM & PRSF), cc Team Leader and

DTL

PRSF Monitoring and Evaluation, including: PRSF M&E System /

Plan, M&E of activities / grants, Monthly Personnel Progress

Reports

M&E Specialist, cc Team Leader and

DTL

Human Resource Matters, including: recruitment, advertising,

shortlisting, contracts, performance appraisals, staff training and

professional development

HRM, cc DTL

Financial and Procurement Matters, including: invoices,

timesheets, expense reimbursement, procurement requests

Finance and Procurement Manager, cc

DTL

All requests for office supplies, logistical (for travel and

workshops) and administrative support

Should be sent to The Program

Support Unit. S/he will then on a bi-

weekly basis send consolidated

requests to the Finance and

Procurement Manager.

Requests for PRSF to Support Workshop (see section 3.15 for full

details)

Approval for the workshop should first

be granted from the Policy Working

Group Coordinator or Head of the

Secretariat. Once approved ToR should

be sent to DTL, cc Finance and

Procurement Manager, Assistant

Admin Officer, M&E Specialist and

Head of Program Support Unit.


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IT Software / Hardware Support Requests Should be sent to the Head of the Data

and Information Division. S/he will

then contact the IT Manager to

address issues.

IT support for ‘trouble shooting’ IT Manager

Within TNP2K (see Figure 3)

The full details of the lines of communication, including reporting lines, coordination lines and feedback /

consultation lines is illustrated in Figure 3 below. Some broad principles:

• TNP2K is led by the Executive Secretary

• The Policy Working Groups: The 6 Policy Working Groups are led by the Policy Working Group

Coordinator (PWGC) who reports directly to the Executive Secretary. Each Policy Working Group has a

Head of the Working Group who reports to the Policy Working Group Coordinator.

• The Secretariat is led by the Head of the Secretariat who reports directly to the Executive Secretary.

The Secretariat is composed of 6 Divisions: Program Support Unit, Advocacy, Data and Information,

Planning and Finance, Program Implementation, Publications and Media. Each Division has a Head who

reports directly to the Head of the Secretariat

• The Activity Design Specialists report directly to the PRSF Team Leader and coordinate closely with the

Policy Working Group Coordinator.


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Figure 3: TNP2K’s Organizational Structure and Reporting Lines

Key : : Reporting Line

Coordination

Feedback and Consultation

HEAD OF SECRETARIAT

WORKING GROUP

COORDINATOR

Head of Program

Implementation Div

Head of Planning

and Finance Div.

Head of Data and

Information Div.

Policy Working

Group: Unification

of Target Poor

Households

Policy Working

Group: Health

Social Assistance

for Poor Family

Policy Working

Group: Integrated

Household based

Social Assistance

Program

Policy Working

Group: Community

Empowerment based

Poverty Reduction

Program

Policy Working Group:

Micro Finance and SMEs

Based Poverty

Reduction Program

Policy Working

Group: Monitoring

and Evaluation

Head of Working

Group

Head of Working

Group

Head of Working

Group

Head of Working

Group

Head of Working Group

Head of Working

Group

Officers Officers Officers

Head of Program

Support Div

POLICY

ADVISOR

TASK

FORCES

MULTI

PARTNERSHIP

Head of Advocacy

Div.

Officers Officers

GRM

PRSF Core Team

Activity Design

Specialist

EXECUTIVE SECRETARY: DEPUTY VICE PRESIDENT’S WELFARE


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2.3 PRSF Workplan

PRSF will operate on a six monthly planning cycle that is based around the preparation and approval of

2 six-monthly Workplans for activities:

1. Facility Steering Committee (FSC) 6-Monthly Workplan: This will be approved by the FSC in the

bi-annual meetings. Details of the procedures on Work Plan preparation, implementation and

oversight will be determined through consultation between AusAID and TNP2K once the FSC is

established

2. AusAID directed activities 6 Monthly Workplan: a separate workplan will be developed on a six

monthly basis in consultation with AusAID to outline the management and development of

other AusAID directed activities such as the support for PNPM TA.

The Work Plans will include the following at a minimum:

- Summary of rationale for proposed major program directions for the forthcoming six monthly

period and if longer lead times are needed for activity preparation to indicate such;

- Clearly articulated activity descriptions for each activity that will receive funding over the

forthcoming six month period, including budget, timeframe for delivery, what success will look

like, key risks if any, and other typical activity design components; and

- Description on how the GRM will proceed with the activities identified in the Work Plan,

outlining the role and function of GRM and any additional performance and or quality criteria

that will applied.

2.4 Facility Reporting

GRM will submit to AusAID the following report which are due based on the below schedule:

Report

First Submission Date Recurrent Revision Period

Inception Report 30th September 2011 N/A

Operations Manual 30th September 2011 Updated when procedures / processes are

revised.

Risk Management Plan 30th September 2011 Updated every Quarter in the quarterly

report

Monitoring and

Evaluation Plan

Tbc once international M&E

Specialist is mobilised.

At least every 6 months

Gender Strategy and

Action Plan

30th September 2011 At least every 6months

Contractor Performance

Assessment Criteria

30th September 2011 N/A

Quarterly Progress

Reports

31st December 2011 Submitted every quarter


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Financial Budget

Projection across all

budget lines

31st December 2011 Submitted every 6 months

Activity Budget

Projections

30th September 2011 Submitted every quarter in the quarterly

report, as requested by AusAID.

Activity Completion

Report

30th June 2014 N/A

2.5 Confidentiality

All staff are to keep all matters deemed to be confidential and associated with PRSF activities confidential.

For these purposes Confidential Information means:

4 is by its nature or designation confidential;

5 is designed specifically by AusAID as confidential; or

6 the Recipient knows or ought to know is confidential;

7 is related to an individual’s remuneration / salary package

whether it relates to printed matter, electronic based information, or oral information.

2.6 Cultural Awareness

The staff should take every opportunity to become aware of the cultural mores and taboos within the

cultural and social environment of the Facility and day-to-day living.

2.7 Media

Staff are not to participate in media conferences, make press releases or make comment to the media

about PRSF without prior approval of the Executive Secretary, PRSF Team Leader or AusAID.

2.8 Intellectual Property

Intellectual property generated from any related project activities is vested in AusAID and/or GoI.


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3. OFFICE PROCEDURES AND MANAGEMENT

3.1 Work Days and Working Hours

Work days are from Monday to Friday, and do not include public holidays. Working hours are generally 8

hours from 8:00 a.m. to 5:00 p.m, with 1 hour of lunch break that may be taken between 12:00 noon and

2:00 p.m. Flexible office hours may be arranged with the approval of your direct supervisor. On Friday,

Muslim staff have the right to attend Friday pray from 11:45 am to 1:15 pm.

3.2 Absence

If staff cannot come to work due to illness, they must inform their direct supervisor by 9:00 a.m.

3.3 Access Cards and Keys

A set of office keys (kept in the main door’s safe box) and magnetic cards to access the office on the 4th, 5th,

and 6th floors will be provided upon request to the Program Support (PS) Unit. The last person leaving the

office must lock the door and place the key in the safe box.

If a staff member loses his or her office keys and/or access card, he or she must report it immediately to the

Program Support Unit. The PS will notify GRM Finance and Procurement Manager and obtain the

replacement.

3.4 No-Smoking Policy

Smoking is not permitted inside TNP2K or PRSF vehicles at any time.

3.5 No-Food Policy

Meals are not permitted to be eaten inside TNP2K or vehicles, except in the dining areas or kitchen.

3.6 Dress Code

The ‘business attire’ follows GOI protocol (office of Vice President). Acceptable and non- acceptable

business attire for employees includes the following:

Appropriate Business Attire

Men: Suits, Slacks, Sport Coats, Ties (optional), Collared shirts, Jumpers with collared shirts underneath.

Not Acceptable: Non collared shirts, T-shirts, Torn/ripped clothing, anything denim, Flipflops/thongs/rubber

shoes

Women: Dresses, Trousers, Skirts, Dress knee length shorts, Blouses/sweaters/knit tops

Not Acceptable –

Mini-skirts, Halter tops, Midriff tops, Anything denim, Ripped or torn clothes, Flipflops/thongs/rubber shoes


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3.7 Use of Facility Vehicles

The Facility maintains three vehicles (two vehicles for TNP2K operations, and one is for the GRM Core

Team). No private use of the Facility vehicles is allowable, unless authorised by the GRM TL and a rental /

mileage fee will be applied.

Use of the vehicles for TNP2K operations will be managed by the PS Unit, and for GRM Operations will be

managed by GRM Assistant Admin Officer. Staff requiring transport should send a request, by email or

verbally, with the date and time required, including destination information. The advice should include the

full extent of the vehicle requirement, being drop only, drop and wait, drop and pick up later or drop and

no pick up.

Drivers from the rental car company are the only persons authorised to drive Facility vehicles.

If a staff member is involved in an accident while in a Facility vehicle, the accident is to be reported to the

police as soon as practicable and details provided to the PS Unit. If at the accident scene it is apparent that

it is unsafe to remain there and the vehicle is drivable, the driver should go to the nearest police station for

safety to report the matter. Should anyone be injured in a vehicle accident, provisions under the Safety and

Security Plan (Annex 2) should be followed.

3.8 Parking Facilities

Parking lots are available at Grand Kebon Sirih Office. Parking space for PRSF vehicles is being organised by

PS Unit. For personal vehicle parking, information regarding booking spaces and subscription rates can be

obtained from the Building Management, Ibu Ida 021 3911539.

3.9 Cleaning Services

The Facility contracts ARLA for the provision of 1 staff for office cleaning support for 4th, 5th, and 6th

floors. The service includes labour, equipment, and chemicals for office furniture, carpet, glass, and wall

cleaning. Working hours are from 07.00 to 18.00.

3.10 Office Stationary

All requests for office supplies should be sent to The Program Support Unit. S/he will then on a bi-weekly

basis send consolidated requests to the GRM Finance and Procurement Manager.

3.11 Use of Mobile Phones / Office Phones and Faxes

The office mobile phone/telephone and fax facilities are provided for official business.


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Mobile Phone: The Facility provides mobile phone allowance Rp. 200,000/month for PRSF personnel1. The

GRM Finance and Procurement Manager will process the payment on monthly basis upon submission of

invoice for fee and communication allowance.

It is expected that the staff of the Secretariat to be 24-hour contactable.

Phone: A record of long distance telephone calls will be electronically produced and reviewed regularly in

order to identify any misuse of telephone privileges. Selected telephones will have access to international

calls. This list is managed by the PS Unit and any changes should be notified to the GRM IT Manager.

The use of telephones for private calls is acceptable, so long as all personal calls are marked and paid for on

receipt of the phone bill.

Fax: Incoming faxes will be received by the PS Unit and distributed on a daily basis.

The GRM IT Manager will be responsible for the availability of the equipment including faxes, printing and

photocopying. If there are any problems with the equipment the GRM IT Manager should be informed.

3.12 Use of Meeting Rooms

2 meeting rooms are available on each of the 4th, 5th, and 6th floors. They are for the use of all staff and will

be available on a first-come-first-serve booking basis.

The use of meeting room is managed by the PS Unit. Bookings can be made directly on the booking sheet

provided on the door of each meeting room.

Documents and personal items are to be removed by the user/s at the end of the meeting. If equipment is

used and is no longer required, the user/s will organise for its return if it has been left behind in the

meeting room.

3.13 Travel Policy (for PRSF Funded Activities)

Any Facility-related travel should be approved by the direct supervisor. All Travel Request forms (Annex 3)

are to be approved by the direct supervisor and endorsed by GRM Finance and Procurement Manager for

budget availability at least 7 working-day prior to the travel. All travel arrangement (hotel and flight

booking) will be made by GRM Assistant Admin Officer.

An Expense Reimbursement form (Annex 4) for claiming travel expenses must be completed within 5 days

of returning and submitted to GRM Finance and Procurement Manager to process the payment.

PRSF travel policy should comply with AusAID’s policy on the payment of allowances and with the GoI

standard unit rates (Annex 5).

1 PRSF Personnel refers to all TNP2K staff who are contracted by GRM International under the Poverty Reduction

Support Facility.


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3.14 Attendance at International Conferences (for PRSF Funded Activities)

Selection of Participants: When a conference has been identified as suitable for PRSF activities, the Head

of Secretariat or the Policy Working Group Coordinator will be responsible for determining the number of

participants to attend, and establishing a transparent selection process and selection criteria to facilitate

the selection of suitable delegate. This should be done in liaison with GRM Finance and Procurement

Manager and AusAID.

Budget: Once a conference has been identified as appropriate, the PIC in consultation with the GRM

Finance and Procurement Manager will formalise a budget that will fully cost anticipated expenses to be

incurred. The information for budget including supporting document such as TOR and list of participants

should be provided to the GRM Finance and Procurement Manager a minimum 1 (one) month before the

conference. This budget will include, but not be limited to: airfares – domestic and international;

accommodation; per diems; visas; fiscal fee; airport departure tax; conference registration fee; local

transport allowance; and travel insurance.

Logistics

Invitation: The Head of the Secretariat or Policy Working Group Coordinator will prepare a Terms of

Reference and correspondence that will inform applicants they are selected to attend the conference. This

letter is to provide full conference details, RSVP details (with cc to the PS Unit) and report back

requirements.

The list of invitees will be sent to the PS Unit a minimum 1 (one) month before the conference to enable a

smooth logistical process such as registration, visa application, flight and hotel booking.

Registration: The GRM Assistant Admin Officer will keep a record of responses from participants on their

attendance at the conference. When all responses have been received including copies of passport, the

GRM Assistant Admin Officer will formally register all participants, fill out registration form/s and organise

the fund transfer of the registration fee to the conference organisers. Registrations will NOT be processed

until complete documentation of the participant is received. Occasionally registrations can be reserved

without names being provided in order to meet registration deadlines and avoid higher fees.

Travel Request: Once the list of participants has been provided, the attendees are responsible for

completing a travel requisition form requiring travel to attend the conference. All flights are to be

Economy Class.

Accommodation: The GRM Assistant Admin Officer will source accommodation near the conference site.

Hotel payment will be arranged direct to the hotel by GRM Finance and Procurement Manager before the

conference. If this is not possible, then each participant will be responsible to pay their accommodation

cost with forwarded money given by the GRM Finance and Procurement Manager prior to departure.

Per diems, allowances and acquittals: All conference participants will receive a daily per diem to cover

meals, personal and incidental expenses. All rates of per diems and allowances are to follow the AusAID

procedures and the GoI unit costs (see Annex 5) and is to be acquitted within 5 (five) working days after the

conference.


Page 25

Reporting: All conference participants are required to provide a debriefing within five days of returning

from the conference. This is to be in written format and passed to their direct manager and the GRM

Finance and Procurement Manager for event record purpose.

3.15 Attendance at Local Workshops (for PRSF Funded Activities)

Selection of Participants: When a workshop has been identified as suitable for PRSF activities and approved

by the Head of the Secretariat or Policy Working Group Coordinator, the Secretariat/WG personnel who is

in charge for this activity (PIC) is responsible for finalising the Terms of Reference using the ToR template

(See Annex 6). This should be done in liaison with GRM Finance and Procurement Manager and Assistant

Admin Officer.

Budget: The PIC should prepare the budget for the workshop that will fully cost anticipated expenses to be

incurred based on the information from the Terms of Reference provided at least 10 (ten) working days

before the workshop. This will include, but not be limited to airfares, accommodation, per diems, airport

departure tax, and local transport allowance. Final budgets should be approved at least 1 week before an

event starts. This should be send to the Finance and Procurement Manager to review.

Logistics: In order to ensure strong coordination between GRM and TNP2K, the GRM Admin Assistant

Officer and Head of the PSU will meet to discuss responsibilities for managing the logistics, administration,

travel and per diems for workshops. A Workshop Checklist (see Annex 7) will be worked through, agreed

and signed by all parties.

Travel Request: Once the list of participants has been provided, GRM Admin Assistant Officer will be liaising

with PIC for organising a travel requisition form for all attendees requiring travel to attend the workshop.

The list of participant’s details such as name and participants’ home base location should be submitted to

the AA at least 10 (ten) working days to enable a smooth logistical process such as registration, flight and

hotel bookings, etc.

Accommodation: The GRM Admin Assistant Officer will source accommodation near the conference site.

Hotel payment will be arranged direct to the hotel by GRM Finance and Procurement Manager before the

conference. If this is not possible, then each participant will be responsible to pay their accommodation

cost with forwarded money given by the GRM Finance and Procurement Manager prior to departure.

Per diems, allowances and acquittals: All participants will receive a daily per diem to cover meals, personal

and incidental expenses from the GRM Finance and Procurement Manager. All rates of per diems and

allowances are to follow AusAID procedures and the GoI unit costs (see Annex 5) and is to be acquitted

within 5 (five) working days after the workshop.

Reporting: The PIC will complete a post Workshop Evaluation (see Annex 8) and submit the Deputy Team

Leader within five days of returning from the workshop. This is to be in written format and passed to their

direct manager and the GRM Finance and Procurement Manager for event record purpose.


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Figure 4: Workshop Flow Chart


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3.16 Safety and Security Guidelines

A primary concern for GRM is the safety and security of advisers and their dependents. Accordingly a

security plan has been put in place to facilitate the safe exit from the country should the need arise (see

Annex 2 - Security Plan).

PRSF personnel are responsible for security arrangements at their place of abode and guidelines for

security have been provided in the Safety and Security Plan (Annex 1). It is the responsibility of PRSF

personnel to ensure that their dependants are familiar with the Security Plan and its contents. It is also

their responsibility to know where their dependants are at all times while they are in country and, if

circumstances dictate, advise the Facility Office.

In the event of any incident that may affect security, the GRM Project Manager will advise the Contractor

Representative immediately and take whatever precautions are necessary to ensure the safety and security

of Facility personnel and property. The Project Manager will be responsible for notifying AusAID and, if

necessary, and in consultation with the TL and PS Unit, implementing the Security Plan.

3.17 IT Procedures

IT Support

Troubleshooting: All IT support requests should be sent to the Head of the Data and Information Division.

S/he will then contact the GRM IT Manager to address issues.

The GRM IT Manager will also maintain the existing LAN System, routinely check the hardware and

software being used, produce a report in writing when there is a damage to the hardware and software,

recommend other software and hardware when it is needed; provide training and trouble shooting to

handle problems with the system; and maintain electronic archive and filling system.

Internet Policy

The primary purpose for access to the Internet is to assist carrying out staff duties. However staff may also

use the Internet for reasonable amounts of private use which are consistent with this Acceptable Use

Policy. Staff may not use the Internet access in any manner or amount which would interfere with the

duties of their employment or which could expose significant cost or risk of liability.

What is acceptable use: Subject to the balance of this policy, PRSF personnel may use the Internet access

for:

• Work-related purposes;

• Sending and receiving personal email messages;

• Accessing the World Wide Web for personal purposes (except Facebook);

What is not acceptable use:

• streaming audio or video services. Examples include Internet radio and Youtube;

• downloading movies, music or software applications;


Page 28

• personal commercial purposes;

• sending unsolicited bulk email;

• disseminating confidential information;

• any illegal purpose;

• knowingly causing interference with or disruption to any network, information service, equipment

or any user thereof;

• disseminating personal contact information of officers or employees of TNP2K without their

consent;

• knowingly downloading or requesting software or media files or data streams that the employee

has reason to believe will use a greater amount of network bandwidth than is reasonable.

3.18 IT Software and Hardware Policies

The topics covered in this policy include:

• Software Licensing

• Software Standards

• Software Installation

• Hardware Standards

Software Licensing

Each PRSF personnel is individually responsible for reading, understanding and following all applicable

licenses, notices, and agreements for software that he/she uses or seeks to use. If a PRSF personnel needs

help in interpreting the meaning/application of any such licenses, notices, and agreements, he/she will

contact the GRM IT Manager. Otherwise any duplication of copyrighted software, except for backup and

archival purpose, violates the procedures and law.

Software Standards

The following list shows the standard suite of software installed on PRSF computers that is fully supported

by the IT Data/Division.

• Microsoft Windows 7/ XP

• Microsoft Office Professional 2007

• Microsoft Internet Explorer

• Anti Virus (Kaskersky, Mc Affee)

• Adobe reader

• Media Player

• WinZip

• CD Writing software

Where applicable the following software is valid on most computers:

• Microsoft Visio


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• Microsoft project

• Stata

• Dreamweaver

Software Installation

The IT Data/Division relies on installation and support to provide original software in good operating

condition to the PRSF personnel so that they can best accomplish their task. Installation of software is only

undertaken by the GRM IT Manager

Hardware Standards

• Laptops – provided to Policy Working Group members and PRSF personnel who are required to

frequently work away from the office.

• Desktop – provided to PRSF personnel who work primarily from the office.

• Printers – PRSF personnel will be given access to appropriate network printers. In some limited

case, employees may be given local printer if necessary.

PRSF personnel needing computer hardware or software other than what is stated above must request

from the IT Data/Division and sent to the GRM IT Manager.

No outside equipment may be plugged or connected to the TNP2K network without the IT Data/Division’s

written permission.

Policy Information

IT Support Mukhtar Anwar, 081310207566


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4. HUMAN RESOURCE MANAGEMENT

4.1 Salary and Benefits

Salary

Secretariat Salary Scale

The Secretariat has determined the structure of salary and other elements of compensation applicable to

all PRSF personnel and shall make all reasonable efforts so that such salary structure and other elements of

compensation shall be attractive, competitive and will allow TNP2K to retain competent personnel.

The Policy Working Group Salary Scale

All positions within the Policy Working Groups are governed by the AusAID Adviser Remuneration

Framework. The ARF defines AusAID’s policies and procedures for determining the remuneration rates for

Long Term and Short Term Advisers and outlines requirements for implementing and monitoring these

policies. GRM must ensure that: all adviser positions are assigned a Job Level and Professional Discipline

Category in accordance with the Adviser Remuneration Framework; and all Advisers are engaged and

remunerated in accordance with the relevant classification specified in the ARF.

Benefits

Health Insurances

GRM provides Health Insurance (Asuransi Bina Dana Artha/ ABDA) which covers basic healthcare for in and

out patience, as well as dental care. The benefits of the group health insurance plan shall be as advised by

the insurer, and may be varied by the insurer from time to time.

International staff must be covered through a comprehensive expatriate health insurance policy. GRM has

a corporate expatriate health policy which staff are encouraged to take out.

Religious Festivity Allowance / Annual Bonus

A religious festivity allowance in the amount of one month's salary shall be paid to all full time PRSF

personnel who have worked for 12 (twelve) continuous months, two weeks before the religious festivity

day. The religious festivity allowance for PRSF personnel with contract periods of at least 3 (three)

continuous months but less than 1 (one) year shall be paid based proportionally. During the recruitment

process, the PRSF personnel must alert the HR Manager on their festivity period.


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4.2 Recruitment Process

Transparent recruitment processes will be employed based on meritocracy and equal opportunities. GRM is

committed to advancing gender equality in its own workforce. The key elements are:

Recruitment Process

1. • ToR for new position drawn up using ToR Template (Annex 9)

• ToR submitted to supervisor and then Head of Secretariat / Policy Working Group

Coordinator.

• Upon approval ToR submitted to HRM.

• HRM and or DTL will liaise with AusAID and get approval prior to vacancy advertisement

2. Once ToR Approved, vacancy is advertised internally within official networks and externally

through local newspapers, key publications (TEMPO), a broad range of mailing list, leading

Indonesia and overseas university and scholarship alumni; development forums and

distribution lists; development partners and poverty programs; and professional networking

sites.

3 ToR is sent by HRM to GRM Project Manager to upload on the GRM Website “Project

Employment” section.

4 Once all applications are received, they will be sorted and short-listed by the HRM against

the Selection Criteria, and submit to the supervisor for a second round short listing. If the

candidate has not submitted their statement against the Selection Criteria this will be

requested before the second round shortlisting.

5. A recruitment and selection panel with at least three people (combination of GRM, TNP2K,

AusAID) will be identified and interviewing for the post will begin. Candidates will be

interviewed and rated using an interview assessment form (see Annex 10). Interview

questions list will be generated (tailor made) for each post. Interview result will be decided

amongst the panel interviewer on which candidate to be processed;

6. After decision is made, at least two reference checks for the candidate will be carried out by

HRM (see Annex 11);

7. After the reference checks, HRM will obtain current salary documentation from the

candidate. This salary history and the established AusAID ARF will be taken into

consideration when the HRM and DTL meet to discuss the salary that will be offered;

8. HRM will make an offer to the candidate, and after the candidate agrees to the offer, HRM

prepares two originals of a subcontractor agreement and gets it signed by the GRM

Contractor Representative: one for the sub contractor and one for GRM’s files.

9. A copy of subcontractor scope of work / Terms of Reference should be given to the

subcontractor with Key Performance Indicator agreed by subcontractor and line manager.

HRM is responsible to finalize the subcontractor files to ensure complete documentation.


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4.3 Mobilisation and Induction Procedures

Each PRSF personnel and STA will also be given the following technical/administrative materials as part of

his/her orientation by his direct supervisor and the Deputy Team Leader / HRM (see Annex 12):

Mobilization and Induction Procedures

1. Contract negotiations finalised and new TNP2K personnel / ST Adviser starting date

confirmed.

2 Pre-mobilisation pack sent to the sub-contractor / adviser, which includes:

• Contract for signing

• Operations Manual (which includes the Safety and Security Plan and Code of Conduct)

• Health Insurance Policy Details

3. HRM liaises with Head of Program Support Division to:

• Inform the starting date of the sub contractor / adviser

• Confirm seating arrangements

• Request name cards and identity tag

4 IT Manager (liaises with Head of Program Support Unit) for the procurement of the computer

and establishes the email address account. (not required for Short Term Advisers)

5 Project Manager registers new subcontractor / adviser on insurance policy, and informs

Finance and Procurement Manager / Payroll of the salary conditions and contract period.

6. Induction of PRSF Personnel / STA which entails:

With the Direct Supervisor:

• Overview of PRSF Goals of the Facility with the Direct Supervisor

• Review of Job Description with Supervisor and performance indicators / KPI

With Deputy Team Leader and HRM Manager

• Develop / Review KPIs

• Inductions to personnel at TNP2K

• PRSF Operations Manual Standard

• AusAID Compliance Policies

• PRSF Gender and Action Plan

With Finance and Procurement Manager:

• Invoicing, timesheet and payroll procedures

With IT Manager:

• Connection to printers and wifi password

7. HRM Electronic file of the contract and CV saved under CV’s in Personnel Folder


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4.4 Leave Entitlements

4.4.1 Annual

PRSF Personnel should consult their employment contract for details on annual leave entitlements. In

applying for leave the PRSF personnel must complete a “Leave Application Form” and have it signed off by

their direct manager. The Leave Application Form is to then be sent to the GRM HRM.

4.4.2 Sick, Compassionate and Bereavement

PRSF personnel must produce a doctor’s certificate for more than 2 consecutive days of sick leave (in

accordance with GoI manpower regulations). All staff are required to file a Leave Application Form (Annex

13) for absences incurred. This form is to be approved by the direct supervisor and then sent to the GRM

HRM.

4.4.3 Leave without pay

PRSF Personnel may be granted leave without pay. The maximum amount of leave without pay which may

be granted in any calendar year will be five (5) working days. Leave without pay for periods of more than

five (5) working days is not recognised as service for any purpose. Leave without pay must be approved by

the direct supervisor and Head of the Secretariat / Policy Working Group Coordinator.

4.5 Public Holidays

Staff are entitled only to the public holidays as designated by GoI (office of Vice President). The list of

public holidays for 2011/12 is attached at Annex 14.

4.6 Performance Appraisal

A performance evaluation of each staff member shall be conducted. The process of performance appraisal

is intended to encourage the professional development of employees to meet their individual needs, those

of the Facility, and ultimately the needs and expectations of clients and Facility partners.

Setting of performance measurement indicators and performance appraisal are integral to the process of

developing a fully committed, professionally competent and effective staff, thus also improving the

productivity and effectiveness of the Facility as a whole.

Probationary Performance Appraisals: For the Secretariat PRSF personnel the performance appraisal will

be conducted after 3 months, and for the Policy Working Group PRSF personnel after 6months. The

performance appraisal will be based around the agreed KPI and KRA that are established during the

recruitment and induction process. The appraisal will be conducted by the direct supervisor and mediated

by the HRM. (see Annex 15).


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Annual Performance Appraisals: An annual performance review will be conducted by the supervisor with

the employee to monitor progress and provide feedback. One month before the contract expiry date, the

HR Manager will send an email to the sub contractor and supervisor with the Performance Appraisal

Template (see Annex 15) notifying them of the requirement to complete the performance appraisal

process. The signed performance appraisal forms should be sent to the HR Manager at least 1 week before

contract dues.

For Policy Working Group Personnel an AusAID Adviser Performance Assessment (see Annex 16) will also

be completed. This will be done by the PRSF Team Leader in consultation with the Policy Working Group

Coordinator, and the assessment will be sent to each staff member for review before finalisation.

STA Performance Appraisal: STA Advisers will also undertake performance appraisals at the end of their

assignments. These will be based on the AusAID Adviser Performance Assessment Template (see Annex

16).

4.7 Professional Development

During the process of performance appraisal and in discussion with the supervisor, the need for

professional development and training can be identified subject to the approval from the Policy Working

Group Coordinator and / or the Head of the Secretariat. The need for professional development shall relate

directly to PRSF personnel’s duties and can take the form of in house training and/or by enrolling into short

term courses.

Any applications for the assistance must be justified and have to address the following criteria:

• Individual must be employed on a full time basis for the period of 12 months or longer.

• Demonstrate the relevance of the proposed course to the current duties;

• Demonstrate how the training will improve individual’s skills in performing their role;

• Individuals must have an above average work performance in their work appraisals

• Approval for studies may be granted if the individual’s performance is not affected and undue

pressure is not placed on other individuals.

Any application must be approved by the Head of Secretariat and/or the Policy Working Group Coordinator

before being submitted to the Deputy Team Leader for consideration. Any requests related to Professional

Development are subject to approval and budget availability.

4.8 Ethics and Code of Conduct

PRSF personnel should be made aware that they at all times are representing the Facility, GRM and AusAID.

Maintaining high standards of personal behaviour is essential and GRM advisers should exercise caution

around their workplace and public spaces particularly when discussing sensitive matters. Any criticisms or

feedback on performance or code of conduct should be dealt with professionally in the work environment.

PRSF personnel should be encouraged to ensure punctual attendance to the meetings with counterparts

and adhere to the appropriate dress code.


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PRSF personnel must adhere to the Code of Conduct (see Annex 17) and be role models at work and

outside of work. People watch and comment on all the aspects of an adviser’s life like the hours of work,

places people visit, the way people drive and personal relationships.

The Code of Conduct clearly spells out the types of behaviour that, if breached, will result in termination of

employment without notice. The Code of Conduct is constantly reinforced by the Team Leader. Any serious

issues on the breach of the Code of Conduct must be dealt with by the Team Leader on a case by case basis

and where appropriate, reported to AusAID.

4.9 International Adviser Visa Processing

Request of Business Visa (single-entry, multiple-entry, and DINAS Visa) arrangement for the International

adviser will be addressed to GRM Project Manager. The adviser will liaise with GRM AAO for preparing the

supporting documentation (passport, CV, TOR position, photograph, personal details, etc)

Original Accreditation Visa and MERP

Letter of authority: GRM Project Manager is responsible for sending a request letter to AusAID for an

adviser’s accreditation visa and/or MERP (Multiple Exit Re-entry Permit).

The letter will then pass through AusAID to Menko Kesra/Bappenas/Vice Persident’s Office requesting

approval for adviser’s assignment. When the adviser is approved, Menko Kesra/Bappenas/Vice Persident’s

Office will send the approval to the State Secretariat (SetNeg). SetNeg then issues the accreditation letter

to AusAID and Menko Kesra/Bappenas/Vice Persident’s Office. AusAID then send request to Directorate

General of Immigration Department of Legal & Human Rights (DirJen Imigrasi Dep Hukum & HAM) for

permit/visa through SetNeg. After approval is obtained, AusAID will collect it and send to GRM Project

Manager to be processed in the Local Immigration office (Kanwil Dep Hukum & HAM) using the service of

visa agent.

Passport collection: When the letter of authority process is complete, GRM AAO will oversee the collection

of original passports of the advisers and forward them to the Local Immigration office for KITAS (Limited

Stay Permit) and MERP stamp. GRM AAO will track the return of the passport from the Local Immigration

office with appropriate KITAS and MERP stamps.

Validity: A KITAS (Limited Stay Permit) expires in 12 months. A MERP expires in 6 months. At each expiry,

renewals need to be obtained. Advisers should inform GRM Project Manager for the validity of Visa and the

relevant staying permit document.

Renewal Accreditation Visa and MERP

Renewal process: The renewal process is similar to the steps above.

Exit Permit Only (EPO): When an adviser has completed their assignment with the project, they will need

to obtain an EPO, which will allow the adviser to repatriate personal goods.

The procedure is similar to the steps above, however the request is for an EPO.


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4.10 Compliance with AusAID Policies

PRSF Personnel must ensure they understand and comply with the following policies:

(a) the policy Gender Equality in Australia’s Aid Program – Why and How (March 2007);

(b) The strategy 'Development for All: Towards a Disability-Inclusive Australian Aid Program 2009-

2014', and in particular the strategy’s six guiding principles

(c) Child protection, in particular the child protection compliance standards at Attachment 1 to

AusAID’s Child protection policy;

(d) Family Planning and the Aid Program: Guiding Principles (August 2009)

(e) Ensure the performance of any Services complies with Section 160 of the Environment Protection

and Biodiversity Act 1999 (Clth);

(f) Comply with AusAID’s Environment Policy Guidelines, including advising AusAID of any potential

positive and negative environmental impacts of any Services and report regularly on any such

impacts as required by the Scope of Services;

(g) Ensure the performance of any Services complies with the Fair Work Principles as set out in the Fair

Work Principles User Guide

4.11 Termination of Contract/ Demobilisation

PRSF personnel who wish to terminate their contract must submit a notification letter to Human Resource

Manager and The Head of Secretariat and/or Policy Working Group Coordinator to at least thirty days prior

to termination. They will be required to sign an Employee Exit Interview form (see Annex 18) and an Exit

Clearance Check List (see Annex 19). During this exit interview, project asset will be returned to the facility

office. Maximum payable leave balance during termination is 5 (five) working days.

At the end of the contract, staff will be required to return any project assets to the Human Resource

Manager, including laptops, mobile phones, access cards and any other property allocated to the staff

member. All outstanding invoices must also be paid (e.g. private use of phone bills, travel acquittals, etc.).

Any final demobilisation payment due to the staff member will be withheld until all property is returned

and all bills are paid.

4.12 Dispute Resolution

All disputes must be brought to the attention of the Team Leader and GRM Project Manager in order to

assess the level of risk associated with the dispute from GRM’s corporate perspective. Any disputes arising

from an adviser in relation to the implementation of the program activities or issues arising from in-country

including contractual matters, should be reported to the Team Leader in the first instance. The Team

Leader will then mediate between the parties as deemed necessary and report any issues to the Project

Manager prior to making a decision.


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4.13 PNPM TA Management

4.13.1 PNPM Management Objective

To get effective results and feedback opportunities related with PNPM policy decision making process

through sharing lessons, experience practices, and empirical situation across PNPM-sub programs.

4.13.2 PNPM TA Staff – Scope of Services

In general, PNPM TA staff placement in related line ministries is aimed to help central government in

developing policy guidance across PNPM sub-programs and PNPM’ performance measures in order to

improve national/provincial management.

For each PNPM TA staff, the scope of services are based, but not limited to, on their specific Terms of

Reference, and possibility some additional tasks requested by executing agencies. For the latter, approval

should be made between GOI, AusAID representative unit and GRM.

4.13.3 Performance Framework

Clear framework is needed as a basis for monitoring and evaluation of achievements. Two instruments will

be applied:

• Monthly Progress (see Annex 20)

This is aimed to be a quick response of recent progress status, problems and issues that need to be

discussed. Performance will be assessed based on date of report submission received by PRSF cq.

PNPM TA Coordinator against the agreed monthly schedule (see section 4.13.5)

• Overall Performance Assessment (see Annex 16)

PNPM TA staff agrees that PRSF may issue performance assessment in relation to the Contract. The

PNPM TA staff performance assessment shall be substantially in accordance with the AusAID

Adviser Performance Assessment Template (see Annex 16). Each PNPM TA staff shall sign and get

an approval from representative officer in executing agencies, then returned it by email/fax the

completed performance assessment together with any response the PNPM TA staff wishes to

include to PRSF cq. PNPM TA Coordinator.

4.13.4 Meeting and Coordination

Meeting and/or coordination will be held and chaired by PNPM TA Coordinator on monthly basis to discuss

last month progress status, obstacles and problems, and common issues. The meeting is also intended to

look for opportunities to share lessons and experiences between PNPM’ executing agencies and

PRSF/TNP2K.

If no special attention raised and need to be discussed soon, then the meeting agenda will be selected

based on PNPM TA staff monthly reports. PNPM TA Coordinator will suggest several topics that can be

choosed to discuss. An invitation letter for a meeting will be send to each PNPM TA staff contaning

Topic(s)/Meeting Agenda, Time and Place. The meeting wil be held mainly at PRSF Office or other


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executing agency places, as agreed. and staff from TNP2K and AusAID PNPM Unit would join in the

meeting.

4.13.5 Reporting

Three types of reports should be prepared by each PNPM TA staff, i.e : monthly report, 6 (six) month

report, and final report.

- Monthly report will describes three aspects: a. Major activites/outputs during the month’s period,

b. Key Risks, Challenges, and Issues, and c. Proposed Follow Up Actions (Future Activities). This

report should only takes maximum 3 pages and send to PNPM TA Coordinator in every 10th. day at

the following month by email with copy (cc) to representative officer at executing agencies (see

Annex 20: Monthly Progress Report ).

- 6 monthly report: a mid-year evaluation report should be prepared and prior to its objective, this

report will consist of Work Plan progress status, Outputs achieved against Work Plan, Key lessons

learned, Issues to be followed up, and a specific key assessement to PNPM sub-programs related

with each PNPM TA staff roles. A maximum 5 pages should be enough to explain all, and emailed

to PNPM TA Coordinator and cc to representative officer at executing agencies, by the 10th. of the

following month (see Annex 21 – 6 Months Status Report).

- Final Report: At the end of assignment period, each PNPM TA staff is requested to prepare a Final

Report that will describe all works achievement outputs compare to the TOR Scope of Services and

some recomendations for next services should necessary be provided by PRSF. Within a month

after mobilization, a yearly (12 months) Work Plan should be prepared by each PNPM TA staff,

including all tasks and its outputs, and signed by GOI’ representative and each PNPM TA staff. The

Work Achievement will be assessed and compared to progress status of services within agreed

Yearly Work Plan. This Final Report would also be a basis for PNPM TA staff contract renewal.

4.13.6 Logistical Support

To ensure program objectives are achieved, PRSF will provide logistical support to the PNPM TA staff. A

request list should be send to PNPM TA Coordinator on monthly basis, who then prepared monthly

consolidated requests (from all PNPM TA staff) to the GRM Finance and Procurement Manager. (see

section 5.2).

4.13.7 Timesheets and Invoicing

Timesheets and Salary Invoice Payment must be completed and sent by email/fax to PNPM TA Coordinator

at the end of each month. For Timesheets, a signing from representative officer in executing agencies is

needed. PNPM TA Coordinator will then submitted to GRM Finance and Procurement Manager for

payment processing (see Annex 22 and 23).

4.13.8 Code of Conduct

All PNPM TA staff must understand and follow the Code of Conduct for the Project. See Section 4.8.


Page 39

5. FINANCIAL MANAGEMENT

5.1 Facility Funding

Every month, the Project Manager must approve a statement of cash flow for three months in advance

before being submitted to the GRM Accountant for processing. The request needs to be submitted each

month and must be accompanied by a budget for the requested amount. As a general rule cash will be

remitted by GRM Brisbane in the first week of the month to the GRM Indonesia account at the HSBC Bank

Jakarta.

5.2 Purchasing and Procuring Procedures

The Procurement Procedures outlined here are to be followed with regard to all expenditure made for the

Project. Supporting documents must substantiate all purchases, and ensure the purchase and procurement

procedures are complied with the Commonwealth Procurement Guidelines.

All requests for the purchase of supplies, equipment or services should be forwarded to the GRM Finance

and Procurement Manager who will be responsible for obtaining quotes, completing a purchase order form

and obtaining approval.

Payment of a cash advance or request for petty cash must be done before 2.00 pm. Request of petty cash

after 2 p.m. will be processed the next day. Maximum transaction limit for petty cash is Rp 1,500,000.

Amounts of more than Rp 1,500,000 will be processed through bank procedure with a process of up to five

working days.

A request form is required for purchasing office stationery, office supplies, and photocopy/ duplicating

services outside of the office. Supply request (Annex 24)

5.2.1 Petty Cash Management

Petty Cash is a small fund of money for incidental expenses, as in an office to pay for small, miscellaneous

expenditures such as stamps, small delivery charges, or emergency supplies, local transport, car running

and etc. The GRM Finance and Procurement Manager is responsible for the petty cash fund which is to be

stored in a secure location. The petty cash fund is replenished at the end of each month, and the total

monthly funds is Rp 10,000,000.

The GRM Finance and Procurement Manager must authorise all expenditure from the Petty Cash fund and

duly fill in a Petty Cash Voucher (see Annex 25) including detail the items purchased, account code and

attach it to the relevant receipt.

To reduce petty cash purchases and to minimise the number of monthly transactions, where possible the

GRM Finance and Procurement Manager should try to set in place service providers for standard operating

requirements such as stationery, travel needs, petrol, etc. so that items can be invoiced and paid on

account each month, a supply arrangement should be considered.


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5.2.2 Purchase of Goods and Services Requiring a Purchase Order

All purchases more than AUD1,200 or IDR10,000,000.- will require a written justification to be completed to

initiate the purchasing process. The GRM Finance and Procurement Manager will check and endorse that

funds are available and that the expenditure has been allowed for in the normal budget and account codes

are correct.

If funds are available and the expenditure is within the normal budget, the GRM Finance and Procurement

Manager ensures that, where possible, a minimum of three quotes for the purchase are obtained from

qualified/approved suppliers. The Quote Evaluation Sheet (Annex 26) will be used for this step. Quotes are

to be evaluated against price, quality and the degree to which the supplier’s goods and services meet the

needs of the Facility, and justification for selection. If for some reason three quotes cannot be obtained, the

reason must be documented on the Quote Evaluation Sheet.

The GRM Finance and Procurement Manager will issue a Purchase Order (Annex 27) for the best “value for

money” quote, taking into account issues such as service follow-up capacity, reliability of supplier,

availability of goods, and quality of goods. The reasons must be endorsed on the Purchase Order, which is

to be authorised by the Deputy Team Leader or GRM Project Manager. If for some reason quotes cannot be

obtained, the reason must be endorsed on the Purchase Order. All Purchase Orders need to include a

statement of Terms & Conditions for the purchase.

5.2.3 Purchase of Goods and Services requiring a Tender process

For purchases below AUD500,000 not otherwise detailed above, goods and services to be tendered will be

determined at the discretion of the Deputy Team Leader / GRM Project Manager, or otherwise instructed

by AusAID and should be based on the Procurement process in section 7.

Where the value of a purchase exceeds AUD500,000 an open tender process is to be applied. The tendering

procedure must comply with the Commonwealth Procurement Guidelines for all activities estimated to be

worth over AUD500,000. This will normally only be undertaken by the GRM Project Manager.

5.2.4 Sourcing Goods

This procedure for identifying and evaluating potential suppliers is aimed to minimise the risks of the

procurement processes. Exception to this procedure applies when a "genuine emergency" arises, in which

justifications will be required.

In a supply situation where repeated purchases will be made throughout the life of the project, the

sourcing of suppliers’ procedures will depend on the level of purchases and the amount of expenditure. As

a guide:

• if the purchase occurs very regularly and the amount of expenditure is less than the equivalent of

Rp 1,500,000 per month, audit of the competitiveness of the approved supplier used need only be

done on bi-annually basis;

• if the purchase occurs on a more regular basis and the amount of expenditure is fairly large, audit

of the competitiveness of the approved supplier is to be conducted on a yearly basis at a minimum;


Page 41

Disregarding the regularity of the purchase, if the transaction is of a significant amount, two or more

approved suppliers are to be sourced in order to obtain quotes.

The GRM Project Manager is expected to make judgments with regard to the extent and nature of supplier

sourcing. Advice on the appropriate approach can be sought from the GRM Finance and Procurement

Manager Receipt of Goods.

The personnel member who physically receives the goods must do a visual inspection to ensure that goods

received are in good condition and in accordance with the order. Acceptance of goods supplied that were

not ordered or vary from the requirement may create an unwanted liability.

The GRM Admin Assistant Officer or the GRM Finance and Procurement Manager must physically inspect

the goods and check items with reference to the Purchase Order. If there is a discrepancy, the FM or PM as

applicable must be notified so that the supplier can be contacted to rectify the situation and follow up to

ensure that corrective actions are taken. Goods subject to discrepancy should not be used until resolved

with the suppliers.

If there is no discrepancy, the invoice or delivery docket is to be stamped signed & dated by the authorised

person as “Goods received in good condition” and where relevant enter in the Asset Register (see Annex

28).

The invoice is passed to the GRM Finance and Procurement Manager for payment processing and the GRM

Admin Assistant Officer must ensure that the goods are registered in the appropriate Asset Register.

5.2.5 The Asset Register – over 2,000

The GRM Finance and Procurement Manager maintains assets inventory register, which will contain the

following information about each asset: Identification number of Asset; Description of the asset; Model no;

Quantity; Date of purchase; Purchase Reference i.e. Cheque Number; Supplier; Unit cost price; Details of

supplier; Location and date received at location; Name of responsible person holding the asset; and Status

(e.g. operational, obsolete, stolen, disposal details).

Any equipment purchased must be assigned an asset number and included in the Asset Inventory Register

before it is put into use. Each asset must have a numbered sticker attached relating to the identification

number of the respective asset from the Asset Register. PRSF Equipment as listed in Assets Register (Annex

30) is available and accessible to all staff for project use. The PS Unit will be responsible for checking the

availability of the equipment.

If any equipment listed on the Asset Inventory Register is lost or destroyed, or becomes inoperable, the

staff member losing/destroying the equipment must make a report detailing the circumstances, and

forward this to the GRM Finance and Procurement Manager. The GRM Finance and Procurement Manager

will compile a request for write-off and send to the AusAID for approval.


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5.2.6 Ethics and Fair Dealing

There are some standard principles for ethics and fair dealing. Procurement methodologies should each

have their own particular characteristics. Issues that must be addressed include:

• Confidentiality;

• Conflicts of Interest;

• Bribery & Corruption;

• Reasonableness & equity;

• Processes with integrity; and

• Defensibility of decisions.

Issues to avoid are:

• Not planning early for probity;

• Not understanding the supply market;

• Developing uncompetitive specifications;

• Providing inequitable or misleading information to different vendors;

• Not having an effective plan for evaluation of offers;

• Inaction on conflicts or conflicting interests;

• Evaluation assessment not being able to differentiate on the criteria;

• Accepting late offers;

• Inadequate justification for supplier selection;

• Inconsistent selection criteria across tenderers;

• Requirements that don’t get assessed in offer evaluation; and

• Weaknesses in document and information security.

5.3 Wages Procedures

5.3.1 International Advisers

All salaries in AUD are paid from the GRM Brisbane. However, advisers wishing to be paid from the GRM

Jakarta office may discuss alternatives with GRM Project Manager.

Timesheets will be required each month before the salaries processing. All Adviser timesheets (Annex 22)

are submitted to the GRM Finance and Procurement Manager. If timesheets are not received in time, then

advisers will not be paid until the end of the next month.

5.3.2 Local Engage Staff (LES)

All LES are paid from the GRM Jakarta office at the end of each month. Timesheets are to be kept for all

LES. The timesheet (see Annex 22) is to be signed by the Secretariat staff and WG member every month

and certified by the Head of Secretariat or Policy Working Group Coordinator, and submitted to the GRM

Finance and Procurement Manager along with the Invoice (Annex 23). The GRM Finance and Procurement

Manager will send notification email for submission of time sheet and invoice one week before the due

date of salary payment.


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A payroll sheet, which contains data on the PRSF personnel’s salary rate, earnings and deductions, shall be

prepared by the GRM Finance and Procurement Manager and approved by the Deputy Team Leader or

GRM Project Manager each month.

5.4 Financial Administrative Procedures

Purchase Orders, Quote Evaluation Sheets, Invoices and Receipts must all be attached to the relevant

financial transaction.

The following originals are to be couriered to GRM International each month on the same day the accounts

are emailed:

• Bank Reconciliation;

• Bank Statement Copies;

• Deposit forms and supporting documentation;

• Original Cheque Requisition forms and supporting documentation;

• Journal Adjustments; and

• Copy of current Asset Register.

A copy of the above originals should be kept in GRM Indonesia office.

5.5 Accounting/End of Month Procedures

The Facility accounting/end of month procedures are described in below chart. Finance and Procurement

Manager are working closely with GRM Accountant and Project Manager in line with the Facility and GRM

financial procedures.

Reporting Process

Finance &

Procurement

Manager

GRM

Accountant

- Spreadsheet, Bank & Petty Cash

- Account Payable Invoice template

- Account Payable Prepayment

template

AccPac Import- Profit & Lost

- Transaction Listing

Finance &

Procurement Manager

Invoice to AusAID

Project Manager


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5.6 Financial Reporting

The Facility provides monthly financial update through the submission of monthly invoices to AusAID. The

financial report covers information for acquittal of expenditures against the allocated budget, expenses to

date, and remaining balance for the duration of the Facility.

The Facility is required to provide forward projection of funding envelopes on a six-monthly basis as part of

the progress reports. The projection also be made available upon request by AusAID. This will include

estimated expenditure on quarterly basis for the duration of Facility

Template Monthly Financial Report

Budget Lines Allocated

Budget

Expenditure to

the previous

month-end

Balance

Available

% of Remaining

Budget

Template Facility Financial Projection

Budget Lines Allocated

Budget

Expenditure to

the previous

month-end

Balance

Available

Quarterly

projection for

the duration of

the Facility

5.7 Audits

GRM, from time to time, conducts audit of the administrative and management processes of the project

site. The regularity of such audit varies from project to project, largely dependent on the type and size of

the project but mainly at the discretion of the Head Office Management.

5.8 Multi-Donor Trust Funds

Establish and manage the Multi-Donor Special Account (MDSA) within which funds for reimbursement

within the PRSF will be placed. The MDSA will receive additional funding from other donors also through

the course of the contract. These funds will then be administered together with AusAID’s own funds.

Donor’s contributions to approved activities to be implemented by the GRM will be expensed in proportion

to the contribution; and guidelines of operations for the Multi Donor Special Account (MDSA) will be

drafted by AusAID and approved by AusAID and GoI.


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5.9 Fraud Policy

The Faciliy regards and treats seriously any fraud involving Facility funds. All staff are responsible for fraud

prevention and detection. They are required to report any incident of suspected or detected fraud

immediately to the GRM Project Manager.

In relation to Australian Government funding, it is understood fraud is defined as dishonestly obtaining a

benefit by deception or other means. It extends to benefits obtained or derived that can be both tangible

and intangible.

The Facility maintains a zero tolerance position towards fraud. Consistent with this position and in

accordance with its contractual obligations to AusAID, the Facility staff will report in writing in the first

instance all suspected or detected incidents to the GRM Project Manager who will immediately report the

incident to the Contractor Representative of GRM International.

This report will initially include the following information:

� Name of activity

� Name of parties involved

� Details of the suspected/detected fraud, including a chronological account of the facts giving rise to

the fraud

� Details of any witnesses

� Copies of relevant documents

� References to any relevant legislation

� A nominated contact person

� Any other relevant information (eg, possible local sensitivities, relevant in-country agencies that

can assist with investigations)

� The current status of any inquiries

In conjunction with the Contractor Representative of GRM International, the GRM Project Manager will

immediately report the matter to AusAID.

In consultation with AusAID the Facility will investigate the suspected or detected fraud in accordance with

Australian Government Investigation Standards (AGIS). The Facility will engage appropriately qualified

people to conduct any fraud-related investigation to avoid, inter alia, the contamination of evidence that

may compromise action to obtain redress through criminal, civil or disciplinary proceedings. The Facility will

maintain regular contact with the Director, Performance Review and Audit Section (or nominee) during the

course of any fraud-related investigation it undertakes.

The Facility will consult with AusAID on the outcome of the investigation and agree on a strategy to be

followed to obtain redress, where appropriate, in light of the investigation’s findings. The Facility will

undertake the appropriate action, if required, in accordance with this strategy.


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The Facility will undertake and document a fraud risk assessment as part of its business risk management

processes. Facility personnel at all levels will be involved in this process. The results of the assessment will

be documented and monitored from time-to-time to minimise and control the risks as part of a process of

continuous improvement.

The Facility will foster and maintain the highest standards of ethical behaviour.


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6 ACTIVITY PLANNING AND MANAGEMENT CYCLE

6.1 Coordination and Management

This section describes coordination and management process in Activity planning that will be employed by

GRM in implementing PRSF. The adopted procedures are intended to be simple, efficient and transparent

enabling the Facility to execute its responsibilities in flexible and responsive manner.

6.2 Terminology

The relevant PRSF terms are detailed below:

Initial Activity Proposal The Facility will prepare an Initial Activity Proposal for each individual

Activity proposed for PRSF funding outside the bi-annual planning

approval cycle. An Initial Activity Proposal will typically be around 1-2

pages in length and contain sufficient information to enable an informed

decision to be taken as to whether or not it should proceed (see Annex

29)

Activity Design Proposal

(ADP)

An Activity Design Proposal (see Annex 30) will be developed once the

FSC approves Activity concepts in the Facility Bi-Annual Workplan or

when the FSC approvals an Initial Activity Proposal. An Activity Design

Proposal will typically be 5-10 pages in length and contain a detailed,

robust design with a clear rationale, outputs and objectives that

contribute to PRSF/TNP2K outcomes, timeline, address cross-cutting

issues, risk management strategies, quality assurance procedures, and a

fully costed draft budget.

Bi-Annual Work Plans This is the strategic FSC planning document that is drafted on a bi- annual

basis that consists of the Facility Plan for the next six month period and

reviews the previous year’s achievement.

PWGC Policy Working Group Coordinator

Activity Decision Point The point at which an Activity is approved for final design and

implementation. This approval may be reached via FSC approval of a

concept proposal or via approval of an IAP. This is the point that all

stakeholders agree upon the concept of a particular Activity and

resources are thus allocated to its design.


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6.3 Activity Planning and Management Cycle

The adopted planning and management process consists of five closely inter-related sub-processes. The

Diagram below illustrates the relation between each element:

The above diagram illustrates the following:

1. Activity Identification. This involves deciding which policy areas and activities or types of activities

should be supported by the FSC. The Activity Identification most commonly will come from TNP2K

or AusAID. In addition, requests for support may originate from other proponents including other

GoI institutions, other donors, and civil society organizations / NGOs. Irrespective of the source of

the proposal, the Facility will exercise care to avoid raising the expectations of prospective PRSF

Stakeholders before it is reasonably certain that PRSF assistance will be provided.

2. Activity Design and Approval. This involves the design and approval of individual activities by the

Facility. The main vehicles for this are the Initial Activity Proposal and the ADP.

3. Activity Procurement. Open and transparent Procurement Procedures in line with the

Commonwealth Procurement Guidelines will be administered. Procurement evaluations will be

assessed against technical and value for money criteria. (see section 7).

Lesson

Learnt

Knowledge

Management

2. Design and Approval

4. Implementation

Financial Reporting

Activity Reporting

Mobilisation

1. Activity Identification 5. Activity Monitoring and

Evaluation and QA

3. Activity Procurement

Design

Approval


Page 49

4. Activity Implementation. This encompasses all aspects of mobilization of sub-contractors, Activity

and program oversight quality assurance and reporting, including financial reporting.

5. Activity M&E and Quality Assurance. A comprehensive M&E framework will be developed for the

PRSF.

6.3.1 Activity Identification, Design and Approval Process

The Diagram below illustrates the Activity identification, design and approval process:

This diagram illustrates the following:

The Activity approval process is a TWO-STEP process;

1. Within the Bi-Annual Planning Cycle: Activities that are within the Facility Bi-Annual Plan Cycle

are approved as concepts, no IAP is required. The FSC approves the concepts for inclusion in

the Bi-Annual Plan based upon an evaluation against agreed FSC Activity Selection Criteria. The

FSC Activity Selection Criteria are developed by the Activity Design Specialist and M&E

Specialists and agreed by the FSC prior to the bi-annual meeting. The assessment against

agreed activity selection criteria is an important factor for ensuring that activities selected will

support the facility objectives.

Activity Concept Included in

Facility Bi-Annual Plan

FSC Approves Bi-Annual Plan-

IAP not required

Initial Activity

Proposal (IAP)

Developed

Approval of

IAP by PWGC

Activity

Decision Point:

Activity Design

Proposal (ADP)

Developed

FSC Approval of ADP Procurement of ADP

Within Bi-

Annual

Planning

Cycle

Outside Bi-Annual

Planning Cycle

START: Activity Concept

Activity is Identified, and initial

concept is discussed through

meetings or bi-annual planning

workshop


Page 50

2. Outside the Bi-Annual Planning Cycle: The capability to respond flexibly to TNP2K and AusAID’s

new and emerging requests while maintaining a strategic focus is a key requirement for the

PRSF. The Activity approval mechanism outside of annual planning cycle provides FSC to review

and approve activities ‘out-of-cycle’, in keeping with the concept of “progressive engagement”.

An Initial Activity Proposal (IAP, See Annex 29) should be developed in the first instance, which

must be approved by the Policy Working Group Coordinator before a full ADP (see Annex 30) is

developed.

An ADP will therefore only be developed after approval of the bi-annual plan or Initial Activity Proposal. The

ADP format ensures robust designs are developed with clear rationales and objectives that contribute to

the PRSF/TNP2K outcomes and goals. Attention is also drawn to cross-cutting issues, risks and mitigation

strategies, and quality assurance processes in the ADP to ensure comprehensive and proactive strategies

are developed to enhance the quality and analytical rigour of the activity.

The Activity Decision Point is the catalyst for resources being allocated to an Activity Design Process.

Resources can be allocated internally (Activity Design Specialists, Policy Working Group Advisers, Team

Leader, DTL), or externally (STA contracted to undertaken specific inputs).

Biannual Workshop Planning

The Facility envisages facilitating a Bi-Annual Planning Workshop with key stakeholders to identify policy,

programs, and activities that should be supported by the PRSF prior to drafting the Facility Bi-Annual Plan;

however, activities can also be identified from discussions between Advisers, AusAID and with key

stakeholders. Such a workshop presents an opportunity to review the year’s performance, providing a

forum for key stakeholders to analyse data as well as contributing to the annual M&E report.

6.3.2 Activity Procurement (see Section 7)

6.3.3 Activity Implementation

After the approval of the Activity Procurement (see section 7), the activity cycle will enter the activity

implementation phase. This consists of a number of steps:

Mobilisation: A subcontractor agreement will be issued and finalised by the Deputy Team Leader. At the

commencement of the activity a mobilisation meeting will be held with the subcontracted research

institution, TNP2K Technical Team, and GRM Core Team. This meeting will be to provide:

• A technical overview of the goals, objectives and tasks of the research assignment and more

broadly how this fits into TNP2K’s Goals and Objectives;

• A review of the workplan and clarification on the expectations, outputs, report structures, and

timeframes for delivery;

• Activity Monitoring procedures and forms will be outlined by the GRM M&E Specialist. The M&E

Specialist will also review key risks and any mitigation strategies.


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• Quality Assurance procedures and processes identified in the ADP will be reviewed and clear

systems put in place to ensure the compliance and operationalisation of these QA systems.

• A technical oversight supervisor from TNP2K to be clearly identified as the key point of contact

throughout the implementation of the activity.

• An operational oversight supervisor from the GRM Core team to be clearly identified as the key

point of contact throughout the implementation of the activity.

• All financial and operational procedures, forms and deadlines to be explained by the GRM Finance

and Procurement Manager.

Activity Reporting:

• All technical queries from the subcontractor should then be directed to the technical supervisor.

• All operation queries from the subcontractor should be directed to the GRM operational

supervisor.

• Progress and Final Reports should be sent to both the technical and operational supervisors. The

technical supervisor will review the report to ensure technical quality control; whereas the

operational supervisor will review the report to ensure compliance and timely submission.

• The Activity Monitoring Forms should be sent to the technical supervisor, operational supervisor,

Activity Design Specialist and GRM M&E Specialist.

Financial Reporting

• All financial reports including original receipts, timesheets and invoices should be sent to the GRM

Finance and Procurement Manager.

6.3.4 Activity Monitoring and Evaluation and Quality Assurance

This section discusses the broad approaches adopted by the PRSF to M&E and quality assurance. The ADP

has specified the regular M&E and QA requirements in which both TNP2K and GRM are assigned

responsibility for a range of quality assurance, procedural and reporting measures:

Responsbilities:

• A technical oversight supervisor from TNP2K will be appointed as the key point of contact

throughout the implementation of the activity.

• An operational oversight supervisor from the GRM Core team will responsible for supervision of the

implementation of the activity.

Procedures and Tools

• The monitoring of activities will be undertaken in using two main methods: (1) field visits and direct

observation; and (2) review of reporting documentation submitted.

• Monthly Activity Monitoring forms (see Annex 31) will guide the data collection and monitoring of

the activities’ outputs.

• Key risks will be identified through the regular update of PRSF risk matrix.


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• An impact evaluation will be conducted for selected activity that are considered strategic by PRST

team

• For more details M&E procedures please refer to Chapter 9 on Monitoring and Evaluation.

6.4 Activities Directed By AusAID

AusAID reserves the right to directly instruct GRM to (develop and) procure activities that clearly support

the development of TNP2K’s programs. If requested GRM will provide assistance to AusAID in reviewing the

activity design, and during the finalisation of the contracts GRM and AusAID will clarify reporting

requirements and responsibilities for monitoring the implementation process.


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7. PROCUREMENT AND SUBCONTRACTING PROCEDURES

7.1 Compliance with Commonwealth Procurement Guidelines

The PRSF Procurement Process has been designed to conform to the Commonwealth Procurement

Guidelines. The key components and principles of these guidelines are set out below.

• Value for Money, is the core principle governing effective procurement. It is supported by the

underpinning principles of: efficiency and effectiveness; accountability and transparency; and

ethics. This is to ensure the best possible outcome has been achieved taking into account all

relevant costs and benefits over the whole of the procurement cycle. Accepting the lowest price is

not necessarily an indicator of best Value for Money.

• Efficiency and Effectiveness, as no single purchasing method suits all situations, there is no

prescriptive purchasing methodology recommended or any arbitrary thresholds. Consideration will

be given to the specific technical requirements and existing market conditions for each

procurement, and the selection of procurement method will be undertaken based on its merits.

However, open tendering will be the default option, with other options being adopted if open

tendering is considered and determined to be inappropriate.

• Accountability and Transparency, the GRM Finance and Procurement Manager is responsible for

ensuring adequate systems for recording decisions and reasons for making them are maintained.

Transparency through internal and external scrutiny is an essential element of accountability and

will be an inherent characteristic of all processes and procedures, plans, actions or decisions

relating to technical assistance procurement.

7.2 Procurement Method

The GRM Core Team who are involved in procurement must plan the process to ensure that the most

appropriate methods of procurement are employed having regard to the nature and value of services

required and the circumstances surrounding the procurement. The three most commonly used methods

that have proven to be effective are:

� Open Tender

� Restricted Tender

� Direct Appointment (“self-implementation” or “self-appointment” sub-categories can be included)

7.2.1 Open Tender

With open tendering, the procurement opportunity is open to all interested local and foreign contractors.

Individuals and/or organisations submit bids in response to an advertisement and request for tender. It is

used for larger, complex activities and/or when a large pool of expertise exists.


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The advantage of open tendering is that all interested parties are able to submit a tender, promoting

competition and opportunity. The disadvantages include the length of time involved in advertising,

circulating documentation and ensuring adequate bids are received, as well as the expense involved in

advertising and assessing a potentially large number of tenders and the expense incurred by unsuccessful

tenderers in submitting a tender.

Open tendering must always be used when the value of a purchase exceeds AUD500,000. The tendering

procedure must comply with the Commonwealth Procurement Guidelines for all activities estimated to be

worth over AUD500,000.

Any activity that has a value of A$3million or more must also be subject to an AusAID Quality at Entry

Review, managed by GRM in conjunction with AusAID.

The process for open tendering is:

Procedure Documentation Responsibility

Activity Design Specialist in

consultation with TL/DTL/

completes a formal Activity

design process inclusive of

obtaining approval by AusAID

ADP (see Annex 30);

inclusive terms of reference

(TORs) for individual sub-

contract package(s).

Activity Design Specialist,

TL/DTL

A Technical Assessment Panel

(TAP) is formed. The panel

includes PRSF Core Team and

TNP2K with evaluative criteria

agreed.

TL/DTL, F&PM, Technical

Supervisor from TNP2K,

Activity Design Specialist.

Tender documentation,

Information for Tenderers is

placed on the TNP2K and/or

GRM web site.

Information for Tenderer

form (Annex 32)

F&PM and GRM Project

Manager

The Activity may be advertised

through a range of media and

websites as appropriate. All

newspaper advertisements will

be placed in "newspapers with

national coverage" as a

minimum. TOR is also

distributed through the PRSF

pre-qualified list of companies

Copies of advertisements,

websites and e-mails.


Manager

Tenderers inform PRSF of their

intention to bid.

E-mails from prospective

tenderers by a specified

date.

Tenderers

Bids are received and

registered by the PRSF Facility.

Copies of all bids filed,

acknowledgement e-mailed

F&PM


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to tenderers.

TAP interview or assess

shortlisted tenderers and name

a preferred tenderer.

Tender Assessment Grid

completed by TAP member

TAP

(Optional) After initial

assessment, up to 3 teams are

shortlisted for interview.

PRSF check referees of the

highest ranking tenderer.

Record of notification of

shortlisted tenderers.

Completed referee check

sheets

TAP, F&PM

9 Complete Value for Money

Assessment on all shortlisted

tenderers, including preferred

tenderer

Value for Money

Assessment


Manager

10 Inform AusAID and TNP2K of

Successful Candidate

Procurement Report (see

Annex 33) to AusAID

TL/DTL

11 Contact preferred tenderer to

confirm can conduct Activity at

the nominated time and date.

Record of communication F&PM

12 Inform successful tenderer of

decision

Letter to successful tenderer F&PM

13 Negotiate contract with

successful tenderer.

Signed contract, any records

of negotiations

F&PM and DTL

14 Inform unsuccessful tenderers

of selection of preferred

tenderer.

Letter to unsuccessful

tenderers

F&PM

7.2.2 Restricted Tender

Contracts between A$250,000 – A$500,000 will be procured through an open tender process or a restricted

tender process. With restricted tendering the procurement opportunity is open to a limited number of

contractors by means of invitation. The invitation to participate in the tender will be sent to a number of

appropriately qualified individuals/organisations that are identified from the PRSF Pre-Register of

Consultants/organisations, as well as other sources, such as other donors, the partner agencies, and PRSF’s

own network of contacts. For contracts below A$250,000 a short-list of at least 3 firms on the Pre-Register

of Consultants/organizations should be assessed.

Process for restricted tendering is:


1 Activity Design Specialist, TL/DTL

endorses an Activity design and obtains

approval

Activity Design Proposal

(see Annex 30) document

inclusive terms of

reference (TORs) for

individual sub-contract

Activity Design

Specialist, TL/DTL


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2 A TAP team is formed, including a partner

agency representative with evaluative

criteria agreed. Refer also Open Tender

process.

Evaluation sheets

prepared

TL/DTL, Technical

Supervisor from

TNP2K, Activity

Design Specialist

3 Prepare RFT and inform potential

tenderers

Information for Tenderer

(see Annex 32)

F&PM

4 Tenderers inform the Facility of their

intention to bid.

Emails/faxes/letters from

prospective tenderers by a

specified date.

Tenderers

5 Register bids received by the Facility. All

bids are held securely and are unopened

until closing date.

Copies of all bids filed,

acknowledgement e-

mailed to tenderers

F&PM

6 TAP members assess bids and create a

shortlist OR selects preferred tenderer.

Assessment sheet

completed by Selection

Team

TAP

7 Check referees of the highest ranking

tenderer/s.

Completed referee check

sheets

F&PM

8 Complete Value for Money Assessment

on all shortlisted tenderers, including

preferred tenderer

Value for Money

Assessment

F&PM

9 Inform AusAID of Successful Candidate Template Procurement

Report to AusAID (see

Annex 33)

TL / DTL

10 Contact preferred tenderer to confirm

can conduct the Activity at the

nominated time and date.

Email F&PM

11 Inform successful tenderer of decision. Letter to successful

tenderer

F&PM

12 Negotiate contract with successful

tenderer

Signed contract, any

records of negotiations

F&PM / DTL

13 Inform unsuccessful tenderer of selection

of preferred tenderer.

Letter to unsuccessful

tenderer

F&PM


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7.2.3 Direct Appointment

Direct appointment is a form of limited tendering where only one contractor is invited to participate. This is

permissible for contracts below A$250,000 but it can only be used when there is a continuation or follow

up activity on request or if it is the only effective means of delivering the Activity with quality and value for

money in mind. A clear justification must be provided for direct sourcing and the requests for direct source

supplier contracts must be approved by the AusAID and TNP2K.

Process for direct appointment is:


1 Completion of an Activity design process,

inclusive the planned direct appointment,

the name of the consultant (or firm), and

procurement report with clear justification

for direct sourcing and submitted to AusAID

and TNP2K for approval

Activity Design

Proposal document

and Procurement

Report approved by

AusAID (see Annex 30

and 35)

Activity Design

Specialist, TL/DTL

2 Negotiate contract with consultant Signed contract, any

records of

negotiations

F&PM / HRM / DTL

3 Finalise contract with consultant including

any documentation such as a draft

workplan if deemed necessary.

Signed contract with

any required

documentation

appended.

F&PM / HRM / DTL


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8. GRANT MANAGEMENT

8.1 Introduction

The purpose of this chapter is to provide guidelines for the selection and management of grants. These

guidelines should be followed by Partner Grants issued under PRSF through the FSC. Please note that the

following is a combination of eligibility criteria for partners as well as processes established under PRSF for

proposal preparation, processing, financial management and monitoring and evaluation. The purpose of the

PRSF Grant Management Procedures is to ensure that funded activities and Partner Organizations selected

to receive funding:

• Transparently and effectively manage PRSF funds

• Procure Goods and Services according to “Value for Money” principles

• Produce standardized and high quality Financial Reports

• Achieved high quality Activity outcomes

• Achieve enhanced capacities in financial management and or project implementation.

8.2 Guiding Principles

The procurement, management and administration of grants will be conducted in a manner consistent with

the Commonwealth Grant Guidelines, and in particular with the key 7 Principles for Grant Administration:

1. Robust planning and design.

2. An outcomes orientation.

3. Proportionality.

4. Collaboration and partnership.

5. Governance and accountability.

6. Probity and transparency.

7. Achieving value with public money

The Grant Funding Procedures are designed to balance the need for strong financial management of PRSF

funds as well as high quality project outcomes that are not burdened by overly bureaucratic, complex and

lengthy procedures.


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8.3 Selection Criteria

8.3.1 Organisation Selection Criteria

Institutions and civil society organizations applying for grants are required to be registered follow the

Government of Indonesia regulations on CSOs and institutions (Number 28 Year 2004). In addition to

legalistic requirement, partners organisations should meet the Facility’s view about standards in good

governance as well as to allow the Facility to manage grants within its own administrative resources. They

are also intended to guide the Facility’s own organizational development priorities by way of focusing us on

helping CSOs to meet the criteria and submit and implement successful applications.

Institutions and civil society organizations applying for grants are required to be confirm to the below

Organisation Selection Criteria:

Number Selection

Criteria

Detailed Explanation

1 Adequate

Board

Oversight

Applicant organisations must have a functioning Board operating in Indonesia

and overseeing policy and finance - or commit to a timetable for

establishment of a Board as a condition to continued Facility funding - and

must have attended Board Governance training provided by the Facility or by

a recognised training provider. Organizations which have not attended any

Board training will be invited to do so but will not be assessed further until

they have completed the training.

2 Clearly defined

mandate

Proposals must clearly identify the mandate or mission of the organisation

and it must be relevant to the proposal - vision, mission, and strategic plan,

clarity about objectives and strategies and reasons for undertaking any

project. Board and management training provided by the Facility has

equipped them to do this

3 Demonstrated

capacity to

deliver projects

Applicant institutions can demonstrate past performance in delivering

projects within budgets. Proposals must include project description sheets

with referees (donor and beneficiary); they must demonstrate the

organisation’s comparative advantage in this area;

4 Commitment to

managing,

retain and

developing

staff including

gender equity

Demonstrated by applicant organizations, or through an organisational

assessment.

5 Established

administrative

and financial

Sound record of bookkeeping, basic records, ledgers, cash books and audit.

For organisations requesting grants of more than $100,000, an up to date

financial audit will also be required and the Facility will provide 50% of the


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systems funding for this audit.

6 Scale of

operation

Scale of operation in previous 2 years should be comparable to funding

sought. The scale of the organisation will be assessed as total value of funds

managed. We are aware that many organisations may be made up of a large

volunteer component. In this sense they must have demonstrated ability to

manage funds of the scale being requested.

Claims in proposals will be subject to verification at the Facility’s discretion.

8.3.2 Proposal selection criteria

Number Selection Criteria Detailed Explanation

1 Compatibility with

Government policy

and priorities where

available and Facility

design logic

proposals directly contribute to the achievement of the component

objective and outcomes and include M&E mechanisms whereby a

baseline situation is established and monitored for change over time;

2 Utilising and

developing existing

assets and

capabilities

proposals detail ways in which they will utilise and develop existing

Indonesian assets and capabilities. This places a heavy burden on

justifying the use of international advisers;

3 Value for money the costs of proposals are commensurate with the benefits expected;

4 Learning

value/capacity

building

proposals have mechanisms to capture lessons during implementation

and ensure organisational capacity building, reflection and learning;

5 Gender equity proposals state explicitly how they contribute to gender equity

6 Sustainable benefits there are measures in proposals to ensure that benefits are maintained

beyond the term of the proposed support and there is commitment by

stakeholders to these;

7 Do no harm a risk assessment is conducted to guard against proposals having

negative consequences

8 Core business the proposal clearly represents the core business of the institution or

organization applying for assistance

9 Ability to influence

the policy or

improving the quality

The proposal clearly shows the contribution to policy change or

improving the quality of the implementation


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of poverty reduction

program

10 Clear “theory of

change”

There should be a clear program logic and assumptions

8.4 Selection process

The process for Grant Funding Process funding is detailed below:

Step Procedure Documentation Responsibility

1 Activity and Research Agenda

TNP2K and / or AusAID develop topics and research

agenda for the Call for grant proposals, which is then

approved by the FSC

TNP2K, AusAID

2 Call For Grant Proposal

PRSF announce Call For Grant Proposal in newspapers

and selected media. In the future there will be two

announcements per year.

Applicants should use the Partner Proposal Narrative

proposal format (see Annex 36). This process will

ensure that applicant organizations are able to meet

organizational selection criteria and don’t waste their

time and resources preparing applications that have

no chance of being accepted.

Partner Proposal

Narrative (see Annex

34)

Deputy Team

Leader, M&E

Specialist, GRM

Finance and

Procurement

Manager

3 Receipt of Proposal

Organisations who officially lodge a proposal will be

notified in writing once their proposal has been

received.

However PRSF will continue to receive applications on

an ongoing basis even after submission deadline and

the Facility will continue to assist partner CSOs in

preparing applications so that they fully understand

the process and are aligned with Facility objectives.

Proposals receive after submission deadline are

automatically eligible for next Call For Grant Proposal.

Partner Agency,

Deputy Team

Leader, M&E

Specialist, GRM

Finance and

Procurement

Manager


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4 Proposal Eligibility Assessment

(i) Initial Assessment

The proposals will be assessed by Facility staff to

determine if organisations have addressed all of the

grant criteria

(ii) Organisational Assessment

The organisational assessment is against the stated

criteria which are qualifying criteria (i.e. if they are not

met, the proposal automatically does not proceed to

the next step):

Proposal Eligibility

Assessment Form

(see Annex 35)

Deputy Team

Leader, M&E

Specialist, GRM

Finance and

Procurement

Manager

5 Selection Panel

Proposal which has been assessed by Facility will be

submitted to Selection Panel comprising of

representatives of TNP2K, AusAID and GRM

Facility will contact selection panel member to ensure

availability and distribute proposal prior to Selection

Panel Meeting

GRM, TNP2K,

AusAID

6 Proposal Technical and Financial Assessment – by

selection panel

The selection panels will assess applications and score

them according to the weightings defined. Panel

decisions will be transparent and documented with a

summary of recommendations prepared for the

applicant and the PRSF management.

Proposal Assessment

Weighted Form (to be

developed by

Selection Panel

Members)

The Selection

Panel

7 Approval

Procurement Report (see Annex 35) prepared and

submitted for FSC Approval.

Procurement Report

(Annex 33)

DTL, GRM

Finance and

Procurement

Manager

8 Contract

After FSC approval is obtained, Draft Contract is

developed

Draft Contract

Deputy Team

Leader, M&E

Specialist ,

PRSF revises the Draft Contract based on partner

feedback (changes must be approved by Team

Final Contract Deputy Team

Leader, M&E


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Leader). Final Contract is developed and sent to

partner for signing.

Specialist

Finance and

Procurement

Manager

Signed contract is filed at Facility Office.

An electronic copy is sent to GRM Project Manager.

Signed Contract

Deputy Team

Leader, Finance

and

Procurement

Manager, Project

Manager

9 First tranche of funds is transferred, support provided

and the project monitored as per the contract.

Funds transferal

Record (need DTL

approval)

Deputy Team

Leader, Finance

and

Procurement

Manager,

Subsequent funds transfers will only occur after;

The Financial Reports provided by the partner, have

been checked by the Facility Finance Manager and

determined to be compliant with the contractual

terms and the PRSF Financial Reporting requirements,

and approved by the Team Leader.

Additional Reporting Requirements and or specific

output achievements, as per the contract, have been

reviewed and approved by the Team Leader.

Under no circumstances shall funds be disbursed if

Approvals have not been obtained or evidence of

financial irregularities has been uncovered.

Approved Financial

Reports

Approved Activity

Reports (inclusive of

Milestone / Output

achievement)

Deputy Team

Leader, Finance

and

Procurement

Manager

10 All Activity records are filed as per the normal PRSF

filing process

M&E reports

Financial Reports

Project Reports

M&E Specialist,

Finance and

Procurement

Manager


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8.5 Partner Grants Monitoring and Reporting Overview

8.5.1 Grants Activity Monitoring System

The grants activity monitoring system is implemented to enable ongoing monitoring and evaluation of

partner grant activities. The grants activities monitoring system is designed to accomplish three things:

• Account for accomplishment against the PRSF M&E system;

• Allow local partners to determine, on a regular basis, how well they are doing using simple sets of

indicators appropriate to their vulnerable populations;

• Allow PRSF staff to analyse the information to determine progress;

8.5.2 Partner Grant Progress Reports

Partner’s Program Manager will be responsible for the preparation and submission of the following reports

that form part of the monitoring process (see M&E Section 9 for more details).

A. Program Report

(a) Baseline Data Report: If possible, prior to the project commencing, it is planned that a baseline

relating to the application’s proposed activities and benefits would be established by means of a baseline

data report. This baseline data will be used in the annual review and for project evaluation.

(b) Monthly Activity Update Report (see Annex 31): A simple report (one page), consist of compilation

of activities done by partner organizations to answer basic question in program monitoring

(d) Mid Term Review (for Grants over 12 months in duration): The purpose of the MTR is to review

project progress and problems as an aid to management.

(e) Technical Reports (project specific- optional)

(f) Project Final Report

B. Financial Report

Partner will submit financial report on quarterly basis.

8.6 Partner Grants Directed By AusAID

AusAID reserves the right to directly instruct GRM to (develop and) procure grants that clearly support the

development of TNP2K’s programs. If requested GRM will provide assistance to AusAID in reviewing the

grantees proposals, and during the finalisation of the contracts GRM and AusAID will clarify reporting

requirements and responsibilities for monitoring the implementation process.


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9. MONITORING AND EVALUATION

9.1 Introduction

Monitoring and Evaluating is essential for ensuring a project is fulfilling its purpose in the best way possible.

Monitoring and evaluating a project is important for:

• Accountability: collecting reliable data to inform clients, counterparts and beneficiaries on

responsibilities, activities and results;

• Management: generating information to improve the efficiency and effectiveness of management

arrangements; and

• Learning lessons: providing knowledge to understand the causes of failures and drivers of success,

and suggesting ways to continuously improve performance.

An M&E system should therefore:

i) Clarify what results (outputs, outcomes and impacts) a project is expected to produce and how

this will be achieved;

ii) Define how progress will be assessed, i.e. what necessary information needs to be generated and

how to analyse and share it; and

iii) Provide a platform to analyse the reasons for success and failure, and how to use this

understanding to improve future actions.

A comprehensive PRSF M&E System and Plan will be developed with technical assistance from an

international M&E specialist. This will encapsulate an Evaluability Assessment (EA) which will provide basis

for development of PRSF M&E Plan as well as basis for development of capacity building plan for TNP2K

M&E function.

9.2 M&E Procedures

There are 2 key areas where M&E procedures will be developed:

• Performance Monitoring: to monitor performance at three levels: personnel outputs; activities /

grants outputs / outcomes; and PRSF Facility outcomes / impact.

• Financial Monitoring: to monitor the expenditures of each activity and project.

9.2.1 Performance Monitoring

A. Personnel Outputs Monitoring

Each working group is requested to submit a monthly activity update to Policy Working Group Coordinator

for further analysis and data management. M&E Specialist will develop and maintain a data management


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system to compile working groups reports and provide the analysis for Management. Advisers, consultants

and staff are also all subject to a comprehensive selection and performance assessment process (see

section 4.6).

B. Subcontracted Activites and Grants: Outputs and Outcomes Monitoring

The following procedures and reports will be utilised to ensure quality checks and monitoring of

subcontracted activities and grants outputs and outcomes:

(a) Baseline Data Report (from Grants only if relevant)

If possible, prior to the project commencing, it is planned that a baseline relating to the application’s

proposed activities and benefits would be established by means of a baseline data report. Partner will be

responsible to provide “hard evidence” of the baseline data. This baseline data will be used in the annual

review and for project evaluation. For example, when partner is planning to provide training and mentoring

for their researchers in writing policy brief, the baseline data is a diagnostic assessment of the participants

conducted by the trainer/mentor in the beginning of the training/mentoring.

(b) Monthly Activity Update Report (see Annex 31):

The GRM M&E Specialist will schedule a progress review of each activity / grant at least once a month,

during which he will interview relevant staff, target group members, and other stakeholders to ensure that

implementation is proceeding as planned. Whenever possible, the M&E Specialist should also try to attend

key activities, such as training courses or stakeholder meetings. In addition to that, the M&E Specialist will

maintain close contact with the stakeholders through telephone and email.

The Subcontractor / Grantee will completes a Monthly Implementation Report/Update each month, which

has been specifically developed for each individual contract and includes both quantitative data on process

indicators and qualitative information on implementation, before the 5th day of the next month; and sends

it to the M&E Specialist. The M&E Specialist reviews the report and compares it with the findings from the

site visit. Any discrepancies or concerns are immediately discussed with the partner and suggestions for

corrective action made.

In addition, PRSF management and TNP2K relevant staff will schedule regular site visits to directly monitor

implementation in the field. These visits should be scheduled to reflect concerns raised through the

reports and/or key events in the field. The M&E Specialist and Deputy Team Leader is responsible for

analyzing any concerns raised during monitoring; identifying appropriate corrective action which may

include amending the contractual document; and negotiating any necessary changes with the partner.

(c) Mid Term Review (for Activities / Grants over 12 months in duration):

The purpose of the MTR is to review project progress and problems as an aid to management. It is

opportune to evaluate the implementation at this point when sufficient should have been achieved to give

a substantial insight into the contribution the project has made and is likely to make as it moves towards

completion. An assessment of the project at that point will also provide opportunity to highlight any

significant problem areas, and devise solutions or implement redesign and redirection where necessary.


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Partner’s Project Manager will prepare a MTR report that will summarizes all activities, achievements and

outputs of the project, and contains sections covering relevance, impact, effectiveness, efficiency and

sustainability to guide the review. The review process focus will draw sharp focus on underachieving areas,

and highlight requirements for corrective action where needed. The review will help to identify ‘problem

projects’ and in extreme cases where it becomes clear that the objectives will not be achieved, early

termination of the project may be recommended.

(d) Technical Reports (project specific- optional)

Technical Reports are detailed documents covering specific areas of analysis or scientific specializations

within the overall project. These technical reports will represent, as appropriate, external assessment of

the changes in the quality of the works produced by implemented by partners as a result of this capacity

building program. The requirements for technical reports will be discussed and agreed upon during the

contract negotiations.

(e) Project Final Report

During the last two months before the project will end, partner will prepare the Project Final Report. This

comprehensive report will summarize all activities, achievements and outputs of the Project, lessons learnt,

objectives met, or not achieved, structures and systems implemented, etc. including answer to the learning

questions and will be the definitive statement of the Project’s activities during its lifetime. It will also lay out

recommendations for any further steps that may need to be taken to ensure sustainability and replicability

of the Project’s activities.

C. Performance of Facility Outcomes and Impact

Performance monitoring of PRSF immediate outcomes level and impact will follow the M&E System and

Plan and will be analysed on annual basis against the DAC criteria of relevance, effectiveness, sustainability

and efficiency which are consistent with Ausaid’s Quality Reporting System. During the Evaluability

Assessment stakeholder information needs will also be assessed and ways in which information and

knowledge can be shared and fed back to inform strategic directions and on-going activity development.

9.2.2 Financial Monitoring

For an activity/project duration more than one year, the subcontractor / partner will complete the PRSF

standard Quarterly Financial Report (QFR), and send the original to the GRM Finance and Procurement

Manager. Finance Manager before the 10th of the next month. For project/activity duration less than one

year, financial report timeframes shall be determined during the contract negotiations and be based upon

agreed milestones.

The Finance and Procurement Manager validates the financial reports, carefully checks receipts, compares

expenditure versus actual implementation, and determines burn rate. Any concerns are immediately

brought to the attention of Deputy Team Leader.

All financial data from the validated MFR is entered into the PRSF tracking system, where it is available for

analysis by both the GRM M&E Specialist and the relevant Working group staff, or any other interested

party.


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The GRM Finance and Procurement Manager will conduct a thorough regular review of each partner,

reviewing all financial systems, financial reports, lists of non-expendable properties, as well as compliance

with procurement policies. Results will be reported to GRM Deputy Team Leader the M&E Specialist for

review and action as required.

The GRM Finance and Procurement Manager will work closely with PRSF Partners to identify and provide

any corrective action in financial management that may be required by any individual partner, including

financial reporting, budgeting, book keeping.


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10. RISK MANAGEMENT

10.1 General Principles

Risk management is an integral part of the PRSF approach to decision-making and accountability. The aim

of this manual is to assist PRSF personnel to manage the risks to maximise opportunities and minimise

adverse consequences. PRSF follows the below guiding principles for the effective risk management:

• A systematic process that can be used when making decisions to improve the effectiveness and

efficiency of performance

• Forward thinking and active approaches to management

• Effective communication

• Accountability in decision making

• Balance between the cost of managing risk and the anticipated benefits.

10.2 Risk Management Strategies

PRSF has developed a comprehensive Risk Management Plan (see Appendix B to Inception Report) which

was developed based on learning and experience during the PRIF. These risks have been rated according to

likelihood of occurrence, consequence of occurring, and overall risk level. These ratings (shown in the table

below) allow for the determination of critical and terminal risks within the process (which must be

addressed immediately and prioritised ongoing) and also those risks that are manageable but will require

less direct oversight.

Risk Management Plan Ratings

Score Likelihood of

Occurrence (L)

Consequence of

Occurring (C)

Overall Risk Level (R)

1 Rare Negligible Low

2 Unlikely Minor Medium

3 Possible Moderate High

4 Likely Major Extreme

5 Almost Certain Severe Terminal Risk


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Consequence of

Occurring (C)

Likelihood of

Occurrence (L)

Negligible (1) Minor (2) Moderate

(3)

Major

(4) Severe (5)

Rare (1) 1 2 3 4 5

Unlikely (2) 2 4 6 8 10

Possible (3) 3 6 9 12 15

Likely (4) 4 8 12 16 20

Almost Certain (5) 5 10 15 20 25

Score Overall Risk Rating (R) Action Required

1-4 Low Insignificant Risk – no action required

5-9 Medium Risk requiring periodic oversight

10-14 High Manageable Risk, requiring ongoing monitoring

15-19 Extreme Critical Risk requiring immediate/ongoing action and prioritisation

20-25 Terminal Risk Terminal Risk – Severe threat to Facility

Risk management will be monitored across the whole Facility every quarter, and also strategies will be

developed to ensure risks are identified and monitoring during the design and implementation of individual

activities / grants

Quarterly PRSF Risk Management Reviews

The ratings will also be reviewed on a quarterly basis with changes (including the addition of new risks

and/or the deletion of risks which are no longer relevant) incorporated into the Risk Management Plan

which will be appended to the Quarterly Reports. These ratings will be reviewed and determined on the

basis of dialogue between the GRM, AusAID and TNP2K.

Activity / Grant based Risk Management

At activity level, PRSF focus on the risk reduction strategy (that includes prevention and mitigation) that

starts from the design phase. During the activity design process attention is drawn to considering and

reviewing inherent risks and articulating mitigation strategies. During the implementation of activities /

grants, regular monitoring reporting will then assists PRSF to manage and track key risks and develop risk

reduction strategies.