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The following five critical areas need further policy development by DAISI:
- Performance Assessment
- Risk assessment & management
- Programme design, monitoring & evaluation
- Partnership Assessment
- Finance
The aim is to chip away at these one by one. Black text is available. Blue text is taken. Green text is completed.
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1.PERFORMANCE ASSESSMENT
1. Outline how your organisation’s governing body sets strategic direction and targets.
2. Outline how your organisation’s governing body monitors performance against its Strategic Plan.
3. Upload an example of a report on progress against the Strategic Plan *
4. Outline how your organisation’s governing body periodically evaluates its own performance.
5. Evidence of evaluation of governing body’s performance
6. Outline how your organisation engages with relevant governing, strategy setting, and/ or policy making bodies within its international alliance, network or consortium.
2. RISK ASSESSMENT & MANAGEMENT
7. Outline how your organisation and governing body effectively identifies, reviews, rates, mitigates, reports and escalates organisational-wide risk.
8. Outline how your organisation undertakes the risk analysis, risk identification and risk management measures applied for high risk contexts.
9. Upload risk management policy, procedure and framework (or equivalent)*
10. Upload current Organisational Level Risk Register *
11. Outline how your organisation has responded to past performance issues providing at least one example
12. Outline your organisation’s documented approach to the management of its initiatives/programs – this could include documented project cycle, a program procedures manual etc.
13. Upload programming procedures or guidelines manual *
- Upload template/s used for project design *
- Upload template/s used for project appraisal *
- Upload template used for project risk matrix
3. PROGRAM DESIGN – MONITORING & EVALUATION
14. Outline how your organisation typically undertakes contextual analysis including the perspectives of stakeholders, which informs planning and design
15. Upload one example of a project design document which includes contextual analysis*
16. Outline how your organisation typically appraises potential initiatives against a documented set of quality standards and DFAT requirements
17. Outline how your organisation typically assesses and manages activity risk.
18. Upload one example of a project risk assessment / framework / matrix (for the same project used in B2.3, B2.4, B4.1 and B4.3)
19. Outline how your organisation remains informed and is able to influence initiatives it is funding throughout the initiative management cycle, including reference to any relevant contractual agreements/clauses
20. Outline your organisation’s strategic approach to programming, and how it develops its country, regional and /or sectoral strategies
21. Upload one example of a country, regional or sectoral strategy document *
22. Outline your organisation’s approaches to enhancing sustainability in programming
23. Outline your organisation’s approach to undertaking regular monitoring of initiatives/ programs and the analysis of information to assess progress and constraints.
24. Upload templates used for M&E plans *
25. Upload templates used for field monitoring reports
26. Upload one example of a M&E plan/framework (for the same project used in Indicators B2.3, B2.4, B2.5, B4.2 and B4.3)
27. Upload one example of a field monitoring report (for the same project used in Indicators B2.3, B2.4, B2.5, B4.2 and B4.3) *
28. Outline your organisation’s approach to the collection and reporting of data to meet DFAT and other stakeholder requirements including the ANCP in a timely manner.
29. Upload Template/s used for progress reporting
30. Upload one example of a progress report (for the same project used in Indicators B2.3, B2.4, B2.5 and B4.1, B4.1 and B4.3) *
31. Outline your organisation’s approach to the conduct of activity evaluations and assessment of results and effectiveness, including a list of evaluations undertaken in the past 12 months.
32. Upload Template or standard Terms of Reference used for evaluations
33. Upload one example of an evaluation report (preferably for the same project used in Indicators B2.3, B2.4, B2.5, B4.1 and B4.2 unless an evaluation has not yet been conducted for this project) *
34. Outline your organisation’s approach to assessing results and effectiveness at a whole of organisation level.
335 Upload Effectiveness Framework or equivalent file.
4. PARTNERSHIP ASSESSMENT
36. Upload procedures or guidelines for the management of partnerships *
37. Outline your organisation’s approach to the regular assessment of the capacity of implementing partners (include reference to frequency and rationale for differing approaches).
38. Upload one example of completed partner capacity assessment *
39. Upload guidelines or standard template used for the capacity assessment of implementing partners *
40. Outline your organisation’s approach to working with implementing partners on an ongoing basis to operate in a manner that is consistent with good development practice and meets reasonable risk management and safeguarding policy obligations.
41. Outline your organisation’s approach to assessing the effectiveness of its partnerships or collaborations.
42. Upload standard template or completed report assessing effectiveness of partnership or collaboration *
5. FINANCE
43. Outline your organisation’s procedures and practices in Australia in the following areas:
- • Budgeting
- • Receipting and recording of donations and grants
- • Responsibilities of officers and their delegations
- • Purchasing/contracting policies and procedures *
- • Accounts payment systems, including overseas transfers and payments
- • Certification of accounts and partner acquittals
- • Acquittal Reporting and Consolidation
- • Cash Management Page 38 of 53 ANGO Accreditation Agency Profile Form Preview
- • Bank and Key account reconciliations
- • Assets (Overseas) management
- • Staff records
- • Travel approval
- • Financial records management
- • Project financial management
- • Calculation and use of interest, with specific reference to donor funds
- • Management of exchange rate gains/losses, with specific reference to donor funds
44. Upload copies of key financial policies, systems and procedures, or an index if documents are very large *
45. Upload procurement policy*
46. Outline your organisation’s general ledger system (including its name) and whether it has the ability to account for income and expenditure at a project level.
47. Outline your organisation’s delegation and authorisation levels for personnel, including cheque signatories. *
48. Upload a schedule of delegation and authorisation levels for personnel
49. Outline how your organisation ensures segregation of duties between procurement, authorisation of supplier invoices and the authorisation of payment. *
50. Upload audited financial statements and management letters of the ANGO from the last 3 years *
51. Outline your organisation’s procedures and practices to control funds sent overseas.
52. Outline your organisation’s approach to cost and value consciousness.
53. Outline your organisation’s approach to assessing its own capacity to undertake financial management.
54. Upload the most recent example of a selfassessment of your organisation’s own capacity to undertake financial management *
55. Outline your organisation’s approach to capturing and recording, monitoring and managing expenditure incurred overseas by partners and affiliates in a timely manner.
56. Outline your organisation’s approach to undertaking assessments of financial and risk management systems and capacity of implementing partners
57. Upload standard template or guidelines for the fiduciary assessment of implementing partners *
58. Upload one completed example of a fiduciary assessment of an implementing partner *
59. Outline your organisation’s approach to receiving and reviewing project acquittals from implementing partners.
60. Upload one project acquittal (for the same project as used in section B and C)
61. Outline your organisation’s approach to monitoring and responding to the financial management performance of implementing partners.
62. Outline your organisation’s approach to assessing implementing partners’ practices to facilitate the prevention, detection and investigation of fraud.
63. Outline your organisation’s approach to strengthening the financial management capacity of implementing partners on an ongoing basis.
64. Outline your organisation’s approach to assessing fiduciary risk of implementing partners and implementing risk based controls
65. Outline your organisation’s approach to receiving and reviewing audited financial statements from implementing partners.
66. Upload one example of any audit or financial review undertaken of your implementing partners or projects in the last 3 years *
67. Outline your organisation’s approach to receiving and reviewing financial statements, expenditure and acquittal reports and independent audits from international affiliates, networks etc.
68. Upload one example of a financial statement from an international affiliate or consortium partner
69. Upload one example of an expenditure or acquittal report from an international affiliate or consortium partner *
70. Upload one example of an independent audit (if available) from an international affiliate or consortium partner *
71. Outline your organisation’s approach to requesting an independent audit of implementing partners working in association with international partners, alliance or affiliates and the process for withholding funds if necessary.
72. Outline your organisation’s approach to undertaking checks of implementing partners to ensure their internal controls (including fraud controls) are operating effectively and that staff are trained in the relevant policies and procedures.
73. Outline your organisation’s approach to assessing the financial risks particular to its operating context
74. Outline your organisation’s approach to providing financial reports and financial risk reports to its governing body
75. Upload three financial reports*
76. Upload three financial risk reports*
77. Upload minutes of the two most recent Audit and Risk Committee (or equivalent) meetings*
78. Outline your organisation’s approach to assessing financial risk of implementing partners.
79. Upload one example of a financial risk assessment of an implementing partner *
80. Outline your organisation’s approach to developing documented agreements with implementing partners for the management and use of funds. Specifically include reference to the requirement to assess, report & escalate, mitigate and manage financial risk including risks relating to fraud, corruption, terrorism financing, and overseas expenditure is addressed).
81. Provide reference to clauses relevant to the management and use of funds in standard partner agreement, MOU or equivalent that was provided at Indicator
82. Outline your organisation’s approach to facilitating the prevention, detection and investigation of fraud and the prevention of corruption including training provide to staff, contractors and implementing partners
83. Outline your organisation’s approach to undertaking internal audits or reviews in response to financial risk assessment.
84. Upload example of an internal audit or review report*
85. Outline your organisation’s approach to the periodic assessment of its own financial systems.
