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Republic of Indonesia:
Development Project
Polytechnic
Education
CONTENTS
Page
ABBREVIATIONS
I.
PROJECT DESCRIPTION
A.
Impact and Outcome.
B.
Outputs.
C.
Implementation Strategy
1
3
3
8
II.
IMPLEMENTATION PLANS
A.
Project Readiness Activities
B.
Overall Project Implementation Plan
10
10
11
III.
18
18
20
20
IV.
25
25
26
27
27
29
30
31
V.
FINANCIAL MANAGEMENT
A.
Financial Management Assessment
B.
Disbursement
C.
Accounting
D.
Auditing
32
32
32
33
33
VI.
33
33
34
34
39
VII.
SAFEGUARDS
42
42
IX.
X.
ANTICORRUPTION POLICY
48
XI.
ACCOUNTABILITY MECHANISM
48
XII.
49
List of Appendices
Appendix 1:
50
Appendix 2:
53
Appendix 3:
62
Appendix 4:
65
Appendix 5:
69
Appendix 6:
75
Appendix 7:
80
Appendix 8:
86
Appendix 9:
89
96
ABBREVIATIONS
ADB
BAPPENAS
BAN-PT
CBE
COSO
CTS
D1, 2, 3, 4
DGHE
DMF
EC
EMIS
FMIS
GAP
GDP
GOI
HRD
IQF
KADIN
LMIS
LSP
M&E
MIS
MOF
MOI
MOMT
MOEC
MOU
MP3EI
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MTR
NSF
OWG
PEDP
PIU
PMIS
PMU
PPMS
PPP
PPTA
PSC
QA
RENSTRA
RPJMN
RPL
SMK
SPRSS
TA
TOR
TUK
TVET
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I.
PROJECT DESCRIPTION
1.
The Governments Master Plan for Acceleration and Expansion of Economic
Development (MP3EI) 2011 - 20251 aims to achieving higher and more inclusive growth across
Indonesia, and expanding development to poorer regions. The MP3EI has three strategic foci:
(i) accelerating development in six economic corridors; (ii) improving national connectivity; and
(iii) strengthening human resources, science, and technology capabilities, which are
prerequisites to sustained, accelerated, and green growth. Within the six economic corridors,
the MP3EI prioritized main economic activities2 to achieve a self-sufficient, advanced,
equitable, and prosperous Indonesia. To generate broad employment and income earning
opportunities and improve productivity across the country, the MP3EI highlights the importance
of: (i) increasing value adding and expanding value chains for industrial production processes;
(ii) advancing efficiency in production and strengthen competitiveness; and (iii) promoting an
innovation-driven economy.
2.
As a basic principle and prerequisite for development success, proficient human
resource development is deemed as a vital driving force for economic growth. Indonesias
polytechnic education system, which includes 172 public and private institutions, is considered
as a significant contributor to accelerate the shift towards a knowledge-based economy and the
development of a productive workforce. The proposed Project will support the MP3EI policy
objectives by increasing access to and quality and relevance of the polytechnic system to
deliver quality skills that will meet the needs of employers and the employment aspirations of
graduates. The Project will provide targeted support to strengthen selected polytechnic
institutions in all six economic corridors, and support main economic activities in these corridors
as identified in the MP3EI, including: (i) manufacturing, (ii) infrastructure, (iii) mining, (iv) agroindustry, and (v) tourism.
3.
Based on macroeconomic and political stability Indonesia has performed impressively
over the past decade. GDP growth accelerated to 6.5% in 2011; further acceleration is
forecasted for 2012-2014. While Indonesias economy is becoming more complex, shifting
towards a knowledge-based economy, the need for human resources with advanced
technological, administration and managerial skills has become more prominent than ever. As a
middle-income country, Indonesia is operating in an increasingly competitive global economy.
To remain viable and create additional employment opportunities, enterprises need to improve
service standards, produce better quality products, improve work organization, technology
usage and build value chains that increase production share or capture value throughout the
economy. However, it is estimated that some 75% of employment in Indonesia requires
improvement in technical skills to increase enterprise productivity. This is a difficult task given
that some 90% of workers throughout Indonesia are employed by micro and small enterprises
employing fewer than six workers.3 While open unemployment declined to 6.6% (August 2011),
it is estimated that a third of the labour force is underemployed, and about 60% of the employed
population works in informal establishments performing low skilled jobs. Low competitiveness of
firms is considered as a key constraint to growth particularly due to low skills and low
productivity of the workforce. The need for advanced skills has been identified by industry
1
2
2
associations in each of the five economic sectors to be supported under the Project as critical to
the success of growth plans.4 The government is aware of the need to substantially up-skill its
workforce to improve competitiveness in the region.5
4.
The Government considers expanding and strengthening the polytechnic system as a
key strategy for skilling up the workforce to serve knowledge intensive and technology driven
industries in the five priority sectors identified by the MP3EI. Currently, the capacity of the 172
polytechnic institutions is limited to serve the growing demand for personnel with advanced
skills across the country. Thus, the Government has earmarked additional funds to establish
new polytechnics and increase the capacity of existing institutions, and is encouraging the
growth of private polytechnics. According to a recent survey by the Ministry of Education and
Culture (MOEC)6, applications to enroll in polytechnic education programs outnumber the
current capacity of most public institutions. The study also reveals that more than 80% of
graduates from the good performing public polytechnics find jobs within 3-6 months after
graduation. However, feedback from employers reveals that many graduates need to be
retrained as their knowledge and skills do not match with the skills required at the work place.
Although the demand for skilled labour is going fast, there are still many graduates from weaker
polytechnics (mostly private and some public) who need to wait longer period (up to 12 months)
to find employment as training programs delivered are outdated and/or suffer from poor
teaching and learning environments.
5.
At present, a common challenge of polytechnic education is limited industry
involvement7, which results in poor quality and relevance of training courses, and a lack of clear
national standards that guide study programs and assessment. Many lecturers of weaker
polytechnic institutions have little workplace experience, making it difficult for them to prepare
their students for the world of work. Lack of and/or obsolete equipment to simulate a work place
for practical demonstration and application hampers quality teaching-learning process in many
polytechnic institutions that have been underfunded in the past. To address these challenges,
the Project will foster partnerships among polytechnics and employers to jointly develop the
skills needed at the work place, create flexible mechanisms with active industry participation to
regularly adapt training programs to new business circumstances, and prepare flexible
graduates who are able to adjust to changing demands in the labour market quickly. Study
programs will be aligned to industry standards to enable industry to judge if graduates have
skills needed to standards of practice and quality required by industry. Standards to be adopted
in the Project will be registered with the National Agency for Professional Certification (BNSP)
and aligned with the outcomes and descriptors within the IQF.8
6.
The Project will support Indonesias economic development (as detailed MP3EI 2011
2025 by increasing the supply of quality skills in five sectors of the economy. This will be
facilitated by improving links between Polytechnics and industry/enterprises. Well educated
technicians are essential to enabling the transition to higher technology jobs and increasing
value in production. The government has placed increasing emphasis on the development of
technical and vocational education, illustrated by its strategy of significantly increasing the
number of high school students in vocational programs (Ministry of Education and Culture,
Strategic Plan 2010-2014). The Strategic Plan proposes an integrated approach to improving
4
The Government has approved IQF in January 2012 through a Presidential Decree No. 8/2012.
3
the quality of polytechnic study programs and skills development services that involves: (i)
ensuring relevance to employers; (ii) increasing access for vocational school graduates and
others interested in developing higher level skills; (iii) up skilling teaching staff and
administrators; and, (iv) upgrading facilities and equipment to ensure learners have job ready
skills. The Project will support DGHE to implement this integrated approach and align access
strategies, flexible delivery approaches responsive to industry context, provision of quality skills
development services that address industry needs and support job placement in each of the five
identified sectors. The Project will also strengthen and implement the IQF to support quality
assurance and implement Recognition of Prior Learning (RPL) to increase access to quality
skills development services available through selected Polytechnic institutions.
7.
The proposed Project is included in ADB Country Operations Business Plan (COBP)
20112013 and addresses four outcomes in the results framework. The COBP has identified
the core strategy of the education sector as improving the efficiency and effectiveness of
polytechnic and higher education to be responsive to the needs of the labor market. The
outcomes of the COBP to be addressed through this Project are: (i) Improved efficiency and
effectiveness of post-secondary and higher education, which is responsive to the needs of the
labor market; (ii) Improved policy coordination and
management of Polytechnic Institutions;
(iii) Established strategy that develops critical skills for national development; and, (iv) Increased
participation by employers in the delivery and assessment of polytechnic training programs.
The Project is consistent with ADB's Education Strategies 2008 Education and Skills
Strategies for Accelerated Development in Asia and the Pacific, and Strategy 2020: The LongTerm Strategic Framework of the Asian Development Bank 20082020. Project activities also
adopt the findings from the ADB Focus on Education: Good Practice Guide for TVET 2010.
The Project is aligned with the Education ASR 20119 and addresses several sub sector issues.
The Project builds upon ADB higher education institution (HEI) loans 1432 Engineering
Education Development Project (EEDP) and loan 1792 Technical and Professional Skills
Development Project (TPSDP) which strengthened policies and governance arrangements, and
upgraded facilities and equipment to 74 HEIs including 12 Polytechnics.
A.
8.
The expected impact will be to produce graduates responsive to the needs of the labor
market and contribute toward increasing productivity in the Priority Sectors. The expected
outcome is that polytechnic education will be aligned to the MP3EI strategy in five priority
economic sectors. The performance targets are (i) the number of polytechnic students enrolled
in study programs in the five priority sectors increases by 25%, with at least 30% of these
female; (ii) the number of polytechnic graduates entering the workforce increases by 25% in five
priority sectors, with at least a 15% increase of these female, finding relevant employment
within six months of graduation.
B.
Outputs.
9. The project will deliver four outputs: (i) increased quality and relevance of polytechnic
system; (ii) increased and more equitable access to polytechnic institutions; (iii) increased
private sector involvement in improving polytechnic graduate competitiveness; and (iv)
strengthened governance and management of polytechnic education. These outputs will be
achieved through the Project interventions in 13 polytechnics to be pre-selected as centers, and
4
through a flexible demand-driven funding mechanism called National Skills Fund (NSF) 10, which
are accessible to all polytechnics. The NSF will provide a number of windows in each economic
corridor through which polytechnic institutions in collaboration with their industry partners can
access resources for upgrading teaching and learning environments and initiate skills
development schemes aligned with the regional labor market demand and the objectives of the
MP3EI.
10.
Output 1: Increased Quality and Relevance of Polytechnic System. The Project
polytechnics will work in partnership with industry in five priority sectors to improve the quality
and relevance of study programs. The Project will: (i) strengthen standards and learning
outcomes in collaboration with industry and align revised study programs onto the Indonesian
Qualification Framework (IQF). Industry standards will guide the development of curriculum of
study programs to address skills requirements in five priority industry sectors; (ii) upgrade
lecturer skills through blended programs delivered in partnership with international polytechnics
and industry placements; (iii) revise accreditation, assessment, and quality assurance systems
to improve quality and ensure alignment with IQF policies and guidelines; (iv) improve teaching
and learning environments and equipment in 13 preselected Polytechnic institutions to reflect
industry skill needs; (v) actively engage and partner with industry to improve the quality of skills
by implementing skills development activities funded through the National Skills Fund (vi) initiate
the development of advanced degree program in applied science and technology.
11.
10
(ii)
(iii)
200 selected staff from the project polytechnics and others that deliver training
responsive to industry needs in the 5 priority industries will be supported to
deliver revised study programs. Teaching staff will be supported to be able to
implement the revised Study Programs and adopt flexible delivery approaches
agreed with industry partners. A major emphasis will be placed on applying
revised assessment methods which value applied skills.
(iv)
Critical to the success of the project will be the development and implementation
of links with industry to achieve employment and enrolment targets detailed in the
project DMF. Polytechnics will need to actively engage with industry to guide the
development of study programs that meet industry skills needs and address the
objectives of the Economic Master Plan. Project funding is triggered by links with
industry. For Polytechnics to gain financial support they will need to demonstrate
partnerships with employers and industry bodies.
(v)
(vi)
The project will also develop a master qualification in each of the five priority
industries to support ongoing lecturer development and to create a training
pathway for the danced studies of students. This program will draw from the
internationally developed master program and adapt and adopt this to meeting
the advanced skills of students in each of the five priority sectors. The program
will be developed and tested in three Polytechnic providers to be determined by
DGHE at the commencement of the Project. The Master program will need to
developed and submitted to DGHE for approval and accreditation in 2015.
12.
Output 2: Increased and more equitable access to polytechnic education. The
Project will: (i) introduce innovative access and equity strategies to increase enrolments in
quality study programs through on job training, distance and E-learning modes and other flexibly
delivered methods developed by polytechnics relevant to the needs and context of selected
industry partners in the five sectors; (ii) review access and equity policies to remove barriers to
participation in quality skills development programs and encourage life-long learning
approaches to ongoing skills formation; (iii) increase enrollment rates in five priority sectors
through the use of 2,000 targeted and project funded scholarships; (iv) develop and apply
Recognition of Prior Learning (RPL)11 and assess at least 12,000 applicants; (v) create a
seamless educational pathway with multiple entry points which links vocational school (SMK)
11
Government has adopted broad RPL policy on 7 September 2011. Within this framework the project will develop
and test guidelines for the vocational education sector.
6
and private provider graduates into a quality polytechnic system for higher level skills
acquisition. 13 Polytechnics will be supported to establish links with schools and provide credit
transfer for 12,000 students entering the polytechnic system, (vi) fund equity strategies to
ensure access by females and other disadvantaged groups through the National Skills Fund.
13.
12
(ii)
(iii)
In alignment with MOEC BIDIK MISI12 the project will support a minimum of
2,000 scholarship places in the five priority industries. This program will require
the development of regulations and guidelines to ensure support for
disadvantaged, poor and female students. This initiative will be funded through
the NSF and be operational in 2013. It is proposed that should the PMU not
have adequate staff to prepare or complete this activity that the NSF could be
used to contract a scholarship coordinator to guide the implementation of project
scholarships.
(iv)
(v)
14.
Output 3: Increased private sector involvement and promotion of an
entrepreneurial culture to strengthen polytechnic graduate competitiveness. The Project
will support MOEC in strengthening partnerships between employers and polytechnics to
improve system quality and responsiveness. Targeted assistance will be provided to: (i)
establish an institutional framework for private sector involvement and partnership; (ii)
implement training programs relevant to selected industry skills needs; (iii) enable industry to
support delivery and assessment of skills to build confidence in graduate skill levels; (iv) support
demand led skills development projects; (v) provide training to strengthen management
capabilities; (vi) support instructors to enable them to adjust training programs based on
demand assessments and incorporate entrepreneurial skills in curriculum modules; and (vii)
develop strategies to foster apprenticeship programs with local industries.
15.
(ii)
The project will establish a National Skills Fund in 2013 to create a mechanism
for the funding of skills development initiatives relevant to industry. The initial
focus of the fund will be to support initiatives that address the needs of
employers in the five priority industries. The fund will operate on a competitive
basis. Guidelines for the operation of the fund and the appraisal of proposals are
detailed in the Appendix 7 of this PAM.
16.
Output 4: Strengthened governance and management of polytechnic education.
The Project will support polytechnics to engage with and support the skills development
objectives of five priority industry sectors. The Project will: (i) conduct studies that review and
revise the regulatory and governance frameworks to support polytechnic development to
improve industry responsiveness; (ii) conduct and facilitate assessments of employment,
management and financing arrangements to support increased efficiency in the polytechnic
system; (iii) strengthen capacity and management and governance systems through rigorous
capacity building programs; and (iv) strengthen links with employers and industry associations
to more effectively address industry skill needs and Human Resource (HR) development plans,
within the framework of the MP3EI.
8
17.
C.
The project will train 150 polytechnic managers to improve sector management
and effectiveness in the project polytechnics. The training will reflect DGHE
policies and be guided by the MP3EI. The training will involve a combination of
training workshops and work assignments and be undertaken by a specialized
management training firm.
(ii)
The project will undertake a series of studies to strengthen the polytechnic sector
and guide future government strategy. The assessments are to be undertaken
by qualified consultants that have recognized expertise in change management
and with supporting engagement between diverse stakeholders to achieve
multiple policy objectives. Studies are described in the PAM and scheduled to be
undertaken early in the project to guide and strengthen implementation.
(iii)
Implementation Strategy
18.
The implementation strategy is summarized in Section IIB in the form of an overall
implementation schedule. Detailed implementation strategies have been developed for the
Project and include: Design and Monitoring Framework (Appendix 1), strategies to increase
quality and relevance of polytechnic education (Appendix 2), strategy for development of
lecturers (Appendix 3), and strategies for strengthening institutional and management
development (Appendix 4). The selection of economic priority sectors for the project is
presented in Appendix 5. Appendix 6 provides the criteria used in the selection of Project
polytechnics and summary information on Project polytechnics. Appendix 7 defines the
guidelines and procedures for the National Skills Fund (NSF) for competitive based funding of
project initiatives. Appendix 8 is the Financial Management Assessment, Appendix 9 is the
Procurement Capacity Assessment Agency Questionnaire and Appendix 10 is M&E Strategy for
the Polytechnic Development Project.
9
Table 1: Implementation Arrangements
Aspects
Implementation period
Project management
(i) Oversight body
Arrangements
2 January 201331 December 2017
10
II.
A.
IMPLEMENTATION PLANS
No
MainActivities
2011
11 12
2012
6 7
8 9 10 11 12
Preparationandreviewof
ReadinessDocuments
LoanfactFinding(LFF)
SigningMOULFF
Preparationforloannegotiation*)
5
6
7
8
9
10
11
12
13
14
14
Loannegotiation
EstablishPMU
BoardApproval
Loansigning
Loanregister
Governmentlegalopinion
DGTreasuryon
Openingspecialaccount
Loaneffectiveness
InitialDeposit
Advanceprocurementactions
*)Theloannegotiationcanbedoneonlyafterthe"Greenbook"isapproved
Responsibility
DGHE,BAPP
ADB,DGHE,
BAPP,MOF
ADB,DGHE,
BAPP,MOF
ADB,DGHE,
BAPP,MOF
ADB,MOF
DGHE
ADB
ADB,MOF
MOF
MOJ
MOF
MOF
ADB,MOF
ADB,MOF
DGHE,ADB
B.
1.1
1.1.1
2013
2014
2015
2016
2017
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2
1.1.3
1.2
1.2.2
Establish working group with DGHE, BAN-PT, BNSP and IQF team for
1.2.3 the formulation of accreditation policy and guidelines for revised Study
Programs
Test and certify 10,000 new students from project polytechnics in
1.2.4 revised study programs according to standards at diploma level,
cognizant of IQF level descriptors
.
11
12
Activities
Outputs
1.3
1.4
2013
2014
2015
2016
2017
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2
Activities
Outputs
1.6
2013
2014
2015
2016
2017
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2
13
14
15
Outputs
3
3.1
3.1.1
3.1.2
3.2
2013
2014
2015
2016
2017
Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4 Q1 Q2
16
Activities
ADB = Asian Development Bank, CBE=Industry Based Education and Training; DGHE = Department of Higher Education; IQF= Indonesia Qualification
Framework; EMIS= Education Management Information System, LMIS = Labor Market Information System, MOEC = Ministry of Education and Culture;
RC = Sector Review Committee
17
18
III.
A.
Project Steering
Committee
Review Committee
19
Project Organizations
Project Management Unit,
DGHE
Project Implementation
Units in 13 Project
Polytechnic Centers and
Other Polytechnics
receiving NSF.
Ministry of Finance
ADB
20
B.
ADB
Country Director
Mission Leader
C.
Jon D. Lindborg
Indonesia Resident Mission
Gedung BRI II 7th Floor
Jln. Jend. Sudirman Kav. 44-46, Jakarta
Sutarum Wiryono
Project Officer (Education), Indonesia Resident Mission
Gedung BRI II 7th Floor
Jln. Jend. Sudirman Kav. 44-46, Jakarta
Email: swiryono@adb.org
19.
The Directorate General of Higher Education (DGHE) of the Ministry of Education and
Culture (MOEC) will be the Executing Agency (EA) for the Project. The EA will be responsible
for the overall implementation of Project, including carrying out and monitoring all policy actions,
program administration and maintenance of program records. A Project steering committee
(PSC) will be established, chaired by the Deputy Minister for Human Resources and Cultural
Affairs of BAPPENAS, and co-chaired by the Director General of Higher Education, MOEC, to
provide supervision and strategic guidance for the Project. The steering committee will comprise
persons from key sector stakeholders including BAPPENAS, MOF, relevant employer
associations, the Ministry of Manpower and Transmigration (MOMT) and representative of the
industry.
20.
A Project Management Unit (PMU) will be established by DGHE, under the guidance of
the Project Director who will be the Director of Learning and Student Affairs in DGHE. The PMU
will be headed by a Project Manager and will be responsible for day-to-day Project
implementation, planning and budgeting, procurement, disbursement, monitoring, and reporting.
The PMU will have at least 7 permanent staff and 5 support staff to handle the procurement,
capacity development, academic program quality improvement, financial management,
monitoring and reporting, marketing and gender equity promotion. These staff should also
manage Project data and record keeping, event organization, and administrative assistance.
21.
At each Project supported Polytechnic there will be a Project Implementation Unit (PIU)
who will be responsible for implementing the approved Project activities. The respective
Polytechnic Director will appoint and supervise a PIU manager, who will be responsible for the
21
day-to-day implementation of project activities. Each project polytechnic institution will assign
adequate staff (secretarial, finance, procurement, program coordinator and M&E data officer) to
ensure smooth implementation of activities. The PIU Manager will prepare reports to the
Polytechnic Director, who will in turn, report to the PMU. The Project will provide capacity
building for PMU and PIU members. Section III of this PAM details the terms of reference for
the PSC, the PMU, the PIU. The organization chart of overall project management is in Figure
1, the PMU structure is in Figure 1.a, and the PIU structure is in Figure 1.b.
22.
To appraise proposals submitted by polytechnics to be financed under the NSF and
make recommendations on which proposals should be supported, the EA will establish a
Review Committee (RC) not later than three months after loan effectiveness. Membership of
the RC which will consist of a pool of at least 20 qualified experts from industries, and industry
associations of the five economic areas supported by the Project, and technical experts from
MOEC and polytechnics. The terms of reference (TOR) for RC and guidelines for the operation
of the NSF and the proposal assessment process are provided in Appendix 8 in the PAM.
23.
The RC is also tasked to provide technical and policy advice, including validation of
study programs, review standards and delivery approaches, developing skills testing and
assessment protocols, and facilitating partnership between Polytechnics and employers in the
priority sectors. During implementation, the RC will also support the EA in monitoring and
providing technical guidance to the Project Polytechnics to ensure that the agreed programs
and activities are properly executed, and the targeted outputs are met.
24.
To support the effective functioning of the RC, it is proposed that the following
procedures and requirements be implemented to avoid conflicts of interest. This is particularly
important when the RC is reviewing and appraising National Skills Fund proposals for approval
by the DGHE-MOEC. It is also important when the RC is acting on behalf of DGHE in
recommending industry standards and revised Polytechnic Study Programs and in supporting
quality control throughout the Polytechnic Education Development Project.
25.
Steps to avoid real or apparent conflicts of interest might include, but are not limited to:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
22
Figure 1: Project Organization and Management
Project Steering Committee (PSC)
1.
2.
3.
4.
5.
6.
ADB
PIU
Legend:
1. PSC
2. EA
3. PMU
4. PIU
5. RC
PIU
PIU
PIU
PIU
PIU
PIU
PIU
PIU
PIU
PIU
PIU
23
Figure 1.a PMU Structure
Project Director
Directorate of Learning and Student Affairs
Project Manager
Project Secretary
Staff
Staff
Keterangan:
: command line
: coordination line
Staff
Staff
Staff
24
Figure 1.b PIU Structure
Coordinator for
Procurement
Staff
Coordinator for
Academic Program
(NSF studies, staff
development,
workshop)
Staff
Coordinator for
Monitoring, Evaluation
and Data Processing
Staff
Coordinator of Finance
Staff
25
IV.
26.
The project is estimated to cost $91.70 million, including physical and price
contingencies, and taxes and duties of $0.90 million to be financed by the government. The
investment plan is summarized in Table 2.
A.
Item
Investment Costs
b
Equipment
Capacity Development
Consulting Services
Program and Material Development
Studies and Workshops
National Skills Fund
Social Marketing and Advocacy
Project Management
Taxes and Duties
c
Contingencies
d
Interest and commitment charges
Total
Share of Total
a
b
ADB
Government
Total
27.25
0.00
2.20
1.90
1.40
38.10
0.55
0.00
0.00
3.60
0.00
0.00
6.50
0.00
0.00
0.00
0.00
0.00
5.70
0.90
0.00
3.60
27.25
6.50
2.20
1.90
1.40
38.10
0.55
5.70
0.90
3.60
3.60
75.00
16.70
91.70
81.80%
18.20%
100.00%
In 2011 prices
Equipment and materials to be financed out of loan proceeds include related service costs such as transportation,
insurance, installation, commissioning, training, and initial maintenance.
Physical contingencies are set at 5% for goods and works procurement expenditure categories. National and
international inflation rates are set at around 1% and 6%, respectively.
Includes interest, commitment charges and front end fees. Interest during construction has been computed at the five-year forward
London interbank offered rate.
27.
The government has requested a loan not exceeding $75.0 million from ADBs Ordinary
Capital Resources to help finance the project; this is equal to 81.8% of the project cost. The
government will contribute $16.70 million, equal to 18.2% of the project cost. Detail cost
estimate by financier is presented in Table 3, while allocation and withdrawal of loan proceeds is
in Table 4. Table 5 summarizes detailed cost estimates by year of implementation.
26
B.
Amountb
A. Investment Costs
1. Equipment
a. PMU
b.Polytechnic Equipment, materials and consumables
2. Capacity Development
a.Overseas degree for up to 36 staff
b.In-Country/Partnership programs for up to 250 polytechnics
staff
c.PMU & PIU staff training
3. Consulting Services
a.International
b.Local
4. Program and Teaching Learning Material Development
5. Studies and Workshops
6. National Skills Fund
7. Social Marketing and Advocacy
8. Project Management
b.PMU Salaries and Operating Costs
9 Taxes and Duties
Subtotal (A)
B. Contingencies
c
C. Interest and commitment Charges
Total Project Cost (A+B+C)
% Project Cost
Government
Percent of
Amount
Cost Category
Total
0.25
27.00
100.00
100.00
0.25
27.00
3.60
2.50
100.00
100.00
3.60
2.50
0.40
100.00
0.40
0.10
2.10
1.90
1.40
38.10
0.55
100.00
100.00
100.00
100.00
100.00
100.00
0.10
2.10
1.90
1.40
38.10
0.55
71.40
3.60
-
85.20
100.00
-
100.00
100.00
14.80
100.00
5.70
0.90
83.80
3.60
3.60
5.70
0.90
13.10
3.60
75.00
16.70
81.8
18.2
91.70
27
C.
No
1
2
3
4
5
Item
ADB FINANCING
Amount Allocated
($ million)
Category Subcategory
Percentage and
Basis for Withdrawal
from the Loan Account
Equipment for 13
Preselected Polytechnics
and PMU
27.25
Consulting Services
2.20
1.90
1.40
38.10
D.
TOTALCOST
ADB
A.InvestmentCosts
1.Equipment
a.PMU
b.PolytechnicEquipment,MaterialsandConsumables
SubtotalEquipment
2.CapacityDevelopment
a.Overseas/BlendedDegreeforupto39staff
b.InCountry/PartnershipProgramsforpolytechnicstaff
c.PMU/PIUStaffTraining
SubtotalCapacityDevelopment
3.ConsultingServices
a.International
b.Local
SubtotalConsultantServices
4.ProgramandTeachingLearningMaterialDevelopment
5.StudiesandWorkshops
6.NationalSkillsFund
7.SocialMarketingandAdvocacy
8.ProjectManagement
StaffsalaryandOperatingcosts
9.TaxesandDuties
TOTALBASECOST
B.Contingencies
C.InterestandcommitmentCharges
TOTALPROJECTCOST
%OFTOTALPROJECTCOST
2013
ADB
GOI
GOI
0.250
27.000
27.250
2014
ADB
GOI
28
2016
ADB
GOI
2017
ADB
GOI
0.250
4.000
4.250
14.000
14.000
9.000
9.000
3.600
2.500
0.400
6.500
1.500
0.450
0.100
2.050
1.260
1.000
0.150
2.410
0.540
0.500
0.100
1.140
0.300
0.450
0.050
0.800
0.100
0.100
0.100
2.100
2.200
1.900
1.400
38.100
0.550
0.434
0.493
0.500
0.300
4.520
0.100
0.100
0.874
0.822
0.500
0.450
14.350
0.250
0.432
0.457
0.500
0.300
14.350
0.100
0.234
0.277
0.400
0.250
4.880
0.100
0.126
0.151
0.100
-
5.700
0.900
1.110
0.200
1.310
0.200
1.350
0.200
1.100
0.200
0.830
0.100
71,400
13,100
10.104
3.363
30.524
3.920
24.682
2.690
5.864
2.100
0.226
1.030
3,600
3.600
0.820
-
0.450
0.950
-
0.900
0.820
-
0.900
0.700
0.900
0.310
-
0.450
75,000
16.700
10.924
3.810
16.2%
31.474
4.820
39.3%
25.502
3.590
31.7%
6.564 3.000
10.5%
0.536
1.480
2.2%
29
E.
80.000
ADB
70.000
74.464
GOI
75.000
67.900
60.000
50.000
42.398
40.000
30.000
20.000
15.220
10.000
16.700
12.220
10.924
8.630
3.810
2013
2014
2015
2016
2017
30
F.
ADB
Imprest
Account,
Bank
Indonesia
MOF
DG Treasury
5
KPPN
SP2D
8
S
P
M
S
P
2
D
BO 1
(Operational
Bank)
WA Initial Deposit
& WA
Replenishment
4a
Contractor
3a
PMU
DGHE, MOEC
6
Copy
SP2D
S
P
M
4
Document
of
Payments
2
MOU
PIU
Polytechnics
8
3b
Contractor
Document flow
Funds flow
1.
2.
3.
4.
5.
6.
7.
8.
Project Polytechnics submits a project proposal to PMU; reviewed by Review Committee (RC). The approved
proposal and work plan become the basis for Annual Budget Plan (DIPA) processing.
Based on review results and recommendation of the RC, the Project Director signs a contract (MOU) with each
Project Polytechnic. The PMU review and approve annual budget plan for inclusion in the DIPA based on the
overall plan.
(a) PMU signs contracts for work and services at the central level; (b) PIU signs contracts for goods and services
at the project polytechnics to implement the work plan as agreed in the DIPA.
(a) PMU submits Payment Order (SPM) to the treasury office (KPPN) at central to request payments for
contractors/suppliers in the central; (b) PIU submit SPM to local KPPN for payment of goods and services to
supplier/contractor at project polytechnic.
KPPN issued SP2D (remittance order) to request the Operational Bank (BO) to transfer the funds to PMU/PIU or
contractor.
Transfer of funds from BO to PMU/PIU/contractor
PIU submits full financial reports and documents (copy SP2D, receipts, contracts, etc) to PMU for the basis of
preparing withdrawal application (WA).
PMU submit WA to DG Treasury for replenishment of imprest account.
31
G.
ADB
MOF
DG Treasury
5
KPPN
SP2D
8
S
P
M
BO 1
(Operational
Bank)
Copy
SP2D
WA Initial Deposit
& WA
Replenishment
4a
PMU
DGHE, MOEC
7
6
Document
of
Payments
2
Contract
PIU
Private
Polytechnics
3
Document flow
Contractor
Funds flow
1.
2.
3.
4.
5.
6.
7.
8.
Project Polytechnics submits a project proposal to PMU; reviewed by Review Committee (RC). The approved
proposal and work plan become the basis for Annual Budget Plan release of funds through NFS funds.
Based on review results and recommendation of the RC, the Project Director signs a contract (MOU) with each
Project Polytechnic. The PMU review and approve annual budget plan for inclusion in the DIPA (PMU).
PIU signs contracts for goods and services at the project polytechnic to implement the work plan as agreed in the
Budget Plan.
PIU submit request for payment to local KPPN through PMU; and PMU submit SPM to KPPN.
KPPN issued SP2D to request the Operational Bank (BO) to transfer the funds to PIU.
Transfer of funds from BO to PIU account, and PIU pay to the contractor based of approval of PMU.
PIU submits full financial reports and documents (copy receipts, contracts, etc) to PMU for the basis of preparing
withdrawal application (WA).
PMU submit WA to DG Treasury for replenishment of imprest account.
32
V.
A.
FINANCIAL MANAGEMENT
28.
Financial management capacity assessment found that the Directorate General of
Higher Education (DGHE), MOEC has extensive capacity to carry out the project, since it has
implemented numerous internationally-funded projects during the last four decades. The
financial management assessment identifies sufficient capacity and staffing in the accounting
and financial section of MOEC's DGHE. All financial reports are prepared in accordance with the
Public Sector Financial Management Law. The Integrated Chart of Accounts is consistent with
International Accounting Standards. Government financial reports are prepared according to the
Government Financial Information System (SAI) by the PMUs and submitted to ADB, MOF, and
MOEC. Of particular concern, however, is the lack of standardization in the use of accounting
system and software across different Polytechnic institutions. The project will address the
capacity issue by providing a financial management consultant to the PMU to support the 13
project Polytechnic institutions, to undertake the necessary financial reporting required under
the projects financial compliance. The Project will provide accounting staff for the project
management unit (PMU), and train PMU and PIU staff in financial planning, accounting,
auditing, and control; and implement a performance-based planning and budgeting system. The
PMU will ensure proper monitoring of the PIU financial staff, particularly the funds to be issued
to these institutions for equipment procurement and activities funded under the National Skills
Fund. The financial management assessment questionnaire is in the PAM, Appendix 9.
B.
Disbursement
29.
The Loan proceeds will be disbursed in accordance with ADBs Loan Disbursement
Handbook (2012, as amended from time to time) and detailed arrangements agreed upon
between the Government and ADB13.
30.
Pursuant to ADB's Safeguard Policy Statement (2009) (SPS),14 ADB funds may not be
applied to the activities described on the ADB Prohibited Investment Activities List set forth at
Appendix 5 of the SPS. All financial institutions will ensure that their investments are in
compliance with applicable national laws and regulations and will apply the prohibited
investment activities list (Appendix 5) to subprojects financed by ADB.
31.
The Government of Indonesia will establish an imprest account at Bank Indonesia which
will be administered by the MOF. The maximum amount to be deposited in the imprest account
will not exceed the estimated expenditures to be funded through the imprest account for six
months of project implementation or 10% of the loan amount, whichever is lower15. The request
for initial advance to the imprest account should be accompanied by an Estimate of Expenditure
Sheet setting out the estimated expenditures for the first six (6) months of project
implementation, and submission of evidence satisfactory to ADB that the imprest account has
been duly opened. For every liquidation and replenishment request of the imprest account, the
government will furnish to the ADB (a) Statement of Account (Bank Statement) where the
imprest account is maintained, and (b) the imprest account reconciliation statement (IARS)
reconciling the above mentioned bank statement against the executing agencys records.
32.
Funds for the NSF will be funds for the NSF will be paid from the imprest account to the
polytechnics on in tranches based on the approved work plan. The amounts provided to the
polytechnics will be liquidated by submitting full supporting documents to the PMU. The ADB
statement-of-expenditure (SOE) procedure will be used for liquidation and replenishment of the
13
Disbursement procedures for the NSF are in line with the disbursement procedures for other components as
described under this chapter.
14
Available at: http://www.adb.org/Documents/Policies/Safeguards/Safeguard-Policy-Statement-June2009.pdf
15
Bank charges for the imprest account may be financed by the ADB loan.
33
imprest account, and for reimbursement of eligible expenditures not exceeding $100,000 per
individual transaction. The payments in excess of the SOE ceiling will be reimbursed, liquidated,
or replenished based on full supporting documentation. SOE records should be maintained and
made readily available for review by ADBs disbursement and review mission or upon ADBs
request for submission of supporting documents on a sampling basis, and for independent
audit.16
33.
Before the submission of the first withdrawal application, the government should submit
to ADB sufficient evidence of the authority of the person(s) who will sign the withdrawal
applications on behalf of the Borrower, together with the authenticated specimen signatures of
each authorized person. The minimum value per withdrawal application is $100,000, unless
otherwise approved by ADB. The government is to consolidate claims to meet this limit for
reimbursement and imprest account claims. Withdrawal applications and supporting documents
will demonstrate, among other things that the goods, and/or services were produced in or from
ADB members, and are eligible for ADB financing.
C.
Accounting
34.
MOEC will maintain separate project accounts and records by funding source for all
expenditures incurred under the project. All polytechnics supported under the Project will
maintain separate account and records as well. Project accounts will follow international
accounting principles and practices.
D.
Auditing
35.
MOEC will cause the detailed consolidated project accounts to be audited in accordance
with International Standards on Auditing and in accordance with the Government's audit
regulations by an auditor acceptable to ADB. The audited accounts will be submitted in the
English language to ADB within 6 months of the end of the fiscal year by the executing agency.
The annual audit report will include a separate audit opinion on the use of the imprest account,
and the SOE procedures. The audit will also include a review of project accounts managed by
PIUs of all polytechnics supported by the Project. The Government and MOEC have been
made aware of ADBs policy on delayed submission, and the requirements for satisfactory and
acceptable quality of the audited accounts. ADB reserves the right to verify the project's
financial accounts to confirm that the share of ADBs financing is used in accordance with
ADBs policies and procedures. For revenue generating projects only, ADB requires audited
financial statements (AFS) for each executing and/or implementation agency associated with
the project.
VI.
A.
Advance Contracting
36.
All advance contracting will be undertaken in conformity with ADBs Procurement
Guidelines (April 2010, as amended from time to time)17 and ADBs Guidelines on the Use of
Consultants (2010, as amended from time to time).18 The issuance of invitations to bid under
advance contracting will be subject to ADB approval. The borrower and DGHE have been
advised that approval of advance contracting does not commit ADB to finance the Project.
16
34
Advance contracting can be used for up to 5% of the loan balance and for expenses up to 12
months before loan signing. All eligible contract packages and eligible expenditures agreed
between ADB and the borrower approved for advance contracting.
B.
37.
All procurement of goods and works will be in accordance with ADBs Procurement
Guidelines (April 2010, as amended from time to time). Under the project, civil works will be
procured through international competitive bidding (ICB) procedures for packages exceeding
$10,000,000 equivalent, and through NCB procedures acceptable to ADB for packages up to
and including $10,000,000 equivalent. Goods will be procured through international competitive
bidding (ICB) procedures for packages exceeding $1,000,000 equivalent, and through NCB
procedures acceptable to ADB for packages up to and including $1,000,000 equivalent. For
packages of $100,000 equivalent or less, shopping or direct contracting (if required equipment
is proprietary) may be used.
38.
Before the start of any procurement ADB and the Government will review the public
procurement laws of the governments to ensure consistency with ADBs Procurement
Guidelines. Should there be any discrepancy between the Government laws and decrees and
the ADBs Guidelines, then ADBs Guidelines shall prevail.
39.
An 18-month procurement plan indicating threshold and review procedures, goods,
works, and consulting service contract packages and national competitive bidding guidelines is
in Section C.
40.
All consultants will be recruited according to ADBs Guidelines on the Use of Consultants
(April 2010 as amended from time to time).19 The terms of reference for all consulting services
are detailed in Section D.
41.
To support project implementation, a firm will be engaged to provide 3 person months of
international consultant inputs and 223 person months of national consultant inputs. The
Consultant Firm will be selected through Consultants Qualification Selection (CQS) and quality
and cost-based selection (QCBS) method with a standard quality:cost ratio of 80:20. Full
technical proposals (FTPs) will be required for submission; shortlisted consultants are allowed
45 days to prepare FTPs for QCBS. In addition, 36 person months of national consultants will
be engaged individually to support the start up phase of the project. It is proposed that ADB will
assist DGHE to recruit, through advanced contracting, the Finance Expert, the Procurement
Expert and the Monitoring and Evaluation firm to establish procurement, standard bidding
documents and disbursement systems for the PMU and PIU, train PMU and PIU staff in
procurement and ensure systems are in place which comply with ADB requirements, and to
contract a monitoring and evaluation firm to establish PPMS and PPIS systems for use
throughout the project. Detailed consulting terms of reference are provided in Section D.
C.
Procurement Plan
Basic Data
Project Name: Polytechnics Education Development Project
Country: Indonesia
Executing Agency: The Directorate General of Higher
Education in the Ministry of Education and Culture
Loan Amount: $ 75,000,000
Loan Number: 42099
Date of First Procurement Plan: Sept 2012
Date of this Procurement Plan: __________ 2013
19
Checklists for actions required to contract consultants by method available in e-Handbook on Project Implementation at:
http://www.adb.org/documents/handbooks/project-implementation/
35
1.
42.
Except as the Asian Development Bank (ADB) may otherwise agree, the following
process thresholds shall apply to procurement of goods and works.
Procurement of Goods and Works
International Competitive Bidding (ICB) for Works
International Competitive Bidding for Goods
National Competitive Bidding (NCB) for Works
National Competitive Bidding for Goods
Shopping
Direct Contracting (DC)
Method Threshold
Above $10,000,000
Above $1,000,000
Beneath that stated for ICB, Works
Beneath that stated for ICB, Goods
Up to $100,000
Up to $100,000
Consulting Services
Threshold
Method
b.
Above $200,000
$200,000 and below
$100,000 and below
43.
Except as ADB may otherwise agree, the following prior or post review requirements
apply to the various procurement and consultant recruitment methods used for the project.
Procurement Method
Prior or Post
Procurement of Goods and Works
ICB Works
Prior
ICB Goods
Prior
NCB Works
Prior/Post
NCB Goods
Prior/Post
Shopping for Works
Prior/Post
Shopping for Goods
Prior/Post
Comments
Prior review of all bidding documents.
For NCB/Shopping and Direct Contracting the first draft bidding
documents in English Language version should be submitted to
ADB for review and approval regardless of the estimated contract
amount. The first two contracts in English language version.
ADB-approved procurement documents will be used as a model for
subsequent ADB financed packages. ADB will review the bid
evaluation reports and award of the contract on a post review basis
ICB : International Competitive Bidding, NCB : National Competitive Bidding, DGHE : Directorate General of Higher Education,
MOEC : Ministry of Education and Culture
c.
44.
The following table lists goods and works contracts for which procurement activity is
either ongoing or expected to commence within the next 18 months.
General
Description
Estimated
Contract
Value ($)
Number of
Contracts
Prequalification
of Bidder (y/n)
Procurement
Method
Advertisement
Date
36
General
Description
Program
Development
Equipment and
materials for 13
preselected
Polytechnics
Equipment and
Works under
National Skills
Fund
Estimated
Contract
Value ($)
1,250,000
Number of
Contracts
Prequalification
of Bidder (y/n)
Procurement
Method
Advertisement
Date
13 or more
Shopping,
DC
27,000,000
13 or more
ICB/NCB/
Shopping
Q3/Y1,
Q1,/Y2,Q1/Y3,
Q1/Y4
Q1/Y2
The
value
will
be
determined
by the NSF
proposals
from
individual
polytechnics
25 or more
ICB/NCB/
Shopping
d.
Q2/Y1
45. The following table lists consulting services and training contracts for which procurement
activity is either ongoing or expected to commence within the next 18 months.
General
Description
Strengthening
polytechnic
education and
project
implementation
National Skills
Fund
Competitive
Grants and
Scholarships
Monitoring and
Evaluation,
PPMS and
PPIS
Study on
review
regulatory and
governance
framework
Study on
Polytechnic
graduate
relevance and
Estimated
Contract
Value ($)
2,200,000
Procurement
Method
Advertisement
Date
International or
National
Assignment
International/
National
QCBS (80:20)/
CQS
Q4/Y0
Individual
recruitment
(ICS)
Q4/Y0
National
CQS, ICS
Q2/Y1
National
CQS
Q1/Y1
National
75,000
CQS, ICS
Q4/Y1
National
110,000
CQS, ICS
Q1/Y2
National
Comments
3 pm of intl
const inputs
and 223pm of
nat const
inputs
36 pm
national
consultant for
start up
Half Yearly
Reporting
37
General
Description
employability
Study on
Strengthening
Polytechnic
Industry
linkages
Social
Marketing
Strategy
Estimated
Contract
Value ($)
Procurement
Method
Advertisement
Date
International or
National
Assignment
110,000
CQS, ICS
Q1/Y2
National
550,000
CQS
Q4/Y1
National
e.
Comments
46.
The following table groups smaller-value goods and works contracts for which
procurement activity is either ongoing or expected to commence within the next 18 months.
General
Description
Office Furniture
and Equipment
for PMU and
PIUs
Teaching
Learning
Materials
Development
2.
Estimated
Contract
Value ($)
250,000
Number of
Contracts
Prequalification of
Bidder (y/n)
Procurement
Method
Advertisement
Date
2 or more
NCB,
Shopping
Q1/Y1
650,000
13 or more
Shopping, DC
Q1/Y2, Q1/Y3,
Q1/Y4
General
47.
The procedures to be followed for national competitive bidding shall be those set forth in
Presidential Decree No.54/2010 of the Republic of Indonesia, dated 6 August 2010, with the
clarifications and modifications described in the following paragraphs required for compliance
with the provisions of the Procurement Guidelines.
b.
Registration
48.
Bidding shall not be restricted to pre-registered firms and such registration shall not be a
condition for participation in the bidding process.
49.
Where registration is required prior to award of contract, bidders: (i) shall be allowed a
reasonable time to complete the registration process; and (ii) shall not be denied registration for
reasons unrelated to their capability and resources to successfully perform the contract, which
shall be verified through post-qualification.
c.
Prequalification
50.
Post qualification shall be used unless prequalification is explicitly provided for in the
loan agreement/procurement plan. Irrespective of whether post qualification or prequalification
is used, eligible bidders (both national and foreign) shall be allowed to participate.
38
d.
Joint Ventures
51.
A bidder declared the lowest evaluated responsive bidder shall not be required to form a
joint venture or to sub-contract part of the supply of goods as a condition of award of the
contract.
e.
Preferences
52.
No preference of any kind shall be given to domestic bidders or for domestically
manufactured goods.
53.
Regulations issued by a sectoral ministry, provincial regulations and local regulations
which restrict national competitive bidding procedures to a class of contractors or a class of
suppliers shall not be applicable.
f.
Advertising
54.
Invitations to bid (or pre-qualify, where prequalification is used) shall be advertised in at
least one widely circulated national daily newspaper or freely accessible, nationally-known
website allowing a minimum of twenty-eight (28) days for the preparation and submission of
bids and allowing potential bidders to purchase bidding documents up to at least twenty-four
(24) hours prior the deadline for the submission of bids. Bidding of NCB contracts estimated at
$500,000 or more for goods and related services or $1,000,000 or more for civil works shall be
advertised on ADBs website via the posting of the Procurement Plan.
55.
Bidding documents shall be made available by mail, electronically, or in person, to all
who are willing to pay the required fee, if any.
(i)
(ii)
Foreign bidders from ADB member countries shall not be precluded from bidding.
g.
Bid Security
56.
Where required, bid security shall be in the form of a bank guarantee from a reputable
bank.
h. Bid Opening and Bid Evaluation
57.
Bids shall be opened in public, immediately after the deadline for submission of bids.
(i)
Evaluation of bids shall be made in strict adherence to the criteria declared in the
bidding documents.
(ii)
Bidders shall not be eliminated from detailed evaluation on the basis of minor
non-substantial deviations.
(iii)
No bid shall be rejected on the basis of a comparison with the owner's estimate
or budget ceiling without the ADBs prior concurrence.
(iv)
The contract shall be awarded to the technically responsive bid that offers the
lowest evaluated price.
39
i
58.
Bids shall not be rejected and new bids solicited without the ADBs prior concurrence.
59.
When the number of responsive bids is less than three (3), re-bidding shall not be
carried out without the ADBs prior concurrence.
j.
60.
Bidders must be nationals of member countries of ADB, and offered goods and services
must be produced in and supplied from member countries of ADB.
D.
61.
The Project provides for 262 person months of consultants (3 person months of
international; 259 person months of national consultants). The provision is summarized below:
Table 7. Requirement of National and International Consultants
No.
Position
1
2
3
4
5
6
7
8
9
10
11
Total
Person Months
Intl.
Natl.
24
30
30
3
12
25
12
12
12
48
42
12
3
Schedule
Years
Y1, Y2, Y3
Y1, Y2
Y2, Y3
Y1, Y2
Y1, Y2, Y3
Y2, Y3
Y1, Y2, Y3, Y4
Y1, Y2, Y3
Y1, Y2, Y3, Y4
Y1, Y2, Y3, Y4
Y1, Y2
259
62.
In addition to the above, the Project will engage firm(s) to provide services for the
Monitoring and Evaluation, Auditing, and Social Marketing. All consultants must have (i) good
English communication skills, (ii) cross cultural working experience and (iii) good reporting skills.
All consultants will (i) assist in writing of reports as required by the PMU20.
63.
Position 1: Capacity Development Program Manager (National consultant for 24
months). The consultant must have extensive experience in technical and professional skill
education and capacity building expertise, and (ii) demonstrated experience in a donor funded
project. The consultant will (i) have the overall responsibility for the development and
implementation of project capacity building activities and the achievements of project outcome
and outputs, (ii) assist the development, organization and delivery of project activities and
ongoing mentoring of DGHE and the Project Polytechnics21, (iii) organize study tour(s) and
facilitate twinning arrangement with international institutions, (iv) organize, monitor and assist
preparation of project documents, manuals and reports, (v) supervise the inputs of service
providers, (vi) assist the project management unit (PMU)/project implementation unit (PIU) as
21
40
required, and (vii) propose improved capacity building activities based on program evaluation
and review.
64.
Position 2: Pool of technical experts in 5 Priority Sectors (National consultant(s) for
30 months6 months for each of the 5 priority sectors). The consultant must have (i) wide
experience in implementation of revised demand led study programs and systems, including
standard development, module development, and assessment tools development, (ii)
experience in training of trainers and managers, (iii) subject and technical expertise to divide the
content of revised study programs to be developed by Polytechnic lecturers. The consultant will
(i) develop and propose to DGHE the framework for working with industry to review and
strengthen study programs, (ii) assist the review committee (RC) in strengthening the study
program, (iii) formulate proposals to DGHE on adaptations, further development and
dissemination of industry standards and revised study programs, (iv) plan, sequence and
monitor the development of occupational profiles, occupational standards, modules, learning
material, assessment material and guides in selected 16 programs, (v) advise curriculum
developers in consultation with Industry,
65.
Position 3: Masteral Program Development Experts. (National consultants for 30
months, one in each priority sector for 6 months). The consultants must have (i) experience in
national education including technical and professional skill education, (ii) experience in training
of trainers/managers including assessment at a post graduate level, (iii) direct involvement in
the development and provision of a master training programs, (iv) experience in developing
higher level programs in higher professional education or Polytechnic institutions; (v) be
conversant with institutional and legal requirements for developing Masters Degree programs;
and (vi) be a recognized professional in one of the subject areas for which Masters Programs
will be piloted. The consultant will assist the DGHE in developing master program in applied
sciences for polytechnics lecturers. The tasks will include: (i) review the DGHE academic paper
outlining plan for masters degree program, (ii) study literatures on existing applied sciences
programs from other countries, (iii) develop a concept paper/policy options for masters degree
program in applied sciences in line with the new laws on Higher Education, (iv) present the
concept paper/policy options to DGHE and relevant stake holders to obtain feedback for
improvement, (v) assist/guide polytechnics in setting up masters degree program.
66.
Position 4: IQF Mutual Recognition Specialists (International consultant for 3 months,
national consultants for 12 months) to address IQF requirements. The consultant must have (i)
theoretical and practical experience with standards based assessment, in one of the 5 priority
sectors. The consultants will (i) assist the writing groups in developing assessment tools and
guides for the revised study programs, (ii) train assessors, (iii) ensure revised study programs
are relevant to industry standards and aligned to IQF requirements.
67.
Position 5: Assessment and Certification Experts (National consultants for 25
months): to address assessment and certification issues. The consultant must have (i)
theoretical and practical experience with standards based assessment. The consultants will
assist the DGHE in improving the prototype of RPL and TUK (Assessment Development
Center). The Tasks will include: (i) review the existing RPL instrument and mechanism of
assessment, (ii) review the result of pilot test of RPL, (iii) advise the DGHE in finalizing the RPL
instrument and guidelines, (iv) assist the writing groups in developing assessment tools and
guides for the revised study programs, and (v) train assessors.
68.
Position 6: Credit Transfer System Expert (National consultant for 12 months). The
consultant must have (i) experience in technical and professional skill education, (ii) standards
development in technical and professional skill education, and (iii) experience with CTS
development and implementation. The consultant will assist in the development of a CTS for the
41
12 Project Polytechnic institutions and revised Study programs assuring that students previous
education achievements are recognized when transferring to another Polytechnic in Indonesia.
69.
Position 7: Gender Expert (National expert for 12 months). The consultant must have
(i) experience in applying gender strategies, and (ii) experience in teaching adults. The
consultant will (i) follow up and monitor the implementation of the GAP22 indicators, (ii) provide
training to Trainers on gender issues, (iii) participate in the monitoring of project activities to
ensure gender sensitivity, (iv) assist in ensuring gender sensitivity in marketing campaign, (v)
provide training to the curriculum developers on gender issues related to learning material,
assessment instruments and guides.
70.
Position 8: Institutional Governance Expert (National consultant for 12 months). The
consultant must (i) have experience with institutional development and (ii) human resource
development. The consultant will (i) provide recommendations regarding the setting up of
functioning the RC together with the Position 2 consultant, (ii) train/induct the members of the
RC; (iii) organize the training of Polytechnic management; (iii) monitor and support the smooth
running of the RC, and (iii) together with Position 11 develop and submit proposals to DGHE for
greater autonomy of the Polytechnics, including financial self governance over funds generated
through running of short courses and PPP23-initiatives.
71.
Position 9: Finance Expert (National consultant for 48 months). Support the PMU and
train PMU/PIU staff to implement financial management protocols to support project
implementation. The consultant must have (i) experience in setting up financial management
and disbursement procedures that address DIPA and ADB requirements. The consultant will (i)
review existing system and reporting procedures, (i) propose recommendations for FMIS
system to address ADB and DIPA requirements, (iii) develop associated templates, platforms
and databases, (iv) develop a training plan to include DGHE staff, the PMU and staff of the 13
Polytechnics PIUs on the application of the adopted FMIS-system, (v) conduct the training, (vi)
test run the system and make the necessary modifications, (vi) implement the system in all 13
Polytechnics.
72.
Position 10: Procurement Expert (National consultant for 42 months). Support the
PMU and train PMU/PIU staff to implement procurement management protocols to support
project implementation. The consultant must have (i) experience in setting up procurement
systems and disbursement procedures that address ADB requirements. The consultant will (i)
develop procurement protocols and bidding documents, (i) ensure initial bidding documents are
prepared in English language for ADB, (iii) develop associated templates, procurement and
bidding documents to support the effective implementation of the Project, (iv) develop a training
plan to include DGHE staff, the PMU and staff of the 13 Polytechnics PIUs to use the
procurement and bidding documents, (v) conduct the training, (vi) test run the system and make
the necessary modifications in the initial procurement activities of the Project, (vi) implement the
system in all 13 Polytechnics.
73.
Position 11: Information Management Expert (National consultant for 12 months).
The consultant must have (i) experience in setting up an institutional MIS24, preferably in an
educational institution, (ii) experience in conducting surveys, and (iii) experience in teaching
adults. The consultant will (i) review existing EMIS25 system and procedures, (i) propose
recommendations for EMIS system to support project activities, (iii) develop associated
templates, platforms and databases, (iv) develop a training plan to include DGHE staff, the PMU
22
42
and the staff of the 13 Polytechnics on the application of the EMIS-system, (v) conduct the
training, (vi) test run the system and make the necessary modifications, (vi) implement the
system on all 13 Polytechnics, (vii) develop strategy for the collection of information on former
students, and (viii) develop and run training program of Polytechnic staff on how to plan, run,
analyze and report tracer studies of former students.
74.
Monitoring and Evaluation Experts. The consultants must have extensive experience
in conducting baseline and evaluation studies on donor funded programs, in the education
sector, and exceptionally good reporting skills. The consultants will (i) conceptualize and design
three major studies, i.e. baseline study, midterm evaluation and end of project evaluation, (ii)
provide an overall strategy for development of data collection instruments, data collection, data
analysis and reporting/presentation, (iii) develop data control measures for data collection, (iv)
train data collectors as needed, (v) recommend additional/correctives measures based upon
findings, (vi) advise on additional surveys as required, and (vii) advise on the design and
implementation of a project monitoring system.
75.
Auditing Experts. The Auditing experts will be responsible for assisting EA to prepare
financial audited reports annually through multi-years contract.
76.
Social Marketing Consultants. The Social Marketing Experts will be responsible for
assisting EA to: i) design communication strategy; ii) facilitate inputs from relevant stakeholder
for an integrated approach on Polytechnic Institution brand strategy; iii) identify target audience
for the public awareness campaign and establish baseline for measurable indicators for the
monitoring and evaluation of current and future public awareness campaign attainment
specifically to increase enrollment rates and female participation; iv) formulate a coherent longterm public awareness campaign, including identifying means (printed or broadcast media).
VII.
SAFEGUARDS
77.
The environmental category is C. The Project will supply new equipment and training
facilities to selected Polytechnics. Generally construction works are not envisaged. However, in
some cases minor modifications of existing buildings might be necessary to accommodate new
equipment. The specifications for new equipment will contain criteria for low energy
consumption. The involuntary resettlement category is C. The project activities will neither
require land acquisition nor resettlement. The indigenous peoples category is C. No specific
activities will be directly targeted indigenous people. Reaching out to segments of the population
who traditionally are not the target group of the Polytechnics through the application of Elearning and through the initiative fund will not specifically target any ethnic groups, but be open
to all.
VIII.
Project
Actions
Outcome/Outputs
Output 1:
Develop a gender mainstreaming strategy for the Polytechnic sector
Increased quality
(The scope of work is outlined in the TOR of national consultant to be
and relevance of
recruited to develop the strategy).
polytechnic
Ensure that study program materials developed based on the revised
system
industry standards, for example, modules, lecture guides, learning
materials, assessment instruments and assessment guides, etc., are
gender sensitive and include positive images of women working in the
priority sectors.
Ensure that in the revision of guidelines/ procedures for accreditation,
43
Output 2:
Increased and
more equitable
access to
polytechnic
institutions
Output 3:
Increased private
sector involvement
in the polytechnic
sector
44
Output 4:
Strengthened
governance and
management of
polytechnic
education
Implementation arrangements: The Directorate General of Higher Education (DGHE) of the Ministry of
Education and Culture (MOEC) as the Executing Agency (EA) for the Project, will be responsible for the
implementation of the Gender Action Plan. One National TVET Gender Specialist will be recruited to
provide technical guidance related to GAP deliverables and support the Project Director, PMU: Director of
Learning and Student Affairs in DGHE in GAP implementation. The Gender Specialist will coordinate and
consult with a wide range of stakeholders, including government officials/ agencies, project polytechnics,
public and private vocational schools/ providers, industry/ professional associations, industries/
employers, academicians, etc. The DMF developed for the Project will incorporate M&E for GAP. Project
M&E will include sex disaggregated data and all project reports will include analysis on progress against the
gender action plan. All project staff will be provided training on gender issues in TVET.
45
IX.
A.
78.
B.
Monitoring
79.
Project Performance Monitoring. The PMU will establish and complete within the first
year of the effective loan date, a comprehensive project performance monitoring system
(PPMS) acceptable to ADB. The PPMS will include all levels of PDP activity from the DGHE to
sector review committee to the participating Polytechnics and their partners. It will specifically
measure the impact, outcome and outputs of the proposed strengthening of Polytechnic
institutions, evaluating the specific contributions of the Project to deliver quality and relevant
industry-based programs in the four priority sectors that are responsive to the labour market
needs and entrepreneurial growth.
80.
The comprehensive set of targets and indicators in the design and monitoring framework
are at the core of project performance monitoring and evaluation. A baseline study will be
undertaken during the first six months after loan effectiveness to establish baseline data for the
targets and indicators in the design and monitoring framework. This will update the baseline
data in the PAM. All data will be disaggregated by gender and social background where
relevant. Data will be collected at each of the 13 Polytechnics, including enrolment and
graduation rates in the target study programs, teacher and instructor qualifications and level of
industry experience, the Polytechnics level of involvement and partnerships with industry as well
as the provision and quality of career counselling and job placement services offered to
students. Included in the baseline will be an external survey of employers and Polytechnic
graduates in the five sectors to get data on the relevance and adequacy of the Polytechnic
training in meeting industry needs. The survey will look at the proportion of graduates entering
the workforce or self-employment within six months of graduation and whether these graduates
are using the skills acquired on the job. It will also collect data on employer satisfaction with
Polytechnic graduates skills, knowledge and attitudes and, where relevant, the effectiveness of
the work placements and other partnership initiatives with the Polytechnic sector. The baseline
study will be used as the basis for the midterm and final impact studies that will be carried out in
third and fifth year respectively. The final impact study will be the basis for the project
completion report.
81.
The M&E task will be outsourced to an agency that will lead the design and development
of the three studies (baseline, midterm, final impact study) with the support of a core group of
Polytechnic resource persons. The managers and staff in the participating Polytechnics will be
responsible for providing access to data at the institutional level. Data collectors will be trained
to verify the data and conduct the surveys. The agency will be responsible for data analysis and
reporting.
82.
Responsibility for internal monitoring of project implementation performance will be with
the Project Management Unit. The specific responsibility will lie with the M&E officer in the PMU,
shared with staff responsible for M&E in the four COEs and twelve satellite Polytechnics. The
M&E staff at each institution will assume a vital role in monitoring project activities and
implementation of all aspects of the CBE programs and short-term courses as well as other
project initiatives that increase access to Polytechnic education. A project tracking system will
46
be established for monitoring project activities and implementation where existing management
information systems are not functioning or do not meet project data requirements.
83.
The Project will help strengthen the PPMS by ensuring that all required data submitted
from the Polytechnics to the PMU is using standardized formats, procedures, and data
collection instruments to enable easy integration of data into the Project progress reports. A
user manual for data collection and procedures will be developed to support the process. In
addition, training workshops and on-the-job training support will be conducted to build the
capacity of those persons responsible for project monitoring, including the heads of the PIUs
and deputy heads in the satellites and data officers in order to implement integrated and
coherent PPMS.
84.
The M&E Agency will take the lead in designing the PPMS, developing the manual and
appropriate instruments and reporting structures as well as conducting staff training at all levels.
This will be done in close collaboration with the PMU, other project consultants, and
participating Polytechnics in order to ensure that existing structures and systems are utilized as
much as possible.
85.
86.
Compliance Monitoring: All project loan covenants will be monitored regularly by the
Project Director and twice a year during ADB loan review missions.
87.
Safeguards Monitoring: The involuntary resettlement category is C, as civil works is
limited to upgrading of existing Polytechnic facilities, which will not require new land acquisition
or resettlement. The indigenous peoples categorization is C. The social marketing campaigns
will increase awareness and access to Polytechnic education opportunities among females and
members of ethnic groups in the four regions. The environment categorization is C. The project
will mainly involve construction or upgrading of workshops or other facilities. During
construction, the contractor will need to keep noise and dust within locally acceptable levels, as
well as manage, fill, excavated and solid waste in a way that does not create a permanent
impact. During operations water supply must meet national drinking quality standards and
hazardous wastes will need to properly be disposed. All these aspects will be monitored by the
PMU Project Director and senior managers in the respective Polytechnics.
88.
Gender and Social Dimensions Monitoring: A summary poverty reduction and social
strategy was prepared for the Project based on the social analysis conducted during project
preparation. The gender action plan and monitoring aspects are in Appendix 11.
C.
Evaluation
89.
ADB will conduct an inception mission within two months after the project start up, and a
review mission every six months thereafter. A joint midterm review (MTR) will be undertaken
early in year 3 of implementation. The MTR will focus on overall project strategy and
achievements which may require adjustments of targets and processes and reallocation of
resources.
90.
Specifically the MTR will (i) review the project scope, design, implementation
arrangements, human resource development and institutional development; (ii) review changes
in Government policies and institutional framework since loan effectiveness, and evaluate their
impact on project implementation and sustainability; (iii) assess project implementation against
47
appropriate projections and performance indicators; (iv) review compliance with loan covenants;
(v) assess compliance with the gender action plan, the indigenous peoples development
framework, and the good governance and anticorruption measures; (vi) identify critical issues,
problems, and constraints; and (vii) recommend changes in project design or implementation.
The PMU will submit a comprehensive report on each of these issues to ADB at least one
month before the MTR.
91.
Within six months after physical project completion, the DGHE/ PMU will prepare and
submit to ADB a project completion report. The report will describe project achievements
against the targets and expected outcomes and impact, details of project costs, compliance with
loan covenants, lessons learned and other information requested by the ADB. The results of the
Impact Evaluation Study will form the basis for reporting project achievements against the
indicators at the output and outcome levels.
D.
Reporting
92.
The DGHE/PMU will provide ADB with: (i) quarterly progress reports within 30 days after
each quarter in a format consistent with ADBs performance reporting system; (ii) consolidated
annual reports including (a) progress achieved by output as measured through the indicators
performance targets, (b) key implementation issues and solutions; (c) updated procurement
plan and (d) updated implementation plan for the next 12 months; and (iii) a project completion
report within six months of physical completion of the Project. To ensure projects continue to be
both viable and sustainable, project accounts and the executing agency audited financial
statements, together with the associated auditors report, should be adequately reviewed.
E.
93.
The PMU/DGHE will undertake regular press release and press conferences outlining
the purpose of the project and the content to sensitize and popularize the project among the
general public and to highlight project achievements during the duration of the project.
94.
A project website will be developed and linked to the DGHE. It will publicize and share
all key information about the Project. The progress reports will also be posted on the webpage
as well as information about the NSF (National Skills Fund) and innovative developments taking
place under the project.
95.
In addition, regular meetings will be held for key stakeholders to inform them about the
project, and project achievements, opportunities and other issues. Activities will include: (i)
opening ceremonies to launch PEDP at each of the participating Polytechnics; (ii) inauguration
ceremonies for new partnerships in collaboration with industry; (iii) discussion sessions or
seminars with local government and other private sector providers to promote project initiatives
and (iv) leaflets or news bulletins outlining the project purpose, achievements to date and
proposed activities for the next period would be distributed to key stakeholders at the national
and local levels, prospective students, local employers, etc. Consideration will be given to
including testimonies of students enrolled in the program in the flyers and project website This
could be extended to Twitter and Facebook to increase coverage and raise awareness about
the Polytechnics education programs. Such social mechanisms for sharing information are
gaining momentum in the education sector.
96.
All communication messages and materials will have the logo of the project for
facilitating easy identification and branding of the project.
48
X.
ANTICORRUPTION POLICY
97.
ADB reserves the right to investigate, directly or through its agents, any violations of the
Anticorruption Policy relating to the Project.26 All contracts financed by ADB shall include
provisions specifying the right of ADB to audit and examine the records and accounts of the
executing agency and all Project contractors, suppliers, consultants and other service providers.
Individuals/entities on ADBs anticorruption debarment list are ineligible to participate in ADBfinanced activity and may not be awarded any contracts under the Project.27
98.
ADBs Anticorruption Policy (1998, as amended to date) was also explained to and
discussed with the Project Executing Agency and the Project Implementing Agencies.
Consistent with its commitment to good governance, accountability and transparency, ADB
reserves the right to investigate any alleged corrupt, fraudulent, collusive, or coercive practices
relating to the Project.
99.
The MOEC as the Project EA has indicated its commitment to promote good governance
and establish a corruption-free environment under the Project. Further to this, a number of good
governance and anticorruption provisions have been included in the Loan Agreement. These
include the requirements for MOEC to: (i) carry-out periodic inspections of Project contractors
activities related to fund withdrawals and settlements; (ii) ensure that relevant provisions of
ADBs Anticorruption Policy (1998), as amended to date, are included in all bidding documents
for the Project; (iii) incorporate provisions in all ADB-financed contracts specifying the right of
ADB to audit and examine the records and accounts of MOEC, contractors, suppliers,
consultants, and other service providers as they relate to the Project; (iv) establish a project
website to disclose information about various project-related issues, including procurement and
other contracts awarded under the Project.
100. The website shall be updated within 1 week of each contract award. On the
procurement-related information, the website shall disclose: (a) the list of participating bidders,
(b) name of the winning bidder, (c) basic details on bidding procedures adopted, (d) amount of
contract awarded, (e) the list of goods and services procured, and (f) the intended and actual
utilization of loan proceeds under each contract being awarded. Any bidder may request an
explanation from the EA/IA as to why a bid was unsuccessful and the EA/IA should respond
within 20 working days; and (v) establish a grievance redress task force to receive and resolve
complaints/grievances or act upon reports from stakeholders on possible misuse of funds and
other irregularities. The task force shall (a) review and address grievances of stakeholders of
the Project, in relation to either the Project, any of the service providers, or any person
responsible for carrying out any aspect of the Project; (b) liaise with the relevant law
enforcement agencies as relevant; and (c) report immediately to ADB on any malfeasance or
maladministration that occurred under the Project.
XI.
ACCOUNTABILITY MECHANISM
101. People who are, or may in the future be, adversely affected by the project may address
complaints to ADB, or request the review of ADB's compliance under the Accountability
Mechanism.28
26
49
XII.
(Every changes during project implementation will be recorded under this chapter)
50
Appendix 1
Outputs
1.
Increased
quality
and
relevance
of
polytechnic
system.
EMIS
records
(DGHE).
Graduate
employment
tracer studies.
Procurement
lists and work
completion
reports.
Lecturer
development
program
is
implemented resulting in 39 lecturers
trained to international standard and 200
lecturers trained to agreed standard (20%
will be female). Masters Degree program
established in 5 priority industries.
Data Sources /
Reporting
Mechanism
Employer
surveys.
NSF
Auditor
Reports.
PPMS.
Certification and
assessment
records.
Standards
developed,
classified
and
clustered
into
accredited study
programs.
EMIS records.
EMIS
reports
(disaggregated
data).
Signed
agreements and
MOUs.
Assessment
and Certification
records.
NSF
Reports
Audit
and
Assumptions and
Risks
Assumptions
Government sustains
its commitment to
developing workforce
skills and increasing
employment.
Assumptions
Continuing
commitment of DGHE
to polytechnic targets
(post RENSTRA 20102014).
Risks
The
Indonesian
government does not
prioritize and fund the
polytechnic subsector.
Polytechnic training is
not
valued
by
employers.
Assumptions
IQF implemented by
DGHE.
Standards assessment
and certification for
Polytechnics approved
by Government.
DGHE
accredits
lecturer development
program.
Government
funds
provided
for
professional
development program
and to NSF.
Assumptions
Existing EMIS system is
operational
and
generates disaggregated
enrolment information.
Advocacy and social
marketing campaigns
implemented
successfully.
Polytechnic
and
employer commitment
to achieve access and
Public enrolment data is readily available. Private provider data is not. As a result enrolment targets are based on public sector
only.
51
Appendix 1
study programs supported by the Project.
20% Female recipients.
Design
Summary
3.
4.
Increased
private
sector
involvement and
promotion of an
entrepreneurial
culture
to
strengthen
polytechnic
graduate
competitiveness
Strengthened
governance and
management of
polytechnic
education
PPMS reports
Data Sources /
Reporting
Mechanism
Revised study
programs
developed and
accredited.
MOUs
with
industry
partners
and
employers cited.
equity
targets
maintained.
are
Assumptions and
Risks
Assumptions
Employers willing to
work with the public
polytechnic education
system.
Risks
Private sector show
little
interest
in
polytechnic
development.
Regulation,
policy and sector
strategy revised
and endorsed.
Assumptions
Sufficient
recurrent
funding provided
Project reports
and records
(PPMS).
NSF reports.
PPMS Surveys
and studies.
Input
Training specified in HRD Plan in Appendix 5 of the PAM (RRP Linked Document).
52
Appendix 1
3
2.4 In alignment with MOEC BIDIK MISI scholarship program to develop regulations
and guidelines for support to disadvantaged students and women through the NSF
by Q3 2013. Implement guidelines from Q1 2013 and provide scholarships to 2,000
students.
2.5 Design and implement Recognition of Prior Learning (RPL) in 5 priority sectors and
functioning in 13 Polytechnics. Assess 12,000 students using RPL system by Q4
2015.
2.6 Develop flexibly delivered short course programs in project polytechnic with at least
1,200 students enrolled by Q4 2015.
2.7 Gender Action Plans (GAPs) implemented to ensure targets for women
participation are achieved by 2016.
3. Increased private sector involvement in improving polytechnic graduate
competitiveness
3.1 Establish 13 partnerships between Project Polytechnics and employers and
industry associations in the 5 priority sectors in Q2 2013.
3.2 NSF operational in Q2 2013 which facilitates skills development proposals
supported by Polytechnics and employers in the 5 priority sectors. The fund
operates as a competitive grant initiative that strengthens the involvement of the
private sector in polytechnic education by Year 2013. 25 proposals funded by 2015.
4. Strengthened governance and management of polytechnic education
4.1. Train 150 polytechnic managers to improve sector management and effectiveness
in 13 Polytechnic institutions by Q2 2014. Training to reflect revised sector
priorities in the MP3EI and DGHE policies.
4.2. Design and implement an advocacy strategy to support increased enrollments,
quality service provision and employment outcomes for graduates by Q3 2013.
4.3. DGHE to complete a tracer study to monitor graduate employment outcomes from
revised study programs in 2016.
ADB = Asian Development Bank; BNSP = National Agency for Professional Certification; BAN-PT = National Accreditation Board for
Polytechnics; COE = Centre of Excellence; CTS = Credit Transfer System; DGHE = Department of Higher Education; EMIS =
Education Management Information System; FMIS = Financial Management Information System; GOI = Government of Indonesia;
HRD = Human Resources Development; IQF= Indonesia Qualification Framework; MIS= Management Information System; LMIS =
Labor Market Information System; MOEC = Ministry of Education and Culture; MOU = Memorandum of Understanding; NSF =
National Skills Fund; PMIS = Project Management Information System; PPMS = Project Performance Monitoring System; PPP =
Public Private Partnership; QA = Quality Assurance; RPL = Recognition of Prior Learning; SMK = Secondary Vocational Education.
Appendix 2
53
4.
The regulations to be developed shall prescribe that industry standards are to be
developed for defined occupations within the proposed qualification levels and according to
BNSP requirements. Skill qualification levels promote career progression through development
of logical pathways within an occupationally relevant skills set. Initially the DGHE is aiming to
create logical pathways relevant at an occupational/industry level, as opposed to generic skill or
cross sector approaches. This enables the creation of practical training and educational
pathways and enables the system to be implemented quickly to address immediate needs.
Industry standards need to be developed in a consistent format and be capable of alignment
with regional and international occupational standards. The DGHE will adopt the proposed
Indonesian qualifications framework model for this purpose. The framework prescribes four
levels of qualification within the Polytechnic sector however, level descriptors prescribed for
each level is still pending.
5.
Progression between levels shall be based on achievement and demonstration of skills
tested. In essence the regulations developed by the DGHE shall prescribe the development of a
Polytechnic training pathway. Skills development and Polytechnic education involve linking the
MOEC and BNSP. But this is not the immediate concern of the Project or of the government.
The immediate concern is to develop industry standards relevant to the labor market and to
54
Appendix 2
revise Polytechnic programs accordingly to meet these needs in order to increase skills levels.
And to compel responsible industries to work cooperatively in order to address the nations skill
needs at technician and engineering level. This focus removes many of the contestations
experienced in many economies when seeking to develop equivalency between secondary
school institution certificates and a vocational diploma qualification. This will enable DGHE to
move quickly ahead with the development of industry standards and improve training provision
to meet the requirements of the labor market. It also allows the system to be responsive to the
needs of employers and to more quickly address their priorities through the revised system.
6.
Central to the success of this system will be the roles and responsibilities ascribed to
industry. A key feature of the approach is that the industry standards have to meet the specified
needs of employers, enterprises and industry. To facilitate this, the DGHE shall adopt a model
that brings industry and DGHE together through the formation of a Review Committee (RC) in
each of the five priority industries. The regulations developed by Polytechnic Education
Development Program and endorsed by the DHGE will prescribe the establishment, role and
operation of the RC. This body will provide oversight for the DGHE and will provide high level
policy advice, endorse standards, certify skills, testing and assessment protocols, certification of
qualifications, and coordinate the efforts of public and private provision.
7.
In setting industry standards, the DGHE shall establish technical committees when
required and undertake task and skills analysis through which industry skill standards can be
identified, developed and adopted. These shall then be packaged into qualifications and
proposed for alignment into a qualification level. The RC shall have the authority to establish
Occupational Working Groups (OWGs) for the identification of occupational profiles. It is
proposed that 5 national consultants, one for each priority sector, facilitate the establishment of
Occupational Working Groups and facilitate the development of occupational profiles and
industry skills standards with lecturers for the identified priority sectors of the economy in
agreement with the MP3EI. (The selected priority sectors are Agro Industry, Manufacturing,
Infrastructure, Energy, Tourism and Mining.) This will serve as a model that can be adopted for
use in other sectors by the DGHE.
8.
The necessary funds to enable the development and implementation of the proposed
Polytechnic development system are to be sourced through the Project. These funds will be
provided to the DGHE to undertake its functions in the project. In turn the DGHE will report on
its activities and report on meeting government plans and targets. International expertise can be
sought through the NSF to support this process particularly in areas where there is an absence
of local skill to build upon or in cases where DGHE might choose to purchase materials from
abroad to adapt and adopt in the Polytechnic system.
9.
To support improved quality in the Polytechnic system, the DGHE shall with project
support establish testing and quality assurance provisions. The combination of these activities is
designed to verify the occupational profiles that are developed through the working group
process. Based on the occupational profiles, industry standards and testing instruments are to
be developed by lecturers attached to the occupational working groups and assisted by the
consultant - technical expert, then validated by the RC and then endorsed by DGHE. The
requirements for development of standards and their testing shall be described in a standard
guide, which will detail the requirements to be applied in the appraisal process. Procedures will
need to be developed to support this process which can be tested through the Project to inform
the DGHE for future development or application to the remaining sectors of the economy. DGHE
are charged with responsibility for endorsement and assigning of a national standard in
collaboration with BNSP and the IQF implementation team. Final endorsement is then made by
Appendix 2
55
MOEC. The project emphasis is to develop revised study programs to industry standards which
support students to achieve job ready skills as quickly as possible. The system infrastructure is
expected to emerge as a result of experience gained through direct implementation and not as a
precursor to implementation.
10.
DGHE is seeking support to bolster the establishment of RCs and their operations to
develop national industry standards, the associated testing instruments and the training
packages to guide Polytechnic education and training provision. The standards provide the
trigger for improving the quality and relevance of current Polytechnic TVET provision and are
the necessary ingredient for improving the skills base of the workforce and current Polytechnic
programs. The selected project polytechnics shall remain the responsible agents within the
DGHE to develop training outcomes, curriculum products and for lecturer development. The
project will contract project polytechnics to facilitate, with consultants, the process of developing
training packages to enable project implementation. The project polytechnics will work closely
with DGHE and the RC to effectively support the creation of the emergent system identified
through the project. The project polytechnics will work as enabling and implementation agencies
for the project in order to support DGHE to establish its Polytechnic skills development system.
The project polytechnics have not yet recognized skills and capacity to undertake this
assignment. The Project will provide the following to support the establishment of national
industry skills standards:
(i)
Assist DGHE to establish industry standards for five economic priority sectors
construction, manufacturing, agro industry, tourism, energy and mining. These
economic priority sectors and the initial indicated occupational programs (Agro
industry: Food processing technician, Laboratory technicians, Agricultural
mechanical engineering. Manufacturing: Automotive engineering, Motor vehicle
technician, Machinery technician, Machinist technician, Tool and dye technician,
Megatronic technician/Engineering. Infrastructure: Civil engineering for
construction and infrastructure, Electric technician/Engineering, Plumbing
technician and Wood working technician. Energy and Mining: Electrical
Machinery technician/Engineer, Electrical Machinery Maintenance and Repair
technician, Engineer Mining Equipment/tool maintenance and repair, Heavy
Equipment technician, Heavy Equipment Maintenance technician) have been
identified as priorities through the Labor Market Assessment undertaken through
the PPTA process aligned with the Economic Master Plan. Five RCs will be
established, one for each sector and supported by the project to assist and
advice the project polytechnic in the development of standards for the indicated
occupational areas and consultants with recognized expertise will be engaged to
support the initial development and provide training to working group members to
be able to successfully undertake job and task analysis activities required to
develop standards and revised study programs. The standards should be
developed through use of prescribed criteria and DGHE should be kept informed
of issues and progress. The development of standards will address both the
occupationally specific requirements of the identified occupation and also
develop the hierarchy of skills from diploma levels 1 to 4 to achieve the broader
requirements of the shift towards the IQF and a standard based system. Full set
of standards comprising a Polytechnic program must be developed, appraised
and issued within the first two years of the Project. It is also noted that the
business skills are critical cross cutting skills in many industries and occupations.
The range of skills to be addressed in basic business skills could support both
direct employment in service and retail industries. Skills identified include
56
Appendix 2
Five national technical experts will be contracted through the Project. The
national consultants will provide executive officer support for the effective and
timely functioning of the RC and Working Groups established to revise study
programs that relate to industry standards. They will facilitate the standard
development processes between government, Polytechnics and the relevant
industries. The Working Groups will not be limited to the development of
occupational profiles for one occupation so it is proposed that an integrated
approach be adopted by the Project to complete requirements quickly to enable
training program development and implementation to commence. It is anticipated
that Diploma level 1 programs with SMKs will be available for delivery within 12
months of assignment commencement.
Specific Activities:
(i)
(ii)
(iii)
B.
11.
The project shall in collaboration with DGHE define assessment and certification
requirements. Regional study tours can be undertaken under the NSF to support DGHE to
better appreciate and address the policy implications of adopting a standards based
assessment model and other key challenges in building a Polytechnic skills development
system. The project will support a review of assessment arrangements and develop a system
that can be located and managed in the Polytechnic system of Indonesia. Assessment policies
and procedures need to be strengthened to ensure that Polytechnic students are assessed on
the basis of industry standards to the levels required through the Indonesian qualifications
framework. Previously assessments were conducted by the lecturers who delivered the
programs. The project shall in collaboration with BNSP/LSP provide for testing of workers not in
training programs and require assessment to be conducted by qualified testers/assessors that
have recognized occupational skills in the areas in which they conduct assessments.
12.
The project will provide for the establishment of testing centers to conduct assessments
against national industry standards, which trigger the issuance of a national diploma. An
accredited assessment center can be an enterprise, a Polytechnic, a stand-alone assessment
service center or other organizations approved by the DGHE, BNSP and BAN-PT. To ensure
consistency and reliability in assessment of skills, the DGHE will require an assessment
Appendix 2
57
procedure that it can monitor and quality assure. Assessment results can then be tracked and
recorded through the Polytechnic EMIS and through the PPMS to be developed through the
project. A national record of standards will be available to enable DGHE to track its progress in
meeting the skills needs and requirements of industry as set through the BNSP and other
proposed MOEC processes.
13.
Certification of students achievements can only occur through DGHE which has an
inspection function to ensure that Polytechnic education and training responds to the labor
market. In effect, however, it appears that there will be a shared quality assurance function as
the DGHE also endorses standards and will issue qualifications. The procedures for certification
to be developed by the Project will need to reflect the existing provisions adapted by the DGHE
and the Polytechnics. The project can indicate that program accredited Polytechnics can issue
qualifications. The provisions enshrined in these rules enable the delegation of the issuing of a
qualification or a statement of attainment to a broad range of stakeholders. However the
certification of industry standards will require approval from BNSP and DGHE. The project will
engage with BNSP to attempt to meet requirements, but can still proceed to deliver programs
that are in the process of being certified. Delivery is not conditional for certification. It is more
likely that certification will occur as a result of implementation through which systems and
teaching materials can be tested and reviewed prior to submission to DGHE and BNSP for
endorsement.
14.
A quality assurance and accreditation system will be developed through the Project that
is cognizant of these requirements. The development and implementation of the revised
Polytechnic TVET system in the five economic priority sectors gives DGHE and other key
stakeholders the chance to test and strengthen the system before it rolls out the new
requirements to all economic sectors and occupations. It is recognized that many of the systems
developed through the Project will have national significance and will be able to guide a
Polytechnic education and training reform and improvement across the system. Many of the
Polytechnic products will be replicable to other occupational programs and economic sectors
and will enable other Polytechnics to deliver programs in the selected areas. This will
significantly reduce the time involved in transforming and improving the quality and relevance of
the Polytechnic TVET system to meet workforce development and labor market requirements. It
is proposed that the project will facilitate the following activities with support from national
consultants:
(i)
(ii)
58
Appendix 2
(iii)
Through the project, train assessors from Industry in the five economic priority
sectors to pilot and review the developed system and procedure. These
assessors should be selected to undertake assessments in the five priority
sectors supported by the Project. The training of assessors will be undertaken in
year 2 of the project and be evaluated to ensure it meets DGHE and BNSP
requirements. Assessors need to have recognized skill in the occupational areas
for which they will be conducting assessments. Assessor training shall also be
included in the lecturer development program to upgrade the skills of lecturers in
Project institutions.
(iv)
A national register of qualified assessors will be developed and located within the
responsible department in DGHE by year 3.
(v)
Specific Activities:
(i)
(ii)
(iii)
Develop revised study programs and assessment tools in the five economic
priority sectors areas that will ensure occupationally relevant, nationally
consistent and reliable assessment processes and outcomes are achieved for
each of the five areas by year 3.
(iv)
The project or private entity to train assessors and mentor their initial work in
conducting assessments which conform with revised and adopted study program
requirements and DGHE policies and procedures in year 2.
(v)
Design and develop a national register of assessors for use by DGHE and the
broader Polytechnic TVET system by year 2.
Appendix 2
C.
59
(vi)
(vii)
15.
Current Polytechnic requirements for training program content and assessment are
described through Curriculum statements. The Polytechnics prepare curriculum for education
and training programs. Given the shift to developing and adopting standards that are recognized
by industry and certified through the NAB and the DGHE, Polytechnic programs will need to be
substantially revised to align them more closely in meeting the needs of workplaces and
supporting Polytechnic students into gainful employment.
16.
Revised quality assurance and program accreditation requirements need to be
developed to enable both industry and DGHE to be assured that Polytechnic providers have the
necessary tools to deliver and assess revised training programs to the requirement of national
industry standards. Accreditation is the formal approval process adopted by government to
ensure quality and compliance of educational programs with government policy. Quality
assurance is the ongoing monitoring of education and training programs to ensure they remain
relevant and that they are delivered according to the accredited package specifications. The
Project will work with the DGHE and BAN-PT to strengthen these systems to improve the
relevance and quality of Polytechnic providers and the programs they deliver. It is necessary to
work with the BAN-PT and other responsible departments within and outside the MOEC to
develop a revised system to ensure programs developed through the ADB Polytechnic
development project are of high quality and address requirements of all stakeholders involved in
Polytechnic education. The result of this assistance is to have a quality assurance system that
satisfies all system stakeholders and assures that Polytechnic providers can and do deliver
programs successfully and meet the revised requirements of a industry standards based system
being adopted and introduced in Indonesia. The TL, the key expert in industry standards and the
assessment and accreditation development specialist will coordinate activities to develop a
system implemented through the COEs and their satellite institutions and the programs being
developed by the project.
17.
Currently Polytechnic programs are curriculum based in which Institutions determine the
content of a program and specify requirements for entry and completion. Program content is not
industry based or directed towards industrial or occupational outcomes. General education
subjects tend to dominate the content of current programs with limited teaching and learning of
technical or vocational skills or required underpinning technical theory. Whilst workshop
instruction does occur in some skill areas this is not prioritized within the current Polytechnic
program. There are some Polytechnics who strive to link their programs to the workplace
through work place experience (on job training in the 4th or 5th semester) and through production
activities in the Polytechnics. There are requirements for students to complete a work placement
for 20 weeks, but it is unclear if this is consistently applied in all Polytechnic programs or
between Institutions. Unfortunately there is no structured work based learning modules or on job
training modules in which students undertake work based projects or are assessed on work
performance. There are no requirements to develop a learning plan which enables a student the
opportunity to practice and apply skills. There are no set rotations to learn different skills on the
60
Appendix 2
job or throughout the workplace. There are no requirements for formal training and learning on
the job once a student is in a workplace and little support service to assist students to secure job
placement. Current assessment requirements that measure student industry is not linked to
demonstration of skills. Institutions do have varying systems to support students with travel or
food but there is no consistent approach applied. The Project will develop minimum
requirements for work based training and assessment in each of the three economic priority
areas to be supported as well as develop a consistent approach to support students to meet
revised training program requirements.
18.
In many respects the current model of Polytechnic education and training tends to favor
theoretical approaches to teaching and learning with content not linked to the occupational
outcomes that arise from gaining a mix of skills. The practical demonstration of a mastery over
skills through successful application in a number of contexts is limited. Classroom management
does not provide many opportunities for students to practice and apply skills in fitted workshops
or production units, in real workplaces or through simulation methods. Many classrooms are
poorly fitted for higher vocational education and training with limited equipment or equipment not
being used as well as a lack of consumables for student projects. Few institutions have
inventory control or secure storage of tools, machinery or consumables. Student assessment is
not through successful demonstration and explanation. Few lecturers have practical experience
in the technical areas they are assigned to teach. These factors contribute to an overall view
within industry and communities that Polytechnic education and training is not valuable or
important and that current provision is not preparing students adequately for employment.
19.
The adoption of a industry standards based approach allows both the DGHE and
industry to ensure that delivery and assessment practices are revised to better achieve the more
clearly defined outcomes that should directly result from the development of industry standards.
The development of standards is addressed in section A above. The purpose of the shift
towards the attainment of broad based industry skills is to support students into the labor
market. This ought not to preclude progression or access to higher academic educational levels
but the focus of the project is towards clearer workplace and industrial technical requirements
not as a preparation for higher academic education. Polytechnic TVET Institutions should be
measured on achieving these revised requirements through a program quality assurance and
accreditation system administered by DGHE and industry. To ensure that Polytechnic education
and training programs are developed and delivered for the purpose of gaining access to
meaningful employment and in meeting the identified needs of employers.
20.
It is proposed that the Project support the DGHE to develop and implement a clear and
concise quality assurance system which includes accreditation procedures for Polytechnic
programs. This system should acknowledge the introduction of industry standards and develop
minimum requirements for on and off job training, assessment, facilities and equipment. This
can trigger the development of educational packages that are aligned to industry standards and
provide some minimum rules to support quality delivery. The DGHE will be supported to better
monitor facilities and the delivery of accredited programs. The role of the DGHE shall be
strengthened to better monitor quality.
21.
The Project will assist the DGHE to develop and implement a quality assurance and
accreditation system that supports efforts to improve the quality of programs. A standardized
Polytechnic program format will be introduced utilizing a consistent approach and be packaged
and aligned with the prescribed levels according to the proposed Indonesian Qualification
Framework. The Project will develop and pilot a quality system for the four priority economic
sector areas in which it will operate.
Appendix 2
61
22.
The development of a quality assurance and accreditation system enables the DGHE to
effectively implement a revised system and be able to monitor the impact of revised Polytechnic
programs in meeting government plans and priorities, as well as meeting those requirements
identified by industry through industry standards. The DGHE and the NAB shall be aware of the
change management issues and the amount of work to be undertaken to achieve policy
prescriptions. The activities to be undertaken through the Project will be limited to:
(i)
The development of a program accreditation policy and procedure for DGHE and
BAN-PT. Implementation will commence through trial of the developed system in
the four selected priority economic sector areas Construction, Manufacturing,
Agro Industry, and Energy and Mining. The development of revised systems will
be completed in Year 3 of the Project.
(ii)
Review and revise quality assurance arrangements, if any, within the Polytechnic
educational system of the DGHE and BAN-PT and strengthen monitoring tools,
procedures and reporting formats to better monitor implementation of revised
Polytechnic programs.
(iii)
By the end of Year 3 the Project will have assisted the DGHE and BAN-PT to
prepare necessary program accreditation documentation with the development of
standardized templates for program accreditation. The system will include a
curriculum or training package maintenance model to ensure ongoing program
relevance and to support Polytechnics to improve practice and quality in the
development of study programs. The system will in future apply to both public
and private providers.
(iv)
(v)
The Project will engage an international consultant to develop the system and to
guide initial implementation with the selected Polytechnics supported by the
Project.
(vi)
Revise the format for future Polytechnic programs along with the tools needed by
the DGHE and BAN-PT to audit compliance with these requirements. The
minimum requirements for teaching and assessment, work shop layout,
equipment and consumables will be specified within the training package which
shall be monitored and reported through a program accreditation and quality
assurance system.
(vii)
The quality assurance model developed will also need to monitor the impact and
effectiveness of accredited Polytechnic programs in meeting their objectives and
purposes. This methodology will need to be developed and applied through
DGHE and BAN-PT but will also have to involve industry to ensure endorsed
industry standards have been achieved and remain central to the purpose and
design of programs. Monitoring tools will be prepared and provided to the
consultants developing a revised enrolment and information management system
for inclusion.
62
Appendix 3
Constraints
4.
The following lists the challenges/problems faced by the Indonesian Polytechnics in
relation to the qualifications of lecturers and management as stated in the Problem Tree
developed by the PPTA-project:
(i)
(ii)
5.
According to Government Regulation #37 2009, before year 2014 lecturers must have a
Master degree in order to teach at level 4, Diploma programs. But for 2009 the number of
lecturers in the Polytechnics with a Masters degree is only at 33%1. The need for upgrading of
lecturers in their technical fields is therefore evident.
6.
The challenges facing the lecturers in the Indonesian Polytechnic system can be
summarized in three clusters:
(i)
(ii)
1
the technical skills of the lecturers are not always at a sufficiently updated high
level, enabling them to teach effectively to Diploma level
the lecturers do not sufficiently apply a variety of modern teaching methodologies
Appendix 3
(iii)
63
7.
The project will undertake initiatives to upgrade the lecturers in all of the three clusters
mentioned above
C.
8.
Through the project interventions 13 Polytechnics will be selected to act as Centers to
drive the development in the sector. Each project polytechnic should act as hubs for
development, supporting other polytechnics. In order to reach out to as many lecturers as
possible, the Project will ensure the training of selected lecturers, who in return will train some of
their colleagues. This cascading approach will be applied for two types of training to be
undertaken: 1) Training in teaching methodology and pedagogy and 2) Training in specific
technical areas.
9.
Technical upgrading. Some 39 nominated teachers currently employed within the 13
project polytechnics and teaching in the five selected skills areas under the Project, will be
provided with international training to Masters Degree level in their technical area for a period of
two years. The international training will include training in standards based terminology and
methodology. The program will be blended and involve overseas training as well an project
based training in Indonesia. Upon completion the 39 will be expected to run courses on specific
topics for their colleagues from the 13 institutions in order to cascade the knowledge and the
skills they have acquired. In order to ensure that the lecturers have an updated knowledge of
what the requirements are in the industries for which they train their students, a total of
approximately 200 lecturers will undergo attachment in a relevant industry for 6 months. The
Project will develop: (i) enterprise reporting mechanisms for each involved teacher; (ii) formal
self-assessment procedures for each participating teacher, and (iii) conduct on-site reviews for a
sample of trainees during the internships
10.
Generic teacher training with inclusion of industry specific elements is proposed.
Lecturers, approximately 4 lecturers from each of the 20 study programs will be trained by the
Project as so called Master Trainers in essential elements related to the well functioning of a
lecturer in a industry responsive polytechnic education system. The training will include
elements like module development, contact with industry, development of short courses as well
as the ability to apply a variety of instructional methods. The specific content and the specific
outputs of the training will be developed by the Consultants and their counterpart(s). After
completion of the training, the Master Trainers will in groups of two run training sessions for a
total of 200 lecturers from the project Polytechnics as trainers of trainers (ToT). Further, specific
training will be offered to selected lecturers in guidance and counseling.
11.
Lecturer development through development work. Besides from the specific training
activities described above, a group of lecturers, approximately 10 from each of the 13 project
polytechnics, will get a substantial knowledge through active participation in the development of
occupational profiles, modules, assessment guides, and teacher and learner material for the
revised 20 study programs. The activities will be facilitated by project experts.
12.
In summary the project will implement lecturer development activities in the following
areas:
64
Appendix 3
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
13.
In order to support the trained staff to work more closely with industry and to facilitate
ongoing and further development after the completion of the project, a number of facilities and
structures will be developed, implemented and left behind once the project is ended. Such
structures and facilities include:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
(xi)
14.
The development and training activities described above should be implemented under
full respect of the participants` past experience as adults under the application of a variety of
teaching methods. The application should further focus on the practical applicability of the items
presented. Prior to each development activity a set of Terms of Reference (ToR) should be
developed, approved and communicated to the participants of the development activity. ToR
should clearly state objectives, content, and expected contribution from the participants.
Following each completed activity evaluation should be carried out and relevant adaptations
made for future similar activities.
Appendix 4
65
Appendix 4:
Development
A.
Current Situation
1.
Polytechnics in Indonesia initially emerged as the application and production arm of
some of the established universities, particularly those with significant initiatives in engineering.
Some of these Polytechnics are now well known as national and regional models of excellence
for industry training and industry service provision. They have effective links with enterprises
and cooperative procedures for trainee work experience and for program planning, design and
review. Entry to such Polytechnics is currently highly competitive and graduate employment
virtually assured. Some of these Polytechnics also record high levels of entrepreneurial activity
by alumni after a few years of employment. These institutions will serve as models for
transformation in the sector this project supports.
2.
Other public Polytechnics show considerable variation in operation, performance and
outcomes. In many, there appears to be a lack of any real links with industry. This applies in (i)
the management of the institutions; (ii) the setting of training outcomes; (iii) program delivery,
including trainee work placements; and (iv) the employment of graduates.
3.
The current variation in the quality of the public Polytechnics is reinforced by the relative
absence of central professional support. Each Polytechnic has essentially direct responsibility
for program and training materials development and delivery; assessment systems and
standards, and for industry and enterprise links. Institutes directly recruit teachers, and manage
student admissions, finance, buildings and facilities. Pedagogic and professional development
training for staff is almost totally an institutional responsibility.
4.
Institutional Capacity Assessment. Indonesias National Medium-Term Development
Plan 2010-2015 stresses the need for improvement of the quality and relevance of vocational
education to enhance its international competitiveness and reduce unemployment. The
proposed Project initiatives will aim to improve the quality of Polytechnic training to meet
enterprise skills needs through the introduction of a national industry-based education and
training system focused in four identified priority sectors and to industry determined standards
aligned with proposed IQF.
5.
Institutional assessment in the Polytechnics indicated the need for significant capacity
development in order to ensure effective involvement in Project implementation as outlined.
Implementation will commence with central development with specialist industry input of
industry endorsed industry standards based training modules, materials and assessment in
three agreed priority skills sectors. The Project will support a cluster of 12 selected
Polytechnics, (six Polytechnic centres and six sister institutions each aligned to one of the sic
Economic Corridors of the MP3EI) to introduce industry-based education (CBE) in the five
selected sectors.
6.
Implementation will take place directly through the 12 project polytechnics following local
industry review and adjustment to meet identified local needs of each priority industry area.
7.
Constraints. The PPTA problem tree summarises the present problems faced by the
Polytechnic sector, in addressing the challenges faced by introducing a industry responsive
vocational and technical education. In terms of managerial capacity the problem tree notes a:
66
Appendix 4
8.
Institute Leadership. To facilitate timely, effective, and sustainable adoption and
implementation of the key technical development initiatives of the Project through the selected
institutes, the directors and vice-directors of the project polytechnics will undertake negotiate
customized training to support the development, management, implementation, monitoring and
supervision of revised study programs and linkages with selected industries.
9.
The proposed programs will include formal specialist information sessions, workshop
activities, discussions/information sharing and activities where participants are requested to
develop specific material/input.
10.
The specific program content will be developed to ensure that key senior system personnel
develop basic understanding of the aims and procedures for more responsive study program
development and the objectives of the EMP and needs of employers and industries in the five
sectors, including:1
(i)
(ii)
(iii)
(iv)
(v)
Outlines of training programs summarized here are based on PPTA preliminary training needs analysis and will
require review by implementing Consultant before finalization and contracting of actual programs.
Appendix 4
67
11.
Each study program group will be required to make formal presentation to the DGHE
Project personnel and selected colleagues of their findings concerning the introduction and
supervision of an industry based training system.
12.
Follow up programs will be reviewed and modified on the basis of the review of the initial
program experiences.
13.
Institutional Mentoring Assistance. The Project will assist each of the nominated
institutions for implementation though ongoing on-the-job assistance and performance
mentoring by national consultants. The consultants will work closely with Project Team Leader
and the concerned Polytechnic personnel to determine detailed agreed implementation tasks,
schedules and targets consistent with the planned and agreed overall Project implementation
schedules.
14.
Mentoring instruments and schedules will be developed and agreed to ensure regular
review against the agreed implementation plans in each participating Polytechnic. Capacity
building for implementation of the agreed quality assurance initiatives will be provided for key
staff in the project polytechnics. Quality assurance will be regularly mentored and procedures
will be reviewed to ensure that individuals and areas of maximum need can be prioritized for
direct and more intensive assistance.
15.
The Project consultants will assist and mentor the project polytechnics with the
implementation of the following Project initiatives:
16.
Review Committees (RC). Institutional review indicated apparently high correlations
between the effectiveness of Polytechnic/enterprise linkages and student employment
outcomes and employee satisfaction. RC with industry association nominated representatives
in the five selected priority industry areas will be established with Project support to advise on
industry standards and revision of study programs and testing in each of the five nominated
skills areas, and to provide continuing institute-industry linkages. Additional long term RC
activities may include: (i) links to relevant enterprises for ongoing program review and program
development support; (ii) internships and graduate employment; (iii) possible training
partnerships, and (iv) potential formal entrepreneurial associations and/or contracted services,
facilities sharing and financing. The developed Terms of Reference (ToRs) detail the
composition, roles and responsibilities of the RC.
17.
At local level, the project will support implementation through linking with local industry
stakeholders at each of the 13 project polytechnics. These linkages will be documented in
MOUs between the industry/employer and the polytechnic institution. The Polytechnic with the
relevant RC shall have the authority to establish Occupational Working Groups (OWGs) for the
identification of occupational profiles and the development of revised study programs. The
developed ToRs detail the roles and responsibilities of consultants that will be mobilized to
support study program revision and the effective operation of RCs and established working
groups.
18.
In order to prepare the employer representatives for their new roles as defined by the
revised polytechnic system, the Project will undertake training/information to the selected
employer representatives, covering areas like:
(i)
68
Appendix 4
(ii)
Operation and guidelines for the NSF
(iii)
Roles and responsibilities of the RC and any established working groups
(iv)
Formulation of standards
(v)
Revising study programs
(vi)
Flexible delivery opportunities that support industry participation work based
learning, internships, on job training, project driven learning, E-learning and other
methods.
(vii)
Assessment
(viii) Request for short courses
19.
Training Organization and Delivery. The introduction of industry driven approaches in
each of the institutions will be monitored and supported on a regular basis by national
consultants as required. Specific program issues will be referred to the specialist consultants
as required.
20.
Polytechnic Training Information and Student Support Systems. Introduction of
standards based approaches in the Polytechnics will require the development and systematic
maintenance of highly specific trainee and training skills assessment record tracking systems
and enhanced student support systems. Mentoring assistance will be available to assist the
development of effective, relevant procedures for:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
21.
Alternative Program and Service Delivery. Introduction of work based and related
testing and services for Recognition of Prior Learning (RPL) will create opportunities for wider
training and more flexible skills training provision and industry assessment services in the five
priority areas aligned to the MP3EI. The Project will support the development of continuous
vocational training and education models, and the provision of training to different client groups
industry personnel, the unemployed, those requiring updated or additional skills, or who wish
to change occupation.
22.
Training modalities and skills assessment services organized through the industry
relations units (IRU) in the institutions may involve links with SMKs, or formal partnerships
(PPPs) with enterprises and/or private training organizations. They may also involve adaptation
of study programs to flexible modular short courses to stated industry standards and outcomes,
and with alternative structures and timing, including workplace based, evenings, and weekends.
Mentoring assistance will be available to assist the review and adaptation of revised study
programs and the development of appropriate training organization.
Appendix 5
69
4.
The overriding objective of the proposed Polytechnic project is to ensure that graduates
have the skills, knowledge and competencies to successfully enter the labor market and meet
the skill requirements of employers. Against this background one of the first tasks that have to
be performed is to identify what economic sectors should be supported by the project, including
signals on which occupations are in highest demand.
70
Appendix 5
5.
The current summary outlines (a) why it is important to adopt a sector based approach,
(b) the methodological approach adopted to identify those sectors viewed as providing important
employment opportunities to Polytechnic graduates, (c) the international demand for Indonesian
workers overseas and in which sectors this occurs, (b) the sectors in the domestic economy
which offer employment opportunities for Indonesian workers, (c) government and stakeholders
perception of priority sectors including the recent EMP priorities, and (d) recommendations on
which sectors should be supported by the Polytechnic project.
C.
6.
A sector based approach to development attempts to ensure that alignments are
achieved with policies for economic development and those for human resource development.
In a global market place most middle income countries target particular sectors for economic
development, normally based on their comparative or competitive advantage. This has a
number of potential advantages. For one, it enables a government to support those sectors of
the economy viewed as most strategic to the countries development. Second, it helps improve
the efficiency or competitive advantage of organizations operating in that sector. There is a
recognized consensus that skills represent one of the key ingredients for improving
organizational competitiveness, especially at the technicians and middle management level
where skills are in short supply. Third, and perhaps most important to the proposed project, it
provides a means of linking skills development at the mid level occupations to changing sector
economic priorities, helping to ensure that Polytechnics play an important part in structural
changes by adjusting the type and content of learning programs to new technology, innovative
management practices and other changes occurring in the labor market
D.
7.
An elective approach was adopted involving the use of three different approaches. The
first approach involved looking at the possible demand for Polytechnic graduates overseas. The
research analyzed data produced by the National Board for Placement and Protection of
Indonesian Overseas Workers. Adopting such an approach enabled the research to identify
where a demand existed for skilled Indonesian, in what type of occupations and industrial
sectors this occurred.
8.
The second approach analyzed government statistical data produced by the countrys
bureau of statistics to trace market trends and to identify what are the domestic priority sectors
and occupations. The use of statistical data was also supported by interviews with government
officials and stakeholders, especially those working in sectors identified as having good
favorable opportunities for Polytechnic graduates. Through an analysis of this information it was
possible to obtain signals on economic and labor market changes, and to make interpretations
about the demand for different types of Polytechnic graduates. This involves a method that
reads-off signals about economic and labor market trends, rather than exact data from
econometric or statistical models
9.
The third approach for identifying priority sectors investigated government and
stakeholders perceptions. Specific attention was given to the BAPPENAS (the governments
central planning agency), the Ministry of Industry (the government line Ministry responsible for
encouraging manufacturing output) and the countrys chamber of commerce (in order to obtain
employers perception of possible priorities). Of special importance is the recent Economic
Master Plan of the Government of Indonesia for 2011-20125 and beyond.
Appendix 5
71
10.
Using the three different approaches the research produced a list of priorities.
Subsequently, the research was able to identify sectors that were viewed as important by all
approaches and to make recommendations of three possible sectors for support, based on their
potential to support employment and also their perception as strategic by government and
stakeholders.
KEY FINDINGS
E.
11.
Traditionally, Indonesia has been a net exporter of unskilled labor, but recently a number
of government departments are in the process of implementing strategies to support the export
of more skilled labor. Given these changes in government policy the research attempted to
obtain signals on the nature of global demand for mid level skilled Indonesian workers.
12.
The table 1 provides signals on the current and anticipated future vacancy for
Indonesian workers overseas. The Philippines has traditionally been an exporter of skilled
workers overseas, but now they can no longer respond to the rising demand and Indonesian
workers are being seen as alternative. The data show there is a large demand for health
workers overseas, highlighting the demographic shift towards an older population in the west.
Unfortunately, this is outside the remit of the Polytechnics. Other sectors which offer potential
employment for Polytechnic gradates include construction and transportation. Those
occupations in highest demand appear to be: nurses/care givers, welders and other associated
construction professions.
Table 1: Signals on the demand for skills Indonesian workers overseas
Region
Asia
Pacific
Australia
& New
Zealand
America
&
Canada
Middle
East
Europe
Africa
72
F.
Appendix 5
13.
There is no doubt that manufacturing, followed by agriculture, and trade, hotels and
restaurants are the most important contributors to economic output, contributing around 26%,
13% and 16% respectively to the countrys GDP. Nevertheless, those sub-sectors experiencing
the highest growth rates over the 2004 to 2009 period, include: telecommunications (up by a
massive 200%), construction (45%), transport equipment (41%), real estate (40%), wholesale
and Retail (35%) and the food, beverage and tobacco sectors (31%). Within each of these
sectors the research attempted to unpack these figures and through reference with other
studies and discussion with employers identify the employment potential for Polytechnic
graduates.
14.
Telecommunications is one of the largest untapped markets within Indonesia.1 In relation
to fixed phone lines there are an estimated 6.5 phone lines per 100 people, which is very low
compared to levels in the region. Similarly, the penetration of mobile phones is around 45% of
the population. Utilization rates for PCs and the internet is also low by regional and international
comparisons. The government and the private sector are supporting a lot of capital investments
in this area, especially in the following: transport networks, access networks and common
services. The impact on the demand for skills can be expected to be large, particularly for the
following types of occupations: civil engineers, electrical engineers/technicians, computer
technicians, electronic technicians, systems analysts and supervisors.
15.
With regard to construction, the Centre for Industry and Construction estimates that just
over 2 million skilled jobs will be created in the sector in 2011, with demand being highest for
the following: architects, civil engineers, quantity surveyors, mechanical engineers, electrical
engineers and environment engineers. According to those working in the sector occupations
most difficult to recruit are: civil engineers and quantity surveyors
16.
For transportation equipment Indonesia has one of the large markets for vehicles in
South East Asia, with sales predicted to reach 1 million per annum by 2013. The annual
production of motor cycles is expected to reach 7 million by the end of 2011. There is no doubt
that this will increase demand for technician and supervisor type skills. However, major
producers do not always have a positive image of Polytechnic graduates and instead prefer to
recruit SMK graduates and upgrade their skills through in-house training. Similarly, companies
found that for supervisory positions Polytechnic graduates lack basic management foundation
skills or a good understanding of the sector, and so they prefer to recruit university graduates
for such positions. This suggests that if Polytechnics want to take advantage of this sector they
need to improve the quality of their graduates.
17.
Within the real estate sector the majority of skilled personnel working in the sub-sector is
concerned with the sale and rental of property, and to a lesser extent the maintenance of such
properties. Once again according to large employers in the sector there is a high demand for
middle level managers, especially for those with good customer skills who could speak English
or Chinese. While on the technical side good civil engineers were difficult to find. This sector is
also expected to grow considerable over the next five years.
18.
In relation to the food and beverage sector output will increase significantly in this sector
over the next five years, particularly in the light of recent land reforms and the current emphasis
given to food security. These changes will result in significant employment opportunities for
operators and technicians associated with the processing, production and transportation of food
1
See: http://www.lirneasia.net/wp-content/uploads/2009/07/TRE_Indonesia_2009Mar18.pdf -
Appendix 5
73
products. This sector is viewed as very strategic by the government because of its strong
backwards and forward linkages with the agriculture and whole sale and retail sector.
19.
According to the largest employers working in the wholesale and retail sector sales have
increased by 20% over the past 12 months, with significant opportunities to be found at the
higher end of the market and in the demand for luxury goods2. It is estimated that around 40
new stores will open each year to cope with rising demand and over the next five years around
100,000 operational managers will be required
G.
20.
Most of the governments priorities for sector development are guided by the countrys
National Long-Term Development Plan (RPJMN 2010-2025), of which the countrys National
Medium Term Development Plan (RPJMN 2010 to 2014) is an elaboration of how to make
Indonesia a more advanced and prosperous, self-reliant, secure and peaceful, and democratic
and just country. In order to achieve this vision BAPPENAS identifies a number of activities that
have to take place and indicative sectors that need to be supported. In the recent Economic
Master Plan of February 2011, the Government of Indonesia unfolds its strategy to realize its
vision on the future economic development of the country. This vision includes a per capita
income of US$ 2,600 by 2030 and a strategy that relies heavily on the private sector for its
realization. The MP3EI further identifies 6 economic corridors (EC) and their potential for sector
development:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
21.
Overall, the MP3EI identifies 8 economic priorities, which are (i) manufacturing; (ii)
agriculture; (iii) fisheries; (iv) mining; (v) tourism; (vi) telecommunications; (vii) energy; and (viii)
industrial zones. A precondition for the development of these sectors is the development of (a)
key infrastructure (airports, ports, roads, etc.); (b) energy; and (c) human resources.
22.
Through an analysis of these plans and extensive discussions with senior officials the
research was able to signal which sectors are being given priority for strategic or political
reasons. Similarly, through discussions with Kadin, the countrys chamber of commerce, it was
possible to obtain evidence of employers perceptions towards priority sectors. The following
common sectors were identified as important by all three organizations: manufacturing
(transportation), construction, telecommunication, and agro-processing. Based upon the EMP,
2
This includes the following Carrefour, Lotte Mart, Matahari, Hero Group, Giant, Guardian, and Lion,
74
Appendix 5
energy and mining has also been identified as an important sector, as it is a focal sector in 4 of
the 6 Economic Corridors.
H.
23.
The selection of sectors had to take on board the signals from the market, along with the
perceptions of government and stakeholders and the priorities of the recent MP3EI. It proved a
difficult task balancing the competing perspectives and different political imperatives.
Nevertheless, after extensive discussions the following four sectors were selected:
manufacturing, construction, agro-processing, and energy and mining. The justification can be
summarized as follows:
(i)
(ii)
(iii)
(iv)
(v)
Appendix 6
75
Relevance of study programs offered by the polytechnic in relation to the main economic
activities identified by the MP3EI for each corridor.
(II)
Results of a comprehensive performance evaluation carried out by DGHE in 2010,
whereby polytechnics were rated into good, fair, and poor based on agreed indicators.
(III) Qualification and competence of human resources at the polytechnics (management,
lecturers and staff);
(IV) Enrollment data of students ( the higher the enrollment, the higher the score)
(V)
Accreditation results of BAN-PT
(VI) Amount of funds received from other sources (primarily APBNP) during the last 2 years
(VII) Evidence of strong partnership arrangements with industry
(VIII) Experiences in implementing foreign-assisted loan projects
(IX) Tracer information of graduates, evidence that graduates are absorbed by the labor
market
(X)
Ability to demonstrate premium examples for improving the quality and relevance of
study programs and industry partnerships to be replicated countrywide.
3.
The distribution of polytechnics supported under the project across the six economic
corridors followed the actual demand and supply patterns, considering (i) the unequal demand
for skilled labor and different levels of main economic activities at each economic corridors as
identified by the MP3EI, and (ii) the number of existing polytechnics at each economic corridors,
and subsequent diverse enrollments levels at the six economic corridors.
4.
Hence, three polytechnics have been selected for Corridor 1 (Sumatera) and corridor 2
(Java); two polytechnics have been chosen for corridor 3 (Kalimantan), corridor 4 (Sulawesi),
and corridor 5 (Bali, Nusa Tenggara), while in corridor 6 (Papua, Kepulauan Maluku) one
polytechnic institution was selected. Table 7.1 provides an overview of the economic focus at
the six corridors and the selected center polytechnic institutions, and Table 7.2 provides
information indicative program development relevant with the focus of economic development in
each corridor:
76
Appendix 6
Table 7.1. Focus of Industry in the Six Economic Corridors and the Proposed
Polytechnic Centers to be assisted by the Project.
Corridor & Focus
1
Sumatera
Mining (coal)
Agro-industry (palm oil and
derivative products)
Agro-industry (Rubber and
derivative products)
Java
Manufacture
(transportation
industry)
Infrastructure (roads, bridges,
irrigation, airports)
Manufacture (food industry)
Kalimantan
Agro-industry (Rubber and
fishery products)
Mining (coal)
Sulawesi
Manufacture
(agro-industrybased)
Mining (nickel)
Bali, NTB and NTT (West and
East Nusa Tenggara)
Tourism
Agriculture/agroindustry
Papua and Maluku
Manufacturing
to
support
Mining, Agriculture, Plantation
Polytechnic Padang
Polytechnic
Pertanian
Payakumbuh
Polytechnic Lampung
Number
of
lecturers
Number
of
students
254
126
2,566
497
127
977
Polytechnic
Manufaktur
Bandung
Polytechnic Bandung
119
697
464
3,476
Polytechnic Jember
156
1,906
Polytechnic Pontianak
228
1,883
Polytechnic Samarinda
236
2,301
Polytechnic Manado
302
1,639
Polytechnic Ujungpandang
248
2,516
Polytechnic Bali
Polytechnic Agriculture Kupang
333
135
1,476
792
Polytechnic Ambon
221
1,666
Table 7.2 Selected Polytechnic Institutions: Programs and Support under the Project
Corridor 1: Sumatra
Public Polytechnic: Padang
Program Area: Mining (Coal)
Project Provision:
Program development related to mining in supporting coal exploration, coal processing,
production and maintenance of equipment for exploration and processing of coal;
Equipment: Laboratory equipment for center of technology to support mining industry including
primary and secondary processing; and supporting industry.
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for related competencies of the focus sector
Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
Public Polytechnic: Lampung
Program Area: Agro Industry (Rubber and/or Palm Oil and derivative products).
Appendix 6
Project Provision:
Program development related to agro industry for palm oil and/or rubber and its derivative
industry, production and maintenance of related equipment.
Equipment: Laboratory equipment for center of technology to support the primary, secondary and
supporting industry related to agro industry
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for teaching methodology; Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
Public Polytechnic: Payakumbuh
Program Area: Agro-industry (Palm oil and/or rubber, and derivative products)
Project Provision:
Program development to support agro-industry for palm oil, rubber and its derivative products,
production and maintenance of related equipment;
Equipment: Development of laboratory and center of technology to support the primary,
secondary, and supporting industry for agroindustry.
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for teaching methodology; Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials
Corridor 2: Java
Public Polytechnic: POLMAN-Bandung
Program Area: Manufacturing (Transportation Industry)
Project provision:
Developing center of technology, upgrade and extension for workshops/laboratories of: Machine
Tools Workshop, Design Laboratory, Maintenance Workshop, Mechatronic Workshop, Electrical
Workshop.
Equipment: Manufacturing packages for: Production Machine Tools and its accessory/tool,
Maintenance Equipment, Designing Software and Hardware.
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for teaching methodology; Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
Public Polytechnic: Bandung
Program Area: Infrastructure (Road, Bridges, Irrigation, Airport Construction)
Project provision:
Program development related to engineering design, construction, management and supervision
of construction work, production of equipment for construction work;
Equipment: Laboratory equipment for center of technology to support primary industry, secondary
industry, and supporting industry for infrastructure.
Training: Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for teaching methodology; Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials
Public Polytechnic: Jember
Program Area: Manufacturing to support agroindustry (Food Products)
Project Provision:
Program development to support agro-industry for processing food products, packaging;
Equipment: development of laboratory and center of technology to support the primary, secondary
industry, and supporting industry for food industry.
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for teaching methodology; Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials
Corridor 3: Kalimantan
77
78
Appendix 6
Appendix 6
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for related competencies of the focus sector
Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
Public Polytechnic Agriculture Kupang
Program Area: Agro Industry (agriculture and animal husbandry)
Project Provision:
Program development to support agro industry (agriculture and animal husbandry)
Equipment: Development of laboratory and center of technology to support the primary,
secondary industry, and supporting industry for agro industry (agriculture and/or animal
husbandry)
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for related competencies of the focus sector
Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
Corridor 6: Papua and Maluku
Public Polytechnic: Ambon
Program Area: Manufacturing to support agriculture, mining, and plantation
Project provision:
Program development to support product design of equipment for mining, plantation, agroindustry;
service/maintenance of equipment;
Equipment: laboratory equipment and center of technology for both primary and secondary
industry to support mining, agriculture, and plantation.
Training:
Management Training for Top Management and Head of Departments/Divisions.
Lecturer Training for related competencies of the focus sector
Further study (Magister) in the related competencies.
Training materials: Training for composing modular training materials.
79
80
Appendix 7
GUIDELINES
For the National Skills Fund (NSF)
Appendix 8: Guidelines for the National Skills Fund (NSF)
A.
Objectives
1.
A National Skills Fund (NSF) fund will be established under the project. The funding for
individual Project polytechnic will be channeled through the imprest account at the Bank of
Indonesia. The funds flow is described in Section IV.F and IV.G; disbursement arrangements
are described under Section V.B. The NSF will provide a number of windows through which
Polytechnic Institutions in collaboration with their selected Industry Partners can access funds
for skills development initiatives aligned with meeting the objectives of the MP3EI in five sectors.
The NSF aims to:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
B.
Principles
2.
The following principles will guide the operation of the National Skills Fund.
Application Process and the Selection Criteria require applications to:
(i)
(ii)
(iii)
(iv)
The
Appendix 7
C.
Application Process
3.
4.
Be aligned with or support GOI policies, priorities and operational plans for
education, including support for access and equity, skills development and
employment;
Address specific requirements of the MP3EI and details how the project responds
to identified employer needs in the priority industry sectors;
Ensure that the specific social and economic needs of both men and women are
addressed and that opportunities for women to participate as decision makers in
determining objectives and types of activities, are increased;
Provide good value for money;
Create quality skills for Indonesian citizens to contribute towards industry
development and which increases employment and income earning
opportunities;
Indicate the level of counterpart support (employer and polytechnic institution)
financial, administrative, logistical, human resource, on job training and in-kind;
Produce sustainable, measurable benefits consistent with the Objectives and
Principles of the DGHE sector policies.
Indicate the outcomes, outputs and activities, together with the annual targets,
related costs, and implementation mechanisms.
Provide detailed terms of reference, budget amounts, for the proposed activities
to be undertaken with NSF funds.
Establish a PIU to ensure the timely and accurate implementation and monitoring
of the NSF funded project.
5.
81
Support will NOT be provided for proposals that seek funding for:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
82
Appendix 7
(x)
(xi)
D.
6.
All accredited public and private polytechnics offering study programs in the five priority
sectors supported by the project are eligible for applying the NSF.
E.
Funding
7.
Total amount available for NSF is $38.10 million. NSF will be allocated for polytechnics
in all six corridors, the allocation per corridors will be defined in relation to the number of
polytechnics and the enrollment of polytechnic student in each corridor as shown in Table A.8.1.
Polytechnics from each corridor will compete among each other within the corridor.
Table A.8.1. Indicative Allocation of NSF among Corridor of the MP3EI
Corridor
3
4
24,045
23%
59,449
57%
8,804
8%
Number of Polytechnics
(public and private)
40
23%
92
53%
23%
8,763
Student Enrollment
8.
5,522
5.3%
2,813
2.7%
3,038
3.8%
15
9%
9
5%
7
4%
9
5%
55%
9%
5%
3%
5%
20,955
3,429
1,905
1,143
1,905
Total
103,671
172
38,100
Projects can be of either a short term intervention or for a longer term (up to 3
years).
All proposals will be assessed against the set criteria.
Recipient polytechnic needs to have clear management roles and systems to
account for funds received.
Each proposal should include at least 5% for scholarship provision for poor
students; Each Polytechnic institution may receive the funds up to $2,500,000.
Unit costs for scholarships per student are estimated to amount to $1,200 per
annum to cover tuition, stipend, transport, and books.
Research activities can range from $20,000 to $100,000, depending on the focus
of the research.
For public polytechnics, NSF funds will be channeled through the DIPA
mechanism.
Appendix 7
(viii)
83
For private institutions, DGHE will transfer the NSF allocation to a commercial
bank which will be accounted for separately from any other funds the institutions
may have.
F.
Application submission
9.
The applicant must complete the Application Form that will be developed by the PMU.
G.
Application assessment
10.
Funds are limited, so only the best activity proposals are selected. The proposal will be
reviewed by a review committee (RC) which consists of a pool of at least 20 experts from
respected industry and MOEC/polytechnic/higher education. The committee will be appointed
by the Project Director within 3 months after loan effectiveness. Proposal will be reviewed based
on:
(i)
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
(x)
(xi)
(xii)
H.
Application selection
(i)
(ii)
(iii)
(iv)
(v)
Detailed formats for proposals will be prepared by the PMU and approved by the
EA, at least 3 months after loan effectiveness
The agreed proposal format and the guidelines of the NSF will be communicated
to all public and private polytechnic institutions, at least 3 months after loan
effectiveness
Proposals from public and private polytechnics will be submitted to the PMU, who
will initially classify the proposals in relation to the economic corridors and create
a short-list of applications that are completed correctly, provide required
documentation and meet these guidelines.
Within three weeks of close of submission date, the Review Committee (RC) will
meet to select the best proposals from a short-list. The RC will review and
appraise proposals and make recommendations to the DGHE through the PMU.
Recommendations of the RC are submitted to the PMU in DGHE MOEC. The
PMU and the DGHE will consider within 10 Working Days, and be guided by, the
recommendations of the RC and approve the proposals to be funded through the
National Skills Fund.
84
Appendix 7
(vi)
(vii)
(viii)
I.
The PMU will then engage with the successful applicant to prepare a contract for
the disbursement of funds.
Applicants can contact and engage with the PMU and DGHE for information and
advice on the preparation of submissions, the operations of the National Skills
Fund, the outcomes of the assessment and approval process through making an
appointment with the PMU Project Manager.
The PMU will keep all records of the operations of the National Skills Fund
including rejected proposals and any associated documents.
(iii)
(iv)
(v)
(vi)
J.
Successful applications will require the following actions to be undertaken prior
to the disbursement of funds:
i.
ii.
iii.
iv.
v.
Each polytechnic supported by the NSF will be required to establish a PIU. PIU
duties and responsibilities are described in Section III of the PAM.
The polytechnic recipient of the NSF will need to sign a performance contract
with DGHE.
Each polytechnic institution will identify disadvantaged student applicants (from
unemployed, informal sector, SMKs) and declare these students to be eligible to
receive funding. Each student will receive funding with a value not to exceed
$1,800 a year as access support to diploma programs. (funding support to be
reviewed by DGHE each year)
All financial transactions shall be recorded by the PIU accountant for submission
to the PMU and be in compliance with government procedures.
Subsequent NSF tranches will be released based on the submission of approved
financial records, including supporting documents (i.e. receipts, attendance list,
equipment list, etc.) to liquidate the previous tranche.
Appendix 7
K.
85
11.
Each PIU will prepare the detailed consolidated project accounts to be audited in
accordance with International Standards on Auditing and in accordance with the Government's
audit regulations by an auditor acceptable to ADB. The audited accounts will be submitted in the
English language to PMU within 3 months of the end of the fiscal year by the executing agency.
12.
The PIU Manager of the Project polytechnic who signed the Agreement Letter must:
(i)
Coordinate and monitor the whole process of activity implementation.
(ii)
Manage and process NSF funds in a transparent and accountable way.
(iii)
Communicate to the PMU and Project Manager regularly during the
implementation process.
(iv)
Participate in the monitoring and evaluation activities of the PMU.
(v)
Prepare and submit an Activity Completion Report (see Appendix 4) to the PMU
based on the Agreement within one month of the activity finishing, including all
original receipts reconciled against the approved budget.
13.
The PMU will establish grievance mechanism which will allow to report possible misuse
of funds or any other regularities. The guidelines for grievance mechanism will be approved by
the EA within six months after loan effectiveness.
86
Appendix 8
2.
Several documents were consulted prior to undertaking the financial management
assessment of the Ministry of Education and Culture (MOEC): ADB, Guidelines on Financial
Management Assessment (FMA); Indonesia: Good Governance and Anticorruption: The Road
Forward for Indonesia, ADB; Public Financial Management (PFM) Performance Report, World
Bank 2007; Public Expenditure and Financial Accountability, World Bank 2007. There have
however not been previous financial management assessments undertaken for MOEC.
B.
Key Findings
3.
The FMA found that: (i) there will be a need to improve coordination of management,
inspection, and monitoring of financial management procedures between DGHE and the
PMU/PIU; (ii) financial management systems in DGHE need to be integrated into a fullyfunctioning performance-based system (planning, budgeting, monitoring and control); (iii)
effective financial performance monitoring system is required, particularly at the COEs and
satellite institutions, to measure the impact and utilization of funds; (iv) a financial management
operational procedures manual and related training should be provided to these institutions; (v)
the financial unit in DGHE needs to be expanded, with clearly defined duties, responsibilities,
lines of supervision and limits of authority and (vi) a computerized financial management
reporting system (user friendly software) at the COEs and satellites is required for improved
efficiency and effectiveness.
4.
To address these issues, financial management specialists under the Project will build
capacity within MOEC in financial planning, accounting, reporting, auditing and control. The
consultants will develop and install a performance-based planning and budgeting system, in
consonance with the modernized accounting system of the government. They will enhance the
computerized financial management system in the PMU, PIUs in the COEs and satellite
institutions, consistent with the national FMIS designed by MOF. HEI finance staff will be trained
in financial planning, preparation of budgets, financial analysis and reporting, and internal
controls. The consultants will also ensure that the financial management information system
(FMIS) used by the PMU/PIU is better integrated with the MOEC and MOF system. The key
findings are as follows:
Appendix 8
87
5.
Accounting Policies and Procedures. The chart of accounts is adequate to properly
account for and report on project activities and disbursement categories. Cost allocations to the
various funding sources are made accurately and in accordance with established agreements
and the General Ledger and subsidiary ledgers are reconciled and in balance. All accounting
and supporting documents are retained on a permanent basis in a defined system that allows
authorized users easy access. The accounting system of DGHE allows for the proper recording
of project financial transactions. There is already an established procedure for recording the
transactions, record keeping and reports, and cost accounting (including cost control and
analysis). MOEC follows a modified accrual-based accounting system. The accounting policies
are found consistent and the reporting framework of its financial performance is in accordance
with project requirement. The Government, through the PMU/PIUs, will set up and maintain
separate project accounts and record by funding source for all expenditures incurred on the
Project. Project accounts will follow international accounting principles and practices.
6.
Segregation of Duties. Functional responsibilities are segregated between the various
functions of recording and cash management. The finance head in DGHE has authority in
executing transaction of goods and services, recording of transactions are carried out by
account officers at PMU/PIU level and the cashier is the custodian of assets obtained through
the transactions. Ordering, receiving, accounting and paying functions are segregated. Hence,
there is proper accounting control between the recording and cash disbursement functions.
DGHE, MOEC has implemented 8 projects by international financial institutions during the last 4
decades. MOEC has full control on overall projects activities.
7.
Budgeting System. The current budgeting system of the EA and related PMUs/PIUs is
mandatory and follows the financial regulation specified by MOF. Improvements in budget
execution processes have been evidenced since the introduction of the Public Financial
Management (PFM) laws, which included unified budgeting, Medium Term Expenditure
Forecasting (MTEF), performance-based budgeting, single treasury account. Key strengths
pertain to transparency and comprehensive budget documentation, a well defined budget
process with both executive and legislative adhering to the schedule, a classification which
complies with international standards and a strengthened external audit function. The
government has implemented performance based budgeting.. However, the execution of
performance-based budgeting has been limited, losing its effectiveness as a management tool.
Key weaknesses were identified across various dimensions of the budget execution such as
financial reporting and internal controls. There is a need for the Polytechnic education sector to
convert its strategic plan into medium term action plans to allow the RENSTRA to naturally
incorporate sector strategies into the medium term resource allocations. Polytechnic sector
medium term expenditure framework is not currently prepared. The COEs and satellite
institutions likewise need to conform to the MOF FMIS, and enhanced towards performance
based budgetary system. Currently, ADBs existing PMUs prepare its own budget plan
according the given MOEC guidance and present to MOEC management for approval.
Government funded budgets will need to be included in the respective institutions budgets and
this will require coordination between MOEC, participating Polytechnics and MOF to ensure
completeness.
8.
Safeguard over Assets. There are systems of adequate safeguards to protect assets
from fraud, waste and misuse. However, asset values are not regularly updated, and physical
verification of assets and reconciliation with records is not being done on a regular basis.
Consistent with government accounting, assets are not depreciated.
9.
Financial Reporting. The accounting and reporting requirements of the DGHE are
maintained in accordance with government rules and regulations. Financial statements are
88
Appendix 8
Appendix 9
Low
Risk
89
90
Appendix 9
Question
technical requirements and career
routes?
A.12. Is there a procurement process
manual for goods and works?
A.13. If there is a manual, is it up to
date and does it cover foreign-assisted
projects?
A.14. Is there a procurement process
manual for consulting services?
A.15. If there is a manual, is it up to
date and does it cover foreign-assisted
projects?
A.16. Are there standard documents in
use, such as Standard Procurement
Documents/Forms, and have they
been approved for use on ADB funded
projects?
A.17. Does the ToR follow a standard
format such as background, tasks,
inputs, objectives and outputs?
A.18. Who drafts the procurement
specifications?
A.19. Who approves the procurement
specifications?
A.20. Who drafts the bidding
documents?
A.21. Who manages the sale of the
bidding documents?
A.22. Who identifies the need for
consulting services requirements?
A.23. Who drafts the terms of
reference (ToR)?
A.24. Who prepares the request for
proposals (RFPs)?
B. INFORMATION MANAGEMENT
B.1. Is there a referencing system for
procurement files?
B.2. Are there adequate resources
allocated to record keeping
infrastructure, which includes the
record keeping system, space,
equipment and personnel to administer
the procurement records management
functions within the agency?
B.3. For what period are records kept?
B.4. Are copies of bids or proposals
retained with the evaluation?
B.5. Are copies of the original
advertisements retained with the pre-
Answer/Finding
Dont know.
Dont know.
Dont know.
Risk
Appendix 9
Question
contract papers?
B.6. Is there a single contract file with
a copy of the contract and all
subsequent contractual
correspondence?
B.7. Are copies of invoices included
with the contract papers?
C. PROCUREMENT PRACTICES
Goods and Works
C.1. Has the agency undertaken
foreign-assisted procurement of goods
or works recently (last 12 months, or
last 36 months)? (If yes, please
indicate the names of the development
partner/s and the Project/s.)
C.2. If the above answer is yes, what
were the major challenges?
C.3. Is there a systematic process to
identify procurement requirements (for
a period of one year or more)
C.4. Is there a minimum period for
preparation of bids and if yes how
long?
C.5. Are all queries from bidders
replied to in writing?
C.6. Does the bidding document state
the date and time of bid opening?
C.7. Is the opening of bids done in
public?
C.8. Can late bids be accepted?
C.9. Can bids be rejected at bid
opening?
C.10. Are minutes of the bid opening
taken?
C.11. Who may have a copy of the
minutes?
C.12. Are the minutes free of charge?
C.13. Who undertakes the evaluation
of bids (individual(s), permanent
committee, ad-hoc committee)?
C.14. What are the qualifications of the
evaluators with respect to procurement
and the goods and/or works under
evaluation?
C.15. Is the decision of the evaluators
final or is the evaluation subject to
additional approvals?
C.16. Using at least three real
examples, how long does it normally
Answer/Finding
Dont know.
Dont know.
N.A.
Yes, mostly for state university that
has state budget subsidiary.
Normally following Perpres 54/2010.
Yes
Yes
Yes
Yes
In some cases yes
Yes
The user unit and bidders
Yes
Both
3-4 months.
Risk
91
92
Appendix 9
Question
take from the issuance of the invitation
for bids up to contact effectiveness?
C.17. Are there processes in place for
the collection and clearance of cargo
through ports of entry?
C.18. Are there established goods
receiving procedures?
C.19. Are all goods that are received
recorded as assets or inventory in a
register?
C.20. Is the agency/procurement
department familiar with letters of
credit?
C.21. Does the procurement
department register and track warranty
and latent defects liability periods?
Consulting Services
C.22. Has the agency undertaken
foreign- assisted procurement of
consulting services recently (last 12
months, or last 36 months)? (If yes,
please indicate the names of the
development partner/s and the
Project/s.)
C.23. If the above answer is yes, what
were the major challenges?
C.24. Are assignments and requests
for expressions of interest (EOIs)
advertised?
C.25. Is a consultants selection
committee formed with appropriate
individuals, and what is its composition
(if any)?
C.26. What criteria is used to evaluate
EOIs?
C.27. Historically, what is the most
common method used (QCBS, QBS,
etc.) to select consultants?
C.28. Do firms have to pay for the RFP
document?
C.29. Does the proposal evaluation
criteria follow a pre-determined
structure and is it detailed in the RFP?
C.30. Are pre-proposal visits and
meetings arranged?
C.31. Are minutes prepared and
circulated after pre-proposal
meetings?
C.32. To whom are the minutes
distributed?
Answer/Finding
Yes
Yes
Yes
Yes
Yes
No.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
Risk
Appendix 9
Question
C.33. Are all queries from consultants
answered/addressed in writing?
C.34. Are the technical and financial
proposals required to be in separate
envelopes?
C.35. Are proposal securities
required?
C.36. Are technical proposals opened
in public?
C.37. Are minutes of the technical
opening distributed?
C.38. Do the financial proposals
remain sealed until technical
evaluation is completed?
C.39. Who determines the final
technical ranking and how?
C.40. Are the technical scores sent to
all firms?
C.41. Are the financial proposal
opened in public?
C.42. Are minutes of the financial
opening distributed?
C.43. How is the financial evaluation
completed?
C.44. Are face to face contract
negotiations held?
C.45. How long after financial
evaluation is negotiation held with the
selected firm?
C.46. What is the usual basis for
negotiation?
C.47. Are minutes of negotiation taken
and signed?
C.48. How long after negotiation is the
contract signed?
C.49. Is there an evaluation system for
measuring the outputs of consultants?
Payments
C.50. Are advance payments made?
C.51. What is the standard period for
payment included in contracts?
C.52. On average, how long is it
between receiving a firms invoice and
making payment?
C.53. When late payment is made, are
the beneficiaries paid interest?
D. EFFECTIVENESS
D.1. Is contractual performance
Answer/Finding
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
N.A.
No.
Yes
Risk
93
94
Appendix 9
Question
systematically monitored and
reported?
D.2. Does the agency monitor and
track its contractual payment
obligations?
D.3. Is a complaints resolution
mechanism described in national
procurement documents?
D.4. Is there a formal non-judicial
mechanism for dealing with
complaints?
D.5. Are procurement decisions and
disputes supported by written
narratives such as minutes of
evaluation, minutes of negotiation,
notices of default/withheld payment?
E. ACCOUNTABILITY MEASURES
E.1. Is there a standard statement of
ethics and are those involved in
procurement required to formally
commit to it?
E.2. Are those involved with
procurement required to declare any
potential conflict of interest and
remove themselves from the
procurement process?
E.3. Is the commencement of
procurement dependent on external
approvals (formal or de-facto) that are
outside of the budgeting process?
E.4. Who approves procurement
transactions, and do they have
procurement experience and
qualifications?
E.5. Which of the following actions
require approvals outside the
procurement unit or the evaluation
committee, as the case may be, and
who grants the approval?
a) Bidding document, invitation to
pre-qualify or RFP
b) Advertisement of an invitation
for bids, pre-qualification or call
for EOIs
c) Evaluation reports
d) Notice of award
e) Invitation to consultants to
negotiate
f) Contracts
E.6. Is the same official responsible
Answer/Finding
Yes
Yes
Yes
Yes
Yes
Risk
Appendix 9
Question
for: (i) authorizing procurement
transactions, procurement invitations,
documents, evaluations and contracts;
(ii) authorizing payments; (iii) recording
procurement transactions and events;
and (iv) the custody of assets?
E.7. Is there a written auditable trail of
procurement decisions attributable to
individuals and committees?
II.
Answer/Finding
Risk
Usually yes
General Ratings
Criterion
A. Organizational and Staff Capacity
B. Information Management
C. Procurement Practices
D. Effectiveness
E. Accountability Measures
OVERALL RISK RATING
Risk
95
96
Appendix 10
Baseline Study
5.
A key characteristic of the M&E Strategy is an increased emphasis on results-based
approach to M&E as one of the basic principles of development effectiveness. The
comprehensive set of targets and performance indicators in the DMF will drive the monitoring
and evaluation process and will be the starting point for the baseline study and subsequently the
midterm and end of project evaluation studies.
6.
The baseline survey will be undertaken during the first 12 months of the project to
establish baseline data for the indicators and targets set out in the DMF. The design and
development of the study will be led by the International M&E Consultant.
7.
Disaggregated data will be collected at each of the sixteen participating Polytechnics.
The focus would be on collecting data specifically related to the performance indicators. This
would include, for example: (i) admission ratios, enrolment, graduation rates for each of the
target study programs; (ii) teacher qualifications and industry experience in those programs; (iii)
the extent of partnerships, joint initiatives and work placements with industry and the quality;
(iv) the number and kind of joint programs with SMKs or other service providers to increase
Appendix 10
97
access to Polytechnics; and (v) the provision and quality of career counseling and job
placement services offered to students or graduates.
8.
In addition, external surveys of the employers and Polytechnic graduates in the first
three identified sectors and later two to be added in 2013 will be carried out to provide data on
the relevance and adequacy of the Polytechnic training in meeting industry needs. Specific data
would be collected on the percentage of graduates entering the workforce or self-employment
within six months of graduation and whether or not they are using their skills acquired on the
job. For employers, data will be collected on their level of satisfaction with the specific skills and
attitudes of the Polytechnic graduates and, where relevant, their level of satisfaction with
existing industrial attachments or work placements and other initiatives (e.g. applied research)
being carried out with the Polytechnic sector.
9.
In developing these surveys, consideration will be given to using electronic survey
formats, where possible, to reduce the cost of data collection and analysis (see www.
monkeysurvey.com as an example).
Some indicative indicators to consider for baseline data are in Appendix 1.
C.
Project Monitoring
10.
Internal project monitoring will be the responsibility of the PMU under the DGHE. The
specific responsibility will lie with the M&E officer in the PMU, shared with staff responsible for
M&E in the participating Polytechnics. The staff will assume a vital role in monitoring
implementation of all aspects of the CBE programs, short-term course and initiatives in relation
to timely implementation and generation of data for the monitoring system. It is expected that
each institution would have a core team of three persons part time, including the heads of the
PIUs and deputy heads in the satellites who would have overall responsibility for project
monitoring.
11.
Project monitoring will take place at two distinct but closely connected levels: (i)
monitoring implementation and ii) monitoring results; i.e. progress towards the project outputs
and outcomes.
12.
Implementation Monitoring: This will focus on monitoring timely implementation and
completion of activities that have been agreed to against planned targets (e.g.800 teachers
trained in CBE by 2012). The monitoring process will include identifying what the management
and implementation issues are and taking steps to resolve them. This kind of monitoring is
continuous. It requires aligning monitoring processes with each outputs annual work plans that
have defined timelines and targets.
13.
Much of the data for monitoring implementation at the activity level will come from
internal mechanisms that have been built into the design of the project interventions. This
would include collecting quantitative data on the number of managers, teachers, and students
(diploma and short-term) trained across all project interventions, the kind of equipment procured
and facilities upgraded; the number of revised diploma programs implemented, the number of
competitive grants disbursed for innovative initiatives, and so on.
14.
Qualitative data will also be collected on an on-going basis from training workshops,
implementation teams, mentor reports, and International and National Consultants who are
supporting implementation. Data could include, for example, the status of sector advisory
98
Appendix 10
boards, the CBE curriculum being developed or revisions to the assessment procedures, etc.
15.
This data would be integrated into quarterly and annual progress reports along with
training data.
16.
Trainee Databases: To support the monitoring process, three trainee databases would
be developed to track all project training: (i) Student Diploma Database for those enrolled in
CBE programs; (ii) Database for Short-Term Courses to track participants enrolled in projectfunded initiatives; and (iii) Database for Staff Development to track managers, teachers,
advisory member boards and industry partners benefiting from project training.
17.
These trainee databases would be developed by the PMU where existing management
information systems (MIS) in the Polytechnics cannot meet project data requirements. The
databases would be simple and user friendly. All data will be disaggregated by gender,
education and social background, and other relevant data fields specific to the kind of training
being offered. Data on the diploma students in the target study programs will require
comprehensive student profiles in order to link to the databases being developed for graduate
tracer studies and job placement services under Output 4.
18.
Data would be collected at each training event using standardised forms. Each
Polytechnic will appoint a dedicated data officer to manage the data collection; data entry,
storage, and production of tables. Summary tables of the number trained by output and activity
will be produced every three months and forwarded to the PSU M&E officer who will consolidate
the data from all the Polytechnics for the project progress reports.
19.
Feedback on Project Training: All short-training courses will evaluated by participants to
provide insights into the quality and effectiveness of the training inputs. The evaluation forms
will be developed and standardized to enable data to be easily aggregated and summarized for
reporting purposes.
20.
For CBE diploma programs, semester evaluations will be completed by students to get
their feedback on different as aspects of the programs. This could be done through electronic
or hard copy questionnaires using assessment categories of strongly agree, agree, disagree
etc. The evaluation should cover program content, capability of the lecturers and instructors,
facilities and equipment; training delivery methods, training duration and industrial attachments.
A survey of enterprises involved in industrial attachments with Polytechnic students would also
be carried out at the same time.
21.
All participants responses would be aggregated at the Polytechnic level and
summarized for the quarterly and annual progress reports. The results would inform what
needs to be improved in the subsequent programs or courses as well as provide data on the
participants perception of what is going well and what is not as the project rolls out across the
sixteen Polytechnics.
22.
Results-based Monitoring: The second level of monitoring has to do with monitoring
progress towards expected results. This kind of monitoring will entail periodic assessments
(i.e. semi-annually, annually, at mid-term) to assess the extent to which project inputs are
contributing towards achieving the expected outputs and outcomes in the DMF. The focus is on
moving beyond simple description of project activities completed (e.g. 80 senior managers
trained) to gathering evidence of change or improvements as a result of the project
interventions. Student feedback on the diploma programs over a three year period would be one
source of data for monitoring change.
Appendix 10
99
23.
The purpose of results-based monitoring is to show how project interventions are
contributing towards improving the quality and relevance of diploma programs, increasing
access to Polytechnic education, strengthening partnerships with the private sector, and
improving institutional governance and management. It is this kind of data that is often missing
in routine monitoring.
24.
During the monitoring process, close attention will be paid to social and equity indicators
outlined in the Social and Gender Equity Action Plan developed for this project. This would
include monitoring professional training opportunities for female managers and teachers,
access of females to diploma and short-term courses and to job in the workforce after
graduation as well as the extent to which instructional materials and assessment procedures
are gender sensitive to name a few.
25.
It is expected that a wide variety of data sources will provide evidence of change or
improvement across the various project interventions. Some examples relevant to the project
are:
Monitoring Change
Data Source
Trainee Database
Classroom Observations;
Student Feedback by semester
26.
One of the key data sources for monitoring change at the outcome level will be the
graduate tracer studies that Polytechnic institutions will be required to undertake annually. Their
purpose would be to trace the number graduates entering the workforce within six months after
graduation and finding jobs relevant to their level of skills. For baseline data, it may be possible
to collect data only in those few Polytechnics that have already institutionalized such tracer
studies. For others institutions, baseline data would need to be updated by the end of 2013
when all institutions are expected to have such a system operating.
27.
In terms of internal project monitoring described above, the M&E National Consultant will
take the lead in designing the system and conducting staff training at all levels. The system will
take into account the need for standardized formats, procedures and data collection instruments
to enable easy integration of data into the project progress reports. A user manual will be
100
Appendix 10
developed with roles and responsibilities and details of data collection, entry and analysis to
support the process. This will be done in close collaboration with PMU, project consultants and
participating Polytechnics in order to ensure that existing structures and systems are utilized as
much as possible.
D.
Evaluation Studies
28.
There are four external data sources that will provide further data and evidence of
progress towards the expected project results. These are: (i) the midterm evaluation study; (ii)
the final impact study; (iii) DGHE school mapping data; and (iv) policy studies
29.
Midterm Evaluation Study This evaluation is a critical part of the M&E process. It will be
carried out in the first quarter of the third year prior to the midterm review by the ADB. Its
purpose is to validate what results were achieved by measuring how far the project has
progressed towards the targets set out in the DMF and by identifying factors which were
contributing to or impeding progress. The study will repeat those aspects of the baseline survey
that were implemented in the first two years of the project. .
30.
In addition structured interviews with key stakeholders and beneficiaries would be
included to collect qualitative data from project beneficiaries. This would be done through visits
to participating Polytechnics to interview a random sample of 30% of the senior managers
trained and teachers and 10% of the diploma students. Data would include evidence of
perception of change in the teaching and learning environment, work placements, student
attitudes, etc. It would also look for evidence of change in the way key managers and teachers
are applying new knowledge and skills on the job at the various levels and how the mentoring
process benefited them. Such qualitative methods are a value added contribution that is often
overlooked in results-based monitoring and reporting. The advantage of this approach is that
data collection can be flexible and take on themes to provide insights into discrete aspects of
the project as it rolls out.
31.
Final Impact Evaluation: The end-of-project evaluation study will be carried in the same
Polytechnics as the baseline study during the last quarter of the Project. The study will be a
repeat of the key indicators in the baseline study to assess the extent to which the Project has
reached its targets in the DMF. It will include a repeat of the employer and graduate surveys as
well as structured interviews with Polytechnic managers and teachers and graduates to assess
the extent to which the project interventions have contributed to improving the delivery of
Polytechnic programs and systematic change.
32.
An international M&E Consultant will be responsible for the design and development of
all three studies (baseline, midterm evaluation, and impact study) including overseeing the data
analysis and reporting. The Consultant will ensure that the studies meet international standards
and that data relevant to the performance indicators is being collected. He/she will be supported
by a National M&E Consultant and a small core group of resource experts from Polytechnics,
government and industry to develop the instruments. During the development of each study,
decisions will need to be made on whether to contract individuals to support the data collection
and analysis process or whether to hire a local firm to support part or all of the process.
33.
School Mapping of Polytechnics. In 2010, an institutional mapping exercise was carried
out in the 29 public Polytechnics to assess each institutions capacity in four broad areas: (i)
finance; ((ii) teacher and student development; (iii) the teaching process; and (iv) customer
perspective. Data was verified in twelve of the Polytechnics but not all of 29 provided complete
Appendix 10
101
data. Each institution was given a weighted balanced score card that rated its capacity on over
50 aspects using 2009 data. Many of these aspects overlap with the baseline data required for
this project; e.g. ratio of applicants to enrollees; % of students graduating within 3 years, % of
graduates finding work within six month, etc. As such, the Project should closely monitor the
DGHEs plans to implement school mapping as a routine requirement for all Polytechnics in mid
or late 2011. If this is realized, it would provide a valuable source of data that would
complement the projects evaluation studies and provide continuous feedback for the annual
reviews
34.
Policy Studies: The periodic policy studies will provide another valuable source of data at
the national level on issues and recommendations related to financing of Polytechnics and
regulations governing lecturers and instructors. Such studies funded by the Project will service
as an independent review of the Polytechnic system and provide data that will inform
management and policy decisions on the future direction of the Polytechnic sector.
E.
Reporting
35.
Project reports will play a valuable role in demonstrating accountability and in influencing
program adjustments based on evidence of the findings. The heads of the PIUs and the deputy
heads in the satellites will have overall responsibility for preparing all required project reports for
their respective institutions (i.e. quarterly, annual, mid-term and completion reports).
36.
These technical reports will focus on reporting progress towards outputs, including
details of inputs and activities completed. They will include a summary table of the number of
persons trained against planned targets, the findings of the training evaluation reports, and key
milestones achieved during that period. The reports will be transparent in reporting successes
and difficulties in achieving targets accompanied with reasons and proposed solutions. Where
relevant, results of structured interviews, special reviews or policy studies will be summarized
and included in the reports.
37.
To ensure a consistent and smooth flow of information, a simple report template by
output will be developed by the PMU to guide the process and direct attention to key areas of
importance. The reporting format will be standardized to enable technical reports from the
Polytechnics to be complied into one project report for the ADB. All reports will be submitted
electronically to the Project Director in the PMU. The Project Director will have overall
responsibility for compiling the project reports with the support of the M&E officer and inputs
from the project consultants.
F.
38.
The PMU, under the direction of the Project Director, will bring together a cross-section
of stakeholders and beneficiaries from the Polytechnics, industry, sector advisory boards and
the National Ministries of Education, Industry, and Manpower and Transmigration to participate
in the annual projects reviews and the midterm and end of project evaluation workshops.
39.
The national workshops will provide a means to review progress and achievements
within and across all regions and Polytechnics as well as foster synergy, exchange ideas and
build on lessons learned. The starting point would be the project progress reports, the findings
of the midterm or end of project evaluation studies and other relevant documents.
40.
Key questions that will guide the M&E process and reporting of results are:
102
i.
ii.
iii.
iv.
v.
Appendix 10
How far has the combined set of activities contributed towards the intended outputs and
outcomes?
What key milestones have been achieved? How were they achieved? What evidence is
there to support these achievements? How was this evidence collected (e.g. progress
reports, structured interviews, surveys, case study, trainee databases)?
What factors contributed to progress and key achievements. What factors impeded
progress? What lessons were learned?
What risks need to be better managed?
What program adjustments need to be made to improve performance and achieve the
desired results?
41.
The outcomes of the annual review will be incorporated into the Annual Progress Report
for the ADB and the outcomes of the midterm evaluation study into the MTR Report. The final
impact study results will form the basis of the project completion report which will be submitted
within six months after the completion of all project activities.
G.
Dissemination of Findings
42.
Dissemination of the project findings will be done horizontally and vertically to encourage
organizational and institutional learning and exchange of ideas across the various stakeholder
groups. This will be done through the project website and through news bulletins (electronic and
hard) that highlight project achievements. They will be distributed to Polytechnics, industry
partners and communities. The news bulletin idea could extend to social websites such as
Twitter and Facebook to increase coverage and raise awareness of Polytechnic education
programs. Such social mechanisms for sharing information are gaining momentum in the
education sector.
H.
43.
The DGHE recognizes that successful monitoring and reporting of PDP will require
increased attention to building the capacity of staff responsible for project monitoring in the
participating Polytechnics and at the national level..
44.
During implementation, a series of training activities and on-the-job mentoring are
planned to support an integrated and coherent approach to M&E. Designated persons
responsible for and accountable for project M&E activities will be the target beneficiaries. The
core team from each Polytechnic institution would include three persons for the regional training
workshops with the option of adding two more persons depending on the focus of the M&E
training. Additional persons could also be added for on-the-job training at each institution where
there is an identified need for support.
45.
The approach to capacity building within the Polytechnic institutions is to build a small
but strong team through annual training and follow-up mentoring support in each institution.
46.
At the national level, a workshop will be held for the M&E Units in the DGHE and other
project stakeholders (i.e. technical working groups) to familiarize them the projects performance
monitoring system and user manual.
47.
All the training workshops will be led by the National M&E Consultant. On-the-job
mentoring sessions will be led by M&E Officer from the PMU under the guidance of the National
M&E Consultant. The proposed HRD activities are as follows:
Appendix 10
103
(i)
(ii)
(iii)
(iv)
(v)