Personnel and Operations Manual

Version 1 June 2009

List of Abbreviations and Acronyms

AA
AM
CCN
CO
COB
COP
COTR
CV
DAI
DAI/Bethesda
DCOP
DEC
EBD
EST
FAR
FY
IC(A)
LOE
LTTA
M&IE
MOU
ODC
PAS
PO
PTL
RMS
SO
SOW
STTA
TA
TCN
TAMIS
TBD

Project Administrative Assistant

Administrative Manager
Cooperating Country National (Cambodia)
Contracting Officer (USAID staff)
Close of Business
Chief of Party
Contracting Officers Technical Representative (USAID
staff)
Curriculum Vitae
Development Alternatives, Inc.
The DAI Home Office in Bethesda, MD
Deputy Chief of Party
Development Experience Clearinghouse
Employee Biographical Data (Sheet)
Eastern Standard Time
Federal Acquisition RegulationFiscal Year (October 1 September 30)
Independent Consultant (Agreement)
Level of Effort
Long-Term Technical Assistance or Assistant
Meals and Incidental Expenses
Memorandum of Understanding
Other Direct Cost
Personnel Action System
Purchase Order
Project Technical Lead
Recruitment Management System
Strategic Objective Agreement (between the US and
GOP)
Scope of Work
Short-Term Technical Assistance or Assistant
Technical Assistance
Third Country National (neither American nor
Cambodian)
Technical and Administrative Management Information
System
To be determined

USAID Urban Gardens Program

Ethiopian USAID Urban Gardens Program Project

Drivers initials

Personnel and Operations Manual

1.0, June 2009

Version

OPERATIONS AND PERSONNEL MANUAL

Version 1.0
June 2009
This publication was produced by DAI for use by personnel assigned to the Ethiopian USAID Urban Gardens
Program Project, funded by the US Agency for International Development.
The information and data contained herein are protected from disclosure by 18 U.S.C.
1905 and are proprietary information as defined by 41 U.S.C. 423. They shall not be disclosed in whole or
in part for any purpose to anyone by the government, except for purposes of proposal evaluation,
negotiation, and contract award, as provided by FAR 15.413-1 and FAR 3.104, or to the public, without the
express written permission of DAI

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Table of Contents
LIST OF ABBREVIATIONS AND ACRONYMS..........................7
STATEMENT OF PURPOSE: OPERATIONS & PERSONNEL POLICY
MANUAL...........................................................................8
STATEMENT OF UNDERSTANDING.......................................9
SECTION ONE: INTRODUCTION........................................10
1.1 INTRODUCTION TO DAI..............................................................................10
1.1.1 Areas of Expertise.........................................................................10
1.1.2 DAI Mission and Values..................................................................10
1.2 STRENGTHENING MSMES AND THE BUSINESS ENVIRONMENT IN CAMBODIA
11
1.3 ETHIOPIAN USAID URBAN GARDENS PROGRAMTEAM: ROLES AND
RESPONSIBILITIES............................................................................................11

SECTION TWO: PERSONNEL POLICY MANUAL...................18

1. CODE OF CONDUCT....................................................18
1.1
1.2
1.3
1.4
1.5
1.6
1.7
1.8

PRODUCTIVE WORK ENVIRONMENT.................................................................18

HARASSMENT.............................................................................................18
DRUG AND SMOKE-FREE WORKPLACE.............................................................18
NO HIRING OF ACTIVE GOVERNMENT EMPLOYEES..............................................19
HIV/AIDS IN THE WORKPLACE......................................................................19
PROCEDURES FOR REPORTING COMPLAINTS.....................................................20
1.6.1 Pledge of Confidentiality................................................................21
1.6.2 Disciplinary Actions for Violation of the Policies Above.................21
EQUAL EMPLOYMENT OPPORTUNITY.................................................................21
CONFLICT OF INTEREST AND BUSINESS ETHICS.................................................21
1.8.1 Personal Conduct of Employees.................................................22
1.8.2 Bribes, Gratuities, Fraud, and False Claims................................22
1.8.3 Conflicts of Interest....................................................................23
1.8.4 Kickbacks...................................................................................25
1.8.5 On the Job Practices and Behavior.............................................25
1.8.6 Use of and Accountability for Corporate Assets.........................26
1.8.7 Political Contributions................................................................26
1.8.8 Dealings Within the Company....................................................26
1.8.9 Human Trafficking......................................................................26
1.8.10 Reporting Suspected Violations.................................................27

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GENERAL EMPLOYMENT POLICY..................................28

2.1 HIRING POLICY.............................................................................................29

2.1.1 Hiring Procedures.......................................................................30
2.1.2 Training/Probation Period.............................................................31
2.2 PERSONNEL FILES........................................................................................31
2.3 CONFIDENTIALITY AND CONFLICT OF INTEREST...................................................32
2.4 CODE OF ETHICAL STANDARDS AND CONDUCT...................................................33
2.5 PAYROLL.....................................................................................................34
2.5.1 Salary Levels and Increases.......................................................34
2.5.2 Tax Liability.................................................................................35
2.5.3 Payroll Cycle...............................................................................35
2.4.4 Timesheets.................................................................................36
2.4.5 Overtime.....................................................................................36
2.5 BENEFITS....................................................................................................36
2.5.2 Holidays.......................................................................................37
2.5.3 Maternity/Paternity Leave............................................................37
2.5.4 Sick Leave...................................................................................37
2.5.5 Special Leave of Absence............................................................38
2.5.6 Inclement Weather......................................................................38
2.5.7 Medical Benefit............................................................................38
2.5.8 Severance Payment.....................................................................39
2.5.9 13th Month Pay............................................................................39
2.5.10 Professional Development Policy...............................................39
2.6 PERFORMANCE REVIEWS................................................................................40
2.7 TERMINATION OF EMPLOYMENT........................................................................41
2.7.1 Termination of Employment by Employee (Resignation by Employee)
........................................................................................................41
2.7.2 Termination of Employment by Employer....................................41
2.7.3 Termination of Employment by Employer for Cause....................42
2.7.4 Obligations at the Cessation of Employment...............................44

SECTION 3: OPERATIONS POLICY MANUAL.......................46

3. DAY-TO-DAY OPERATIONS.............................................46
3.1
3.2
3.3
3.4
3.5
3.6

OFFICE HOURS.............................................................................................46
DRESS CODE...............................................................................................46
WORK EQUIPMENT........................................................................................46
OFFICE SECURITY.........................................................................................46
MANUALS....................................................................................................47
COMMUNICATIONS.........................................................................................47
3.6.1 Office Telephones........................................................................47

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3.6.2
3.6.3
3.6.4
3.6.5

Version

Mobile Phone Reimbursement.....................................................47

Computer and Internet Use Policy...............................................48
Courier and Mail Systems............................................................49
External Communications............................................................50

4. PROCUREMENT...........................................................50
4.1 FUNDAMENTALS OF PROCUREMENT...................................................................51
4.2 THE PROCUREMENT PROCESS........................................................................52
4.3 PROCUREMENT OF SERVICES.........................................................................57
4.3.1 Time and Materials (T&M) Subcontracts.......................................58
4.3.2 Independent Consultant Agreements..........................................58
4.3.3 Fixed Price Purchase Orders for Services.....................................58
4.3.4 Illustrative Purchase Order Activities...........................................59
4.4 PROCUREMENT OF COMMODITIES...................................................................60
4.5 ADDITIONAL GENERAL PROCUREMENT POLICIES..................................................60
4.5.1 Obtaining the Best Price..............................................................61
4.5.2 Commissions...............................................................................61
4.5.3 Approval from Technical Leads....................................................61
4.5.4
Receipt of Goods...................................................................61
4.5.5 Receipt of Services......................................................................61
4.5.6 Signatory Authority/Approval Limits............................................62
4.6 PROJECT PROPERTY.......................................................................................63
4.6.1 Non-Expendable Equipment........................................................63
4.6.2
Expendable Equipment and Supplies......................................63
4.6.3
Inventory Management and Reporting...................................64

5. PROJECT EVENTS........................................................65
5.1 DEFINITIONS OF PROJECT SPONSORED EVENTS...................................................65
5.2 REIMBURSEMENT TO PUBLIC AND PRIVATE SECTOR PERSONS FOR REASONABLE EXPENSES
RELATED TO ATTENDING PROJECT-SPONSORED EVENTS...............................................66
5.3 STUDY TOURS & INTERNATIONAL EXPOSURE VISITS...........................................69

6. PROJECT TRAVEL.........................................................74
6.1
6.2
6.3
6.4
6.5

TRAVEL REQUESTS........................................................................................74
TRAVEL EXPENSES AND PER DIEM....................................................................74
USE OF OWN VEHICLE...................................................................................75
TRAVEL ADVANCES........................................................................................76
TRAVEL VOUCHERS.......................................................................................76

PROJECT VEHICLES.....................................................77

7.1 AUTHORIZED USE

OF

PROJECT VEHICLES..........................................................77

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7.2
7.3
7.4
7.5

7.6

7.7
7.8
7.9

7.10
7.11
7.12

7.13

Version

AUTHORIZED DRIVERS...................................................................................78
DRIVERS LICENSE.........................................................................................78
AUTHORIZED PASSENGERS.............................................................................78
GUIDELINES FOR PROJECT VEHICLE OPERATION..................................................78
7.5.1
Fueling of Vehicles...................................................................78
7.5.2 Cleanliness...................................................................................79
7.5.2
Disposition After Hours............................................................79
7.5.4 Vehicle Assignments.....................................................................79
VEHICLE SAFETY AND SECURITY.....................................................................80
7.6.1 Safety and Security Guidelines.....................................................80
7.6.2
Responsible Operation...........................................................81
7.6.3 Adherence to Cambodian Law.....................................................81
7.6.4 Seat Belts....................................................................................81
7.6.5
Motorcycle Helmets...............................................................81
7.6.6 Accidents.....................................................................................81
7.6.7
Road Blocks...........................................................................82
7.6.8
When Vehicles Break Down....................................................83
INSURANCE..................................................................................................83
DEPARTURE TIMES........................................................................................83
VEHICLE INSPECTION PROCEDURES..................................................................84
7.9.1 Weekly Vehicle Inspection Report.................................................84
7.9.2 Pre-Departure Inspection and Checklist.......................................84
7.9.3 Post-Arrival Inspection, Servicing, and Cleaning...........................84
7.9.4 Quarterly Vehicle Summary Report..............................................85
REGULAR VEHICLE MAINTENANCE...................................................................85
VEHICLE SUPPLIES.......................................................................................86
RECORD KEEPING - VEHICLE RECORD BOOKS....................................................86
7.12.1 Vehicle Registration, Proof of Insurance, and Emergency Card. .87
7.12.2 Work Orders, Repairs, and Vehicle Maintenance Records and Log87
7.12.3 Weekly Vehicle Inspection Checklists.........................................87
7.12.4 Pre-departure Checklists............................................................87
7.12.5 Vehicle Logs...............................................................................88
7.12.6 Summary of Vehicle-Related Reporting......................................88
SUMMARY OF RESPONSIBILITIES - VEHICLES.......................................................88

8. CONTRACT AND COMPLIANCE......................................90

8.1
8.2
8.3
8.4

COMPLIANCE WITH USAID AND HOST COUNTRY RULES AND REGULATIONS90

CLIENT COMMUNICATION...........................................................................90
INTELLECTUAL PROPERTY RIGHTS.............................................................91
REQUIREMENTS IN THE HIRING PROCESS..................................................91
8.4.1
Recruitment.............................................................................92
8.4.2 Employee Biographical Data Form (EBD).....................................92

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8.4.3
Scope of Work.........................................................................94
8.4.4
Approvals................................................................................94
8.4.3
Hiring Independent Consultants..............................................98
8.5 OPEN AND TRANSPARENT COMPETITION...................................................99
8.6 USAID BRANDING.......................................................................................99

9. PROVINCIAL OFFICE ADMINISTRATION..........................99

9.1 OPERATIONS AT THE PROVINCES.......................................................................99
9.1.1 Business Hours...........................................................................100
9.1.2
Organization of Office Records..............................................100
9.1.3 Spot Checks................................................................................101
9.1.4
Project Vehicles at the Provincial Offices...............................101
9.2 FINANCIAL MANAGEMENT AT THE PROVINCES....................................................101

10.

INFORMATION MANAGEMENT.............................102

10.1 TAMIS....................................................................................................102
10.2 HARD COPY FILING SYSTEM..................................................................102

SECTION FOUR: APPENDICES........................................105

APPENDIX 1: STATEMENT OF UNDERSTANDING..........................................107
APPENDIX 2: SEXUAL HARASSMENT POLICY STATEMENT OF UNDERSTANDING108
APPENDIX 3: DRUG FREE WORKPLACE STATEMENT OF UNDERSTANDING. .109
APPENDIX 4: CONFLICT OF INTEREST CONFIRMATION................................110
APPENDIX 5: CONFIDENTIALITY AGREEMENT..............................................113
APPENDIX 6: NO GOVERNMENT SALARIES ATTESTATION............................114
APPENDIX 7: BUSINESS ETHICS & CODE OF CONDUCT POLICY...................115
APPENDIX 8: ELECTRONIC COMMUNICATIONS POLICY................................123
APPENDIX 9: E-MAIL GUIDELINES................................................................126
APPENDIX 10: PROFESSIONAL DEVELOPMENT REIMBURSEMENT REQUEST..128
APPENDIX 11: REQUEST FOR MEDICAL REIMBURSEMENT.............................129
APPENDIX 12: EMPLOYEE HIRING CHECKLIST................................................130
APPENDIX 13: EBD INSTRUCTIONS................................................................131
APPENDIX 14: GENERAL EBD RELEASE FORM...............................................133
APPENDIX 15: EBD VERIFICATION FORM.......................................................134
APPENDIX 16: EMPLOYEE INFORMATION SHEET............................................136
APPENDIX 17: PERSONNEL FILE CHECKLIST..................................................137
APPENDIX 18: REFERENCE QUESTIONS.........................................................138
APPENDIX 19: PERFORMANCE GOALS AND EVALUATION FORM....................140
APPENDIX 20: END OF EMPLOYMENT CHECKLIST..........................................147
APPENDIX 21: ETHIOPIAN USAID URBAN GARDENS PROGRAMTIMESHEET
INSTRUCTIONS...............................................................................................148
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APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX
APPENDIX

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23:
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27:
28:
29:
30:
31:
32:
33:
34:
35:
36:
37:
38:
39:
40:
41:

EMPLOYEE TIMESHEETS.........................................................149
BID/COMPARISON MATRIX AND EXAMPLE..............................151
REQUISTION FORM.................................................................153
GOODS RECEIPT FORM...........................................................154
PAYMENT RECEIPT NO COMMISSIONS FORM........................155
PROVINCIAL OFFICE SPOTCHECK FORM.................................157
TRAVEL VOUCHER..................................................................160
TRAVEL VOUCHER INSTRUCTIONS..........................................162
PROJECT EVENT BUDGET TEMPLATE......................................164
STUDY TOUR CHECKLISTS......................................................165
DRIVER STATEMENT OF UNDERSTANDING.............................167
WEEKLY VEHICLE INSPECTION CHECKLIST.............................168
PRE-DEPARTURE VEHICLE CHECKLIST....................................169
DAILY VEHICLE LOG................................................................171
DAILY FUEL LOG......................................................................172
MONTHLY FUEL UTILIZATION LOG...........................................173
QUARTERLY VEHICLE SUMMARY REPORT................................174
VEHICLE MAINTENANCE LOG..................................................175
ACCIDENT REPORT FORM.......................................................176
VEHICLE SCHEDULE...............................................................177

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