Program Project Management Training

PROGRAMMING
FOREIGN ASSISTANCE
(PFA)
Participant Workbook

USAID/OHR
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Dear Training Participant:

Welcome to the Programming Foreign Assistance (PFA) workshop. PFA is part of an integrated suite of
USAID training courses available from the Office of Human Resources, Training and Education Division through
the Program/Project Management Training (PPMT) contract # RLA-I-00-05-00017-00.
PPMT is implemented by the International Resources Group (IRG) and its consortium partners. Its purpose is to
provide training, management and advisory services for the design, development, and delivery of a suite of courses
that encompass strategic planning, budgeting and program/project management, monitoring and evaluation, and
tools required for using this knowledge and associated skills. The PPMT contract was awarded in the spring of
2005. PPMT includes:

 Programming Foreign Assistance (PFA) Course

Broad overview of the planning, programming, and budgeting of U.S. foreign assistance in the inter-agency
context associated with current foreign assistance reforms.

 Program/Project Management Training (PPM)

Intensive skill-building on planning, program and project management skills, and teamwork behaviors. Leads to
USAID Project Management Certification. This training will be redesigned and is not presently offered.

 Cognizant Technical Officer (CTO) Certification Training Program

Designed to provide USAID CTOs with the basic knowledge and skills they need to effectively carry out the
role of an Agency CTO. The CTO Certification Training Program consists of two one-week courses,
Acquisition Management for CTOs and Assistance Management for CTOs. The courses focus on
acquisition and assistance (A&A) guidelines, the role and responsibilities of CTO, and ensuring the
understanding of development impacts of A&A decisions. Successful completion of this set of courses leads to
CTO certification.

 A&A for Senior Managers

Advanced two-two day seminar highlighting the role and major responsibilities of the senior manager and how
those relate to the Agency’s A&A process. The seminar helps develop and practice skills to address and resolve
A&A challenges and to manage tensions inherent in the A&A process. The optional second day focuses on the
responsibilities and documentation standards associated with the federal warrant, and applying federal ethics
guidelines and principles to managing the A&A process.

 A&A for CTO Supervisors

Two-day seminar to increase understanding of the source of the CTO authority, distinguish the relationships
and responsibilities between CTOs and managers, recognize challenges, and develop skills to appropriately
monitor and provide quality control. The second day focuses on functions performed by the CTO that may
involve other offices in the agency.

 Advanced, Just-in-Time, Surge, and Strategic Planning/Policy Change

Follow-up impact support services to PPMT suite participants; specialized courses to deal with just-in-time,
surge, and strategy and policy change concerns; advanced courses for senior managers.
In addition to HR-funded courses, missions and bureaus can purchase courses and services directly by task order.

USAID Contact Contractor Contact

Toni Mitchell, CTO Sinikka DeHanas, Project Manager
USAID Office of Human Resources International Resources Group
Training and Education (M/HR/TE) 1211 Connecticut Ave. NW, Suite 700
Washington, DC 20523 Washington, DC 20036
Tel: 202.712.1297 Tel: 202.289.0100
Email: tmitchell@usaid.gov Email: sdehanas@irgltd.com
http://inside.usaid.gov/M/HR/lsd/ www.ppmtraining.net
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Table of Contents

Agenda ..................................................................................................................... 1
Introduction ............................................................................................................ 3
Lesson 1: Opening ............................................................................................................................... 3
Lesson 2: Participant Introductions and Table Teams .............................................................. 10
Lesson 3: Introduction to Programming foreign assistance..................................................... 12
Lesson 4: Form Follows Function .................................................................................................. 19
Lesson 5: Building a USG team ....................................................................................................... 31
Learning Journal: Lessons 1– 5 ........................................................................... 43
1. Planning ............................................................................................................. 44
Lesson 6: Introduction to Planning Foreign Assistance ............................................................ 44
Lesson 7: Overview of Strategic Planning .................................................................................... 50
Lesson 8: The Operational Plan ..................................................................................................... 56
Lesson 9: Results Statements ........................................................................................................ 59
Lesson 10: Results Frameworks ..................................................................................................... 66
Lesson 11: Pre-Obligation and Activity Planning Requirements............................................. 71
Learning Journal: Lessons 6 – 11 ........................................................................ 82
2. Implementation ................................................................................................ 83
Lesson 12: Implementing Partners that Compete for U.S. Foreign Assistance Funds ..... 83
Lesson 13: Managing Organizational Conflict of Interest (OCI) ............................................ 88
Lesson 14: Acquisition and Assistance and Funding Alliances ................................................ 96
Lesson 15: Roles and Responsibilities of CTOs and Activity Managers .............................111
Lesson 16: The Budget Process ...................................................................................................124
Lesson 17: Financial Management ................................................................................................128
Learning Journal: Lessons 12 – 17 .................................................................... 135
3. Performance Monitoring and eEvaluation ................................................... 136
Lesson 18: Performance Management ........................................................................................ 136
Lesson 19: Evaluations ....................................................................................................................145
Lesson 20: Portfolio Reviews and Intensive Program Reviews ............................................ 151
Lesson 21: Annual Reporting & Close-Out Reports ............................................................... 153
Learning Journal: Lessons 18 – 21 .................................................................... 155
PFA Scavenger Hunt .......................................................................................... 156

Annexes
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AGENDA
DAY 1: Opening
ONE 2. Participant Introductions and Table Teams
3: Introduction to Programming Foreign Assistance
Start
8:30 4: Form Follows Function: State, USAID, and State/F’s Organization
End 5: Building a USG Team
4:30 Learning Journals and Wrap-Up Day One
Review Day One and Overview Day Two
DAY 6: Introduction to Planning
TWO 7: Overview of Strategic Planning
8: Operational Plans
Start
8:30 9: Results Statements
End 10 Results Frameworks
4:30 11: Activity Planning and Pre-Obligation Requirements
Wrap-Up Day Two: Learning Journals for “Planning”
Review Day Two: Koosh ball
DAY
12: Implementing Partners That Compete for Foreign Assistance Funds
THREE
13: Managing Organizational Conflict of Interest
Start 14: Acquisition and Assistance and Funding Public-Private Alliances
8:30 15: Roles/Responsibilities of CTOs and Activity Managers
End
16: The Budget Process
4:30
Wrap-Up Day Three:
Review Day Three: Mind Map Review and Overview of Day Four
DAY
17: Financial Management (Part 1: Terminology)
FOUR
17: Financial Mgt (Part 2: Calculations, Audits and Risk Management)
Start Learning Journals for “Achieving”
8:30 18: Performance Management
End
19: Evaluations at USAID
4:30
Wrap-up Day Four
DAY Review Day Five Agenda; Address any questions remaining from Day 4
FIVE
20: Portfolio Reviews and Intensive Program Reviews
21: Annual Reporting and Close-out Reports
Start
8:30 “Gallery Walk” review of flipcharts and content to prepare for Final Jeopardy
End Course Review Team Competition (Jeopardy) and Closing, Certificates,
1:00 Photos)
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List of Icons

Exercise:
The PFA workshop contains many exercises and activities. Instructions
and materials are indicated by this icon.

Key Messages: Need to Know

Statements introduced by this icon are the main “take-away” ideas
and concepts conveyed in the topic. Some key messages are flagged
as “need to know” information about mandatory guidance.

Additional Information:
This icon indicates information resources related to the topic.

CD Rom:
Each Participant’s Workbook for the PFA workshop includes a CD ROM.
It contains a variety of resources related to the topic, including tips,
tools, example documents, and additional references.

Learning Journal:
This section of the Participant Workbook allows participants to map
how key messages and learning objectives from PFA can be applied at
work to improve performance and results.

PFA Learning Space:

Indicates material available on-line in the PFA Learning Space, or an Activity which
requires the use of the Learning Space.
NOTE: This feature is in planning stages. Full implementation is contingent on availability of
funding.

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INTRODUCTION
LESSON 1: OPENING

Learning Objectives:
 To explain the purpose, content, and approach of the PFA workshop
 To confirm our schedule for the week
 To introduce some key flipcharts
 To begin to hand out and examine the course materials

The Programming Foreign Assistance – “PFA” – course has several purposes:

 To familiarize you with recent foreign assistance reforms and the new foreign
assistance strategic framework
 To explain how these reforms and strategy are linked to larger, U.S. Government-
wide requirements to achieve measurable results with taxpayers’ money
 To teach you how to plan, implement, and measure the results of foreign assistance
programs
 To enable you to learn and apply this information in an inter-agency training
environment
PFA has been designed to familiarize participants with the people, policies and
procedures involved in programming U.S. foreign assistance. For field deliveries, the
PFA course is not specific to your individual Mission; rather, it is a standard curriculum for
all USAID Operating Units, as well as personnel from other USG agencies that program
foreign assistance. It is expected that course participants will have different levels of
experience and familiarity with programming foreign assistance. For this reason, the
week-long course is intended to provide opportunities for learning and team-building in
an inter-agency context. During table-team exercises and plenary discussions, USG
colleagues are encouraged to contribute actively to mutual learning and improved
collaboration.

Origins of the PFA Course

Staff from the Office of the Director of Foreign Assistance (State/F), USAID, the
Department of State, and the Program/Project Management Training contract team
designed PFA together. PFA is an overview course presenting the concepts and tools of
results-based management. It builds upon legacy courses and materials, including:
 Planning, Achieving and Learning (PAL) Training
 FY 2007 Operational Plan Training

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 Performance Management Workshop

 Strategic Planning Workshop
 Change management and team-building techniques that have been used
successfully in the public and private sectors to help staff cope with change and to
collaborate within and across organizations

A Note on the Evolution of the PFA Course

The PFA training has been developed during a period of rapid change at USAID and
State/F. The foreign assistance reforms described throughout the course are
continuing, with associated changes in policy and lexicon. Some legacy terms that are
undergoing change, such as Strategic Objective and Strategic Objective Agreement
(SOAg) remain in the course materials pending their replacement by State/F. The
course instructors may indicate that certain new procedures and terms are under
development, and they may invite participants to write up questions for the “Parking
Lot” to be researched during the week.

This PFA Participant Workbook is not a policy document and should not be considered
a replacement for the USAID Automated Directives System now undergoing revision,
nor for the Foreign Affairs Manual or Handbooks. Because the PFA course is new and
evolving, participants’ suggestions and insights are encouraged

Online and distance Learning Support:

The PFA course is not just an instructor led course in a classroom; it is meant to provide continuous
learning and support for the student outside of the classroom both during and after the course. The
PPMT Suite is based upon best practices of adult learning, which includes providing a safe venue for the
sharing peer-to- peer experiences among course participants, and more broadly with their USG
colleagues.
PFA registrants will receive access to the USAID University’s USAID Ecco Collaboration space, and
specific access to the web space developed especially for the PFA session you are taking. (IF you did not
receive this, please let your Instructor know).
On that site, you will be able to:
1. Access all background material mentioned by the Instructor and noted in their Handbook;
2. Ask questions of the Instructor and other students during the class;
3. Read further case studies and other material as well as some of the specific exercises referred
to in this Guide
4. Get updates, refresher material and revisions to relevant policy after the course is completed.
IRG staff will be available in Washington to briefly introduce you to the PPMT Learning Space; for
overseas courses, IRG will provide an audio PowerPoint presentation explaining how to access this
material. The Learning Space will also support instructor-instructor support, interchanges and updates.

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Foreign Assistance Reform

Initiated by Secretary of State Rice in 2006, the objectives of the U.S. foreign assistance
reforms are: to improve strategic direction, performance accountability, transparency
in the use of funds, and information systems. The reform integrates State/USAID Foreign
Assistance planning and budgeting processes. State/F oversees approximately 80% of
the foreign affairs budget, the bulk of which is managed by the State Department and
USAID. These funds are to be planned, managed, evaluated and reported on as a
unified effort: the responsibility for specific funds sometimes resides in the State
Department, sometimes in USAID, and sometimes jointly.

EXCERPTS from the Testimony of Ambassador Randall L. Tobias

Administrator of USAID and U.S. Director of Foreign Assistance
FY 2007 Budget Hearing for USAID
House Appropriations Committee
Subcommittee on Foreign Operations, Export Financing and Related Programs
April 26, 2006

Strategic vision: Why reform now?

First, why reform now? We are entering a new era of foreign assistance. In announcing
her Transformational Diplomacy and Development initiative, Secretary Rice noted that
both the content and organization of foreign assistance require adjustment to meet the
challenges of today’s world.

The world has changed and we must make adjustments to recognize that change. As
we all recognize, globalization has drastically reduced the barriers to communication
with our international neighbors, allowing ideas, goods, and people to travel across
borders at speeds unknown just a decade ago. The ease of proximity makes our
security vulnerable to previously unheeded enemies. The locus of national security
threats has shifted to the developing world, where poverty, oppression, injustice and
indifference are exploited by our foes to provide haven for criminals and the planning
of criminal acts. Foreign assistance is an effective tool for countering these new threats,
and thus has become a foundational pillar of our new national security architecture.

It is under this new security environment that President Bush first introduced
transformational development as a new paradigm for foreign assistance. He called on
foreign assistance to “reward good performers” – governments that govern justly, invest
in people, and create opportunities for economic growth.

In further recognition of the importance of development to our national security, the

President has requested, and Congress has supported, a near doubling of funding for
foreign assistance since the previous Administration – to over $20 billion in 2006. I
believe, as you do, that American taxpayers deserve the maximum return on their

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increased investment. To realize this, we must reorganize our approach to foreign

assistance.

What is the problem with how foreign assistance is organized now?

Our current approach to foreign assistance planning and budgeting is fragmented
across multiple departments and agencies, duplicative, and difficult to track. The result
is poor accountability and a lack of focus – all matters that dilute our impact.

Under the current USAID and State organizational structure, each entity maintains
independent budgeting and planning offices to focus on their own part of foreign
assistance. This requires two staffs to develop multiple and parallel iterations of their
individual budgets in the same subject areas, two staffs to agree to and integrate a set
of numbers, two staffs to brief the Hill, and a myriad of programs that may be
redundant – or worse, working at cross purposes. While each agency collaborates with
the other, and in spite of the best efforts of the people involved, it is done at enormous
cost in terms of time, personnel, and impact.

Of great concern to me – and I know to many of you – is the difficulty in tracking our
budgeting process. As you know from your experience in working with me on the
President’s Emergency Plan for AIDS Relief, I have placed a great deal of emphasis on
knowing exactly who was receiving our funds, what they were doing with the money,
what was expected as a result, and how that result would help us reach our goals. I
know it will not be easy, but I want to assure you that it is my intent to bring that same
level of transparency and accountability to the rest of our foreign assistance resources.

I realize that as I outline the challenges we face, I do not need to convince you this
morning of what we need to do. Congress has consistently called for improved
transparency in the way budgets are put together and funds expended – and vastly
improved accountability for the results. I simply want to emphasize that I, too, am
focused on that issue, and that I look forward to working with you in achieving our joint
goal.

Our approach: We will do better

In announcing her intent to address these problems, Secretary Rice echoed the
concerns of Congress. In summarizing, she said, “The current structure of America's
foreign assistance risks incoherent policies and ineffective programs and perhaps even
wasted resources. We can do better and we must do better.”

Let me take the Secretary’s statement one step further: we will do better. And this
morning, I want to explain how I intend to proceed in approaching our processes
differently, with the overall goals of:
 Aligning our resources with the transformational development goals, and
 Improving our efficiency, effectiveness and accountability in the use of those
resources.

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Fact Sheet
Office of the Director of U.S. Foreign Assistance
June 22, 2006

U.S. Foreign Assistance Reform: Achieving Results & Sustainability in Support of

Transformational Diplomacy

"America’s foreign assistance must promote responsible sovereignty, not permanent

dependency."
– Secretary Rice, January 19, 2006

The Benefits of Reform – A Strategic, Coherent Approach to Achieving Our Goals \

 In recent years, America has significantly increased its assistance to our partners around
the world. Yet, as Secretary Rice has noted, the current structure of America's foreign
assistance risks incoherent policies and ineffective programs and perhaps even wasted
resources.
 Reform will focus foreign assistance on one overarching goal: "Helping to build and
sustain democratic, well-governed states that will respond to the needs of their people
and conduct themselves responsibly in the international system."
 The reform aims to provide a comprehensive foreign assistance strategy for the U.S.
against which to measure success and upon which the U.S. Government will report to all
stakeholders both at home and abroad.

Why Now? – Stove-Piped Approach Risks Waste and Ineffectiveness

 The 2006 National Security Strategy lays out our goals – promoting freedom, justice,
human dignity, and confronting the challenges of our time – all of which require effective
foreign assistance.
 Under the current structure, where and how we spend money is not strategically tied to
our overarching goal.
 With foreign assistance processes fragmented across numerous bureaus and agencies,
our efforts lack the coherence necessary for maximum impact, and accountability
becomes increasingly difficult.

Getting from Here to There – A New Strategic Framework

 The new framework is built around five priority objectives that, if achieved, support our
overarching goal by helping move countries toward self-sufficiency and strengthening
strategic partnerships.
 The priority objectives are:
o Peace and security – preventing, mitigating, and recovering from internal or
external conflict;
o Governing justly and democratically – making governments accountable to
their people by controlling corruption, protecting civil rights, and strengthening
rule of law;
o Investing in people – including appropriate expenditure on health, education,
and environment;
o Economic growth – including reduction in barriers to entry for business, suitable
trade policy, fiscal accountability;
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o Humanitarian assistance – emergency relief and rehabilitation

A Full Picture – Achieving Country-Level, Regional, and Global Objectives Toward a

Shared Goal

 Our framework includes five categories based on shared country characteristics to make
common goals clear:
o Rebuilding countries – states in or emerging from and rebuilding after internal
or external conflict;
o Developing countries – states with low or lower-middle income, not yet meeting
performance criteria;
o Transforming countries – states with low or lower-middle income, meeting
performance criteria;
o Sustaining partner countries – states of importance where U.S. support is
necessary to sustain partnerships, progress, and peace;
o Restrictive countries – states of concern where there are significant
governance issues.
 The new framework also captures those global and regional activities that advance the
five objectives, but transcend a single country's borders, and are addressed outside a
country strategy.

Increased Coherence – Making U.S. Efforts Yield More than the Sum of Their Parts

 Achieving results requires leveraging talents and resources – and speaking with one
voice – across the U.S. Government, both in the field and in Washington.
 The reform focuses Washington and the field on their respective strengths and
responsibilities – integrated strategic direction and priorities across agencies set in
Washington, operational plans and tactics for the achievement of results developed and
implemented by the field.

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Need to Know:
 Participants will leave PFA with key documents, references and
contacts on policies and procedures for programming foreign
assistance.
 This is an introductory course on the concepts and tools of
results-based management of the U.S. foreign assistance
program.
 You’ll get in the course the web address for the PFA Learning
Space where you can find more background material, discuss
issues with students and the instructor, and receive updates and
related information after the course is over.
NOTE: This feature is in the planning stage. Full implementation is
contingent on funds availability.

The Office of Human Resources Learning Support Division –

[http://inside.usaid.gov/m/hr/lsd]

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LESSON 2: PARTICIPANT INTRODUCTIONS AND TABLE TEAMS

Learning Objectives:
 To establish table teams for the week
 To get to know your fellow participants better

Table Teams and Introductions

Task: Mix table teams and participants introduce themselves.

Objective: Blend participants from different USG agencies and who
have different levels of experience programming foreign assistance.
Time: 20 minutes
Process:
 Participants stand up and form a line between two
extremes: longest period of USG service/experience and
shortest period of service/experience, OR, if all participants have
similar length of experience, line up by other criteria to be
announced.
 Count off by the number of tables available.
 Participants briefly introduce themselves, by stating:
 Name
 Mission/Operating Unit and Job Role
 Number of years working in the USG (in any capacity)
 The most satisfying part of my job is:

NOTES:

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LESSON 3: INTRODUCTION TO PROGRAMMING FOREIGN

ASSISTANCE

Learning Objectives:
 To understand the U.S. Government imperative to “manage for results” when
programming foreign assistance
 To discuss how managing for results is aligned with the foreign assistance reforms
 To demonstrate how U.S. foreign assistance results are important to different
stakeholders.

Exercise: Who Cares About US Foreign Assistance Results and Why?

Task: Brainstorm “Who cares about U.S. Foreign Assistance Results?

“What do they care about?”
Time: 5 minutes
Process:
 Develop your own list; then compile a joint team list.
 After 5 minutes, teams will each list two stakeholders and
what they care about, to avoid repetition.

Who Cares? What Do They Care About?

What does it mean to “Manage for Results”?

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Government Performance and Results Act (GPRA)

In 1993, the U.S. Congress enacted a government-wide management initiative called
GPRA or “the Results Act.” The purposes of the law are to:
 Improve the confidence of the American people in the capability of the Federal
government, by systematically holding Federal agencies accountable for achieving
program results.
 Improve Federal program effectiveness and public accountability by promoting a
new focus on results, service quality and customer satisfaction.
 Help Federal managers improve service delivery, by requiring that they plan for
meeting program objectives and by providing them with information about program
results and service quality.
 Improve Congressional decision making by providing more objective information on
achieving statutory objectives, and on the relative effectiveness and efficiency of
Federal programs and spending.
 Improve the internal management of the Federal government.

GPRA requires each USG agency to submit a strategic plan with long-term strategic
goals, and to report on progress against these plans.

President’s Management Agenda (PMA)

PMA, announced in the summer of 2001, is an aggressive strategy for improving the
management of the Federal government. It is intended to “rev up” the GPRA. It focuses
in particular on the following areas of management weakness across the government
where improvements can be made based on three principles: results-oriented, citizen-
centered, and market-based. All USG agencies are required to report quarterly, and
receive quarterly scores, on PMA priority areas, including:
 Strategic Management of Human Capital: Agencies must reshape their human
capital strategies and organizations to attract and retain the right people, in the right
places, at the right time; make high performance a way of life in the federal service.
The PFA course and broader suite of integrated courses in the Program/Project
Management Training contract relate to USAID’s Human Capital Strategy and its
emphasis on workforce development in USAID.
 Competitive Sourcing: Encourages market-based competition throughout the
government to outsource commercial type activities. This outsourcing may be done
by U.S. Government agencies providing shared services to other agencies, or it may
be done outside the government.
 Improved Financial Performance: Acceleration of financial reporting deadlines and
requiring quarterly and comparative reporting of information.
 Expanded E-Government: Make the government a “click and mortar” enterprise,
more accessible, effective, and efficient through the Internet.
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 Budget and Performance Integration: Budgetary resources will go to those programs

that work. As measures improve, dollars will go to programs that yield the best results
for each dollar spent. Budget and Performance Integration is a key theme of the
PFA course.
 Faith-Based and Community Initiative: Increase the involvement of faith-based and
community organizations.

NOTES:

Policies and Procedures Align with Higher Level Rules and Priorities
USG agencies align their policies and procedures with higher level statutory and
Administration requirements. As illustrated in the next several slides, at the Department
of State and USAID, these policies and procedures are codified in the Foreign Affairs
Manual and Handbooks, and in the USAID Automated Directives System (ADS). External
partners and stakeholders can also review these policies and procedures on-line,
increasing USG transparency and illustrating “e-government.”
Foreign assistance programming policies and procedures also reflect U.S. foreign policy
goals and help ensure that USG agencies use taxpayer resources effectively to
advance U.S. interests. Subsequent PFA lessons explain strategic and operational

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planning, program implementation, and performance management and evaluation

consistent with the Joint Department of State-USAID Strategic Plan.

Foreign Affairs Manual

• 1 FAM Organization and Function • 11 FAM Political Affairs
• 2 FAM General • 12 FAM Diplomatic Security
• 3 FAM Personnel • 13 FAM Training and
Professional Development
• 4 FAM Financial Management
• 14 FAM Logistics
• 5 FAM Information Management
Management
• 6 FAM General Services
• 15 FAM Overseas Buildings
• 7 FAM Consular Affairs Operations
• 8 FAM (incorporated into 7 FAM) • 16 FAM Medical Program
• 9 FAM Visas
• 10 FAM Public, Educational, and
Cultural Affairs

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Foreign Affairs Handbooks

• 2 FAH-1 Foreign Affairs Manual Handbook • 6 FAH-1 General Services Handbook
• 2 FAH-2 Post Management Organization • 6 FAH-2 Material has been moved to 14
Handbook FAH-2
• 3 FAH-1 Personnel Operations Handbook • 6 FAH-4 Material has been moved to 15
• 3 FAH-2 Foreign Service National Handbook FAH-1
• 4 FAH-1 Account Structure and Classification • 6 FAH-5 International Cooperative
Codes Handbook Administrative Support Services Handbook
• 4 FAH-2 Disbursing Officer Handbook • 6 FAH-6 Material has been moved to 14
FAH-3
• 4 FAH-3 Financial Management Procedures
Handbook • 12 FAH-3 Field Office Management
Handbook
• 5 FAH-1 Correspondence Handbook
• 12 FAH-7 Local Guard Program
• 5 FAH-2 Telecommunications Handbook
• 14 FAH-1 Personal Property Management
• 5 FAH-3 TAGS/Terms Handbook Handbook
• 5 FAH-4 Records Management Handbook • 14 FAH-2 Contracting Officer's
Representative Handbook
• 5 FAH-5 Information Technology Systems
Handbook • 14 FAH-3 Acquisition Career Management
Handbook
• 5 FAH-7 Graphics Standards Handbook
• 15 FAH-1 Facilities Maintenance Handbook
• 5 FAH-8 Web Development Handbook
• 5 FAH-10 Pouch and Mail Handbook

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Automated Directives System At USAID

• 100 – Agency Organization and Legal Affairs
• 200 – Program Policy
– 200: Overview to Managing for
Results
– 201: Planning All ADS chapters can be
found at:
– 202: Achieving
– 203: Assessing and Learning • http://inside.usaid.gov/ADS/
(internal USAID website)
– 204-253: Programming policies
on specific topics • http://www.usaid.gov/pubs/ads
• 300 – Acquisition and Assistance (external website)
• 400 – Personnel
• 500 – Management
• 600 – Budget and Finance

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NOTES:

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Need to Know:
 Managing for Results is required by the Government
Performance and Results Act, by OMB Circulars and
Memoranda, and by the President’s Management Agenda.
 Managing for Results means that we seek to define and
organize our work around the end result we seek to accomplish.

 Government Performance Results Act of 1993 (GPRA) –

[http://www.whitehouse.gov/omb/mgmt-gpra/gplaw2m.html]
 The President’s Management Agenda (FY 2002) –
[http://www.whitehouse.gov/omb/budget/fy2002/mgmt.pdf]
 OMB results site: www.results.gov
 Department of State budget and performance planning at
www.state.gov/s/d/rm
 PFA Learning Space Library

NOTES:

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LESSON 4: FORM FOLLOWS FUNCTION

Learning Objectives:
 To understand the Department of State’s, USAID’s, and State/F’s organizational
structures, and how they support the achievement of foreign assistance results.
 To examine shifting paradigms of organizational form and function to program
foreign assistance

The Office of the Director of Foreign Assistance (State/F)

The Secretary established the Office of the Director of Foreign Assistance (State/F) to
“transform our capabilities to use foreign assistance to meet our current challenges.”
Ambassador Randall Tobias, who concurrently serves as the Administrator of USAID and
Director of foreign Assistance, leads State/F. State/F coordinates all foreign assistance
policy, planning, and oversight and manages the Foreign Operations budget
submission. State/F has direct oversight over all foreign assistance for State and USAID,
and will coordinate with other agencies that receive foreign assistance funds.

NOTES:

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Organizational Chart of
Embassy

AMBASSADOR

DEPUTY CHIEF OF MISSION USG

AGENCIES

POLITICAL CONSULAR MGT

PUBLIC REGIONAL
ECONOMIC SECURITY
AFFAIRS
OFFICE

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White House
White House
OMB

Agency State Dept.

Office of Small & Disadvantages
Office of the Chief Operating Officer Business Utilization
USAID
Office of the Administrator
Office of the General Counsel Office of Security
Deputy Administrator
Counselor
Office of Equal Opportunity Programs Executive Secretariat Office of the inspector General

Bureau
Democracy, Economic Legislative
Conflict & Growth, Latin America Europe & Asia & the
Global Health Humanitarian Agriculture & & the Africa Management & Public
Caribbean Eurasia Near East
Assistance Trade Affairs

Field Missions

Field Missions

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White House
White House
OMB

State Dept.

Office of the
Office of the Chief Operating Officer Director Office of the Chief of Staff
Of Foreign
Assistance

Operational Global/
Africa NEA EUR EAP SCA WHA
Management Functional

State/F Organization

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WHO’S WHO IN A U.S. EMBASSY?

The following chart describes some of the staff positions and corresponding responsibilities for a United
State Embassy. Embassies differ in size and staffing. Not all of these positions will exist in every embassy.

Office Staff titles Area of responsibility

Front Office Ambassador  Nominated by the President
 Subject to Senate confirmation
 Serves as the President’s representative to the host
country
 Public face of the embassy

Deputy Chief of Mission  Second-in-charge of the Embassy

(DCM)  In charge of day-to-day business
 All section heads report to the DCM
 In the absence of the Ambassador, becomes Chief of
Mission as charge d’affaires.
Political Political Officer Promotion of U.S. Policy; Information-gathering & reporting
Section on...
(POL)  internal politics
 external politics
 democracy
 human rights
 labor
Economic Economic Officer Promotion of U.S. Policy; Information-gathering & reporting
Section on...
(ECON)  trade
 commercial
 aviation
 energy
Consular Consular Officer Visa Services
Section  Non-immigrant Visas
(CON)  Immigrant Visas

American Citizen Services (ACS)

 Jail visits, W & W, Repatriation, Death Cases, etc.
 Passports
Management Management Officer  General Services Office
Section  Human Resource Management
(MGT)  Financial Management
 Information Management
 Medical Services

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Office Staff titles Area of responsibility

Public Affairs Public Affairs Officer Engaging, informing, and influencing key international
Section audiences
(PAS) • Press
• Culture and Education
• Information Resource Centers
• American Corners

WHO’S WHO IN A USAID MISSION?

The following chart describes some of the staff positions and corresponding responsibilities for a USAID
Mission. Missions differ in size and staffing, and not all of these positions will exist in every Mission.

Office Examples of staff Area of responsibility

titles
Front Office Mission Director (MD)  Responsible for results and performance of entire
Mission.
 Responsible for all acquisition and assistance.
 Liaison with Department of State (such as the
Ambassador and other Embassy staff) and other USG
agencies at post.
Deputy Mission Director  Manages overall Mission operations.
 Handles broader Mission personnel issues and
important technical decisions in the Mission’s portfolio.
 Often thought of as the Chief Operating Officer.
General Counsel  Provides legal advice to Operating Unit staff on host
(Regional Legal Advisor) country and US laws, regulations, authorities, practices,
and privileges affecting agreements, transactions, and
operations of USAID, and the personal conduct of its
employees.
Mission Environmental  Often is a virtual member of every FA Team
Officer (MEO), Deputy  Advises on 22 CFR 216 processes and compliance1
Mission Environmental
Officer

The Mission Environment Officer (MEO) and the Deputy Mission Environment Officer (D/MEO) (when one is appointed)
1

can be administratively based in any office. They serve as members of all Strategic Objective Teams, functioning as
technical and procedural advisors to Activity Managers and CTOs on 22 CFR 216 and ADS Chapter 204. It is important
to note that the Activity Manager or CTO has the primary responsibility for properly completing the 22 CFR 216 process
prior to authorization of funds and for ongoing management of it during activity implementation. In addition to their
role on FA Teams, the MEO or D/MEO also serve as the Mission advisor to the Mission Director, Program Officer,
Contracting or Agreement Officer, Regional Legal Advisor, Regional Environmental Advisor, and Bureau
Environmental Officer on these matters.

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Office Examples of staff Area of responsibility

titles
Executive EXO  Handles areas covered by the “Operating Expenses
Officer (OE)” budget such the building, grounds, motor pool,
(EXO) and physical assets such as computers.
 Handles FSN hiring and support (health insurance,
retirement, salaries) employee evaluations, housing for
USDH employees, communications and records
management.
 EXO Staff provide important support to a Mission’s
functioning and often serve as FA Team members.
FA Team2 FA Team Leader Review team membership and structure and make any
adjustments needed for achieving
Identify Activity Managers and Cognizant Technical
Officers (CTOs) and clarify their respective roles
Support effective FA Team functioning and decision-
making
Core FA Team Member One of several team members, all collectively responsible
for achieving the approved results.
Must be a US Government employee.
Activity Manager  Responsible for the day-to-day management of one or
more specific activities.
 Selected by the FA Team, and may or may not be the
Cognizant Technical Officer.
 May or may not be the FA Team or sub-team Leader.
Cognizant Technical  The individual who performs functions that are
Officer (CTO) designated by the Contracting or Agreement Officer,
or is specifically designated by policy or regulation as
part of contract or assistance administration.
 Not usually a member of the Contracts Office.
Technical Officer  Provides advice, guidance, and direction to the Mission
(Education, Environment, and the cooperating government in planning, design,
Economic Growth development, negotiation, financial analysis, and
Agriculture, D&G, implementation.
Health)

2 Note that this chart on USAID Mission personnel only includes USG staff as FA Team members. In practice, many FA
Teams also include expanded team members from the host government, implementing partners, other donors, and
other key stakeholders who are directly involved in achieving the foreign assistance result.

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Office Examples of staff Area of responsibility

titles
Program/ Program Officer  Handles many reporting requirements to and from
Project Washington.
Development  Is Mission counterpart with Regional Bureau
Office Development Programs/Strategy Office.
 Supports in understanding the planning, achieving and
learning guidelines (ADS 200 Series) for using program
funds.
 Usually handles public relations. Acts as the “staff
office” for the Mission Director.
 Responsible for preparing the Mission’s Annual Report
in coordination with all offices.
 May be the counterpart office with the Ministry of
Finance.
 Usually works with FA Teams to develop SOAgs and
Implementation Letters to be signed with the host
government, as well as activity design documents prior
to signing a SOAg. Responsible for assuring that all pre-
obligation requirements are met.
 Program office staff often serve as FA Team members.
 Financial  Financial Management  Tracks and reports on mission-level financial data.
Management Officer  Provide assistance to FA Teams to help them
Office or accurately track and report on the financial
Controller’s performance of their programs.
Office  Handles voucher processing, closing open audit
recommendations, management controls, pre-award
surveys for financial systems advice on vulnerabilities.
 May also work with supreme audit agencies of host-
country governments.
Contracts Contracts Officer  Handles the negotiation and administration of grants
Office or Agreement Officer and cooperative agreements (assistance) and contracts
Procurement (acquisition).
Office  Responsible for designating CTOs
Contracts Specialist  Oversees contracts and grants at the pre-award, award,
and administration stages.
 Is familiar with a wide range of contractual vehicles
including fixed price and cost type contracts, purchase
orders, task orders, grants, cooperative agreements,
Participating Agency Service Agreements (PASAs). etc.
 Conducts RFA, RFP and IFB negotiations and
documents them in a “Memorandum of Negotiation.”
 Contracts officers and their staff often serve as FA
Team members.

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USAID and Department of State Offices of the Inspector General

The USAID Office of the Inspector General (OIG, or simply IG) and its regional offices
(RIGs), and the Office of Inspector General for the Department of State and the Broadcasting
Board of Governors (“State OIG”) have an important oversight role to ensure that USAID
and the Department of State conduct their work properly and in compliance with USG
regulations – in both the program and financial management areas.

In USAID, the OIG and RIGs are independent units that report directly to the
Administrator. In addition to performing performance and financial audits, the OIG also
investigates waste, fraud, and abuse – all of which are illegal and carry substantial
penalties.

The Department of State OIG conducts independent audits, inspections, and

investigations to promote effective management, accountability, and positive change
in the Department of State, the Broadcasting Board of Governors, and the foreign
affairs community. Additional information can be found at State OIG’s website at
<http://oigweb.state.gov>.

All USG staff have a responsibility to report instances of waste, fraud or abuse and can
do so anonymously if they wish. To facilitate reporting, both the Department of State
and USAID IGs have set up “hot lines” and emails:

USAID: 1-800-230-6539 or 202-712-1023, or email: ig.hotline@usaid.gov

State: 1-800-409-9926 or (202) 647-3320, or e-mail at <mailto:oighotline@state.gov>.

Statement by the Department of State Inspector General

I was sworn in as Inspector General on May 2, 2005, with the intent to lead the Office of
Inspector General (OIG) in promoting effective management, integrity, accountability,
and positive change in the Department of State (Department), the Broadcasting Board
of Governors (BBG), and the foreign affairs community.

As Inspector General, I have reporting responsibilities to the Secretary of State and the
U.S. Congress. My staff and I prevent, and where necessary, identify waste, fraud, and
mismanagement. The work of OIG auditors, inspectors, and investigators affects not
only Department headquarters, but also 260 diplomatic missions in 163 countries, and
international broadcasting operations in 61 languages that reach an audience of more
than 140 million people.

OIG conducts high quality, independent audits, inspections and investigations that
assist the Department and BBG; increase integrity and accountability; encourage the

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most efficient, effective, and economic use of resources; and improve management.
OIG’s work is in accordance with professional standards, including those established by
the President's Council on Integrity and Efficiency and the Government Accountability
Office.

During the past decade, world events have exponentially increased demands upon
OIG, while at the same time amplifying OIG’s potential to bring about positive change.
For example, the 1998 Embassy bombings in East Africa, the terrorist attacks of
September 11, 2001, and resulting combat, reconstruction, and policing in Iraq and
Afghanistan, as well as new programs such as the U.S. Global AIDS initiative and new
areas of concern regarding passports, visas, and border security, have expanded OIG’s
oversight role and have been of particular interest to Congress and other agencies.
Some have resulted in requests for joint activities with other Offices of Inspectors
General.

For more information about OIG, please visit our website, http://oig.state.gov. I
welcome your comments and questions about our website and our work. I invite you to
report to us any allegations of fraud, waste, abuse, or mismanagement regarding the
Department or BBG by contacting the OIG Hotline at 1-800-409-9926.

Howard J. Krongard
Inspector General

Need to Know:
 Your ability to program foreign assistance is enhanced by your
understanding of the organizational structure of the relevant
USG agencies
 These structures have been organized to manage for results.
 Field missions implement most foreign assistance programs
 In addition to supporting the field, headquarters Operating Units
design and implement programs to address global and cross-
cutting issues.
 Headquarters also represents foreign assistance interests to
many of the stakeholders we noted on the Stakeholder flipchart.

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LESSON 5: BUILDING A USG TEAM

Learning Objectives:
 To recognize that we share common values and beliefs, as well as differences
in organizational purpose and structure.
 To understand that different rules may make it challenging for State and USAID
to work together.
 To identify ways of improving our collaboration as a team.
 To encourage the inclusion of partners on the Team.

Foreign Assistance Teams (FA Teams)

Foreign Assistance Teams at post will differ in their size, function, degree of
transparency, and other characteristics, based on the management style of the
Ambassador and the working relationships between, the Embassy, USAID, and the other
USG agencies involved in programming foreign assistance. In addition, FA Team
composition and roles will be affected by the country environment. Some FA Teams will
include members from the host government, other donors, and implementing partners,
while others may not. Regardless of their size or structure, inter-agency FA Teams will
need to work effectively to achieve foreign assistance results. FA Teams should
consider using the management best practice of a Team Charter to help codify roles
and responsibilities.

Department of State-USAID Core Values (Joint Strategic Plan 2007-20012):

Section I.c: Core Values
In the conduct of diplomacy and development, people are critical. Indeed, the
success of the Department of State and USAID is directly tied to the knowledge, skills,
integrity, and creativity of our dedicated employees. Their principles, talents, and
diversity—reflecting the America they represent—strengthen their ability to move the
world in the direction of greater security, democracy, and prosperity….
This Joint Strategic Plan reflects the core values of the Department and USAID. These
values represent the high standards our employees—whether Foreign Service, Civil
Service, Foreign Service National, career, or appointed—must uphold. We recognize
and respect the fact that our Foreign Service National employees remain loyal to their
countries even as they work to uphold these values. These key employees work with
their American colleagues to perform vital services for U.S. citizens and to ensure the
effective operation of our diplomatic posts and USAID Missions.

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These values will be posted in every Embassy, Mission, and office of the Department
and USAID. We will continue to integrate them into how we hire, train, evaluate, and
reward our employees, and into how we conduct ourselves.... Even as the
Department’s and USAID’s specific goals and priorities may change to keep pace with
the dynamic international environment, our core values will remain constant.

Joint Department of State-USAID Core Values 2007-2012

 Loyalty: Commitment to the United States and the American people.

 Character: Maintenance of the highest ethical standards and integrity.

 Service: Excellence in the formulation of policy and program management with

room for creative dissent. Implementation of policy and management
practices, regardless of personal views.

 Accountability: Responsibility for meeting the highest performance standards.

 Community: Dedication to teamwork, professionalism, and the customer

perspective.

 Diversity: Commitment to having a workforce that represents the diversity of

America.

HOW DO INTER-AGENCY DIFFERENCES COMPLEMENT ONE ANOTHER TO

ENHANCE THE DELIVERY OF FOREIGN ASSISTANCE?

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Exercise: Inter-Agency Collaboration

The Department of State-USAID core values help forge inter-agency
collaboration, as do other shared assets, goals, policies, and even
buildings and facilities. But USAID and the Department of State, and
the other USG agencies that program foreign assistance, are also
different, based on distinct organizational purposes, cultures, and rules.
These differences can make collaboration a challenge. The foreign
assistance community is not alone in facing the challenge of inter-
agency collaboration: The following exercise focuses on another USG
community to help generate your ideas for collaboration in
programming foreign assistance.

Task: Read the case study on the next page. Answer questions about
collaborating with other USG agencies that program foreign assistance.

Time: 20 minutes

Product:
As a table team, develop a flipchart with your answer to the questions
assigned to you from the list below:

1. Identify three goals for inter-agency collaboration that would be

appropriate for your Operating Unit.
2. What are three or four specific opportunities for building more
trusting working relationships among the U.S. Government personnel
at your post? How would you go about building increased trust?
3. Reward and recognition drive individual and organizational
behavior. Other than performance evaluation criteria or promotion
precepts, what other ways could your Operating Unit recognize
and reward staff and teams that collaborate? Who would need to
participate and how could you build their participation?
4. What are three or four specific, clear “rules of engagement” for
collaborating as a team that would maximize team output?
5. In your Operating Unit, could you use a Team Charter to codify
agreements across USG agencies on the manner in which you
would work together? What would be some of the elements of an
inter-agency Team Charter? Who would draft and approve such a
Team Charter to make sure it affected management and staff
behavior?

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Forging Inter-Agency Collaboration

The Intelligence Community (IC) Collaboration Baseline Study3 was commissioned in the
late 1990s to examine policy, procedural, and cultural barriers to interagency
collaboration. Interviews conducted with senior IC executives identified significant cultural
barriers to effective collaboration. Key areas of concern included:

 Lack of common goals for collaboration across the community

 Lack of trust in other IC organizations, individuals, and systems
 Lack of perceived mutual benefit to participate in collaboration efforts
 Inadequate reward systems to support collaboration.

The study identified issues that contribute to a widespread lack of trust across the IC. For
example, one factor found to reduce trust is the different personnel security clearance
processes used by the different intelligence organizations. Among the study findings
was the perception within CIA that personnel who do not undergo a full polygraph
cannot be trusted to the same degree as those who receive a less stringent security
screening, even though these individuals are issued the same clearance level.

A lack of understanding of each others' organizational mission, structure, and operating

restrictions also diminishes trust across the intelligence community. And in some cases,
the lack of trust results from a failure to understand regulations that limit the exchange
of information. For example, many in the community described the FBI as more of a
taker than a giver of information. However, restrictions on the release of case-sensitive
information and “rules of discovery” significantly limit the amount of information
exchange that can occur between the FBI and the rest of the community.

“Rules of discovery” refers to the use of information in legal proceedings. This is an issue
for interagency collaboration because information accessible to law enforcement
personnel (e.g., FBI, Drug Enforcement Agency) on shared IC networks may be subject
to rules of discovery and, therefore, allowable for use in legal proceedings. However,
the collaboration study found that there is no single definition of “rules of discovery”
within the IC. Because of the issues of data classification and national security interests,
the definition is usually established via a memorandum of understanding (MOU) or a
memorandum of agreement (MOA). The general lack of understanding on this issue
creates a tendency among some in the U.S. intelligence community to be reluctant to
share intelligence data with law enforcement entities.

3 Source: Intelligence Community Collaboration Baseline Study Final Report, December 1999

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Another issue impacting the trust associated with IC collaboration networks is the
disparate perspectives and implementation of “need-to-know” principles. For example,
Department of Defense (DOD) organizations that have a mission to support the
warfighter generally interpret need-to-know more liberally than national Agencies
whose primary customers are policymakers.

Strategies for Success:

The study identified strategies to address these and other barriers based on a review of
academic research, as well as an examination of case studies within private industry
and government. The mitigation strategies included:

1. identifying collaboration goals

2. defining the role of communities of interest to support collaboration goals
3. expanding cross-organizational knowledge of mission, structure, and processes
through increased rotational assignments and joint training
4. instituting reward systems to support collaboration

Strategies for Success: Working Relationships

Collaboration is based upon trust. Trust, in turn, begins with the formation of personal
working relationships. Senior IC managers and analysts agreed that expanding their
personnel’s knowledge of each other's organizational mission, structure, and processes
will greatly enhance the community's ability to draw from its widespread capabilities
and expertise. Many senior managers interviewed for the study recommended
expansion of rotational assignments and community-level training as mechanisms for
extending an informal network of personal contacts throughout the community. These
activities also allow analysts to gain a better appreciation of what each organization
can bring to the table, as well as the constraints under which each organization must
operate.

Trusting Working Relationships

 Expand cross-organizational knowledge of mission, structure, and processes

through rotational assignments and community-level training.
 Invest in face-to-face interactions among team members, when possible,
especially during the initial stages of team formation.
 Define clear rules of engagement for collaboration.

Strategies for Success: Reward and Recognition Systems

Both formal and informal recognition and reward systems influence organizational
behaviors. As with other aspects of organizational change, small steps may be required
to reach the final objective. Instituting a reward system that is a radical change from
the existing culture and practice may create more conflict than evolution.

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The standards for behaviors and outcomes against which workers will be evaluated
need to be clearly communicated. And when the standards are set, evaluation of
collaborative behaviors in a performance review will not carry much weight unless the
individual is rewarded for those behaviors. Individuals will work hardest on the tasks for
which they receive the greatest reward.

Reward systems supporting collaborative behaviors should focus on team, rather than
individual, performance. Team rewards, however, are not without their challenges.
Even within a team, there will be varying degrees of participation and value-added.
Timing of rewards is also important. It is best to provide rewards concurrent with team
accomplishments rather than on an annual basis.

Team Rewards

 Ensure congruence with organizational culture.

 Align evaluation and reward systems.
 Focus on team, rather than individual, accomplishments.
 Distribute rewards and recognition concurrent with accomplishments.

The Study also included a "Checklist for Successful

Collaborations." This is posted on the PFA Learning Space. Go to
this page and start an on-line discussion!

Review: Foreign Assistance (FA)) Team Composition:

What is an FA Team?

Who may be on an FA Team?

Who is a USG member?

What are inherently governmental functions?

Who may carry out inherently governmental functions?

Who may be a core member of an FA Team?

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Who may be an FA Team Leader?

Are there any limits on what FSN, LES and PSCs may do?

Can an FSN or LES be an FA Team Leader?

NOTES:

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Mandatory Reference: 601

Supplementary Reference: N/A
File Name: ads15/60157m1

INHERENTLY GOVERNMENTAL FUNCTIONS (AS DEFINED BY THE OFFICE OF

MANAGEMENT AND BUDGET IN OFFICE OF FEDERAL PROCUREMENT POLICY
LETTER 92-1, SEPTEMBER 23, 1992.)
The following is an illustrative list of functions considered to be inherently governmental (portions in all
capital letters were added to the OMB definition for clarity).
1. Conduct of criminal investigations;
2. Conduct of foreign relations and the determination of foreign policy;
3. Determination of Agency policy, such as determining the substance and application of
regulations;
4. Determination of Federal program priorities or budget requests;
5. Direction and control of Federal employees;
6. Approval of Congressional testimony prepared for delivery by a Federal official;
7. Approval of Agency responses to Congressional correspondence;
8. Selection or nonselection of individuals for Federal Government employment (INCLUDING
PSCs);
9. Approval of position descriptions and performance standards for Federal employees;
10. Determination of what Government property is to be disposed of and on what terms;
11. In Federal Procurement activities:
(a) Determining what property or services are to be acquired by the Government;
(b) Participating as a voting member on any boards or in any meetings regarding evaluation of
contractor proposals, to include final source selection;
(c) Approval of any contractual documents, to include documents defining requirements,
incentive plans, and evaluation criteria;
(d) Awarding contracts;
(e) Administering contracts (including the order of changes in contract performance or contract
quantities, evaluating contractor performance, and accepting or rejecting contractor
products or services);
(f) Terminating contracts; and
(g) Determining whether contract costs are reasonable, allocable, and allowable.
12. Approval of Agency responses to audit reports from an inspector general, the General
Accounting Office, or other Federal audit entity;
13. Approval of Freedom of Information Act requests, other than routine requests that do not
require the exercise of judgment;

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14. Conduct of administrative hearings to determine the eligibility of any person for a security
clearance, or involving actions that affect matters of personal reputation or basic eligibility to
participate in Government programs;
15. Determination of budget policy, guidance, and strategy;
16. Collection, control, and disbursement of fees, royalties, duties, fines, taxes, and other public
funds; and
17. Administration of public trusts.
In addition to the above examples of inherently governmental functions, there are many functions which,
while not totally falling into the category of inherently governmental, are closely related to inherently
governmental and should be reviewed carefully, in conjunction with review of “cost of doing business” in
determining whether to use OE or program funds for their accomplishment. Examples of these
functions include:
1. Services that involve or relate to budget preparation, including workload modeling, fact finding,
efficiency studies, and should-cost analyses, etc.;
2. Services that involve or relate to reorganization and planning activities;
3. Services that involve or relate to analyses, feasibility studies, and strategy options to be used by
Agency personnel in developing policy;
4. Services that involve or relate to the development of regulations;
5. Services that involve or relate to the evaluation of another contractor’s performance.
EVALUATION IN THIS CONTEXT DOES NOT REFER TO PROGRAM/TECHNICAL
EVALUATIONS;
6. Services in support of strategic acquisition planning;
7. Contractors’ providing assistance in contract management (such as where the contractor might
influence official evaluations of other contractors);
8. Contractors’ providing technical evaluation of contract proposals;
9. Contractors’ providing specialized expertise in the development of statements of work;
10. Contractors’ providing support in preparing responses to Freedom of Information Act requests;
11. Contractors’ working in any situation that permits or might permit them to gain access to
confidential business information and/or any other sensitive information;
12. Contractors’ providing information regarding Agency policies or regulations, such as attending
conferences on behalf of an Agency, conducting community relations campaigns, or conducting
Agency training courses;
13. NON-PSC contractors’ participation in any situation where it might be assumed that the
contractors are Agency employees or representatives;
14. Contractors’ participating as nonvoting members of, or technical advisors to, a source selection
board or source selection evaluation board;
15. Contractors’ serving as arbitrators or as other persons hired to provide alternative methods of
dispute resolution;

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16. Contractors’ providing inspection services; and

17. Contractors’ providing legal advice and interpretations of regulations and statutes to
Government officials

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Optional FA Team Membership Exercise

Task: Draw an artistic representation of the ideal FA Team for a Democracy

program. Use the list below for ideas.

Time: 15 min.

o Activity Manager o Ministry of X personnel

o Ambassador o Mission Director
o Cognizant Technical Officer (CTO) o Environmental Officer (MEO)
o Consular Officer o Monitoring and Evaluation Staff
o Contracting Officer (CO) o Other US Government (USG) Staff
o Contractor o Other donor representatives
o Controller o Participating Agency Service Agreement
o Customer (PASA) Staff
o Department of State (DOS) o Personal Services Contract (PSC) Staff
o Deputy Chief of Mission o Political Officer
o Donors o Program Officer (PO)
o Economic Officer o Public Affairs Officer
o Embassy o Project Development Officer (PDO)
o Executive Officer (EXO) o Recipient
o State/F Core Team Leader and Members o Regional Legal Advisor (RLA)
o Foreign Service National (FSN) Staff o Technical Advisors in AIDS and Child Survival
o Grantee (TAAC) Staff
o Host Country Government o Technical Officer
o Host Country NGO o Third Country National (TCN) Staff
o Implementing Partner (IP) o US Direct Hire (USDH) Staff
o Locally Employed Staff (LES) o USAID/Regional (Program/PDO Officer)
o Management Officer o USAID/Washington Pillar Bureau Tech Officer

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Need to Know:
 When there are no rules, core values guide behavior and help
ensure that we manage for results in the most appropriate and
effective way possible.
 FSN LES, PSC and TCN are all USG employees and may be
Foreign Assistance Team Leaders and core members
 Large or small, FA Teams need access to a broad range of skills
 FA Teams are not the same as technical offices
 To be successful, roles and responsibilities should be defined and
are often documented in Team Charters
 Membership and structure of FA Teams will change over time.

NOTES:

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LEARNING JOURNAL:
LESSONS 1– 5
How can key messages and learning objectives be applied in your
work programming foreign assistance?

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PLANNING
LESSON 6: INTRODUCTION TO PLANNING FOREIGN
ASSISTANCE

Learning Objectives:
o To recognize that planning improves results.
o To understand that planning foreign assistance results is informed by broader U.S.
Government strategies.
o To understand that foreign assistance planning is required at five interdependent
levels

Planning: The process we use to identify appropriate results, develop approaches to

reach them, assign needed resources, organize ourselves to achieve, and identify the
means to measure progress. Planning occurs at multiple levels and for multiple
purposes: at the Department and Agency level through the Joint Strategic Plan: at the
Operating Unit level through the Mission Strategic Plan and Operational Plan: and at
the activity and obligation level.

Exercise: People, Policies, and Procedures Involved in Planning Foreign

Assistance

Task: With a partner, brainstorm as large a list as you can on your

assigned topic:
 Which people are involved in foreign assistance planning?
 What policies guide foreign assistance planning?
 What procedures and systems are used in foreign assistance
planning?

Time: 5 min.

NOTES:

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Levels of Programming
USG Entity Budgeting Planning Reporting
President’s National Security OMB Reports, e.g.,
Summary Budget Strategy PMA Scorecard and
Administration
PART Scores
Dir. Of Foreign Allocates 150 Acct. Foreign Assistance Foreign Assistance
Resources to State Framework and Report
Assistance
and USAID Strategy
State and Annual Budget GPRA-requirement:
Senior review of Submission plus Performance &
USAID Mgt.
budget allocations GPRA docs: JSP and Accountability Report
Performance Budget
State and USAID “INFLUENCE” “INFLUENCE” “INFLUENCE”
Bureau
Operating Receives allowance to Strategy Statement & Annual Performance
Program Element level Operational Plan Report
Unit
Obligation or sub-
obligation through Partner Workplans Partner Quarterly and
Activity
Implementing Annual Reports
Mechanism

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The Foreign Assistance Hierarchy: Historically, USAID reported on as many as 400+

Operating Unit Strategic Objectives in a given year. As a result, it has been difficult to
aggregate results worldwide into a meaningful story for the Administration and
Congress. Furthermore, State and USAID did not use common language to describe
the programs they implemented (e.g., What is a “Democracy Program”?).

In order to collect standardized data, the Office of the Director of Foreign Assistance
has developed a standard Program Hierarchy for the purpose of collecting and
communicating standardized information on 1) who are our partners, 2) how much
funding are we providing them, and 3) what are we getting for the money.

The Program Areas, Elements, Sub-Elements and Standard Indicators of the Program
Hierarchy provide a complete and focused listing of what we are doing in Foreign
Assistance. The hierarchy depicts WHAT you do with appropriated foreign assistance
resources, not how. The how, the tactics that determine how you will implement your
program, are up to the Operating Unit.

Foreign Assistance Hierarchy:

Standarized Foreign Assistance Structure and
Definitions

Functional Objective

Program Area

Program Element

Program Sub-Element

Standard Indicators

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Notes:

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Department of State/USAID Joint Strategic Goal Framework 2007-2012*

 Strategic Goal 1: Achieving Peace and Security

o Counterterrorism
o Weapons of mass destruction and destabilizing conventional weapons
o Security cooperation and security sector reform
o Conflict prevention, mitigation, and response
o Transnational crime
o Homeland security
 Strategic Goal 2: Governing Justly and Democratically
o Rule of law and human rights
o Good governance
o Political competition and consensus building
o Civil society
 Strategic Goal 3: Investing in People
o Health
o Education
o Social services and protection for especially vulnerable populations
 Strategic Goal 4: Promoting Economic Growth and Prosperity
o Strengthen private markets
o Trade and investment
o Energy security
o Environment
o Agriculture
 Strategic Goal 5: Providing Humanitarian Assistance
o Provide protection, assistance and solutions
o Prevent and mitigate disasters
o Promote orderly and humane means for migration management
 Strategic Goal 6: Promoting International Understanding
o Offer a positive vision
o Marginalize extremism
o Nurture common interests and values
 Strategic Goal 7: Strengthening Consular and Management Capabilities
o Consular services (Visas, Passports, American Citizen Services)
o Major management functions

* As of April 2, 2007, this joint Strategic Framework is pending clearance in the Office of
the Secretary of State as the newly revised Joint Strategic Plan is being reviewed.

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NOTES:

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LESSON 7: OVERVIEW OF STRATEGIC PLANNING

Learning Objectives:
 To understand that State and USAID’s strategic planning policy and
procedures are under revision
 To understand that the USG overall and individual Operating Units must make
strategic and tactical choices based on planning mandates and priorities

Strategic Planning and Reporting Process Map

MSP and OU
Strategy OU develops an annual, inter-
Joint State F Core
Statement agency Operational Plan to
/ USAID Teams
align with communicate specific results to
Strategic communicate
USG be achieved with specific FY
Plan and priorities and
priorities funds.
new FY budget in
and
Foreign light of
opportunities The Operational Plan then
Assistance country
to move
Strategy reports on USG Results
country to a category
(Standard indicators).
new category

Secretary of State requires strategic and policy coherence in U.S. foreign assistance

Issues Overseers require clear, aggregated foreign assistance results reporting

Need for more effective inter-Agency planning processes

How do we consult effectively with diverse stakeholders within this new model?

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NOTES:

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Exercise: Costa Brava Case Study

TASK:
 Read the case study silently
 Prepare a team flipchart with the following:
 Costa Brava’s country category
 The Functional Objective focus of the case narrative
 The Program Area that is the focus of the case
 Information you would need to know about local priorities to
inform your tactical choices
 Partners who should be invited to an in-country consultation to
discuss U.S. Foreign Assistance to Costa Brava in this Program
Area, and your rationale for inviting them.

PRODUCT: Flipchart report

TIME: 20 minutes

Case Study: Financial Services in Costa Brava

Background:
Costa Brava is a middle-income Muslim country in North Africa that has assumed increased
importance to U.S. interests in the post-9/11 era. Although the country was slated for
graduation from U.S. foreign assistance in 2003, Costa Brava’s proximity to Europe and
associated trade and tourism potential; its large population of unemployed males under the age
of 30; increased potential for political instability; and significant lags in economic opportunity and
access to credit by large numbers of rural, female, and other historically disadvantaged groups

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have resulted in the continuation of U.S. foreign assistance programming through the year
2010.

Challenges in governance and economic opportunity are closely interconnected in Costa Brava.
The sharply uneven distribution of wealth in the country stems from centuries of political and
economic leadership by the same ruling family, who have neglected members of other ethnic
groups in national development programs. Extended kinship patterns within the royal family’s
ethnic group have prevented broader access to land, credit, and other financial services by
other ethnic groups, by rural communities, and by almost all Costa Bravan females.

To date, the United States and other donors have been stymied in their efforts to encourage
broader economic opportunity and political pluralism, due largely to the political and economic
oligarchy enjoyed by the ruling family. However, USG support for free and fair municipal
elections has increased the representation of minority groups in many regions of the country,
and a USAID-supported land registry program has enabled many small-holders to gain secure
title of their land. While access to credit and other financial services by rural and marginal
groups is less than half the access to financial services enjoyed by members of the ruling
family’s ethnic group, more secure land tenure and the ongoing gains in rural literacy are
expected to help increase the demand for credit and banking services.

In addition, complementary programs funded by the World Bank and Millennium Challenge
Corporation to improve information and communications technology (ICT) in the financial sector
are expected to improve services in poor and rural areas that have not had access to telephone
and other ICT infrastructure in the past. At the same time, the Ministry of Finance has
requested support through the Development Credit Authority to help capitalize more Costa
Bravan banks and credit unions.

Based on communication with Washington, the Ambassador and USAID Mission Director have
tasked a joint USG economic growth team at post with outlining sections of a new Operational
Plan for U.S. foreign assistance to Costa Brava. The Costa Brava country team has received its
planning mandates from F in the Functional Objective for economic growth. Costa Brava is a
Transforming country and is to work in the financial sector, in the Element called “Financial
Services.” The U.S. Mission to Costa Brava has worked closely with colleagues in State/F and
their home agencies in Washington, and has begun developing its Operational Plan, as
evidenced by the Narratives below. The new FA Team for Economic Growth is now forming to
begin work on the Operational Plan, and is planning a consultation with partners as a first step.

Overview:
When all citizens have equal access to financial services for personal and business purposes,
their country can be viewed as providing economic freedom, which is a long-term objective of
the USG in Costa Brava. At the end of five years, there will be expanded access to financial
services (primarily credit) for all segments of society, but especially for micro-enterprises, small-
and medium-sized enterprises (SME), women, and other groups that have historically lacked
access to funds.

Issues of risk management and credit information systems at financial institutions will have been
addressed in order to provide greater options both for suppliers (such as institutional investors)
and users of funds in order to expand financial services for personal use. Structural barriers and
market inefficiencies impeding the growth of an accessible banking system will have been
removed.

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Work of Other Players:

Although reform in the sector has been mainly donor-funded, the Central Bank of Costa Brava
and the Costa Brava Securities Commission have helped catalyze the private sector. The USG
remains the lead agency improving financial services. The International Finance Corporation’s
IDEA project is working on a framework to promote capital markets. The French are upgrading
the trading software used by the Stock Exchange, including enhancing the surveillance system.
Through the Costa Brava Upgrading and Mobilization Program, the European Union is providing
technical assistance to the Costa Brava Credit Guarantee Corporation to promote lending to
small and medium enterprises. Coordination occurs through regular donor meetings and
information-sharing at the technical level.

Narrative of USG Participants:

In the past, through funding from the Middle East Partnership Initiative (MEPI), the Financial
Services Volunteer Corps provided technical assistance and training on risk management, bank
supervision and a strategy for small and medium enterprise (SME) lending. The MEPI-funded
“For Costa Brava” project worked with banks and SMEs on encouraging increased financing for
small lenders. A U.S. Treasury Advisor provided assistance to the Ministry of Finance to
develop the Government bond market and foster the issuance of bonds to fund government
debt. These activities have been closely coordinated with USAID’s programs and are expected
to continue. They will complement the Agency’s focus on improving economic opportunity and
livelihoods for marginalized groups as an engine of rural development and employment, and will
complement the USG goal of reducing political instability.

NOTES:

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Consultation is required in the planning process, and is key to sustainable development.

The Operational Plan Guidance does not specify how this consultation should occur.
This is up to the Operating Unit. A central challenge is eliciting useful input and
stakeholder buy-in while also managing stakeholder expectations. One way to deal
with this concern is to explain to stakeholders that the Mission must adhere to USG
planning mandates as illustrated in the Framework.

Discussion Question: What’s the difference between a consultation and a briefing?

Need to Know:
 Foreign Assistance planning needs to align with the Joint State-
USAID Strategic plan, as well as with local priorities and plans.
 The Joint Strategic Plan is currently under revision and will be
consistent with the new Foreign Assistance Framework and
Hierarchy.
 Consultation is required in planning, and is consistent with good
development practice.

NOTES:

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LESSON 8: THE OPERATIONAL PLAN

Learning Objectives:
 To understand the purpose of the Operational Plan
 To examine the people, policies and procedures involved in producing the
Operational Plan
 To understand the primary content of the Operational Plan
 To learn how the Operational Plan will be reviewed

Two of the most important aspects of Foreign Assistance Reform are that 1) Foreign
assistance will be harnessed to achievement of national objectives, and 2) All
agencies, under the leadership of the Department of State and Ambassadors in-
country, will work together towards achieving these goals. This approach will help focus
foreign assistance efforts, which have often been criticized as too diffuse to have a
significant impact. Several tools, specifically the Mission Strategic Plan (MSP) and the
Operational Plan, among others, have been or are being developed to help address
this criticism.

The first tool to be introduced is the Operational Plan. This was important, from a tactical
standpoint, since it links current year activities on the ground with the Joint State-USAID
goals and objectives, and with budget requests sent to Congress. From the Operational
Plan, particularly once it has been rolled up from each mission to an overall plan, one
can gain a perspective on how the US Government is addressing global problems, how
the appropriated funds will be spent, and what will be accomplished with each year's
tranche of funds. The Operational Plan is thus the pivot on which Foreign Assistance
Reform turns. While the first MSP will be introduced after the first Operational Plan is
submitted, it provides the out-year planning framework, and the longer term strategy
and vision that provide direction to budget formulation and the future structure of the
Operational Plan.

The Operational Plan plays a crucial role. It is a detailed proposal for activities, partners
to be funded, and results to be achieved. The OP is where each post presents what it
determines to be the best use of the funds that State/F has allocated to the post. The
OP is where USG agencies integrate their tactics into one proposal for the use of foreign
assistance. The OP is where USG agencies must link funds and activities to expected
outcomes.

The Operational Plan also serves as the instrument for collecting standardized data
about foreign assistance programs. The OP provides the data to populate the F
database known as the Foreign Assistance Coordination and Tracking System, or
“FACTS.” The FACTS database will be used to answer most questions posed by the

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White House, Congress, and the public, such as the allocation of appropriated funds
among foreign assistance Objectives and Program Areas.

Note that, by design, the Operational Plan is not strategic: 1) It only covers a single fiscal
year's funds, making it difficult to track progress towards multi-year goals, and 2) It only
reports on outputs, not higher level outcome results: Thus, it is tactical, not strategic.
The next important planning tool that will be introduced will be the Mission Strategic
Plan, which will show how the Mission's strategy will unfold as foreign assistance helps
countries move from one development category to another. The MSP will also provide
the framework and long term results that will be necessary to determine whether the
consecutive Operational Plans are achieving any long term results. State/F and USAID
are currently working on the exact format and process for submitting the MSP.

NOTES:

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Need to Know:
o Operational Plans are one of the most significant changes in the
ongoing foreign assistance reforms.
o Operational plans are the vehicle we use to describe the specific
tactics to be used in programming foreign assistance. They are
both program planning and budget planning documents, which will
be entered in a database called FACTS.
o They must align with higher level planning mandates, and should
also align with host country priorities.

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LESSON 9: RESULTS STATEMENTS

Learning Objectives:
 To understand key terminology about different levels of results
 To understand the characteristics of effective results statements, including
effective problem identification.

Discussion Question: Different kinds of results have different levels of impact. What are
the differences among input, output and outcome results?

NOTES:

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Exercise: What kind of Result?

Task: Identify output and outcome results in the following scenarios.

Process: Read the scenarios below and discuss the answers to the
questions with your table team.

Time: 10 minutes

1. In Costa Brava, the USG is implementing a program to improve environmental

management of wastewater treatment plants in targeted sites. Materials, including
a manual, will be developed for a sustainable certification system. Training of
Government of Costa Brava staff and community members on wastewater
operations may be conducted. Replication of Wastewater Advisory Committees
throughout the country may be provided, as well as efforts to raise public awareness
on the committees and their roles, with special emphasis on the private sector.
What are some of the output results of this activity? What do you think are the
expected outcome results?

2. In Costa Brava, an NGO is awarded a cooperative agreement to develop a land

registry database for the courts and to populate it with 20 years of backlogged land
titles and related documents. After 4 years, the NGO has successfully populated the
database with 80% of the land titles, thus reducing the time to process dispute
settlements from an average of 5 years to 8 months.
What are some output results of this activity? What might be the outcome results?

3. In Costa Brava, the USG participated in a polio immunization program by providing

refrigeration equipment for the vaccines. The USG coordinated with UNICEF, which
funded the delivery of the vaccinations in clinics and schools; and with local
municipal councils, which who gave additional funding, provided facilities, and

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developed locally sensitive marketing campaigns for the program. The vaccination
program lasted four years; by its conclusion 525,000 children were vaccinated
against polio.
What are some of the USG-supported output results of this activity? What are some of
the USG-supported outcome results?

4. In Costa Brava, the USG is supporting political pluralism through efforts to increase
the participation of minority ethnic groups at both the national and municipal level.
USG-supported activities include: policy dialogue with the host government to
encourage overturning a requirement that members of Parliament own at least 100
hectares of land; parliamentary training on drafting new legislation; message testing for
a civic education campaign on pluralism; an exchange program for Costa Bravan
parliamentarians to visit the U.S. Congress and Members’ district offices; and capacity-
building to improve municipal council operations through a project implemented by
the American Association of Local Government Officials.
What are some of the USG-supported output results of this activity? What are some of
the USG-supported outcome results?

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Exercise: Effective Results Statements

TASK: In each pair below,

1) Identify which is the more effective result statement. Be prepared to explain why.

2) Suggest ways of improving the result statement you consider to be ineffective.

Participation of Costa Bravan

Economic well-being of Costa
  women in formal economic
Bravan women improved
activities increased
Costa Bravan health workers
Train Costa Bravan health workers   certified in safe birthing
procedures
Increase provision of better Women’s access to financial
 
financial services to more women services increased
Financial management practices
Strengthen institutional capacity  
of targeted NGOs improved
Legal and policy constraints to
marketing agricultural products   Markets liberalized
reduced
Revenues of small and medium
Encourage economic growth  
sized enterprises increased
Incomes in targeted rural areas Broad based sustainable
 
increased economic growth
Quality of primary health care
Health care and education
  services in targeted areas
services improved
improved
Use of modern contraceptives
Population growth reduced  
increased
Use of safe sex practices among
  Prevalence of HIV reduced
target population increased

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NOTES:

Need to Know:
o Effective results statements are clear, realistic, and measurable; and
are the highest level result that the Operating Unit, along with its
partners, can materially affect and for which it is willing to be held
accountable.

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CHARACTERISTICS OF GOOD RESULTS STATEMENTS

Characteristic Poor Example Better Example
Train health workers WHO standard maternal and child healthcare
available to 80% of the time within 10 miles of
1. The result statement 60% of the population
should be a statement
Encourage economic Annual revenues of formal sector small and
of a result (not an
growth medium-sized enterprises increased
activity or process).
Strengthen institutional Financial management practices of targeted
capacity NGOs improved
Markets liberalized Legal and policy constraints to marketing
2. The result statement selected agricultural products reduced
should be Ability of entrepreneurs Annual revenues of formal sector small and
measurable and to respond to medium-sized enterprises increased
objectively verifiable. regulatory environment
improved
Broad based sustainable Annual income of full-time labor in the formal,
3. The result statement economic growth off-farm private sector increased
should be The health and Participation of Costa Bravan women in formal
meaningful and economic well-being of economic activities increased
realistic Costa Bravan women
improved
Agricultural Result 1: Agricultural productivity increased
productivity and farm Result 2: Farm incomes increased
incomes increased
Quality of health care Use of primary health care services in rural
4. The result statement
and education services clinics increased
should be one-
improved
dimensional
Increase provision of Women’s access to financial services increased
better quality financial
services to more
women
Broad based sustainable Annual export revenues from targeted value-
6. Results statements economic growth added products increased
should reflect a
change that can be Population growth Use of modern contraceptives increased
materially affected by reduced
the Operating Unit
and its partners, with
the resources
provided in the given
time period. (Within
the “manageable
interest” of the
Operating Unit.) Prevalence of HIV Use of safe sex practices among target
reduced population increased

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LESSON 10: RESULTS FRAMEWORKS

Learning Objectives:
 To understand the methodology and planning purposes of Results Frameworks
 To practice developing a Results Framework

Results Framework: A graphic and narrative representation of the development

hypothesis for achieving a specific result – for solving the specific problem we have
identified, based upon what is possible in the country environment within the time
period and with the resources we expect to have available.

Development Hypothesis: A narrative description informed by the country category

and by what we believe is possible in that country environment, of the causal linkages
between lower level, “prerequisite results” and the highest level result to be achieved.
The development hypothesis articulates how these lower level results, when taken
together, are expected to be necessary and sufficient to achieve the highest targeted
result within the time and resources available.

NOTES:

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Characteristics of results frameworks Logic

Assumptions?
Risks?
Why?

Highest Level Result

IF . . . . . . . THEN

Targeted
How?

Prerequisite Result Prerequisite Result

Activity A Activity B Activity C Activity D Activity E

What Else? What Else?

program project management training

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Exercise: Building a Results

Objective: To understand how a Results Framework represents the

causal linkages implicit in a development hypothesis for solving a
development problem.

Process:
Each group will receive cards on which are written results statements.
Arrange the cards to show the causal linkages among the results.
When the team reaches consensus, tape the cards to your flipchart
and select someone to present the Results Framework.
Tip: Groups may find it helpful to state critical assumptions and some of
the underlying principles behind its development hypothesis.

Time: 15 min.

Need to Know:
o Results Frameworks are a planning and design tool that provide a
graphic and narrative description of a development hypothesis:
what it will take to reach a significant development result in a given
country environment with specific time and resources available.
o A development hypothesis describes the specific causal linkages
between the necessary and sufficient set of prerequisite results that
are expected to lead to the achievement of a higher level result:
the development problem to be solved.

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LESSON 11: PRE-OBLIGATION AND ACTIVITY PLANNING

REQUIREMENTS

Learning Objectives:
 To understand that certain planning steps are required by law
 To explain the new process for activity planning by Operating Units
 To understand that the USG obligates funds in different ways in support of foreign
assistance programs.

The term “activity” has a particular meaning in State/F for planning and reporting on
foreign assistance.

An activity is the work in ONE Program Element (among, perhaps, many Program
Elements) under ONE Implementing Mechanism.

A Project is the set of activities performed by one Implementing Mechanism.

A Program is the set of projects an Operating Unit implements to achieve one goal or
outcome defined by the Operating Unit Strategy. For example, an Operating Unit may
have a set of projects in education, health, and job creation all designed to address
counter-terrorism. This represents a counter-terrorism Program. The parts of this program
will be captured “budgetarily” under the corresponding sections of the Program
Hierarchy and will be implemented by one or more Implementing Mechanisms.

Program

Project

Activity, funded by
one Implementing
Mechanism

Non-project assistance is another type of activity that might be used to help achieve a
given result or set of results. Non-project assistance is defined as “Program or
commodity loans or grants which provide budget or balance-of-payments support to

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another country.” Such assistance is often financed with resources from Economic
Support Funds (ESF).

The Operational Plan is where you first lay out proposed actions to be taken to
implement a program, and where you will receive approval to proceed with
implementation. This level of activity planning must provide the following information:
 Who is the partner
 How much money using to fund them
 What activities have we mutually agreed they will undertake
 What results have we mutually agreed they will achieve
 How do these results advance foreign assistance objectives

Definition of Obligation (ADS Chapter 621):

A term of appropriations law that means some action that creates a definite
commitment which creates a legal liability of the Government for the payment of funds
for specific goods or services ordered or received. It includes a range of transactions –
e.g., contracts, grants, loans, guarantees, wages and travel.
Note: An obligating instrument commits the USG and a partner to providing the
resources and following the course of action described in the obligating document. The
legally binding nature of obligation instruments means they should be entered into
carefully. Planned obligations are always “Subject to the availability of funds.”

Excerpt from Foreign Assistance Act – Section 611(a)

Sec. 611.752 Completion of Plans and Cost Estimates.— (a) No agreement or grant
which constitutes an obligation of the United States Government in excess of
$500,000753 under section 1501 of title 31, United States Code,754 shall be made for
any assistance authorized under chapter I of part I, title II of chapter 2 of part I, or
chapter 4 of part II—755
(a) if such agreement or grant requires substantive technical or financial planning,
until engineering, financial, and other plans necessary to carry out such assistance,
and a reasonably firm estimate of the cost to the United States Government of
providing such assistance, have been completed;

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USAID/General Notice
ADMINISTRATOR A/AID
01/01/2007

Subject: Interim Guidance on the Status of USAID Strategic Plans Under

the New Foreign Assistance Framework

Many USAID Operating Units have raised questions regarding the status of their
Strategic Plans (given various aspects of foreign assistance reform, including
the new Foreign Assistance Standardized Program structure and the requirement
for approval of annual Operational Plans (OP), as well as the viability of
existing ADS guidance regarding planning, achieving and learning as noted in
ADS 200-203 and in other ADS chapters). This Interim Guidance is offered to
facilitate continued operation and implementation of USAID programs until new
guidance and operating policies and procedures have been developed.

Until further guidance is issued, please consider your Operating Unit's most
recent Strategic Plan (including any that may have expired), as modified by the
OP (and its associated guidance and element level budgets), to be your Approved
Strategic Plan for purposes of meeting statutory, policy, and planning
requirements. This includes, but is not limited to, any modifications in funding
levels that may have been included in the OP. The Approved Strategic Plan, as
herein defined, is extended until further notice as modified by annual budgets
set by F and approved Operational Plans.

USAID may continue with procurement actions, including Requests for Applications
and Proposals, up to the point of actual award, while awaiting approval of the
Operational Plan(s). However, award (including starting new multi-year contracts
and grants) and obligation of funds may only occur when all pre-obligation
requirements have been met and:

* For FY 2006 carryover funds and prior year recoveries, use of the funds
has been notified to Congress, or in the case of funds being reprogrammed for use
other than that previously notified, F has approved the use of the funds and
Congress has been notified of the planned use in accordance with existing
notification procedures.

* For FY 2007 funds, F has approved the use of funds either through approval
of a memo requesting such use or through approval of the Operational Plan
identifying the use of funds, and Congress has been notified of the planned use.
The FY 2007 Congressional Budget Justification serves as a notification of funds
for this purpose, except in the case of special notification countries or where
separate notification is otherwise required, such as for anti-trafficking programs
or where notification is required as a result of the changes stemming from Foreign
Assistance reforms.

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The appropriate memo necessary for approval of funds is noted in my Memorandum

regarding Approval of Foreign Assistance Funding in FY 2007 dated October 10, 2006.

Ambassador Randall L. Tobias

Point of Contact: Any questions concerning the Notice may be directed to:
Kevin Brownawell, A/AID, (202) 712-4532.

NOTES:

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Pre-Obligation Requirements at USAID

1. Adequate Planning. The assistance must be adequately planned and described. The
degree of planning required prior to obligation varies depending on the nature of
the assistance and the nature of the obligating instrument to be used.
a. Link to Approved Objectives
b. Link to Results Framework: must show how the assistance is linked to a result
c. Illustrative Budget: must include an illustrative budget that provides a reasonably
firm estimate of the cost of the assistance to the U.S. Government.
d. Plan for Managing Performance: must include a plan for monitoring adequacy of
outputs and their effectiveness in achieving intended results.

“Adequate planning” includes consideration of the management capacity of the

Operating Unit. Just as higher level planning mandates affect our strategic choices,
we also need to consider constraints at the tactical, operating unit level that may
affect our ability to achieve results. Plan now to manage these constraints.

What are some of the management issues the Operating Unit should be thinking about
before determining which tactics it will pursue? Have you considered how long it
may take to develop a “contractible Statement of Work”?

2. Environmental Review: An Initial Environmental Examination (IEE), Request for

Categorical Exclusion (CE), Environment Assessment (EA) or other appropriate action
under the USAID Environmental Procedure must be completed before any obligation
of funds. The IEE is one of the few activity level requirements that must be referred to
USAID/W for approval (Bureau Environmental Officer). In some cases, a more
involved Environmental Assessment will be required to identify appropriate mitigation
measures that need to be included as part of the activities implemented.

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What policies and procedures cover the Environmental Review Process? Who is
responsible for compliance with Reg. 216?

3. Country and obligation-level statutory reviews: These reviews consist of completing

checklists of statutory prohibitions or requirements that apply to the country in
question and/or to the assistance being funded. Statutory checklists are formal
mechanisms used by State and USAID to identify legal issues in designing programs.
They are updated by the Office of General Counsel each year, and are organized in
two parts: Country Checklist and Assistance Checklists.
a. Country Checklists are composed of items affecting the eligibility for foreign
assistance of a country as a whole. They are prepared annually by the USAID/W
country desk officer.
b. Assistance Checklists provide information on compliance-applicable statutes.
They are prepared by the Operating Unit usually once for the first FY obligation for
particular assistance.

4. Congressional Notification: Congress must be notified of the Agency’s intent to

obligate funds and there must be no outstanding Congressional objection. With
Foreign Assistance reforms, a process that has typically been done through the CBJs
of both Agencies separately has been moved to joint notification through a
separate process

5. Funds Availability: Funds must be available and their availability shown on the
record. Obligations cannot take place until the budget for that Fiscal Year has been
provided to the unit incurring the obligation.

6. Approval by an Authorized Official: An authorized official must approve all activities

and related obligating instruments.

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Thirteen Steps in Activity Planning

No. Description
1 Develop an Operationally Useful Results Framework
2 Conduct Analyses as Needed
3 Specify the Role of Partners (see
4 Develop Log Frame for designing budgets and Statements of Work
5 Assess Capacity of Potential Implementing Partners
6 Formulate Initial Cost Estimate and Develop Financial Plan
7 Develop implementation planning
8 Select Implementing Mechanism
9 Determine Appropriate Team Management Structure
10 Identify Additional Planning Considerations
11 Determine and Meet Remaining Pre-Obligation Requirements
12 Prepare Activity Approval Document (AAD)
13 Obtain Formal Approvals/Approve Activity

Ways of Obligating Funds

Scenario A: Scenario B:
Obligation at Obligation at
SO Level Activity Level
Key
SO Level

Obligate funds
SO SO
 Meet pre-obligation
requirements

Commit and expend

funds (can move
 SOAg or other
funds among obligating
activities) instrument at
SO level

  
Activity Level

Implementatio
Cooperative

Cooperative
Agreement

Agreement
Contract

Contract
n Letter
Grant

Grant

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Additional Help: 200-203

Last Revised: 04/18/2001

Model Checklist for USAID Pre-obligation Requirements

The following checklist is designed to assure obligating officials that all pre-obligation
planning and other requirements have been met and are documented before an
obligation is incurred for a given activity. You can fill the checklist out and attach it to
obligation documentation to support a decision to obligate funds.

PRE-OBLIGATION REQUIREMENT WHERE IS THIS DOCUMENTED?

1. Will the activity (or activities) directly support

achievement of an approved Strategic or Special
Objective (SO) or a related intermediate result?

2. Is there an illustrative budget for the activity

providing a reasonably firm estimate of the cost to
the U.S. Government?

3. Is there a plan for monitoring performance of the

activity?

4. Have analyses necessary for adequate planning

been completed?

5. Have steps been taken to minimize the use of new

obligating instruments? Has consideration been
exercised to use existing instruments? If a new
instrument will be established, will it be designed to
support multiple SOs?

6. Additional Planning Considerations:

a. Was this activity selected from among
alternative approaches?
b. Are findings from the gender analysis
adequately reflected in the activity design? Has
the gender statement or rationale been
included?
c. Are appropriate obligating and subobligating
instruments planned?
d. Are appropriate partner organizations (or
types of organizations) identified?
e. Are acquisition and assistance (A&A) plans
clear and any waiver requirements documented?
f. Do proposed implementing entities have the
requisite financial and other management
capacities?

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Mini Exercise: Inter-Agency Activity Planning

15 min. Task: Discuss and develop answers to the following questions.

Time: Report out in 15 minutes:

1. How do planning requirements differ among the USG agencies
represented on your country team?
2. How will these different requirements (or, if not known, how will
different organizational cultures) affect planning?
3. How can inter-agency teams identify and mitigate these
challenges? Name three specific ways to improve joint activity
planning to program foreign assistance.

Go to the PFA Learning Space to start a discussion on inter-

agency planning.

NOTES:

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Need to Know:
o The Foreign Assistance Act requires that Operating Units conduct
adequate planning before obligating USG funds.
o The legally binding nature of obligation instruments means they
should be entered into carefully.
o The specific order of steps for pre-obligation and activity planning
requirements depends on the level at which funds are obligated.
o Strategic Objective Agreements (SOAgs) are only one of several
possible obligating instruments.
o In cases where there are no SOAgs, pre-obligation requirements are
met when other obligating instruments (e.g., contracts and grants)
are awarded.
o The obligating instruments sets forth clear procedures and criteria
for an activity; and the activities must be adequately planned
before implementation commences.

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LEARNING JOURNAL:
LESSONS 6 – 11
How can key messages and learning objectives be applied in my work
programming foreign assistance?

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IMPLEMENTATION
LESSON 12: IMPLEMENTING PARTNERS THAT COMPETE FOR
U.S. FOREIGN ASSISTANCE FUNDS

Learning Objectives:
 To understand that the USG depends on external partners to achieve foreign
assistance results.
 To understand that Programming Foreign Assistance = Managing Partner Relations.
 To learn how the U.S. foreign assistance program is positioned for improved
partnering, by leveraging lessons learned and improved ITC systems.
 To know where to find additional resources for working with partners.

Partner:
“An organization or individual with which/whom the USG collaborates to achieve
mutually agreed upon objectives and to secure participation of ultimate customers.
Partners include host country governments, private voluntary organizations, indigenous
and international non-governmental organizations (NGOs), universities, other U.S.
Government agencies, United Nations and other multilateral organizations, professional
and business associations, and private businesses and individuals.”

Implementing Mechanisms are the funding instruments we use to program foreign

assistance through a variety of partners – from host governments to other USGs to local
NGOs. There are six main categories of “Implementing Mechanisms.” All six categories
involve obligating or sub-obligating funds to one of the partners listed above.

Implementing Mechanisms include:

 Direct Contract
 Direct Grant or Cooperative Agreement
 Cash transfers
 Other USG Direct
 Host Government Managed
 Third-Party Managed

There are several large categories or types of Implementing Partners that compete for
USG funds and therefore pose particular Organizational Conflict of Interest concerns.
What are these categories of implementing partners?

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Exercise: USG-Implementing Partner Relations

Task: Identify Critical Success Factors for making a partnership work.

Process: Form pairs and spend two minutes each describing a USG-
implementing partner relationship that was particularly effective, and
WHY this was so. The listener should write down as many critical success
factors as possible and be prepared to report these out in plenary.
factors.”

Time: 5 min.

NOTES:

Need to Know:
o The USG depends on implementing partners and all its partners to
jointly achieve and report results.
o Programming Foreign Assistance = Managing Partner Relations.
o The USG is positioned for improved partnering, by leveraging lessons
learned and improved information systems.

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o Your Contracts Officer

o The Acquisition and Assistance Ombudsman –
[www.usaid.gov/procurement_bus_opp/procurement/ombudsman
.html]
o The Office of Procurement –
[http://www.usaid.gov/op_contact.html]
o The Office of the General Counsel
o 22CFR 226 – [http://www.usaid.gov/pubs/ads/cfr22/22cfr226.pdf]
o The Federal Acquisition Regulation (FAR) –
[http://www.arnet.gov/far/, the AIDAR]
o USAID Policy on Working with the Higher Education Community –
[http://www.usaid.gov/pubs/ads/pps/higher_ed/]

NOTES:

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LESSON 13: MANAGING ORGANIZATIONAL CONFLICT OF

INTEREST (OCI)

Learning Objectives:
 To understand Organizational Conflict of Interest (OCI) and the appearance of OCI,
and how to avoid them.
 To understand that the Contracting/Agreement Officer (CO or AO) and General
Counsel are key resources to determine if organizational conflict of interest exists.

Organizational Conflict of Interest (OCI) occurs when an individual or organization is

unable, or potentially unable, to provide USAID with impartial assistance or advice due
to their involvement in other activities or relationships. OCI also exists when an individual
organization’s objectivity in performing contract work is, or might be otherwise
impaired, or when a person or organization has an unfair competitive advantage. OCI
can apply to either for-profit or non-profit organizations under either contract or grant
instruments.

There are two types of OCI. What are they called and what do these terms mean?

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Exercise: Avoiding OCI While Programming Foreign Assistance

Task: Determine occasions when the FA Team should be particularly careful about OCI.
Deliverable: A list of the junctures when you should not engage with implementing partners in order
to avoid organizational conflict of interest.
Time: 10 minutes

Which of these are appropriate opportunities for engaging with implementing partners?
When should you avoid engaging with them to avoid the risk of OCI?

Assessing
Planning Achieving and Learning

Strategic Activity FA Team Choice of RFA, APS, Award Implementation Results Close-out
Planning Planning Membership Instrument RFP, RFQ Issuance Reporting Report

NOTES:

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Exercise: Scenarios for Possible Organizational Conflict of Interest

Task: Read the scenario assigned to your table team and determine
whether an organizational conflict of interest exists. When finished,
please, read the other scenarios so that you will understand the other
teams’ responses.

Time: 15 min.

Scenario One
An FA Team working on a Democracy program holds an annual orientation retreat to familiarize new
Team members, including newly arrived USG staff and outside organizations, with the Team’s portfolio
and operating procedures. The retreat agenda includes get-acquainted exchanges, substantive sessions
regarding current and planned FA Team activities, and review of the FA Team’s rules and procedures
spelled out in an operating charter approved by the original Team members.
At this retreat, the FA Team’s existing activities, carried out under both contracts and assistance
instruments, may be discussed. Possible future activities also may be discussed. However, the retreat
agenda, distributed to all participants beforehand, clarifies that no recommendations or decisions
regarding future procurement actions, including possible extensions of existing contracts, will be made
during these sessions. The FA Team charter, to be reviewed at the retreat, also states that only the core
members (USG employees) will be involved in making decisions about funding and choice of instrument,
and that external members will not be involved in discussions about upcoming competitions. The Team
decides it is not necessary to take or post minutes during the retreat in view of the clear limits on
discussions established in the Team charter and retreat agenda. However, when the democracy RFA is
published, a U.S. group that does not currently have operations in-country and was unable to attend the
meeting argues vehemently that the organizations that were invited to the retreat enjoy an unfair
advantage in the RFA.

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Scenario Two
An FA Team including both USG staff and outside organizations holds a meeting to brainstorm possible
future activities for a child survival program. The Team charter states that only the core members (USG
employees) will be involved in making decisions about funding, choice of instrument, and specifics of
activity design. External members will not be involved in discussions about upcoming procurements.
The expanded Team meeting results in a list of possible future activities, but no decisions are made, and
no formal minutes are taken or posted regarding these discussions. However, before going into a
meeting with fellow core members to discuss their choice of instrument, the Team leader asks the
health officer of Organization Z, one of the implementing partners on the expanded SO Team, for a
favor: She is famous for taking great notes; would she mind giving the core members a copy of her
notes from the last expanded team meeting. She agrees, but only if the FA Team leader has the notes
typed up and posted on the Internet to prevent her organization from running afoul of OCI. The notes
are posted; the FA Team decides to issue an RFA, and Organization Z decides to compete.

Scenario Three
Determine if the following scenario implies an Organizational Conflict of Interest. Be
prepared to explain why or why not.
In anticipation of possible future funding, an FA Team core member writes to outside organizations,
both members and non-members of the FA Team, to invite their written comments on possible
activities that may be undertaken in the USG economic growth portfolio. The Team’s core members
include technical staff familiar with organizations that work in this area. The letter explains that the FA
Team is sending the same letter to a number of outside organizations and that the suggestions and ideas
that are received might be used in future program activities. Anticipating that some outside
organizations might call USG staff members to share their ideas and speak directly to USG staff rather
than send written responses, the FA Team core members agree to the following procedures:
 USG staff who are core members of the FA Team may accept such calls and take notes on the
organizations’ suggestions.
 USG staff may repeat the information in the letter that that there may be future funding and that
the exact activities and implementation instruments have not yet been determined.
Several organizations respond in writing and by phone. The funding comes through and the FA Team
core members decide to proceed with an RFP. A sub-team of the SO Team core members drafts the
statement of work (“SOW”) for the request for proposal (“RFP”) using the organizations’ responses as
input.

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Scenario Four
Determine if the following scenario implies an Organizational Conflict of Interest. Be
prepared to explain why or why not.
The Director of Organization A, who is an expanded member of an FA Team and who works in the health
sector in Costa Brava, joins USAID and other implementing partner members of the FA Team on an
assessment of the health care needs in the country. Upon completion of the needs assessment, the expanded
Team discusses the findings. These findings, along with minutes of the FA Team deliberations, are posted on
the Internet with an invitation for broader partner comments. Subsequently, the SO Team core members
meet and, taking into consideration the assessment, expanded Team discussions, and many comments
received after the Internet posting, decides to proceed with a Request for Proposals. A sub-team of the FA
Team composed of two USAID employees and the Director of Organization A then design the Scope of
Work. In preparing the SOW, the subteam draws on the needs assessment, knowledge obtained from the
earlier expanded Team meetings and minutes, broad partner comments, and firsthand experience. Upon
completing the SOW, the PFA sub-team writes a brief memo outlining the range of resources it considered
for the SOW design and proceeds to work with the Contracting Officer to issue the RFP.

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Scenario Five
Determine if the following scenario implies an Organizational Conflict of Interest. Be
prepared to explain why or why not.
The core members of an FA Team have just decided to prepare an RFP for upcoming contract. The core
members are seeking ways to obtain as much input as possible to conduct an independent analysis in
preparing the statement of work (“SOW”) for the RFP. In addition, the FA Team core members are
concerned that incumbent Contractor X, represented on the expanded Team, may wish to bid on the
upcoming procurement. Contractor X has not done work specifically towards design of the SOW for the
upcoming procurement. However, USAID staff intend to draw upon on related work products that
Contractor X produced under its last USAID contract in preparing the design.
The core members agree to the following:
 To hold brainstorming sessions of the expanded team, to consider possible activities for the
SOW, with minutes kept;
 USG staff will not discuss the draft design with outside organizations other than in group
meetings with minutes kept;
 USG staff will not discuss preliminary drafts of the evaluation criteria in the RFP with outside
organizations and will consider whether to withhold other portions of preliminary drafts of the
RFP out of concern not to disclose source selection information;
 Once the SOW has reached the point of a final draft, a draft RFP will be posted on the Internet
and written comments accepted from outside organizations;
 All non-sensitive work products produced by Contractor X under its USAID contract will be
made available to all potential offerors on the Internet;
 Portions of FA Team minutes and any other meetings leading towards development of the SOW
attended by outside organizations will be made available to all potential offerors on the Internet;
and
 USG staff will document sources drawn on, including the expanded Team meeting discussions and
responses to the draft RFP, in reaching their informed determination regarding the best design for
the SOW.

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Need to Know:
o FA Teams must be vigilant in avoiding Conflicts of Interest – and
even the appearance of conflict of interest – and in ensuring
procurement integrity; the Internet is an important resource for
ensuring a “level playing field” and transparency.
o The Contracting Officer and Regional Legal Officer are your best
resources for avoiding OCI. Consult with them whenever you are in
doubt, and consult with them before you take action.

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LESSON 14: ACQUISITION AND ASSISTANCE AND FUNDING

ALLIANCES

Learning Objectives:
 To understand that the USG uses both Acquisition and Assistance instruments to
achieve and report development results.
 To understand the difference between Acquisition and Assistance (A&A).
 To become familiar with criteria for Choice of Instrument.
 To become familiar with the new obligating instrument used for public-private
partnerships.

Acquisition Assistance
A legally binding relationship in which the Assistance is used “to carry out a public
principle purpose is “to acquire (by purpose of support or stimulation
purchase, lease, or barter) property or authorized by a law of the United States.”
services for the direct benefit or use of the
U.S. Government”

NOTES:

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FUNCTIONAL SERIES 300: ACQUISITION & ASSISTANCE

ADS CHAPTER 304 - CHOICE OF IMPLEMENTATION INSTRUMENT

304.1 Authority
1. Foreign Assistance Act of 1961, as amended, Sections 621 and 635(b).
2. Federal Grant and Cooperative Agreement Act of 1977 (PL 95-224)(31 USC 6301-8).
3. OMB Guidance, “Implementation of Federal Grant and Cooperative Agreement Act of
1977, 8/18/78.”
304.2 Objective
To establish the criteria for selecting and using the Agency’s assistance and acquisition
instruments which implement the Agency’s programs by establishing appropriate relationships
with non-Federal parties, such as hospitals, other non-profit organizations, and commercial
organizations.
304.3 Responsibility
1. Strategic Objective Team: The Strategic Objective Team is responsible for determining the
purpose of the transaction and the intended nature of the relationship.
2. Contracting Officers in USAID/W and the overseas Missions are responsible for:
a. Approving the selection of the proper implementation instrument;
and
b. Soliciting offers and making award to the non-Federal party.
3. The Bureau for Management, Office of Procurement, Policy Division (M/OAA/POL) is
responsible for developing and interpreting Agency policy for both acquisition and assistance
types of implementation instruments.
4. Procurement Executive/Assistance Executive is responsible for:
a. Making the final determination of choice of instrument when there is a disagreement
between the contracting activity and the strategic objective team; and
b. Issuing Agency policy for both acquisition and assistance types of implementation
instruments.
304.4 Definitions (See GLOSSARY Word | PDF | HTML)
AGREEMENT OFFICER/CONTRACTING OFFICER
ASSISTANCE EXECUTIVE
CONTRACT
COOPERATIVE AGREEMENT
GRANT
IMPLEMENTATION INSTRUMENT
PROCUREMENT EXECUTIVE
RECIPIENT
STRATEGIC OBJECTIVE TEAM

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304.5 POLICY
The following are the official Agency policies and corresponding essential procedures:
304.5.1 SELECTION OF IMPLEMENTATION INSTRUMENTS
The following criteria shall be used to determine whether a contract, grant or cooperative
agreement is the appropriate instrument for a USAID-direct award.
a) CONTRACT
A Contract shall be used when the principal purpose of the instrument is the
acquisition, by purchase, lease, or barter of property or services for the direct benefit
or use of USAID or any other Federal Government entity; but also see 304.5.3.
b) COOPERATIVE AGREEMENT
A Cooperative Agreement shall be used when:
1. The principal purpose of the relationship is the transfer of money, property,
services or anything of value to the recipient in order to accomplish a public
purpose of support or stimulation authorized by Federal statute; and
2. Substantial involvement is anticipated between USAID and the recipient during the
performance of the proposed activity.
c) GRANT
A Grant shall be used when:
1. The principal purpose of the relationship is the transfer of money, property,
services, or anything of value to the recipient in order to accomplish a public
purpose of support or stimulation authorized by Federal statute;
2. The recipient is to have substantial freedom to pursue its stated program; and
3. Substantial involvement is not anticipated between USAID and the recipient during
the performance of the proposed activity. [See next page for definition of
“substantial involvement.”]
E304.5.1 Selection of Implementation Instruments
When there is a disagreement between the contracting activity and the strategic objective team
on whether the criteria in 304.5.1 indicate that a contract, grant, or a cooperative agreement
shall be utilized to implement a particular USAID program requirement, the Procurement
Executive/Assistance Executive shall make the final determination of the choice of
implementation instrument to be used.
304.5.2 PROHIBITION ON USE OF ASSISTANCE INSTRUMENTS
Assistance instruments (grants and cooperative agreements) shall not be used to provide for the
performance of activities or programs over which USAID foresees a need to exercise a
substantial degree of operational control. Nor shall assistance instruments be used to discharge
responsibilities of the U.S. Government under international agreements because USAID lacks
the ability as a grantor to enforce performance by a recipient. [See next page for definition of
“operational control.”]

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E304.5.2 Prohibition on Use of Assistance Instruments - N/A

304.5.3 EXCEPTION TO POLICY
USAID has a legal right to use a contract in lieu of an assistance instrument, regardless of the
selection criteria in 304.5.1.
E304.5.3 Exception to Policy
See E304.5.1.
304.6 Supplementary Reference - N/A

304.7 Mandatory Reference

Substantial involvement is defined as participation or intervention by the USAID So Team and is
normally limited to the elements described in ADS 303:
 Approval of the recipient’s Implementation Plan
 Approval of specified key personnel
 Agency and recipient collaboration or join participation
o Collaborative involvement in selection of advisory committees
o Concurrence on the substantive provision of subawards
o Approval of the recipient’s monitoring and evaluation plan
o Agency monitoring to permit specified kinds of direction or redirection due to
interrelationships with other projects
 Agency authority to immediately halt a construction activity

Operational control is defined as performing day-to-day oversight of the implementation of the

program and exercise of technical direction.

The Annual Program Statement (APS) can be used instead of Requests for Applications
to fund assistance awards. As described in ADS 303, an APS “shall be used to generate
competition for new awards where USAID intends to support a variety of creative
approaches by the non-governmental community to develop their own methodologies
in assessing and/or implementing activities which are in keeping with strategic
objectives. When issuance of an RFA is not appropriate or practical, an APS shall be
used instead of relying on unsolicited proposals.”

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FUNCTIONAL SERIES 300 INTERIM UPDATE #17

ACQUISITION AND ASSISTANCE

SUBJECT: Choosing Between Acquisition and Assistance Instruments

NEW MATERIAL: This Notice provides tips for FA Teams on choosing between
acquisition and assistance instruments.
EFFECTIVE DATE: 08/17/2000
USAID/General Notice
POLICY M/OP
08/17/2000
Subject: CHOOSING BETWEEN ACQUISITION AND ASSISTANCE
INSTRUMENTS
Part of the duties of Strategic Objective (SO) Team members is to make decisions regarding the most
appropriate type of instrument(s) to be used to implement the various activities under a Strategic
Objective. There is a wide range of implementing instruments available, however, for the most part,
USAID implements activities via acquisition or assistance instruments. This guidance assumes that your
decision has already been narrowed down to either acquisition or assistance. It does not address factors
to be considered when choosing from the larger pool of available implementing instruments. Your
Contracting Officer and/or Legal Advisor should be consulted to assist FA Teams with criteria and
application of implementing instruments outside of the acquisition and assistance arena.
U.S. Government regulations define acquisition and assistance (A&A). These definitions, in and of
themselves, do not provide much help when you are choosing the right mix of instruments to
implement your programs.
USAID has no preference for acquisition instruments over assistance instruments (or vice versa). In June
1998, a General Notice addressing the choices between acquisition and assistance instruments stated,
“The intent of this Notice is to unequivocally state that the Agency does not have a preference on choice
of instrument and that either type of instrument may be structured as results-oriented.” Available
historical award data demonstrates that the usage of assistance awards compared to acquisition awards has
remained a fairly constant collective 55/40 ratio (the remaining 5% being inter-agency agreements).
Experience has largely shown that a Strategic Objective is best achieved by a mix of instruments by taking
advantage of the strong points of the distinct relationships USAID enters into as a result of using either
assistance or acquisition.
ADS 304 assigns responsibility to the FA Team for the initial determination regarding the “...purpose of
the transaction and the intended nature of the relationship.” The Contracting Officer, as a member of
the FA Team, is responsible for “...approving the selection of the proper implementation instrument.”
The Agency Procurement Executive is responsible for making a final determination on choice of
instrument if there is an impasse between the Contracting Officer and the other FA Team members.
Choosing an instrument type is not an exact science and there is no one factor that determines whether
an acquisition or assistance award is the more appropriate instrument for the implementation of an
activity. Rather, the FA Team chooses an instrument by careful and thorough analysis. The following
factors may aid you in the decision-making process:
(1) Nature of the Activity: There are no clear categories of activities that are better suited
for one type of instrument over the other. In fact, at the very earliest stages of activity
planning, the design can be tailored toward the use of either type of instrument. The role

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USAID desires to play in the activity implementation, however, is a key consideration in

selecting instrument type.
With acquisition, USAID states what goods/services/results it wants to buy, then monitors
and evaluates the Contractor’s performance in providing these goods/services/results.
USAID decides the requirements and standards, and frequently provides technical direction
during contract implementation.
By contrast, with assistance, USAID has more limited involvement in the day-to-day
operational control of the activity. The program is largely the Grantee’s/Recipient’s, with
USAID ensuring (prior to award) that the proposed program supports a Strategic Objective.
Example: Where a politically sensitive situation exists, it may be necessary or desirable for
USAID to have more day to day operational control and oversight of the implementation of
a program. If the FA Team believes this level of involvement is needed, acquisition would be
the more appropriate choice of instrument.
(2) Type of Implementing Organization: There are no restrictions with respect to what
type of organization (e.g., PVO, profit-making firms or non-profit organizations) may receive
an acquisition or assistance award. Normally, most profit-making firms propose for
acquisition awards while most non-profit organizations and universities propose for
assistance awards.
It may be that one source of confusion on the “type of implementing organization” is the
May 1995, USAID Policy Principles. These principles set forth an understanding with respect
to choice of instrument as follows: “This Policy Statement applies to the award of grants and
cooperative agreements, which is the preferred method of cooperation between USAID and
the PVO/NGO community. When contracts are solicited by USAID, the FAR/AIDAR
procedures will be used, and PVOs and NGOs seeking such contracts will follow those
regulations.” These statements appeared to be a “commitment” to always use assistance
awards when dealing with the PVO/NGO community. However, this simply means that
USAID anticipates that most of USAID’s engagement with PVOs/NGOs will be through
assistance, but when the correct instrument is a contract, then acquisition rules apply even if
the implementing organization is a PVO/NGO.
There is a basic flaw in interpreting the Policy Principles as guaranteeing the use of
assistance instruments to an organization type: in the Planning Phase (where choice of
instrument is made), it is the activity that is identified - not the organization. Consideration
of the types of organizations that are leaders in a sector and likely to submit proposals for
given solicitation may be one factor in choosing an instrument; however, there is no
practical way to select an instrument based purely on organization type during the Planning
Phase.
The type of implementing organization may come into the decision making process as
follows: If there is a convergence of views among the FA Team (including host country and
other non-USAID representatives) that the preponderance of knowledge and/or expertise
in a given activity is with organizations who usually receive grants, then the FA Team would
use this information as part of the overall consideration. The same thing would hold true if
the expertise were with an organization that generally receives contracts.
(3) Achieving Results: Both acquisition and assistance instruments can be written to achieve
results. With acquisition, the contract can incorporate “performance-based” contracting
methods, and, with assistance, grants and cooperative agreements may be “results-
oriented.” Remedies for failure to achieve stated results and outcomes, although different

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between these instrument types, are available for both acquisition and assistance
instruments.
(4) Sector and Stakeholder Considerations: In general, acquisition and assistance are
equally appropriate instrument types for any sector (e.g., Democracy, Health, Population,
Environment, Education, Energy, etc.). However, FA Teams should scan the environment of
the proposed activity, and answer questions such as “Are there any issues that support the
use of one instrument type use over the other?”
Example: Where there isn’t political will within the host government to reform Institutions
or policies, use of assistance initially may be most appropriate as a means to start building
support for reform since assistance provides a more “hands-off” relationship. Some sectors
may more readily lend themselves to one type of instrument over the other. Humanitarian
Assistance, for example, is often carried out by Public International Organizations (PIOs)
under assistance awards.
(5) Lessons Learned: When a proposed activity is a “follow-on” to an activity being
implemented, FA Teams should carefully evaluate the effectiveness of the instrument type of
the existing award. Even if the current instrument is working well, the FA Team will want
consider the kinds of requirements it needs in the follow-on activity that may lead to a
different instrument for that activity.
(6) USAID Resources: The type of instrument that the FA Team selects has direct
implications on USAID resources. In general, acquisition instruments are more labor
intensive than assistance instruments, requiring more substantial direct USAID support.
When the Team is determining an instrument type, it should pay careful attention to what
resources are available for administration of that instrument.
Example: In a small country program, the FA Team may want to consider whether there is
enough staff to handle both contracts and grants. If staffing is limited, then the FA Team may
need to rely heavily on one or the other depending upon the Strategic Objective. In non-
presence or closeout countries, it’s generally advisable to use assistance only since there is
no staff or diminishing staff in country to provide the type of oversight and support normally
required for administration of contracts.
FA Teams need to consider all factors and issues carefully when it makes its determination of the most
appropriate instrument type. When the FA Team does this, its rationale for choosing a particular
instrument will be well-documented and based upon sound business practices.
This guidance will become a mandatory reference to ADS 304.

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Date:03/05/2007
Subject:Acquisition and Assistance (A&A) Planning for Fiscal Year (FY) 2007
Type:Information
Agency Notice Message:

USAID/General Notice
INFORMATION M/OAA/OD
03/05/2007

Subject: Acquisition and Assistance (A&A) Planning for Fiscal

Year (FY) 2007

As an Agency that implements the majority of its programs through

acquisition and assistance instruments, it is imperative that USAID
undertake appropriate procurement planning. Early submission of A&A
plans to the Office of Acquisition and Assistance (OAA) ensures
that execution of A&A requests are distributed over several
quarters rather than having the vast majority arrive during the
fourth quarter. A massive influx of A&A requests during the fourth
quarter severely jeopardizes OAA's ability to meet client's needs
with regard to A&A customer standards.

Beyond the sound business case for preparing A&A plans, USAID's
current and future partners benefit as well, since data from the
A&A plans are used to update USAID's Business Forecast. This
forecast is published on USAID's public website. This A&A forecast
is a consolidated version of the A&A plans submitted to OAA. The
A&A forecast is a fundamental tool that contains basic information
on acquisitions and assistance anticipated for award during the
fiscal year, long before the actual requirements are formally
advertised. The forecast provides small businesses and potential
new USAID partners additional time to prepare to compete in the
acquisition process, allowing greater time to build teaming and
other arrangements. It has also been very favorably received on
the Hill as an effective method by which our Agency can attract
new partners.

As noted in the General Notice dated 1/11/07, you should not

postpone procurement actions pending approval of the Operational
Plan. You should consider your Operating Unit's most recent
Strategic Plan, as modified by the Operational Plan, to be your
approved Strategic Plan for the purpose of A&A activities. You
should initiate procurement actions based upon this and continue
with procurement actions, up to the point of award, while awaiting
approval of the Operational Plan. Once your Operational Plan is
approved, discuss any needed changes to your A&A plan with your
Contracting Officer.

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FY07 A&A Plans

OAA has established March 16, 2007 as the deadline for Bureaus
and Offices to enter their respective FY 07 A&A plans into A&A
on the Web. The icon appears on the desktop in the corporate
applications folder. A report will be provided to the
Administrator regarding compliance by Bureaus and Offices with
this critical deadline.

In developing your A&A plans, you should use the timeframes set
forth below for each type of A&A action request. These
timeframes represent the average amount of time needed to award
a specific type of action once an acceptable statement of
work/program description is received. If a request is
submitted to OAA after the established cutoff date and the
request wasn't included in your A&A plan, the cognizant
Contracting Officer will negotiate a change to your A&A plan,
possibly substituting the respective action for another action
on your plan. Absent specific guidance from the cognizant CO,
all FY07 requirements must be entered into the NMS Planning
Module application before OAA will accept an action. (For
those offices involved in the GLAS pilot currently underway,
A&A actions should be entered into the Advance Procurement
Plan module of GLAS).

If you have any questions regarding the submission of your

A&A plan, contact your cognizant Contracting Officer. The
Contracting Officer is the focal point for the review and
approval of A&A plans.

TYPE OF ACTION
REQUIRED TO PROCESS

Definitive Contract (Competitive) 245 days

Definitive Contract (Sole Source) 135 days
Cooperative Agreement (Competitive) 150 days
Cooperative Agreement (Non-Competitive) 90 days
Cooperative Agreement Modification 90 days
Grant (Competitive) 150 days
Grant (Non-Competitive) 90 days
Grant Amendment 90 days
Inter-Agency Agreement 50 days
Option Exercise Modification 60 days
Unilateral Modification 10 days
Bilateral Contract Modification 80 days
Personal Services Contract 75 days
Personal Services Contract Modification 50 days
Purchase Order (non-Competitive) 27 days
Purchase Order (Competitive) 30 days

Point of Contact: Any questions concerning this Notice

may be directed to Anne Quinlan, M/OAA/GH, (202) 712-4614.

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USAID Support for Global Development Alliances through a new instrument called a
Public-Private Alliance Collaboration Agreement (PPA CA)

The following excerpts from Acquisition and Assistance Policy Directive (AAPD) 04-16 explain this
funding instrument:

3. GUIDANCE ON ALLIANCES:
The PPA CA is appropriate when:
• A Non-Traditional Partner* will be receiving USAID funds directly,
• The proposed alliance is within the GDA precepts, above, and the alliance program is deemed
appropriate under the terms of the Annual Program Statement
(APS) or Request for Application (RFA),
• There is a compelling reason for the government and non-government funding resources to be jointly
programmed, and
• Other funding/implementing mechanisms have been considered and rejected as unfeasible or
inappropriate
4. ATTACHMENTS:
Attachment 1. Step one, Finding a Partner
Section I. Guidance Regarding Competition, Public Notice & Advertising Requirements for PPAs.
Section II. Guidance Regarding Outreach Efforts
Attachment 2. Step two, Reaching Agreement
Section I. Responsibility and Due Diligence
Section II. Cost Share/Match vs. Leveraging
Section III. Memorandums of Understanding (MOU)
Attachment 3. Step three, Funding the Agreement, including guidance regarding the Public Private
Alliance Collaboration Agreement (PPA CA)

POINT OF CONTACT: Mark Walther, M/OAA/DCHA, (202)712-5719, and Jean Horton, USAID
A&A Ombudsman, (202) 712-1431.

* A non-traditional partner is a private organization offering resources at a leveraged ratio in excess of

one to one, whose principal business purpose is other than foreign development assistance or whose
development assistance purpose was recently established, and who has not routinely received federal
funding under traditional grants and cooperative agreements.

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EXERCISE: Choice of Instrument

Task: Read the mini-scenario(s) assigned to your table and determine which instrument you would
likely use and why.
Time: 10 minutes.

Scenario 1
The USG will fund an election program under a DG strategic objective and wants to support local civic
education NGOs that conduct “get out the vote” campaigns. The USG does not want to be perceived
as having any political bias or direct involvement in the election process.

Scenario 2
Under an environmental SO, USAID will fund local civil society organizations to help neighborhoods
develop their capacity to organize local solid waste disposal activities in the capital city.

Scenario 3
Under a health SO, USAID will fund implementers to train village health workers in child survival
interventions. Several U.S. and local organizations and institutions of higher education are already doing
this type of work, but USAID wants to participate on the implementers’ curriculum advisory committees
in order to help standardize the curriculum and interventions in targeted regions.

Scenario 4
Under an economic growth SO, the USG will fund a project to privatize the state-owned hydropower
industry. The activity will entail close USG oversight to ensure coordination with a U.S. Department of
Energy program and to closely monitor and customize institutional strengthening of the Ministry of
Public Works.

Scenario 5
Under an education SO, USAID will fund a national workforce development activity linked to a potential
regional free trade agreement. USAID expects aspects of the activity to change over time as the free
trade negotiations continue, and anticipates a need for close oversight and management of the
implementer to track with evolving opportunities.

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Scenario 6
Under an environmental program for India the USG will fund a project to reduce air pollution. Pollution is a
huge problem and the funding and expertise the USG possesses in the area of pollution research is limited.
The Indian government, three NGOs and General Motors currently have projects that address the problem
in varying degrees.

Scenario 7
USAID has become aware that North Carolina A&T State University in cooperation with, several NGOs,
Planters food company and Giant Food Stores is working in several African countries to develop new value
added peanut products in order to enhance the profitability of and safer products for the peanut industry.
Peanuts are a major source of income and nutrition in this part of Africa. Under an economic growth
program USAID will fund a project that helps farmers solve local processing problems and diversify market
niches for peanut products.

NOTES:

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True or False?
 A cooperative agreement is a form of acquisition.
 An RFP is used to solicit a grant.
 It is possible for a “for-profit” company to receive a grant.
 You must issue an RFA to competitively award a grant.
 The USG’s role in Assistance is as the donor and funding agency.
 Assistance is an instrument used to achieve results.
 The AO’s performance dispute decision in a grant can be appealed outside the
Agency.

Need to Know:
o The USG wants and needs a broad portfolio of instruments.
o The USG uses both Acquisition and Assistance instruments to
achieve development results and to ensure results reporting.
o ADS 304 provides guidance on Choice of Implementation
Instrument.
o The Public/Private Alliance Collaboration Agreement is a new
obligating instrument developed by USAID for GDA activities.

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Some Fundamental Differences Between Acquisition and Assistance

Characteristic Acquisition Instruments Assistance Instruments
Instrument Type(s) Contract (“Procurement”) Grant
IQC Cooperative Agreement
Purchase Order Leader/Associate
Purpose Purchase for the U.S. Support or stimulate a public
Government’s direct benefit or purpose
use
Results-Oriented? Yes! (Performance-based Yes! (Results-oriented assistance
contracts) instruments)
USAID’s role Purchaser/client Donor/funding agency
Implementer’s role Provide goods or services Implement program
Whose program is it? The U.S. Government’s The recipient’s
Solicitation mechanism Request for Proposals (RFP) Request for Applications (RFA)
Invitation for Bides (IFB) Annual Program Statement (APS
Offer Mechanism Bid or Proposal Application
USAID Officer Contracting Officer (CO) Agreement Officer (AO)
Description of Activity Statement of Work Program Description
Cost-sharing? Rarely Often, but not required. Level
must be “flexible and case
specific”
Competition? Yes. Mandated by Statute Yes. Required by USAID
(Certain exceptions exist) (Certain exceptions exist)
Consider past performance? Yes Yes
Activity Manager’s CO delegates broad technical Limited by regulation to selected
Administrative Authority directions to Cognitive Technical essential aspects, e.g., areas of
Officer (CTO) “substantial involvement” under
cooperative agreements
Basis of Payment Usually fixed price or rate, or Costs
Cost plus fixed fee
Termination Rights For default or unilaterally by For cause, mutually, or due to
USAID for convenience changed circumstances

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NOTES:

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LESSON 15: ROLES AND RESPONSIBILITIES OF CTOS AND

ACTIVITY MANAGERS

Learning Objectives:
 To understand the different roles of CTOs and Activity Managers.
 To understand how these roles and functions may be performed by the same or
different members of the FA Team.

Cognizant Technical Officer (CTO):

The Individual who performs functions that are designated by the Contracting or
Agreement Officer, or are specifically designated by policy or regulation as part of
contract or assistance administration.

Activity Manager:
Member of an FA Team or sub-team who is responsible for the day-to-day
management of one or more specific activities. The Activity Manager is selected by the
FA Team, and may or may not also have the delegated authorities of CTO, whose
authority to carry out contract or assistance management functions are designated by
a Contracting or Agreement Officer.

Exercise: CTO Designation Letter

TASK:
Read the excerpt and answer the following questions with your table
team. Prepare a flipchart with your answers:
 The letter delegates authority to the CTO in what specific areas?
 What are the limitations on the CTO’s authority?
 Identify three specific content areas in the letter that refer to
something you have learned in PFA. Explain why these are
important to successfully carrying out the duties of CTO.

TIME: 15 minutes

NOTES:

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COGNIZANT TECHNICAL OFFICER (CTO) DESIGNATION –

Contract/Task Order Administration

You have been nominated to be the cognizant technical officer (CTO) for administration of the
referenced contract. I accept this nomination and hereby designate you to be the CTO. As CTO, your
first responsibility is to read the entire contract and thoroughly acquaint yourself with the requirements
it places on the contractor, the contracting officer, and the cognizant technical officer…. Your additional
CTO responsibilities are to
 Monitor the contractor’s performance and verify that it conforms to the technical requirements and
quality standards agreed to in the terms and conditions of the contract. Accordingly, your approval of
implementation plans, work plans, or monitoring or evaluation plans must be consistent with the
terms and conditions of the contract. You must document any material deficiencies in the
contractor’s performance and bring them to the immediate attention of the contracting officer (me or
my successor).
Participate in the periodic evaluation of the contractor’s performance and preparation of the
Contractor Performance Report (CPR)….
 Recommend in writing (with justification for the proposed action) to the contracting officer any
changes needed in the scope of the contract, including any changes to technical provisions of the
contract that affect the timing of the deliverables/services or the overall cost-price of the contract
(see 1.A below).

I. DELEGATION
I hereby delegate to you, as CTO, the following authorities…:
A. Technical Directions/Guidance. You may issue technical directions or guidance in accordance with
the terms of the contract. “Technical guidance” under a performance-based contract may be very
limited; if this is a performance-based contract, consult the CO for guidance. “Technical directions”
are interpretations of the technical requirements of the contract and you must give them to the
contractor, in writing, when questions or discrepancies arise. They may be directives to the
contractor that
 Approve workplans, approaches, solutions, designs, or refinements;
 Fill in details or otherwise complete the general description of work or documentation items;
 Shift emphasis among work areas or tasks; or
 Otherwise furnish instruction of a similar nature to the contractor.
Technical directions shall not include any instruction that affects the cost/price or duration of the
contract, or that interferes with the contractor’s rights to perform the terms and conditions of the
contract. In any and all cases, technical directions must be within the scope of the Statement of
Work and comply with the requirements for Technical Directions/Relationship with USAID in
Section G of the contract.
B. Receipt and Inspection. You may receive and inspect completed services or supplies upon delivery,
and verify that they meet the acceptance standards, including time of delivery, specified in the
contract. If the contractor’s services or supplies do not meet the acceptance standards in the
contract, you are responsible for directing the contractor in writing to take appropriate action to

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correct the deficiencies. Should the contractor fail to correct deficiencies, you must advise the CO
so he/she can take appropriate action.
C. Security. You must coordinate with the Office of Security (or its designee) to obtain necessary
security clearances and appropriate identification for the contractor and designated personnel ….
D. Government-furnished Property. You are responsible for ensuring that Government-furnished
property is available to the contractor in a timely manner, if this property is required by the terms
of the contract. You are also responsible for monitoring the contractor’s management of and annual
reporting on this property and any property acquired by the contractor for use in the contract and
titled to either USAID or a cooperating country. Finally, you are responsible for verifying the return
or disposition of Government-furnished property.
E. Financial Management. Although the responsibility for making payments and accounting for funds and
balances rests in the Office of Financial Management (M/FM) or overseas Controller, you must
administer financial management responsibilities by
 Reviewing the contractor’s request for payments (usually the contractor’s vouchers or invoices)
and providing or denying your administrative approval in accordance with the stipulations of the
contract administration plan and the procedures in Automated Directives System Chapter 630,
Payables Management…
 Recommending disallowance of costs to the CO, in accordance with ADS Chapter 630.
 Ensuring that all funding actions comply with the Agency’s forward funding guidelines (ADS 602
and ADS 603 Forward Funding).
 Monitoring the financial status of the contract on a regular basis to ensure that the level of
funding is the minimum necessary.
 Developing an estimate of accrued expenditures on a quarterly basis in accordance with ADS
631, Accrued Expenditures, and instructions from M/FM or the mission controller.
 Initiating a request to the contracting officer to deobligate funds at any point that funding in the
contract is considered excessive (see ADS 621).
 Reviewing any unliquidated obligation balance in the contract, and working with the CO to
deobligate excess funds before beginning to close-out actions (see ADS 621).

II. ADMINISTRATION
A. Communications. Please provide the contracting officer with a copy of the following written
communications, in either electronic or paper copy format, within two (2) working days after you
transmit it to the contractor:
 Technical directions/guidance per #I.A. above,
 All formal communications between you and the contractor re the contractor’s alleged failure
to comply with delivery terms or acceptance standards or both, per #I.B. above,
 Any other written communication of a similar nature that may have an impact on the
contractor’s rights or responsibilities for performing under this contract.
B. CTO Files. As the CTO, you have an important responsibility for establishing and maintaining
adequate CTO files. These files are your primary tools for carrying out your duties and
responsibilities as the CTO for this contract and must document actions you take as CTO.

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Inadequate files will impede your or your successor CTO’s ability to manage the contract and
therefore may jeopardize the program for which it was awarded. These files will also help successor
CTOs to understand your actions as CTO and the reasons behind such actions, as well as to have
adequate documentation for audit purposes.
You are responsible for ensuring that the files contain the following, at a minimum:
 A copy of this CTO designation letter;
 A copy of the contract and all of its modifications;
 A copy of all correspondence between the CTO and the contractor, including property reports;
 Names of technical and administrative personnel assisting the CTO;
 A copy of records of CTO inspections and receiving/acceptance documents, invoices, and other
administrative paperwork and correspondence;
 A copy of other performance records as specified in the contract;
 Documents justifying and supporting Accrual estimates (see ADS 631 Accruals, section 631.3.1
and Additional Help—Accrual Documentation);
 A copy of financial documentation to support their activities in the financial management area
such as the invoice and Administrative Approval Form and Checklist (ADS 630.3.3. and Internal
Mandatory Reference—Administrative Approval Form and Checklist) for all invoices; and
 Budget pipeline analysis documentation.

III. LIMITATIONS
A. Scope of Authority/Avoiding Unauthorized Commitments. Your authority does not include directing
the contractor, either in writing or verbally, to make changes to the contract statement of work, the
terms and conditions of the contract, or the total estimated cost or price of the contract. Only a
contracting officer has the authority to take such actions, which include but are not limited to
making changes that affect
 The delivery schedule or period of performance,
 The quantity or quality of the work,
 The terms and conditions of the contract,
 The monetary (dollar or foreign currency) limit of the contract or the authorization of work
beyond the monetary limit,
 The qualifications of key personnel, or
 The composition of the contract team members, if the contract places specific limits on either
qualifications or the mix of specialists.
If you take actions that only the contracting officer has the authority to take, you may be making an
unauthorized commitment (AIDAR 750.71), which can lead to serious contractual disputes and legal
action that unnecessarily tie up Agency personnel and resources. In the worst case, such
unauthorized actions may result in disciplinary action, particularly if the action is determined to be a
violation of the Anti-Deficiency Act, 31 U.S. C. secs. 1341-1351, which also provides for criminal

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penalties. Actions you take or directions you give must be within the authorities provided in this
designation.
B. Redelegation. You may not redelegate the authorities provided in this memorandum to
approve/disapprove vouchers, provide written interpretations of technical requirements, or to
certify acceptance of goods or services, to any other person. As you carry out your CTO duties,
you may ask others to assist you, but such assistance has limits. For example, you may ask others to
conduct fact-finding, provide you with analyses or interpretations of technical requirements, or
make recommendations to you regarding actions you may take as CTO. However, anyone assisting
you must not take any action that directly affects the contractor’s rights or ability to perform under
the terms of the contract, including (but not limited to) providing interpretations of technical
requirements to the contractor. The ultimate responsibility for any actions taken, by you or others
assisting you, remains with you.
Exception: In your absence, and only in your absence, (See AAPD 04-10, Section 3. GUIDANCE,
subsection (e) “Naming an alternate CTO” ), ____________________ is hereby authorized to act on
your behalf. If this individual is not available to carry out your CTO responsibilities during your
absence, notify the contracting officer as soon as possible and recommend a substitute who can be
designated as CTO for the duration of your absence. To ensure minimal disruptions, please notify
the contractor and the contracting officer as soon as possible when you will be unavailable to
discharge your CTO responsibilities for a period of more than two weeks.
C. Duration of CTO Designation. This designation is effective for the life of the contract or order
referenced on the first page of this designation letter, unless the contracting officer rescinds it in
writing or you resign this position. If you cannot fulfill your responsibilities as CTO for any reason
(e.g., transfer to another post), please notify the contracting officer as soon as possible in order to
ensure the timely designation of a successor.

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COGNIZANT TECHNICAL OFFICER (CTO) DESIGNATION –

Cooperative Agreement Administration

You have been nominated to be the designated representative to provide technical and administrative
oversight of the referenced assistance award. In this letter, I formally accept this nomination and
designate you the Cognizant Technical Officer (CTO) for the award. As the CTO, you are required to
work as part of a team with me (or my successor agreement officer) to ensure that USAID
exercises prudent management over its assistance funds. This letter and the relevant sections of
Automated Directives System (ADS) Chapter 303, “Grants and Cooperative Agreements to Non-
Governmental Organizations,” state the specific duties, authorities, and limitations that accompany this
designation. Your familiarity with ADS 303; 22 CFR 226, “Administration of Assistance Awards to U.S.
Non-Governmental Organizations”; and Contract Information Bulletins (CIBs) or Acquisition and
Assistance Policy Directives (AAPDs) issued periodically that affect your duties as CTO is critical to
your carrying out your responsibilities successfully. You are to maintain frequent liaison and direct
communications with the recipient, but you must understand that the nature of the relationship is that
of supporting their public purpose and not for obtaining the recipient’s technical assistance or services
for USAID.
Properly discharging your duties and responsibilities as a CTO minimizes your risk of facing disciplinary
action. The areas in which you must be particularly cautious involve contracting authority and financial
management, when your improper actions could indicate gross negligence.
 In CA Administration, this involves exceeding your authority as a CTO and taking actions that are
beyond your authority as delegated in this letter. If you have any questions in this area, contact the
AO for advice BEFORE you take any action.
– In Financial Management, your risk increases when you act in a manner that is other than what
would be expected of a reasonable individual.

I. RESPONSIBILITIES
As CTO, your first responsibility is to read the entire cooperative agreement and thoroughly acquaint
yourself with its purpose, terms, conditions, and the respective roles and responsibilities of the
recipient, the agreement officer (AO), and the CTO in ensuring it accomplishes its purpose. You should
also periodically review the cooperative agreement….
The following summarizes your CTO responsibilities:
A. Monitoring. You are responsible for monitoring the recipient’s progress in achieving the objectives
of the Program Description in the subject award and for verifying that the recipient’s activities being
funded by USAID under the referenced award conform to the terms and conditions of that award. If
this award is for $300,000 or more to a non-U.S. organization, this includes the requirement that
the recipient obtain an annual audit.
B. Cooperative Agreement Revisions. You are responsible for making written recommendations to the
AO when any changes to the Program Description, technical provisions, and/or any other term or
condition of the award are necessary, along with a justification for the proposed action.
C. Substantial Involvement. You are responsible for any USAID substantial involvement specifically
delegated to the CTO in the schedule of the cooperative agreement in the section entitled
“Substantial Involvement” or as delegated below: (List here)

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D. Financial Management. Although the responsibility for making payments and accounting for funds and
balances rests in the Office of Financial Management (M/FM) or overseas Controller, you must
administer financial management responsibilities by
 Ensuring that all funding actions comply with USAID’s forward funding guidelines (ADS 602,
Forward Funding of Program Funds).
 Reviewing the recipient’s request for payments or financial reports and providing or denying
your administrative approval if required by the procedures in ADS Chapter 630.
 Monitoring the financial status of the award on a regular basis to ensure that the level of funding
is the minimum necessary.
 Developing accrued expenditures on a quarterly basis in accordance with ADS 631, Accrued
Expenditures, and instructions from M/FM or the mission controller…. You are to do this using
information on hand and must not interpret this requirement as authority for requesting any
additional financial reports from the recipient.
 Reviewing financial status reports for U.S. organizations with letters of credit to monitor
financial progress, contacting the recipient for further explanation if questions arise regarding
the appropriateness of expenditures, and contacting the agreement officer if not satisfied with
the recipient’s explanation.
 Initiating a request to the agreement officer to deobligate funds if at any point it is apparent that
the amount of available funds is more than will be necessary to complete the cooperative
agreement activities (see ADS 62).
 Monitoring recipient compliance with the requirement for them to obtain any host country tax
exemptions for which they are eligible; and
 Upon completion of the work under the award, reviewing any unliquidated obligation balance in
the award and working with the agreement officer to deobligate excess funds before beginning
close-out actions (see ADS 621).
E. Security. You must coordinate with the Office of Security (or its designee) to obtain necessary
security clearances… for the recipient and designated personnel.

II. ADMINISTRATION
A. Communications. ADS sections 303.5.13 and E303.5.13 contain the policies and procedures for our
joint administration of grants and cooperative agreements. Agreement officers are the mandatory
control point of record for all official communication that would constitute an amendment to the
award; therefore, please ensure that you provide me, within two business days after you transmit it
to the recipient, a copy of any communications between you and the recipient that may lead to an
amendment to the award or that may affect the recipient’s rights or responsibilities under this
cooperative agreement.
You are responsible for reviewing all performance and financial reports for adequacy and
responsiveness and for requesting that I take the necessary action when these reports are not
submitted, are inadequate, or indicate a problem.
B. CTO Files. As the CTO, you have an important responsibility for establishing and maintaining
adequate CTO files. These files are your primary tools for carrying out your duties and
responsibilities as the CTO for this cooperative agreement and must document actions you take as

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CTO…. These files will also help successor CTOs to understand your actions as CTO …, as well as
to have adequate files for audit purposes.
You are responsible for ensuring that the files contain the following, at a minimum:
 A copy of this CTO designation letter;
 A copy of the cooperative agreement and all of its amendments;
 A copy of all correspondence between the CTO and the recipient;
 The names of technical and administrative personnel assisting the CTO;
 A copy of records of CTO approvals, invoices and other financial documents, and other
administrative paperwork and correspondence;
 The basis for the CTO’s accrual estimates (see ADS 631 Accruals, section 631.3.1 and
Additional Help – Accrual Documentation);
 A copy of financial documentation to support their activities in the financial management area
such as the SF-269 (ADS 630.3.3.4); and
 Budget pipeline analysis documentation.

III. LIMITATIONS
A. Scope of Authority/Avoiding Unauthorized Commitments. Your authority does not include making
any changes in the Program Description, the terms and conditions of the award, or the total
estimated budget. You must not exceed the limitations provided in the Substantial Involvement
provisions. You may not require the recipient to make any changes in staffing. I must caution you
that actions you take or directions you give beyond the authorities provided in this memorandum or
in ADS 303 may create unauthorized commitments under the award. Any such unauthorized actions
can lead to serious disputes and legal action that unnecessarily tie up Agency personnel and
resources. In the worst case, you may be subject to disciplinary action….
B. Redelegation. You may not redelegate the authorities or responsibilities contained in this
memorandum to any other person. As you carry out your CTO duties, you may ask others to assist
you, but such assistance has limits. For example, you may ask others to conduct fact-finding or make
recommendations to you regarding actions you may take as CTO. However, anyone assisting you
must not take any action that directly affects the recipient’s rights or ability to carry out the
program for which the CA was awarded.
Exception: In your absence, and only in your absence, (See AAPD 04-10, Section 3. GUIDANCE,
subsection (e) “Naming an alternate CTO”), ___________________ is hereby authorized to act on
your behalf. If this individual is not available to carry out your CTO responsibilities during your
absence, notify the AO as soon as possible and recommend a substitute who can be designated as
CTO for the duration of your absence.
C. Duration of CTO Designation. This designation will remain in effect for the life of the award unless
the AO rescinds it in writing or you resign this position….

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DIFFERENCES BETWEEN USAID ACTIVITY MANAGERS AND CTOS

Activity Manager Cognizant Technical Officer (CTO)

Nominated by

Designated by

Authority Delegated
from
Responsibility

When designated

Certifications

Mini-Exercise: True or False?

 The CTO is responsible for security clearance for contractors’ personnel.

 The CTO approves contractors’ daily rates.
 The CTO may assign his or her assistant as a temporary CTO during leaves of
absence.
 The CTO of a grant should approve the annual implementation plan of the grant.
 The CTO has the authority to disallow payment.

Need to Know:
o For each acquisition or assistance instrument, a Contracting Officer
or Agreement Officer must designate a person to be the Cognizant
Technical Officer (CTO).
o In order to serve as Cognizant Technical Officer, the individual must
receive the formal letter of designation from the Contracting Officer
or Agreement Officer.
o FA Teams may designate one or more Activity Managers who are
core FA Team members to “manage a broad range of relationships
between USAID and partner organizations.”
o The CTO and Activity Manager functions are distinct, but could be
undertaken by the same individual.

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CTO RESOURCES

ACQUISITION/ASSISTANCE MANAGER
FAR Federal Acquisition Regulations
AIDAR USAID Acquisition Regulations
AAPDS Acquisition and Assistance Policy Directives
CIBs Contract Information Bulletins
ADS 302 Direct Contracting
ADS 303 Grants and Cooperative Agreements to Non-Governmental Organizations
OMB Circulars:
 A-110: Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher
Educations, Hospitals, and Other Non-profit Organizations
 A-122: Cost Principles for Non-Profit Organizations
 A-133: Audits of States, Local Governments, and Non-Profit Organizations
USAID Standard Provisions for U.S. Nongovernmental and Non-U.S. Nongovernmental Organizations

FINANCIAL MANAGER
ADS 591 Financial Audits of USAID Contractors, Grantees and Host Government Entities
ADS 592 Performance Audit
ADS 592 Audit Management Program
ADS 601 Funding Source Policy
ADS 602 Forward Funding Program Funds
ADS 603 Forward Funding Non Program Funds
ADS 621 Obligations
ADS 631 Accrued Expenditures

RESOURCE MANAGER
CNs Congressional Notifications
The “A” Words:
Appropriation, Apportionment, Allocation, Allotment, Allowances

PROPERTY MANAGER
ADS 534 Personal Property Management Overseas

RECORDS MANAGEMENT
CIB 90-12 Guidance for USAID Missions Closing Out Contracts, Grants and Cooperative
Agreements.
ADS 502 USAID Records Management Program

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NOTES:

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LESSON 16: THE BUDGET PROCESS

Learning Objectives:
 To introduce the program-funded accounts managed by the Director of Foreign
Assistance and understand the implications of those different accounts.
 To know some key aspects of the budget cycle and the interdependencies among
the Operating Unit, the Agency, State/F, OMB, and Congress in determining the
Operating Year Budget (OYB).

Overview:
All USG Agencies follow the same budget guidance coming out of OMB: OMB Circular
A-11. All USG Agencies are following the same deadlines that are established therein
and in all Agencies, the budget process is informed by multiple actors. In all Agencies,
choices are made about competing programs that usually result in a request that is less
than the sum of all the little submissions.

As part of the foreign assistance reforms, USAID’s budget process is managed by

State/F, in order to coordinate the use of all foreign assistance funds to advance
foreign policy goals. State/F submits the foreign assistance budget request to OMB
where it is combined with all the budgets from all the other Agencies and Departments
in the U.S. Government. After review, OBM sends us a Passback, we send a reclama
(from the Latin for complaint – an appeal really), final levels are established, and this
becomes the Presidents Budget Request.

For the first time, the FY2008 Foreign Operations budget process integrated State and
USAID budget planning against the new strategic framework. “Allocation Teams” for
each country, composed of representatives from State and USAID regional and
functional bureaus, used input from Country Teams, foreign policy guidance,
information about the status of each country’s performance, and the new Strategic
Framework for U.S. Foreign Assistance, to allocate initial FY2008 budgets. The Allocation
teams worked within hard budget parameters at the aggregate account level
determined by the Director of Foreign Assistance to craft the break-out of the funds by
objective area and element. Initial allocations were reviewed on a regional basis by
leadership from both State and USAID regional and functional bureaus, and presented
to the Secretary by region.

Policy priorities and related budget requests were presented to the Secretary by the
regional Assistant Secretary, with support from the relevant functional Assistant
Secretaries and regional and functional Assistant Administrators. This allowed the
Secretary, Director of Foreign Assistance, and other senior leadership to evaluate
budget proposals and priorities on the basis of a comprehensive, coordinated, and

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coherent picture of how all foreign assistance resources would be used to achieve the
transformational diplomacy goal in each country and the region overall. In short, this is
where each Operating Unit’s “number” came from. While this process is more top-
down than in the past, the new process managed by State/F took field and Bureau
inputs into account and utilized these inputs in a more strategic and coherent inter-
agency process for programming foreign assistance.

What are the different funding accounts used to program foreign assistance?

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The type of account determines the purposes for which the money may be obligated.
There are also constraints on the use of funds according to when they may be
obligated. For example:

 One-year appropriation - available for obligation during a specific fiscal year.

Operating Expense (OE) funds are one-year money.

 Multi-year appropriation - available for obligation for a definite period of time in

excess of one year

 No-year appropriation - has no statutory limitations on when the funds may be

obligated and expended (usually identified by appropriation language such as “to
remain available until expended” or “without fiscal year limitation”).

Although most USAID funds come from accounts that are multi-year appropriations
(usually for 2-years), and most State funds are between one and three years,
participants should refer to their Program Officer or Controller to be certain, or refer
directly to the legislation.

Keeping in mind that each account could have an “expiration” date, funds within
each account are further classified as:
 NOA funds – New Obligation Authority (i.e., new funds)
 Carryover funds – Explain that these are 2-year funds. Funds that are being “carried”
over to the 2nd year. This usually means they must be obligated by the end of the
fiscal year (30 September) since you are now in year 2. Check with your Program
Officer to be certain.

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Agency Planning/Budgeting/Reporting
Cycle
At any point in time, the USG is reporting, implementing,
justifying and planning on 4 different fiscal years.

FY 2006 FY 2007 FY 2008 FY 2009

If we are here, then….

Justifying Planning FY2009
Reporting on FY Implementing FY2008 budget budget through
2006 results FY2007 budget To Congress Annual Report
process

program project management training

Need to Know:
o Funds carry constraints regarding both how and when they can be
obligated.
o The Budgetary Cycle involves many actors who may reflect
conflicting perspectives on how U.S. taxpayer dollars should be
spent.
o The budget process is affected as much by politics as by
performance. Good performance is not always rewarded with
funding.

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LESSON 17: FINANCIAL MANAGEMENT

Learning Objectives:
 To understand key financial management terms.
 To understand some of the CTO and FA Team’s financial management
responsibilities.
 To test your knowledge about an Operating Unit’s financial and budgetary
concerns by answering a list of Frequently Asked Questions.

Financial Management Terms and Definitions

Accrual: The estimated cost of goods and/or services or other performance received
but not yet paid for by the Agency. Accruals are calculated for specific agreements
and help provide current information on the financial status of an activity (or group of
activities), agreement, or program. In the case of construction, they may be based on
percent completed. (See ADS Series 600 for a more technical discussion of this term)
Disbursements: Payments made using cash, check, or electronic transfers.
Disbursements include advances to others as well as payments for goods and services
received and other types of payments made. (ADS 631.6)
Expenditures (Also called Accrued Expenditures): The sum total of disbursements and
accruals in a given time period. These are typically calculated for specific agreements,
activities, and programs. Expenditures are estimates of the total cost incurred by the
Agency for a given agreement, activity, or program. Also referred to as accrued
expenditure. (See ADS Series 600 for a more technical discussion of this term)
Mortgage: A claim on future resources, which has been authorized in the Operating
Unit’s Management Agreement; the difference between the total authorized level of
funding and the cumulative total amount of funds obligated to a particular strategic
objective, intermediate result, or activity.
Obligation: A written agreement between USAID and another party for which USAID has
financial and management responsibility to make payment for delivery of goods or
services. An obligation occurs through SOAgs between USAID and host governments,
through the execution of contracts, grants or purchase orders to organizations, or by
the use of an Agency credit card.
Pipeline: The amount of funds obligated but not expended; the difference between
cumulative obligations and cumulative expenditures, including accruals.

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Snapshot of Financial Management Concepts

LIFE OF AWARD FUNDING Fill in the Correct

Definition
A._____________
10 10 10 10 10 B. _____________
C._____________
D._____________
a. Agreements signed
b. Funds not yet obligated E._____________
F._____________
c. Payments made d. No payment yet

3 2 5

e. Goods and services delivered f. Funds not yet expended

Exercise: Applying Financial Management Terminology

Task: Fill in the blanks in the Financial Management graphic above as the Instructor
reads the scenario. When everyone at your table has finished, discuss your answers
with your table team.

Time: 10 minutes.

NOTES:

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PIPELINE ANALYSIS:
Determine your pipeline in dollars and months if you are in the 3rd year of a 5-year SO
and your expenditures are $4 million, $6 million, and $8 million respectively. Each year
your SO was obligated $10 million. (Use the graphic to complete the question)

Pipeline Analysis

LIFE OF SO FUNDING

10 10 10 10 10

Estimated
12 x Total Pipeline
Accrued Expenditures = Pipeline in
Average Expenditure
Months

4 6 8

12 x =

Pipeline

EXERCISE: Calculating Pipeline in Months

Task: Use the information above and provided by the Instructor to calculate pipeline in months
(instead of a dollar amount.)
Time: 10 minutes

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Need to Know:
Everyone, not just CTO or the CO, should become familiar with key
financial management terms and concepts.
The FA Team, along with the Controller’s Office, should periodically
review the status of all obligated funds and make necessary
adjustments to ensure that these funds are used in a timely manner or
are de-obligated if no longer needed.
Expect to be audited.
Risk assessments enable operating units and FA Teams to develop
controls that reduce vulnerabilities. FA Teams should ask 3 questions:
1. Have all the risks been identified?
2. Do the controls cover the risks?
3. Are the controls working?

o Anti-Deficiency Act (a useful web site of the Naval Sea Systems

Command with links to key sections of the ADA) -
[http://www.navsea.navy.mil/sea01p/ada/list.htm]

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NOTES:

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LEARNING JOURNAL:
LESSONS 12 – 17
o How can key messages and learning objectives be applied in
my work programming foreign assistance?

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PERFORMANCE MONITORING
AND EVALUATION
LESSON 18: PERFORMANCE MANAGEMENT

Learning Objectives:
 To recognize the need for an on-going system for performance management in
the context of foreign assistance reform
 To know that effective program management is based on data.
 To review how a performance management plan organizes data collection and
monitoring processes, including evaluations.
 To understand the importance of quality standards for data and performance
indicators

Steps in Developing a Performance Management Plan

Step 1: Step 2: Step 3: Step 4: Step 5: Step 6:

Review Develop Identify data Collect Establish Plan for

results performance source and baseline data performance other
statements indicators collection and verify targets assessing and
method quality learning
elements

 What is a PMP and what information does it contain?

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State/F Uses the Following Types of Indicators:

Type of Indicator Standard Measure Tell Agency Story

Program
Perform-
ance
Context indicators for Yes No Yes; provide a context for
Functional Objectives why we
and Program Areas (e.g. provide assistance
GDP/Cap, Child Mortality
rate). Collected by third
party such as Heritage or
IMF.
Custom indicators No Yes No
(Advocacy index of CSO
Coalitions; Improve and
integrate acute-flaccid-
paralysis surveillance with
surveillance for other
infectious diseases).
Collected by USAID or
implementers.
Standard Indicators for Yes Only with Yes, but we’re not entirely
the Program Hierarchy difficulty sure how we’ll use them. TBD
An OU must track if they
have a particular type of
program. These are the
new “standard
indicators” for our revised
strategic planning
process.
Humanitarian Assistance Yes Yes Yes
Indicators on Crude
Death Rate and
Nutritional Status of
Children Under-Five

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Exercise: Choosing an Indicator

Task: Decide upon a Performance Indicator for one of the results

statements in your Costa Brava Results Framework.
Process/Deliverable:
o Select one result and determine a performance indicator that will
help you measure progress.
o As a table, write the result and indicator on a sheet of paper that
you can pass to a colleague table.
o Include the information below to describe your proposed indicator.
Time: 10 min.

RESULT:

INDICATOR:

INDICATOR TYPE (qualitative or quantitative; whether it’s an index, check list, milestone
scale, etc.):

WOULD YOU DISAGGREGATE THE DATA for THIS INDICATOR? IF SO, HOW
(e.g., by age group) and WHY?

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Exercise: Applying Quality Standards to an Indicator

Task: Assess whether a Performance Indicator meets quality standards.

Process/Deliverable:
o Pass the result and indicator flipchart page to a colleague table.
o Determine whether the indicator meets the quality standards by
filling out the assessment tool below.
Time: 10 min.

NOTES:

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PERFORMANCE INDICATOR QUALITY ASSESSMENT TOOL

Indicator:_________________________________________________________________
Relevant Result:__________________________________________________________

Characteristics of Good Performance Indicators Yes No COMMENTS

203.3.4.2
Is the indicator OBJECTIVE?
Is there general agreement about what is being
measured?
Bonus: Is there general agreement about how to
interpret positive or negative changes in the data?
Is the indicator PRACTICAL?
o Are timely data available (i.e., is data current and
available on regular basis)?
Is the Indicator USEFUL FOR MANAGEMENT?
o Is it appropriate to the level of decision-making?
Is the indicator DIRECT?
o Does it closely measure the result it is intended to
measure?

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Is the Indicator ATTRIBUTABLE TO USAID EFFORT?

o If there had been no USAID activity, would the
measured change have been different?
Is the Indicator TIMELY?
o Is this data reported when needed to make
decisions?
o Is the data reported on a U.S. Fiscal Year basis?
Is the indicator ADEQUATE?
o Does this indicator attempt to capture all
achievements towards the results statement? (It
doesn’t need to, since indicators are not full
descriptions of everything achieved.)
o Bonus: Taken as a group, are all the indicators for
this result statement the minimum necessary to
capture progress toward the given result?

Discussion Question: What are the five data quality standards?

1.
2.
3.
4.
5.

Need to Know:
o Performance management is the systematic process of monitoring
the results of activities; collecting and analyzing performance
information to track progress toward planned results; using
performance information to inform program decision making and
resource allocation, and communicating results achieved, or not
attained, to advance organizational learning and tell the USG’s
story.
o A Performance Management Plan is a tool used by an Operating
Unit and FA Team to plan and manage the process of assessing and
reporting progress towards achieving an approved objective.

o Performance Management Toolkit – [www.usaidresults.org]

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NOTES:

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Instructions for Completing the Performance Indicator Reference Sheet

Objective:
Prerequisite Result:
Indicator: Enter the full title of the indicator. Is this an Annual Report Indicator? ___Yes ___No
DESCRIPTION
Precise Definition(s): Define the indicator more precisely, if necessary. Define specific words or elements
within the indicator as necessary.
Unit of Measure: Enter the unit of measure (e.g., number of…, percent of…, US dollars, etc.).
Disaggregated by: List planned data disaggregations (male/female, youth/adult, urban/rural, region, etc.)
Justification/Management Utility: Briefly describe why this particular indicator was selected and how it will
be useful for managing performance of the FA Team’s portfolio.
PLAN FOR DATA ACQUISITION BY USAID
Data Collection Method: Describe the tools and methods through with the data will be collected.
Method of Acquisition by USG: Describe the form in which the FA Team will receive the data (e.g., periodic
monitoring report, compiled survey analysis report, etc.)
Data Source(s): Identify who is responsible for providing the data to the USG (e.g., implementing partners,
M&E contractor, specific FA Team member, etc.).
Frequency/Timing of Data Acquisition: Describe how often data will be received by Operating Unit, and
when.
Estimated Cost of Data Acquisition: Estimate the cost (in dollars and/or level of effort) of collecting the
data.
Responsible Individual(s): Identify the specific FA Team member who will be directly responsible for
acquiring the data.
DATA QUALITY ISSUES
Date of Initial Data Quality Assessment: Enter the date of initial data quality assessment and the responsible
party.
Known Data Limitations and Significance (if any): Describe any data limitations discovered during the initial
data quality assessment. Discuss the significance of any data weakness that may affect conclusions about
the extent to which performance goals have been achieved.
Actions Taken or Planned to Address Data Limitations: Describe how you have or will take corrective action,
if possible, to address data quality issues.
Date of Future Data Quality Assessments: Enter the planned date for subsequent data quality assessments.
Procedures for Future Data Quality Assessments: Describe how the data will be assessed in the future (e.g.,
spot checks of partner data, financial audit, site visits, software edit check, etc.).
PLAN FOR DATA ANALYSIS, REVIEW, & REPORTING
Data Analysis: Describe how the raw data will be analyzed, who will do it, and when.
Presentation of Data: Describe how tables, charts, graphs, or other devices will be used to present data,
either internally within the FA Team or Operating Unit, or externally to Washington or other audiences.
Review of Data: Describe when and how the FA Team or Operating Unit will review the data and analysis
(e.g., portfolio review, mission internal review, activity-level reviews with implementing partners, etc.)
Reporting of Data: List any internal or external reports that will feature data for this indicator (e.g.,
Operational Plan, report to ambassador, activity manager’s report, etc.)
OTHER NOTES

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Notes on Baselines/Targets: Explain how the baselines and targets were set and identify any assumptions
made. If baselines and targets have not been set, identify when and how this will be done.
Location of Data Storage: Identify where the data will be maintained in the Operating Unit (specific
computer files or hard storage area, etc.)
Other Notes: Use this space as needed.
THIS SHEET LAST UPDATED ON: mm/dd/yy
To avoid version control problems, enter the date of most recent revision to the reference sheet.

NOTES:

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LESSON 19: EVALUATIONS

Learning Objectives:
 To distinguish between performance management and evaluation.
 To know the kinds of management needs that should drive the decision to
evaluate.
 To learn that useful evaluations are based on well thought out scopes of work.

Performance Monitoring vs. Evaluation

Performance Monitoring Evaluation

Whether results are being achieved Why/how results are being achieved

On-going, routine Occurs during or at the end of an

activity, based on evaluation purpose

A process that involves: A structured inquiry to answer

management questions about:
–Identifying indicators, baselines
and targets - Validity of hypothesis
–Collecting results data - Unexpected progress
– Comparing performance against - Stakeholder needs
targets - Sustainability
- Impacts
- Lessons learned

program project management training

NOTES:

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Exercise: Using PMP Data to Design an Evaluation

Task: Determine the focus and participants in an evaluation.

Process/Deliverables:
1. Read the background information in the Evaluation Worksheet.
2. Review the data collected against the performance indicator.
3. Using the information in the graphs and in the Evaluation Worksheet
below, decide as a group:
 The title of your proposed evaluation
 The research question(s) such an evaluation should be designed to
answer.
 Who should participate on the evaluation team, and why
4. Fill out the worksheet upon reaching a decision.
Time: 15 min.

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Capacity Building Activity

300 Women
Number of Representative Positions

Minority Group A
250

Minority Group B
200
Majority Group

150
Total #
Representatives
100

50

0
1994 1995 1996 1997 1998 1999 2000
Date

es
tiv
A

ta
B

en
p

up

p
u

s
ro

ro

ro

re
G
G

ep
it y

ty

it y
en

R
ri
or

or
om

l#
o
in

aj
in
r

ta
ea

To
Y

1994 12 26 7 134 179

1995 15 32 7 128 182
1996 26 34 6 129 195
1997 70 48 9 109 236
1998 72 62 9 96 239
1999 69 77 8 84 238
2000 70 86 9 78 243

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Evaluation Worksheet
Objective: More representative and accountable democracy achieved in Costa Brava

Prerequisite Result: Inclusion of women and disadvantaged groups increased in municipal

government positions

Indicator: Number of women and disadvantaged groups in representative positions at municipal

level (disaggregated by gender, ethnicity)
BACKGROUND
Purpose of activity: Civic education on municipal governance roles and responsibilities, procedures,
and election process to increase representation of women and disadvantaged groups on Costa
Bravan municipal councils.
Present status of activity: See graphs for multi-year data on activity results
PURPOSE OF EVALUATION: To inform the design of future activities under a new but similar D/G
Objective
Proposed Evaluation Title based on your research question(s) below:

RESEARCH QUESTION

Research question(s) evaluators need to answer:

Who should conduct the evaluation? Why?

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Need to Know:
o An evaluation is a relatively structured, analytical effort undertaken
to answer specific program management questions.
o The decision to evaluate should be driven by management need.
o USAID Evaluation results must be submitted to the Center for
Development Information and Evaluation (CDIE).

NOTES:

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LESSON 20: PORTFOLIO REVIEWS AND INTENSIVE PROGRAM

REVIEWS

Learning Objectives:
 To know how to conduct a portfolio review
 To understand how the portfolio review is relevant to other assessment tools (i.e., the
Operational Plan and Annual Performance Report)
 To cite how information contained in a portfolio review can be used in decision-
making.

Operating Units and FA Teams should consider examining the following items during the
course of a fiscal year as part of their portfolio review process:
 Progress towards the achievement of results during the past year, and expectations
regarding future results achievement
 Evidence that outputs of activities are adequately contributing to the achievement
of approved objectives
 Adequacy of inputs for producing activity outputs and efficiency of processes
leading to outputs
 Status and timeliness of input mobilization efforts (such as receipt of new funding,
procurement processes, agreement negotiations, staff deployments, etc.)
 Status of critical assumptions (i.e., whether they continue to hold) and causal
relationships defined in the Results Framework, along with the related implications for
performance
 Status of related partner efforts that contribute to the achievement of results
 Pipeline levels and future resource requirements
 FA Team effectiveness and adequacy of staffing
 Vulnerability issues and related corrective efforts

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NOTES:

Need to Know:

 A Portfolio Review is a periodic review of all aspects of an

Operating Unit or FA Team’s programs, often held in
preparation for submission of the Annual Report.
 A Portfolio review provides an opportunity for the entire USG
team at post to prepare for the Operational Plan.

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LESSON 21: ANNUAL REPORTING & CLOSE-OUT REPORTS

Learning Objectives:
 To understand how the Annual Performance Report is used for different USG
purposes
 To know the components of the Annual Performance Report.
 To know the reporting procedures for activities not covered in an Annual
Performance Report.
 To understand when it is necessary to create a project Close Out Report.

NOTES:

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Need to Know:
o The Annual Performance Report feeds into the GPRA requirement
for an annual Performance and Accountability Report. The Director
of Foreign Assistance will also use information from the APR for his
Annual Report on Foreign Assistance.
o FA Teams must produce a brief “close out” report for each project
that is completed or terminated.
o The close-out report is the last performance narrative for the entire
life of the project, summarizing the overall experience in achieving
intended results as well as providing references to related materials
and sources of information.
o The close out report is included as a special annex to the Annual
Performance Report.

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LEARNING JOURNAL:
LESSONS 18 – 21

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PFA SCAVENGER HUNT

Question Answer
How many core values do the
Department of State and USAID have?
What is an Operating Unit?
What do the lines in a Results Framework
represent?
What are the Pillar Bureaus?
Who approves an Op U’s Operational
Plan?
What is the difference between an output
result and an outcome result?
Who ultimately selects the implementing
instrument?
Who may be an FA Team Leader?
Name the inherently governmental
functions that FSNs, LESs, TCNs and
PSCs may not carry out.
What’s the primary difference between
Acquisition and Assistance?
What is Substantial Involvement?
What’s the definition of pipeline and how
is it expressed?
Who grants administrative approval of
vouchers?
What is the meaning of, “Directly,
predictably, and without delay”
When must an Operating Unit prepare a
PMP?
How frequently must a Mission conduct a
data quality assessment?
How often must an Operating Unit
conduct a data quality assessment?
How frequent are Intensive Program
Reviews?

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ANNEX L: Glossary from the FY 2007 Operational Plan Guidance

Annual Procurement Plan: An Operating Unit’s plan that identifies all procurement
actions in a fiscal year.

Accruals: Expenses incurred but not yet paid. Also called accrued expenditures.

Bilateral Agreements: An agreement between the US government and the host country
government.

Cash-Transfers: Includes only direct cash transfers to Host Country Governments.

Central/Functional Implementing Mechanism Location – Select this option if the

procurement action is taking place in one of the Functional Bureaus at the Agency
headquarters. This would include field support (USAID) to a functional bureau
managed activity, MAARDS (USAID) to a functional bureau managed activity, buy-ins
to functional bureau managed activities, task orders to functional bureau managed
activities and PASA activities.

Central/Regional Implementing Mechanism Location – Select this option if the

procurement action is taking place in one of the Regional Bureaus at the Agency
headquarters. This would include field support (USAID) to a regional bureau managed
activity, MAARDS (USAID) to a regional bureau managed activity, buy-ins to regional
bureau managed activities, tasks orders to regional bureau managed activities and
PASA activities.

Cooperative Agreement: A legal instrument used where the principal purpose is the
transfer of money, property, services or anything of value to the recipient in order to
accomplish a public purpose of support or stimulation authorized by Federal statute
and where substantial involvement by the USG is anticipated.

Contract: A mutually binding legal instrument in which the principal purpose is the
acquisition, by purchase, lease, or barter, of property or services for the direct benefit or
use of the Federal government, or in the case of a host country contract, the host
government agency that is a principal, signatory party to the instrument.

Component areas: The distinct types of work that are undertaking in support of the
purpose of an implementing mechanism. These answer the question of how we will be
supporting the Program Elements and sub-elements outlined in the Foreign Assistance
Standardized Program Structure and Definitions. Includes: Capital, Commodities,
Construction/Infrastructure, Operations Support, Technical Assistance, and Training.

Core Teams: The Washington-based teams, which consist of members from State and
USAID geographic and functional (pillar) bureaus, led and managed by the Core Team
Lead. The Core Teams serve as a communication link with the field on USG policies and
technical expertise affecting the country programs.

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Core Team Leads: The F staff member that manages the Core Team. In addition to
leading and managing the Core Team, the Core Team Lead facilitates direction on
foreign assistance planning and policies for USG agencies in Washington and at Post.

Country Teams: The USG interagency in-Country Team in the field headed by the U.S.
Ambassador.

Developing Countries: States with low or lower-middle income, not yet meeting MCC
performance criteria, and the criterion related to political rights.

Direct Contract: With this mechanism, the Foreign Assistance resources are more
closely managed and the achievement of outputs and results are generated through
contract instruments where the USA is a direct party with the implementing entity and
USG procurement rules and practices are used (e.g., Federal Acquisition Regulations).
Includes direct USG Contracts. The important point is that the program/activity
implementer has a direct relationship with the responsible USG Operating Units.

Direct Grant/Cooperative Agreement: With this mechanism, the Foreign Assistance

resources are more closely managed and the achievement of outputs and results are
generated through agreement or grants instruments where the USA is a direct party
with the implementing entity and USG procurement rules and practices are used (e.g.,
Federal Acquisition Regulations). Includes Grants, and Cooperative Agreements, USG
Interagency Agreements such as PASA’s, RSSA’s, and CASU’s. The important point is
that the program/activity implementer has a direct relationship with the responsible
USG Operating Units.

Host government managed: With this mechanism, the host government enters into a
bilateral agreement with the USG Operating Unit (e.g., USAID’s Strategic Objective
Agreements) and then utilizes host government procurement rules and practices to
execute the program/activity, maintain accountability standards and achieve results.
Instruments include: Host Country Contracts and Grants, Fixed Amount
Reimbursements, Performance Disbursement Agreements, Public Sector Commodity
Import Programs, Public Sector Credit/Loan Programs, and Operational Grants.

Foreign Assistance Coordination and Tracking System (FACTS) Data System: The
information system designed to capture Operational Plans and performance reporting
data for foreign assistance.

Faith-Based Organization (FBO): Nonprofit institutions that have a religious character or

mission.

Fast-Track countries: Countries selected to produce Operational Plans and 5-year

Strategic Plans covering both USAID and State assistance for FY2007.

Field/Bilateral Implementing Mechanism Location – Select this option if the procurement

action is taking place in the country where the Operational Plan is being formulated.
This includes local mechanisms such as, contracts or grants with the host country

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government, Associate Awards (USAID), and in-country RFA/RFP/RFC that is not yet
awarded.

Field/Regional Implementing Mechanism Location – Select this option if the

procurement action is taking place in one of the Field Regional Platforms.

Foreign Assistance Framework: A framework that details the overarching foreign

assistance goal, foreign assistance Objectives, accounts, illustrative Program Areas,
category definitions, end goals, and graduation trajectory.

Functional Core Teams: The teams that serve as primary advisors on technical
approaches to program design and best practices.

Glide path: The desired or prescribed path to reach a goal.

Higher Education Institution: University or college.

Host Government Agency: An agency that is run by the government of the country in
which a program is run.

Implementing Mechanism: A unique contract, agreement, grant, or other instrument

between one USG Agency and one partner that relates to the Program Elements.

Implementing Partner: The organization/vendor that has the contractual relationship

with the USG Agency and is undertaking the work.

Minority Serving Institution: Historically Black Colleges and University (HBCUs), Hispanic
Serving Institutions (HSIs), and Tribal Colleges and Universities (TCUs).

Multi-Lateral Organization: An organization that has as its members more than two
countries.

New Obligation Authority: Funds appropriated in the current fiscal year.

Non Governmental Organization (NGO): Non-profit organizations that are not affiliated
with a government entity or agency and operates outside of institutionalized political
structures.

Obligation: A term of appropriations law that means some action that creates a
definite commitment, which creates a legal liability of the government for the payment
of funds for specific goods or services ordered or received. The practical consequence
is reservation of a specific amount of available funding for a specific recipient or
project-executing agent.

Operating Expenses: Costs related to personnel, other administration costs, rental, and
depreciation of fixed assets. Includes costs from program fund accounts as well as
Operating Expense accounts.

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Operational Plan: An Operational Plan details the implementation plan for foreign
assistance funding of a specific fiscal year.

Operating Unit: An Operating Unit is the organizational unit responsible for

implementing a foreign assistance program for one or more elements of the Foreign
Assistance Framework and thus is writing an Operational Plan for the expenditure of
funds and the achievement of results. For the purpose of the FY 2007 Operational Plan
Guidance an Operating Unit includes all USG Agencies implementing any funding from
the relevant foreign assistance accounts (the 150 accounts) in the Fast Track countries
where a joint Operational Plan is to be prepared, as well as USAID offices in the field
and Bureaus/offices in Washington where USAID is preparing them alone. Next year,
Operating Units will include other USG Agencies as well and will include the joint
preparation of Operational Plans by Washington bureaus in State and USAID.

Organization: A vendor or host country institution; an organization becomes a partner

by being selected by a USG Agency as either a prime or a sub partner.

Other USG direct: With this mechanism, the Foreign Assistance resources are more
closely managed and the achievement of outputs and results are generated through
instruments where the USA is a direct party with the implementing entity and USG
procurement rules and practices are used (e.g., Federal Acquisition Regulations).
Includes those that cannot be classified into one of the 3 direct categories listed above.

Parastatal: A company or agency owned or controlled wholly or partly by the

government.

Pipeline levels: The amount of funds obligated, but not expended; the difference
between cumulative obligations and cumulative expenditures, including accruals.

Prime partner: An entity which receives funding directly from, and has a direct
contractual relationship (Contract, cooperative agreement, grant, etc.) with the USG
agency.

Private Contractor: An organization or person that is hired to implement USG programs.

Program Areas: Program area is a mutually exclusive and exhaustive category. This is a
very broad level cut at the different segments of foreign assistance, for example,
Health, Environment or Counter Narcotics. Program Areas can be funded by more
than one appropriation account.

Program Elements: A Program Element is a category within the major Program Areas.
Program Elements are mutually exclusive and exhaustive categories and reflect the
different elements that make up a Program Area. An example would be HIV/AIDS
within Health, Business Enabling Environment within Private Sector Competitiveness, or
Alternative Development and Alternative Livelihoods within Counter Narcotics.

Program Sub-Elements: A Program Sub-Element is a category within each Program

Element. Program sub-elements are mutually exclusive and exhaustive categories and

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reflect the different sub-elements that make up a Program Element. An example would
be Preventing Mother-to-Child Transmission within HIV/AIDS, Property Rights within
Business Enabling Environment, or Farmer/Community Group Support within Alternative
Development and Alternative Livelihoods.

Prorating: The breaking down of comprehensive activities into parts that can then be fit
into multiple different Program Areas, Elements, and Sub-Elements.

Rebuilding Countries: States in or emerging from and rebuilding after internal or external
conflict.

Regional/Global Programs: Activities that advance the five Objectives outlined in the
Foreign Assistance Framework that transcend a single country’s borders, and are
addressed outside of a country strategy.

Re-programming process: The request and approval of changes to an Operational

Plan, after the plan has been approved by F.

Restrictive Countries: States of concern where there are significant governance issues.

Strategic Objectives (SOs): The most ambitious result that a USAID Operating Unit, along
with its partners, can materially affect, and for which it is willing to be held accountable.
SOs can be designed for an Operating Unit to provide analytic, technical, logistical, or
other types of support to the SOs of other Operating Units (whether bi-lateral, multi-
country, or global in nature).

Strategic Plan: Brief documents that concisely capture the five year planning horizon
and strategic direction of an Operating Unit’s foreign assistance programs as
articulated in the Foreign Assistance Framework.

Sub-partner: An entity which receives funding from a prime partner.

Sustaining Countries: States with upper-middle income or greater for which U.S. support
is provided to sustain partnerships, progress, and peace.

Third party managed: With this mechanism funds are provide to third party entities and
it utilizes its procurement rules and practices to execute the program/activity. The USG
Operating Unit does not use Federal Acquisition Regulations. In short, the USG relies on
the management practices of the Third Party to maintain accountability standards and
produce results. These mechanisms may be governed by a bi-lateral agreement
between the USG Operating Unit and the host government or by an agreement directly
between the USG Operating Units and the third party. Instruments include: Grants to
Public Int’l Org.’s, Enterprise Funds, Private Sector Commodity Import Programs, GDA,
DCA-Guarantees, Mixed Credits, Endowments, etc.

Transformational Diplomacy: Helping to build and sustain democratic, well-governed

states that will respond to the needs of their people and conduct themselves
responsibly in the international system.

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Transforming Countries: States with low or lower-middle income, meeting MCC

performance criteria, and the criterion related to political rights.

“USG Agency: An agency run by the United State’s government.

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State/F’s “Sushi Menu”

Sushi Menu

Budget
Year

TOTAL
1 Peace & Security
1.1 Counter-Terrorism
1.1.1 Deny Terrorist Sponsorship, Support and Sanctuary
1.1.2 De-Legitimize Terrorist Ideology
1.1.3 Governments’ Capabilities
1.1.4 Program Support (Counter-Terrorism)
1.2 Combating Weapons of Mass Destruction (WMD)
1.2.1 Counter WMD Proliferation and Combat WMD Terrorism
1.2.2 Program Support (WMD)
1.3 Stabilization Operations and Security Sector Reform
1.3.1 Operations Support
1.3.2 Disarmament, Demobilization & Reintegration (DDR)
1.3.3 Destruction and Security of Conventional Weapons
1.3.4 Explosive Remnants of War (ERW)
1.3.5 Immediate Protection of Civilians in Conflict
1.3.6 Defense, Military, and Border Restructuring, Reform and Operations
1.3.7 Law Enforcement Restructuring, Reform and Operations
1.3.8 Program Support (Stabilization)
1.4 Counter-Narcotics
1.4.1 Eradication
1.4.2 Alternative Development and Alternative Livelihoods
1.4.3 Interdiction
1.4.4 Drug Demand Reduction
1.4.5 Program Support (Narcotics)
1.5 Transnational Crime
1.5.1 Financial Crimes and Money Laundering
1.5.2 Intellectual Property Theft, Corporate Espionage, and Cyber Security
1.5.3 Trafficking-in-Persons and Migrant Smuggling
1.5.4 Organized and Gang-related Crime
1.5.5 Program Support (Crime)
1.6 Conflict Mitigation and Reconciliation
1.6.1 Conflict Mitigation
1.6.2 Peace and Reconciliation Processes
1.6.3 Preventive Diplomacy
1.6.4 Program Support (Conflict)

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2 Governing Justly & Democratically

2.1 Rule of Law and Human Rights
2.1.1 Constitutions, Laws, and Legal Systems
2.1.2 Judicial Independence
2.1.3 Justice System
2.1.4 Human Rights
2.1.5 Program Support (Rule of Law)
2.2 Good Governance
2.2.1 Legislative Function and Processes
2.2.2 Public Sector Executive Function
2.2.3 Local Government and Decentralization
2.2.4 Anti-Corruption Reforms
2.2.5 Governance of the Security Sector
2.2.6 Program Support (Governance)
2.3 Political Competition and Consensus-Building
2.3.1 Consensus-Building Processes
2.3.2 Elections and Political Processes
2.3.3 Political Parties
2.3.4 Program Support (Political Competition)
2.4 Civil Society
2.4.1 Civic Participation
2.4.2 Media Freedom and Freedom of Information
2.4.3 Program Support (Civil Society)
3 Investing in People
3.1 Health
3.1.1 HIV/AIDS
3.1.2 Tuberculosis
3.1.3 Malaria
3.1.4 Avian Influenza
3.1.5 Other Public Health Threats
3.1.6 Maternal and Child Health
3.1.7 Family Planning and Reproductive Health
3.1.8 Water Supply and Sanitation
3.2 Education
3.2.1 Basic Education
3.2.2 Higher Education
3.3 Social and Economic Services and Protection for Vulnerable
Populations
3.3.1 Policies, Regulations, and Systems
3.3.2 Social Services
3.3.3 Social Assistance
4 Economic Growth
4.1 Macroeconomic Foundation for Growth
4.1.1 Fiscal policy
4.1.2 Monetary policy
4.1.3 Program Support (Macro Econ)

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4.2 Trade and Investment

4.2.1 Trade and Investment Enabling Environment
4.2.2 Trade and Investment Capacity
4.2.3 Program Support (Trade)
4.3 Financial Sector
4.3.1 Financial Sector Enabling Environment
4.3.2 Financial Services
4.3.3 Program Support (Financial Sector)
4.4 Infrastructure
4.4.1 Modern Energy Services
4.4.2 Communications Services
4.4.3 Transport Services
4.4.4 Program Support (Infrastructure)
4.5 Agriculture
4.5.1 Agricultural Enabling Environment
4.5.2 Agricultural Sector Productivity
4.5.3 Program Support (Agriculture)
4.6 Private Sector Competitiveness
4.6.1 Business Enabling Environment
4.6.2 Private Sector Productivity
4.6.3 Workforce Development
4.6.4 Program Support (Private Sector)
4.7 Economic Opportunity
4.7.1 Inclusive Financial Markets
4.7.2 Policy Environment for Micro and Small Enterprises
4.7.3 Strengthen Microenterprise Productivity
4.7.4 Inclusive Economic Law and Property Rights
4.7.5 Program Support (Econ Opportunity)
4.8 Environment
4.8.1 Natural Resources and Biodiversity
4.8.2 Clean Productive Environment
4.8.3 Program Support (Environment)
5 Humanitarian Assistance
5.1 Protection, Assistance and Solutions
5.1.1 Protection and Solutions
5.1.2 Assistance and Recovery
5.1.3 Program Support (Protection)
5.2 Disaster Readiness
5.2.1 Capacity Building, Preparedness, and Planning
5.2.2 Mitigation
5.2.3 Program Support (Disaster Readiness)
5.3 Migration Management
5.3.1 Protection and Assistance
5.3.2 Institutional Support and Capacity-building
5.3.3 Program Support (Migration)

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Post Event Training Survey:

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This survey will be open for one week after the last date of your course. This
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USAID Training Registration - Washington, DC

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