Guidance for FY 2008 Operational Plans and FY 2007 Performance ReportsOffice of the Director for U.S. Foreign Assistance
INSTRUCTIONS FOR ENTITIES INVOLVED IN STATE DEPARTMENT FOREIGN ASSISTANCE PROGRAMS
Table of Contents
I. Performance Report
II. Budget Distribution
III. Support Documents and Other Reporting Requirements
IV. Endorsement Memo
I. Updating FY 2007 Performance Reporting Information
II. Operational Plan Details
III. Support Documents
IV. Endorsement Memorandum
The purpose of the Operational Plan is to provide a comprehensive, interagency picture of how foreign assistance resources received by an Operating Unit will be used to support the foreign assistance objectives and the Transformational Diplomacy goal2. Operational Plans are expected to strengthen the link between funding, activities and desired results and to collect standardized data about foreign assistance programs. These data will provide a basis for comparing and evaluating country, program and partner progress in helping to achieve the Transformational Diplomacy goal. Such comparative performance data will enable leadership and decision-makers in the field and in Washington to make appropriate adjustments to promote and incentivize progress toward the Transformational Diplomacy goal.
Additionally, the Operational Plans describe the tactics that an Operating Unit will employ to maximize the effectiveness of USG foreign assistance resources. It is critical for the U.S. Government to be able to explain these tactics to stakeholders. The data obtained from the FY 2007 Operational Plan, for example, enabled us to answer numerous inquiries from the Congress, Office of Management and Budget (OMB), and other important stakeholders. In addition to capturing valuable data and information (which is used to fulfill mandatory reporting requirements), Operational Plans also help to answer the following five questions: 1) Who receives U.S. foreign assistance? 2) How much assistance do they receive? 3) What activities are being undertaken? 4) What are the expected results of these activities? and 5) How do those results advance U.S. foreign assistance objectives and the Transformational Diplomacy goal?
The completion of the FY 2007 Operational Plans now provides a basis for exploring those questions.
The purpose of the Performance Report on FY 2007 is to capture the results that have been achieved in each Operating Unit by the end of FY 2007. Information from this report will be used in Agency-level documents such as the annual performance plan and annual financial report, as well as by technical specialists at both State and USAID, as they examine past performance to assess future plans. It is expected that in most cases, results by the end of FY 2007 will be those achieved only during that fiscal year. Guidance on how to address this issue will be covered below in the section on the Program Element narrative.
Operating Units should be cognizant of how the Operational Plan and Performance Report fit into a longer-term strategy for their country or unit. While we are not asking for a strategy document with this submission, we will be asking for a three-to-five-year strategic contextual overview from select Operating Units in the 2008 calendar year.
What’s New This Year
In addition to the changes resulting from the After-Action Review of the FY 2007 Operational Plans, performance information is also requested this year. As performance is a key consideration in determining what future plans should entail, performance must be taken into account as Operating Units plan for the next year. In putting together the Operational Plan, reviewing / assessing performance data should be the first step, as it is critical that each Operating Unit understand their programs’ and partners’ performance as they formulate the implementation of the next year’s activities. Additionally, this performance information will be used in the FY 2009 Congressional Budget Justification3 and as part of the FY 2009 Joint State/USAID Summary and Highlights presentation.
1. A Two-Phased Approach to Submission
Phase I Overview
Phase II Overview
For a detailed list of the data to be sent in with each phase, see Annex II.
2. Reductions in Required Data
The amount of data being collected for the Operational Plan has been reduced. For more information on what was reduced and why, see the Summary Report of the FY 2007 Operational Plan After-Action Review, available on the F intranet site. Below are examples of the adjustments:
3. Rationalizing the Process
In addition to reducing the data collection, we have also attempted to rationalize the timing and the process. Adjustments include:
4. Other Changes
5. Supplemental reference material for Phase I will be available on or before October 1, 2007 and for Phase II on or before January 15, 2008. Annex III provides a list of the Supplemental references.
Organization of this Guidance
This guidance is divided into two parts and an annex:
Part A describes the Phase I requirements, including the Performance Reporting and the Budget Distribution.
Part B describes the Phase II requirements, including the more detailed information needed to complete the full Operational Plan.
Because Phase I and Phase II include some overlapping information, you may notice that some items are repeated in different parts of the guidance. This is done to ensure that the information can be found when needed.
Finally, the Annexes are intended to provide greater detail on how to comply with this guidance. In addition to other information, the annexes include suggestions for preliminary preparations (Annex IV), support available from Washington (Annex V), and additional instructions on how to prepare the individual sections of the Operational Plan and Performance Report. They also include the Operational Plan Coordinator role (Annex VI), Reprogramming Guidance (Annex VII), and a description of the Washington Review process (Annex VIII).
There are several pieces of data required in Phase I, including:
For a detailed list of data to be sent in with each phase, see Annex II. Those Operating Units that did not submit an FY 2007 Operational Plan will not be submitting performance report information this year.
Please refer to Annex IV as a resource on recommendations for preliminary preparations for both Operational Plan and Performance Report.
I. Performance Report
All Operating Units that submitted FY 2007 Operational Plans are required to report on results achieved during FY 2007.
A. Performance Indicators
1. Quantitative Results
In the Phase I submission, Operating Units are required to report on the results achieved against both standard and custom indicators at the Program Element level (see Annex IX for more detailed indicator guidance). In addition, Operating Units must make any adjustments to FY 2008 targets, such as ensuring that the targets for the end of FY 2008 include what will be accomplished with all sources of funding (see Annex X), not simply FY 2007 NOA. As indicators are no longer being collected at the Implementing Mechanism (IM) level, Operating Units will not report on IM results.
Three levels of indicators measure the progress of foreign assistance programs. The indicators correspond to Foreign Assistance Standardized Program Structure and Definitions (provided as a Supplemental Reference), which describes broad categories of programs. The indicators are organized in the following categories: (1) Functional Objective level; (2) Program Area level; and (3) Program Element level (see Supplemental Reference: List of Standard Indicators for Use in FY 2008 Operational Plans for the full set of indicators). The indicators at the Functional Objective and Program Area level are outcome and impact level indicators, tend not to be attributable to USG assistance only, and are established by F, which has consulted extensively with State and USAID experts on their selection. These indicators are collected primarily through third party sources and therefore do not require input from Operating Units. The indicators and associated data can be found at http://ppc.usaid.gov/esds/facts.cfm.
Program Element level indicators, the largest category of indicators, are a combination of output and outcome level indicators. These standard indicators measure the direct, intended results attributable to USG-supported programs, projects and activities, within a defined time period and with a discrete effort. (In some cases, other players may be involved. See the Glossary, Annex XI, for a definition of attribution).
Operating Units set targets to be attained during a stipulated time frame for the Program Element level indicators. In most cases, the relationship between what is done (the activity) and what is achieved (the results) is simple and straightforward. The indicators and targets at the Program Element level are selected by the Operating Unit from a list of standard indicators. As the majority of the standard indicators capture outputs, it is difficult to determine from these indicators alone, whether activities have achieved outcome/impact results. For example, having more children enrolled in school does not necessarily mean that student learning has improved.
In the Performance Report on FY 2007, Operating Units have the opportunity to report on outcomes and impact by: 1) describing the results achieved in the indicator narrative (see below); and/or, 2) adding an Operating Unit specific (custom) outcome indicator at the Program Element level.
The following performance information should, as applicable, be provided by Operating Units:
Targets not Met: If there is a significant deviation between the FY 2007 targets set and the results achieved, this should be discussed in the appropriate narrative box. The consequences of failures or successes of Program Elements on achieving the goals for the Program Area should also be discussed in the narratives for the Program Area (Part A. I.B.3). Operating Units must explain what will be done to address the challenges and overcome the difficulties.
Indicators for the Congressional Budget Justification: State and USAID are working on a set of indicators to be included in the FY 2009 Congressional Budget Justification (CBJ). These indicators are derived primarily from the FACTS standard indicators and Objective/Program Area indicators. Operating Units must report on the standard indicators, if they apply to the Operating Unit, in Phase I. This is true regardless of whether or not the Operating Unit set targets for these indicators. In the event that Operating Units set targets and were unable to reach those targets, they must explain the reasons why, as required by the Office of Management and Budget. Data for the Objective and Program Area level indicators is collected by F and Operating Units will not be asked for data on these indicators. The list of CBJ indicators will be sent separately.
Indicators for the Program Assessment Rating Tool: Like the CBJ indicators, indicators for the Program Assessment Rating Tool (PART) are derived primarily from the FACTS standard indicators and Objective/Program Area indicators. The list of PART indicators will be sent separately.
Data Quality Assessments: A data quality assessment is required on all data reported to Washington. Follow your Agency’s guidance for completing and maintaining records on data quality assessments. (USAID/ADS 203 [http://www.usaid.gov/policy/ads/200/203.pdf] provides information on data quality assessments.)
2. Indicator Narrative & Qualitative Information
An indicator narrative box is provided at the Program Element level. This narrative box can be used to explain results, discuss why FY 2008 targets are being adjusted, or further explain why FY 2007 actuals differ from targets. The narrative section may also include qualitative information that links resources to results, particularly where the standard indicators do not capture the outcomes expected.
3. Linking Results to Key Issues
In the FY 2007 Operational Plan, Operating Units were asked to provide budget figures for each Implementing Mechanism for cross-cutting Key Issues. However, Operating Units were not given the opportunity to tie those budget figures to results nor to justify budget attributions. This year, Operating Units should describe their Key Issue achievements or provide numerical measures of performance in the narrative box discussed later in this guidance in Part A.I.B.2.
B. Performance Narratives
The purpose of the performance narratives, described below, is to articulate the results, lessons learned, gaps, or obstacles faced within each of the Program Areas, Program Elements and Key Issues. This will give Washington a better understanding of what has been achieved, as just collecting numerical results does not give a full story of what has been accomplished and overcome. It is important that in those narratives you describe gaps in country performance that were addressed during FY 2007. Performance narratives are not required for Program Areas and Program Elements under which the only funding is for personnel and related costs under Program Support. However, we do expect to see performance narratives if funding was spent on Program Design and Learning or Host Country SI Capacity.
1. Program Element Achievements in FY 2007
Operating Units are requested to write a narrative that describes the achievements for each Program Element. Operating Units are encouraged to provide unclassified, but candid, detail on the performance within their Program Elements as of September 30, 20078 attributable to U.S. assistance expended in FY 2007.
Topics that should be discussed include:
See the checklist in Annex XII for a full discussion of possible subjects for the Program Element narrative.
In addition to discussing the topics referenced above, Operating Units must explain how performance demonstrates progress/lack of progress in the Program Element. The discussion should describe the specific causes of targets not being met, rather than giving generic statements, such as ‘the targets were overly-ambitious.’ If grantees/contractors are responsible for not meeting the targets, indicate what is being done to improve implementation going forward. Likewise, an explanation should be supplied for those indicators which have greatly exceeded their targets. If Operating Units have added indicators that were not part of the FY 2007 Operational Plan, describe how those indicators add to the explanation of program achievement.
If the Operating Unit is submitting performance results to the Office of the U.S. Global AIDS Coordinator (OGAC) (Country Operational Plan (COP) and Mini-COP countries only9), please include a brief statement, under the HIV/AIDS Program Element performance narrative, explaining how the HIV/AIDS program related to the rest of the country program. Please see Annex XIII for further guidance for both President's Emergency Plan for AIDS Relief (PEPFAR) and President's Malaria Initiative (PMI) funding.
2. Key Issue Achievements in FY 2007
Key Issues refer to Administration and Congressional priorities, cross-cutting areas such as gender, civil society, and counter-terrorism, and sectoral foci such as biodiversity or micro-enterprise. Key Issues may also be used to capture expected funding in areas of interest to the State Department and USAID. The Key Issues also help describe why the Operating Unit is working in certain Program Elements, as the Program Elements themselves reflect what is being done. It is mandatory that you report on FY 2007 achievements for all Presidential Initiatives your Operating Unit contributes towards. See Supplemental Reference: Key Issues from 2007 Operational Plan for a complete list of Key Issues. Please adhere to the definitions when making selections. Note: The list and definitions are slightly different than the list provided in Annex XIV.
Provide a narrative discussing FY 2007 results achieved. If the issue is cross-cutting in nature, discuss the results in terms of cross-cutting achievements at the Program Element level. For example, for increased gender equity the result might be stated as: Efforts in small business development, combined with USG supported advancements in legal protection, have allowed women’s participation in the market to grow by over 50 percent in one year alone.
3. Program Area Achievements in FY 2007
For each Program Area, describe the major achievements for the fiscal year. In this section, describe achievements for Program Area performance which show the progress of the Program Elements under that Program Area. Describe how individual Program Element achievements have helped or hindered progress in the Program Area and prospects for achieving long-term impact. Clearly discuss the problems, challenges, and results achieved. Indicators used earlier may be referenced and explained, and/or long-term outcome measures may be discussed to demonstrate the progress being achieved. Discuss how the achievements in the Program Area are contributing to moving the country to the next country category or graduating countries to sustaining partner status, with the idea that the USG would continue to play a role in concert with host nations and other partners.
4. Operating Unit Performance Summary for FY 2007
In this section, synthesize the fiscal year achievements. Each Operating Unit should report on the main efforts in each Program Area to advance Transformational Diplomacy. The Operating Unit Performance Summary for FY 2007 may be posted on external websites; Operating Units should draft this section accordingly. In this section, submit only unclassified, non-sensitive information that can be shared with the public.
Topics to include:
Annex XV contains the full Operating Unit Performance Summary Checklist, which provides information that may be included in this section where appropriate. If Operating Units have an external website they would like to direct people to, include the website address at the end of this section.
II. Budget Distribution
Using the Budget Distribution template10, Operating Units should distribute the funding amount that has been provided down to the Program Sub-Element level (without the Implementing Mechanism information). There will be some below-the-line items (i.e., Global Peacekeeping Operations Initiative, etc.) which are items that are not included in the Standardized Program Structure and Definitions but which we will need for 653(a) consultations with Congress. If any reclama is being requested, follow the guidance below listed under Support Documents.
If your Operating Unit receives contingency/emergency funds (Emergency PL 480, Migration and Refugee Assistance [MRA], Transition Initiatives [TI], Emergency Refugee & Migration Assistance [ERMA] or International Disaster/Famine Assistance [IDFA]), these funds will not be included in the Phase I control numbers and so will not need to be included in the budget distribution. If your Operating Unit receives funding from a supplemental appropriation, that funding will not be included in the Phase I control number but will be added to Operational Plans as the funding is decided.
Please ensure that funds related to program funded administrative support and oversight are properly allocated between the Cross-Cutting Program Support and Analysis Objective, which is the sixth Objective, and the five Functional Objectives. For information on this topic see Annex XVI, Operating Unit Management Costs and Program Support.
Following the Phase I review, an approval memo will be completed. The F approval memo will include the FY 2008 budget distribution by Account, USG Agency and Program Sub-Element. This memo will permit funds to be allowed against the approved Phase I budget submission subject to legally allowable limits and restrictions; thus, Operating Units will be able to begin programming funding, up to levels allowed by OMB under a continuing resolution or prior to the 653(a) consultations.
III. Support Documents and Other Reporting Requirements
The following Support Documents should be uploaded with the Phase I submission, as applicable for each Operating Unit.
A. Required Support Documents
1. Environmental Compliance
The status of environmental compliance is a mandatory USAID requirement. Each Operating Unit must review the approved 22 CFR 216 document in place on each of their projects that expended funds during the previous fiscal year. To meet this reporting requirement, each USAID Operating Unit must include a brief summary sentence on the status of 22 CFR 216 compliance in the Operating Unit Performance Summary and must complete the Supplementary Reference: Environmental Compliance template, which will be available in the Help section of FACTS. This template includes the following information for each "project" within the Mission: a) Project name; b)Type of 22 CFR 216 Determination that was approved by the Bureau Environmental Officer (BEO) for the project (Categorical Exclusion, Negative Determination, Environmental Assessment); c) The date the BEO approved the Determination or most recent Amendment and the date it will expire; and d) A note as to whether compliance issues were encountered and, if so, what actions were taken to resolve the compliance issue.
For additional information about this required support document, contact Jim Hester (JHester@usaid.gov).
2. Disability Report
All USAID Operating Units must report on several disability-related issues including the efforts being made to remove any barriers to the participation of people with disabilities (PWDs) in the Operating Unit’s activities. Agency Operating Units will respond to four disability-related questions.
Please use the template available in the Supplementary Reference: Reporting on People with Disabilities. For additional information about this required support document, contact Robert Baker (RBaker@usaid.gov).
3. Initiative to End Hunger in Africa (IHEA)
For those USAID Operating Units with IEHA programs in Africa, including those managed by EGAT and DCHA, fill out and upload the IEHA templates which will be available in the Supplementary Reference: Initiative to End Hunger in Africa template. For additional information about this required support document, contact Jeff Hill (firstname.lastname@example.org).
4. Global Development Alliances (GDAs)
Understanding the full picture of what is being undertaken through Global Development Alliances is a priority for the USAID Acting Administrator. Therefore, Missions and Operating Units must accurately report on these partnerships in order to determine the amount of non-USG funds leveraged and the full scope and investments of our development programs. Data to be collected include alliance name, location, USAID obligation, Partner in-kind and cash contributions, and a short description of each alliance. For additional information about this required support document, contact Katie Carroll (email@example.com).
5. Evaluation List
Submit a list of evaluations completed in FY 2007, including title and the associated Functional Objective. For additional information about this required document, contact Janet Kerley (firstname.lastname@example.org).
6. Acronym List
Submit a list of each acronym used in the Performance Report and the full title.
B. Optional Support Documents
1. Budget Reclama
Recognizing that budget allocations to Program Areas may not reflect the most recent circumstances in-country (such as recent donor programs, political change, emergency situations, and pipeline issues) or most up-to-date needs from a regional or global perspective, Operating Units may propose an alternate allocation to their FY 2008 levels as necessary. Please note that this alternate proposal cannot affect the overall Operating Unit level or account levels. Proposed allocations are to be submitted at the same time as the Phase I Operational Plan. To propose a different allocation, fill out the same Excel Spreadsheet used to fill in the budget distribution. Please label the file with the word "Reclama". In addition to the Excel Spreadsheet, please provide a brief Word document that justifies and explains the requested reclama. Any reclamas will be reviewed concurrently with your Phase I submission.
2. Classified Annex
Please ensure that the Operational Plan and Performance Report do NOT contain any information considered to be classified. While the Operational Plans and the Performance Reports are not intended to be public documents, the system through which they will be submitted is not a classified system and should not be used to transmit classified information. If the Operating Unit is not able to fully articulate the required information because it is classified or too sensitive in nature, please submit the requisite information through a Classified Annex. The Classified Annex should be submitted to the Operating Unit’s F Point of Contact through classified email. The F Point of Contact will ensure that the Classified Annex is reviewed with the other data. The due date for any Classified Annex is the same as the Phase I submission.
IV. Endorsement Memo
Prior to submission, all Operating Units must conduct a senior leadership review and obtain endorsement of the Operational Plan and Performance Report. It must be submitted with the signature of the appropriate authority:
The Chief of Mission is to send his/her 1-3 page memo that endorses the division of resources between Program Elements and USG Agencies across the portfolio, the allocation of budget to Program Sub-Elements, and the validity of performance data. This memo is an opportunity to highlight any shifting Operating Unit political, developmental, and security situations and the impact they may have had on the FY 2007 performance. It is also an opportunity to highlight notable achievements and to indicate support for any changes in the allocation of resources received in the planning budget that is proposed. The memo should be written in Word and subsequently uploaded into the FACTS database system. For more information, please see Supplemental Reference: Template for Endorsement Memo.
The endorsement memo is not intended for distribution outside USAID and State and will not be posted on either Agency’s website. It will be distributed to USAID and State employees on a need to know basis and sent to the USAID Development Experience Clearinghouse for archiving. Classified material should only be reported via a classified system.
I. Updating FY 2007 Performance Reporting Information
For those Operating Units that completed Performance Reports during Phase I, updates will be allowed during Phase II. Operating Units with updates to their FY 2007 results may provide this information during the Phase II submission. This could include updating the quantitative results and/or the narrative results, as needed.
II. Operational Plan Details
Please refer to Annex IV as a resource on recommendations for preliminary preparations for Operational Plans.
A. Overview Information
1. Program Element Plan for FY 2008
The Operating Unit’s budget plan identifies the Program Elements to receive funding. For each Program Element, describe the needs and gaps to be addressed and what will be accomplished at the Program Element level over the next five years. This narrative should read as an integrated presentation, with the following sections:
a. Program Element – Description
For each Program Element, provide a narrative that:
Information should be entered for all mechanisms that will be active in FY 08, including those that are not expected to receive FY 08 NOA. If there is a multi-sector effort to which this Program Element contributes, describe it here (or reference the other Implementing Mechanism ID number).
If an Operating Unit is submitting a PEPFAR COP or Mini-COP to OGAC, please include a brief statement, under the HIV/AIDS Program Element Planning narrative, about how the HIV/AIDS program relates to the rest of the country program.
b. Program Element – Work of Non-USG Participants
For each Program Element, describe what is being undertaken with non-USG funds by other donors, private organizations (non-profit or for profit), or the host country government in this Program Element. To assist us with the OMB Program Assessment Rating Tool (PART) effort, state how activities are being coordinated across these different participants. Where relevant, describe auxiliary resources from non-USG participants (see d below for further information).
For the Program Support Element "Administration and Oversight", there is no requirement to include this narrative.
c. Program Element - Discussion of USG Participant(s)
For each Program Element describe the various programs USG Agencies are implementing to address this Program Element. The narrative should include information on how USG Agencies are collaborating to achieve short-term results with FY 2008 funds and long-term results under this Program Element. Information should be included for all USG Agencies working in that Program Element (unless they are explicitly mentioned elsewhere in the Operational Plan), including MCC Compact or MCC Threshold programs. This is the one place in the Operational Plan where it is appropriate to discuss the distinct Agencies working under this Program Element so that we can understand the totality of what the USG is providing in a country. If only one USG Agency is supporting this Program Element, please state that in this section. Where relevant, describe auxiliary resources from USG participants (see d below for further information).
For the Program Support Element "Administration and Oversight", there is no requirement to include this narrative.
d. Auxiliary Resources
For each Program Element, include, where known, any information on auxiliary resources that are intended to be leveraged during FY 2008. This entry consists of two boxes, one for estimated dollar amounts and one for a drop down of the type of auxiliary resources leveraged. For the list of types of auxiliary resources, and for additional information on auxiliary resources, see Annex XVII. Note: this information may be provided at either the Element level or Implementing Mechanism level, depending on which is more appropriate. If you provide auxiliary resource information at this (the Program Element) level, do not also report the same resources at the Implementing Mechanism level, to avoid double counting.
Quantitative Targets: Operating Units are required to set targets for both the end of FY 2008 and the end of FY 2009, against standard indicators at the Program Element level. Operating Units may also include custom indicators at the Program Element level. Targets are required for both years for any custom indicators included.
Program Element level indicators are a combination of output and outcome level indicators. These standard indicators measure the direct, intended results attributable to USG-supported programs, projects and activities, within a defined time period and with a discrete effort. (In some cases, other players may be involved. See the Glossary, Annex XI, for a definition of attribution.)
Allowable Entries: Until and unless the Operating Unit can set a target for an indicator, do not make any entries for the indicator. Targets are set by taking into account different circumstances and the amount of funding allocated to the Program Element.
Prior to setting targets in the Operational Plan, please carefully read Annex X: Target Setting. It contains important information on the distinction between the two target time periods asked for (end of FY 2008 and end of FY 2009), as well as very useful information on how to set good targets.
For each Program Element selected, one of three choices is required for the indicator targets:
Indicator Narrative: An indicator narrative box is provided at the Program Element level. This narrative box can be used to explain or discuss anything related to targets, including anomalies that may not be obvious when looking at the targets. The narrative section may also include qualitative information that links resources to expected results, particularly where the standard indicators do not capture the outcomes expected.
2. Program Area Plan for FY 2008
Please provide one narrative for each Program Area where the Operating Unit is working. For most Operating Units, this narrative should describe how this Program Area addresses specific needs and gaps in advancing the country toward the Transformational Diplomacy goal, and the change desired over the next five years. Regional and central Operating Units should address the specific gaps that their program must fill and the change desired over the next five years. Be sure to reference long-term foreign assistance priorities and goals for this Program Area. Also, reference Program Element indicators when discussing planned results. Information should be entered for all mechanisms that will be active in FY 08, including those that are not expected to receive FY 08 NOA. If there is a multi-sector effort to which this Program Area contributes, describe it here (or reference Implementing Mechanism ID numbers).
If there is a significant USG activity that is being conducted in your country that is funded with money not included in your Operational Plan (e.g., MCC and funds in PEPFAR COP and mini-COP countries) and is contributing to a Program Area or Program Element, describe it in either the Program Area or the Program Element Discussion of USG Participant(s) narrative.
3. Operating Unit Overview for FY 2008
All Operating Units are required to submit a narrative summarizing the foreign assistance programs in their country. The information in this section will be used for external audiences. Therefore, please do not use acronyms or other terms unfamiliar to a general audience. Briefly describe the political, economic, and social context of the country and the challenges present. Summarize the principal Functional Objectives of the Operating Unit’s program and how the program is structured to address the challenges identified. The long-term priorities and goals of the Operating Units foreign assistance funding should also be discussed. Briefly characterize the involvement and capacity of the host country government, the private sector, and other nongovernmental institutions. Also, please describe the priority(ies) of USG foreign assistance.
B. Implementing Mechanisms
For this part of the Operational Plan, Operating Units will provide information on who receives the funding (both prime partners and sub-partners), for what amount, the activities that will or are being conducted, and the expected results. Information should be entered for all mechanisms that will be active in FY 2008, including those that are not expected to receive FY 2008 NOA.
An Implementing Mechanism is a legally binding relationship established between a USG Agency and an outside party (frequently referred to as "partner") to carry out USG-funded programs12. An Implementing Mechanism is authorized to use USG funds to: acquire services or commodities; provide assistance (a grant); or fulfill specific agreements such as cash transfers to host-country governments. Examples of Implementing Mechanisms include contracts, cooperative agreements, grants, interagency agreements, agreements with international organizations, and cash transfers to host country governments13. Data on Implementing Mechanisms will be used to answer many of the questions received frequently from Congress, OMB and other stakeholders, such as the amount of funds going to specific organizations.
An Implementing Mechanism has five key characteristics that together make up a single data entry. Each Implementing Mechanism, that have all of the below in common, should only be entered once. If one of these five key characteristics changes, you need to enter a new Implementing Mechanism.
There is an exception to the requirement that you need to enter a new mechanism if one of the five characteristics changes. That exception is for Program Support when the partner is the U.S. Government. See Annex XVI related to Program Support for additional information.
1. Information for Each Implementing Mechanism
a. Prime Partner Name
A prime partner receives funding directly from a USG Agency by way of a contract, cooperative agreement, grant, etc. FACTS already contains a large number of prime partner organizations from which you may select from the drop down menu. If the organization is not listed, follow the steps outlined in Annex XVIII to add it. This information MUST be received by February 29, 2008 in order to review the information for duplication and upload it into FACTS.
There can be only one prime partner per Implementing Mechanism. When an Implementing Mechanism is awarded to a consortium, the lead partner is the prime. List the name of the prime partner whether it has an active presence in the country or not. If the prime partner has not yet been identified, select "To Be Determined".
If funds are transferred to another USG Agency or used within the same USG Agency, list that Agency as the prime partner.
Small Grants/Small Procurements Bundling: State and USAID work with implementers that make multitudes of very small grants to local organizations and sometimes make many small procurements to implement a project activity. In these situations, it makes sense to "bundle" some of these small grants, sub-grants, and purchases to reduce the burden of data entry. Sub-grantees under each mechanism that are expected to receive less than $10,000 each may be bundled together under one sub-partner.
If (sub-)grantees are able to be bundled, the Operating Unit will have to "name" that grouping as a partner and submit it as a new partner to FACTS. The organization name chosen must include the number and kind of organizations, in addition to the Operating Unit. For example, "Kenya, 15 Parent Teacher Associations", "Honduras, 12 Community Groups", or "India, 18 Water-Use Associations".
For purchase orders less than $10,000, or where the purchase orders lead to the construction of one large item such as an aircraft, purchases should be grouped together in a way that makes sense and that mirrors other aspects of the Operational Plan system. Namely, purchase orders should be grouped by two of the categories of Component Area (see below). For example, where the purchase orders are in the same Program Element and are individually less than $10,000 or lead to the production of one large item, at the point where the Implementing Mechanism partner name is entered, an example naming convention is: "Colombia, 500 purchase orders for Rotary Wing Aircraft parts and labor: Commodities/Materials," or "Indonesia, 10 Reimbursements: Operations Support".
The grouped purchases must still be prorated to and assigned to the appropriate Program Element that they support (i.e., are the office supplies and equipment for the Program Element "Drug Enforcement," "Program Support," or for "TB surveillance"?); the proposed activities to be financed and the results to be achieved still have to be described in the Implementing Mechanism narrative. Bundling of similar costs is particularly encouraged for USG administration and oversight expenses, such as program-funded staff salaries, office operations and supplies.
b. Implementing Mechanism Name and Number
The name of the Implementing Mechanism is either the award name or the name of the project. Type in the name of the Implementing Mechanism and the contract number or agreement or task order number in the blanks provided. If these are not known, enter TBD. The contract/agreement number should be the number for that particular task order or award, rather than for the base award.
Note that the name of the prime partner and the name of the Implementing Mechanism are not the same.
c. Procurement Location
The selection here should answer the question of "Where is the procurement for this specific funding action taking place?" and would apply to such arrangements as USAID Field Support. There are four options for the procurement location:
For definitions of what is included in each of these Implementing Mechanism procurement locations, see Annex XIX.
d. Implementing Mechanism Type
The Implementing Mechanism type (or instrument) is a contract, grant, bilateral agreement, or other mechanism that obligates or sub-obligates funds. The list included here is a subset and grouping of the complete list of possible mechanism types. The options are for:
For definitions of what is included in each of these Implementing Mechanism types, please see Annex XIX.
e. USG Agency
Select from the drop-down menu the USG Agency that manages the Implementing Mechanism (the Agency, i.e. State or USAID, to whom the funds were appropriated).
EXAMPLE: Information requested above in sections a-e for each Implementing Mechanism:
*Note: It is possible for a given USG Agency to also be considered a prime partner. Please see section 1.a, Prime Partner Name, for further details.
2. Information on Implementing Mechanisms’ Current Year Activities
a. Implementing Mechanism Narrative
Provide enough detail for reviewers to understand what the Implementing Mechanism entails, and what will be accomplished through this Implementing Mechanism in the Program Element(s). The specific items that should be addressed in each narrative include:
b. Planned Funding
For each prime partner, enter FY 2008 planned funds going to each of the Program Sub-Elements. This funding will automatically add up to fill in the amount of funding for the Implementing Mechanism, as well as the amount of funding for the Program Element, the Program Area, and the Objective. If this Mechanism is funded from previous year’s funding leave this section blank.
Resources that appear in a different Operating Unit’s Operational Plan for FY 2008 should not appear here. For example, countries listed as benefiting countries in a regional platform's Operational Plan should not list those resources. Other items to keep in mind while completing this section:
Contingency/Emergency Funds: Contingency funds will need to be included as it is determined what they will be used for. Therefore, if your Operating Unit receives contingency/emergency funds (Emergency PL 480, Migration and Refugee Assistance [MRA], Transition Initiatives [TI], Emergency Refugee & Migration Assistance [ERMA] or International Disaster/Famine Assistance [IDFA]), these funds will not be included in the Phase II initial control numbers but will be added to the Operational Plan as they are needed and used.
Supplemental Funds: If your Operating Unit receives funding from a supplemental appropriation, that funding will not be included in the Phase II control number but will be added to Operational Plans as the funding is decided.
Prorating: Despite the importance of including accurate information in specific Program Sub-Element levels, we understand that prorating is inevitable. "Prorating" is the un-scientific process of estimating the amount of resources for those particular activities/Implementing Mechanisms that cut across several sub-elements, elements or even program areas.
Pipeline: Operating Units should confirm during their internal decisions on allocating funds, that, barring unusual circumstances, partners for which additional funding is requested do not have pipelines greater than 12 months beyond the end of the fiscal year of appropriation.
c. Fund Account
The fund account is the list of accounts that an Operating Unit has been allocated. From the drop down menu, separately select the fund account that applies to each Sub-Element. A separate entry is needed for each fund account. See Annex XX for a full list of accounts. Please ensure that the specific funding account has the legal authorization to undertake the work being specified.
In addition to the specific account, there will be a sub-account label on the NADR account (also see Annex XX for the list with sub-accounts). This is a requirement as the we are required to report on the various NADR sub-accounts.
d. Benefiting Country
Washington based Operating Units and Regional Platforms are responsible for identifying countries benefiting from their NOA budget. Select countries from the drop-down menu and enter estimated amounts. This must be used where activities and funding are sufficiently discrete to attribute to a country. If the assistance truly transcends a single country’s borders, the benefiting country may be marked as "Global" or "Regional". For designated regional activities where specific countries can be identified, but estimated amounts are not determinable, you may use the Implementing Mechanism narrative to list the countries, as appropriate.
e. Target Population
Target populations are those that are the primary, direct target beneficiary/intended audience(s) for the activity. The target populations listed are only some of those of high importance, priority, or interest to various foreign assistance stakeholders. Check the box or boxes for all target populations that apply. If none apply (an example might be as in the case of Macro-economic policy reform), please check the "Other" box.
For the mechanisms under Program Support ("Administration and Oversight" and "Program Design and Learning"), do not select the target populations.
f. Key Issues
Key Issues cover cross-cutting interest areas – such as civil society and counter-terrorism, sector foci not fully covered by the framework – such as biodiversity or micro-enterprise, and Administration and Congressional priorities – such as the dairy directive.
Attributed Funding: For each Key Issue, include the dollar amounts going to those issues. These funding levels will be reported to Congress and other external audiences and thus need to be based on planned activities that can be documented. It is important that they reflect the in-country or global/regional program reality as closely as possible. Operating Units should ensure that each selection of a Key Issue is justifiable, according to the definition provided for that Key Issue. For Key Issues that represent Congressional priorities, Operating Units may be provided (at the time they are given their budget levels) with a specific dollar amount that they must dedicate to that Key Issue and would need to seek approval from F to alter this amount. Other Key Issues represent an efficient way to capture dollars dedicated to several efforts and Operating Units may find overlap in some definitions as well as double counting. For example, we would like to have a dollar figure that we can attribute to building local capacity, and thus, there is a Key Issue for Local Institution Capacity Development. One area where we try to build local capacity is that of local Civil Society Organizations. Yet, there is also a Key Issue for working with Civil Society Organizations where some of the money spent will be to develop their capacity (among other interventions), and thus those resources will be counted as part of both Key Issues.
Funding may be assigned to more than one Key Issue per activity (an activity is one Implementing Mechanism for one Program Element). The total amount of funding going to various Key Issues can equal more than 100% of the total for the Implementing Mechanism within one activity, but NOT more than 100% of the total going to the Implementing Mechanism in that Program Element. For example, if an Operating Unit is providing $1,000,000 to the Academy for Educational Development (AED) in the Program Element on Workforce Development to undertake Economic Growth activities with out-of-school youth in northern Nigeria, it cannot list more than $1,000,000 as contributing to the Counter-Terrorism Key Issue. However, the Operating Unit can list $1,000,000 as contributing to the Counter-Terrorism Key Issue and $1,000,000 as contributing to the Africa Education Initiative. If the AED project receives a total of $5 million to work in five Program Elements and the $5 million is divided equally across them, the aggregation of the Counter-Terrorism Key Issue across the five Program Elements can not exceed $5 million.
Narrative: For the dollar amounts going to those issues, justification for this attribution must appear in each Implementing Mechanism’s Key Issue narrative consistent with Annex XIV: Key Issues.
For each Key Issue entry describe the plan for FY 2008 and provide a rationale for selecting it, particularly providing a justification for the funding attributed to the Key Issue. If a Key Issue listed represents a multi-sector effort, describe the sectors involved in this effort. Note: cross referencing among Implementing Mechanisms is acceptable.
g. Component Areas
A specific Implementing Mechanism may be characterized by the types of activities it includes. For example, an Implementing Mechanism working in Basic Education could be working on training of teachers, technical assistance to the Ministry of Education to support curriculum development, and the purchasing of textbooks. Each of these distinct "actions" is what we have termed "Component Areas". The Component Areas will be used to facilitate document searches in responding to both Congressional and media inquiries and therefore, it is critically important that they reflect the in-country or global/regional program reality as closely as possible. The list of Component Areas includes:
Note: Typically, Implementing Mechanisms that provide technical assistance also fund home office support, office space, equipment, such as computers, and even vehicles for the technical assistance providers. These are not commodities or operations support. Instead, they are part of the cost of technical assistance. The definitions of each of these can be found in Annex XIX.
For the Component Areas that apply, estimate dollar amounts in thousands.
Please select all that apply; at least one Component Area must be included.
For the Program Support areas, do not select any Component Areas.
h. Auxiliary Resources
For each Implementing Mechanism, include, where known, any information on auxiliary resources that you are planning to leverage during FY 2008. This entry consists of two boxes, one for estimated dollar amounts and one for a drop down of the type of auxiliary resources leveraged. For the list of types of auxiliary resources, and for additional information on auxiliary resources, see Annex XVII. Note: if you provide auxiliary resource information at this (the
Implementing Mechanism) level, do not also report the same resources at the Program Element level, to avoid double counting.
3. Sub-Partner Information
a. Sub-Partner Name
All sub-partners are linked with a prime partner.
Subdivisions of an organization: If an organization has one or more subdivisions or sub-offices that are receiving funding, do not enter each subdivision or sub-office as a sub-partner of the parent organization. Do enter the subdivision or sub-office if it is receiving the funding directly from a USG Agency prime partner, independently of the parent organization. For example, if the University of KwaZulu-Natal is the sub-partner organization and the University uses some funding for the College of Agriculture, Engineering and Sciences, list only the University of KwaZulu-Natal as the sub-partner. However, if the sub-contract is actually with the College of Agriculture, Engineering and Sciences, it can be listed as a separate sub-partner.
b. Sub-Partner Planned Funding
Enter the amount of FY 2008 funding planned for the sub-partner when the sub-partner is known and has been named above. If you do not know the amount of planned funding for the sub-partner, select "Funding to be Determined." The total of all sub-partners cannot be greater than the total planned FY 2008 funding for that same Implementing Mechanism.
c. Sub-Partner Program Sub-Elements
Please check the box next to each Program Sub-Element where that particular sub-partner will be working.
A. Required Support Documents
1. Program Funded Staffing Table
The Operational Plan captures the amount of funding going to personnel and management related costs. In addition, we ask that you allocate the number of program-funded staff into Program Areas by filling in the Supplemental Reference: Program Funded Staffing Table. An electronic version of this template will be available in the FACTS system.
2. Acronym List
Submit a list of each acronym used in the Operational Plan and the full title.
B. Optional Support Documents
1. Classified Annex
Please ensure that the Operational Plan does NOT contain any information considered to be classified. While the Operational Plans are not intended to be public documents, the system through which they will be submitted is not a classified system and should not be used to transmit classified information. If the Operating Unit is not able to fully articulate the required information because it is classified or too sensitive in nature, please submit the requisite information through a Classified Annex. The Classified Annex should be submitted to the Operating Unit’s F Point of Contact through classified email. The F Point of Contact will ensure that the Classified Annex is reviewed with the other data. The due date for any Classified Annex is the same as the Phase II submission.
2. Additional Information
As Operating Units find useful, they may submit additional support documents that provide further useful information on their programs, including additional narratives on MCC Threshold Programs, Performance Management Plans or previously approved strategy documents.
IV. Endorsement Memorandum
Prior to submission, all Operating Units must conduct a senior leadership review and obtain an endorsement of Phase II of the Operational Plan. The Operational Plan must be submitted under the signature of the appropriate authority:
The Chief of Mission’s Phase II endorsement memo is of the tactical implementation plan developed by the entire Post. It may also alert F to the major challenges affecting the Post’s ability to meet the goals articulated in the Operational Plan. It should briefly summarize how foreign assistance will be used to support the Secretary’s Transformational Diplomacy goal, the U.S. Government’s main objectives in the country and strategies for achieving these objectives, and any key challenges impeding progress in achieving these goals (i.e., legislative restrictions, sudden political or security shifts, natural disasters, changes in priorities, etc.). This memo is an opportunity to highlight shifting political, developmental, and security situations on the ground and the impact those shifts have had on FY 2007 performance and FY 2008 tactics, as articulated in the Operational Plan. It is also an opportunity to highlight notable achievements and to indicate support for any changes in the allocation of resources received in the planning budget that are proposed.
The endorsement memo is not intended for distribution outside USAID and State and will not be posted on either Agency’s website. It will be distributed to USAID and State employees on a need to know basis and sent to the Development Experience Clearinghouse for archiving. Classified material should only be reported via classified media. The memo should be written in Word and subsequently uploaded into the FACTS database system. See Supplemental Reference: Template for Endorsement Memo.