Addendum 7 - Transparency and Accountability in the Public Sector.pdf

El Salvador and Central America Regional Mission (ECAM) Annual Program Statement (APS) No.: 72051921APS00001 - Addendum 7

Issuance Date: August 31, 2022 Deadline for Questions: September 19, 2022 5:00 PM (El Salvador) Closing Date: October 7, 2022 5:00 PM (El Salvador)

Subject: United States Agency for International Development (USAID) El Salvador and Central America Regional Mission (ECAM) Annual Program Statement (APS) No. 72051921APS00001

Program Title: Transparency and Accountability in the Public Sector Activity - Addendum 7

Catalog of Federal Domestic Assistance: 98.001, Foreign Assistance for Programs Overseas

Pursuant to the Foreign Assistance Act of 1961, as amended, the United States Government, as represented by the U.S. Agency for International Development (USAID), is announcing the Transparency and Accountability in the Public Sector Addendum to the USAID/El Salvador and Central America Regional Mission (ECAM) Annual Program Statement (APS) No.

72051921APS00001, hereinafter known as the APS.

Through this Transparency and Accountability in the Public Sector Addendum to the APS, USAID/El Salvador (“the Mission”) seeks concepts to: (1) enhance government transparency and accountability, and compliance with anti-corruption policies; and, (2) increase citizen pressure on and oversight of government to combat corruption. Concepts will contribute to USAID/El Salvador’s Country Development Cooperation Strategy (CDCS) 2020-2025 goal to “Reduce the Drivers of Irregular Migration by Fostering a More Self-Reliant El Salvador:

Secure, Prosperous, and Well-Governed”. Furthermore, concepts will contribute to achieving the goals of the U.S. Government’s Root Causes of Migration Strategy (RCS).

Subject to the availability of funds, the Mission anticipates investing approximately $30,000,000.00 in this activity in support of one award. The Mission reserves the right to award more or fewer awards than this estimate and is not obligated to make any awards.

The Mission is issuing this Addendum pursuant to the Foreign Assistance Act (FAA) of 1961, as amended. Any potential resulting award(s) will be subject to 2 CFR 700 and 2 CFR 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal https://www.usaid.gov/

Awards and USAID’s Standard Provisions for U.S and Non-U.S Based organizations per ADS 303.

It is the responsibility of the Applicant to ensure that the entire APS, including its amendments, and this Addendum opportunity have been downloaded from www.grants.gov. The Mission bears no responsibility for data errors resulting from the transmission or conversion process. If you have difficulty accessing the APS, please contact the grants.gov Helpdesk at 1-800-518-4726 or via email at support@grants.gov for technical assistance.

Issuance of this Addendum does not constitute an award or commitment on the part of the U.S.

Government to make an award, nor does it commit the U.S. Government to pay for costs incurred in the preparation and submission of a Concept Paper or application. Should you have any questions about this Addendum, please contact Melissa Benedict at mbenedict@usaid.gov.

Thank you for your interest in USAID programs.

Sincerely, Ross Hicks Agreement Officer Regional Office of Acquisition and Assistance USAID/El Salvador http://www.grants.gov mailto:support@grants.gov mailto:mbenedict@usaid.gov

U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT

ANNOUNCEMENT

CALL FOR CONCEPT PAPERS

TRANSPARENCY AND ACCOUNTABILITY IN THE PUBLIC SECTOR ADDENDUM

UNDER EXISTING

USAID El Salvador and Central America Regional Mission (ECAM)

Annual Program Statement (APS) No.: 72051921APS00001

PLEASE NOTE:

This is an Addendum to an existing announcement. All interested organizations should carefully review both the Transparency and Accountability in the Public Sector Addendum AND the full

APS announcement (as amended by Amendment 4), which can be found here:

https://www.grants.gov/web/grants/view-opportunity.html?oppId=332969

IMPORTANT INFORMATION CONTAINED IN THE FULL APS ANNOUNCEMENT IS

NOT REPEATED IN THIS ADDENDUM.

This activity is authorized in accordance with Part 1 of the Foreign Assistance Act of 1961, as amended.

Through the Transparency and Accountability in the Public Sector Addendum to the APS, the Mission seeks concepts to: (1) enhance government transparency and accountability, and compliance with anti-corruption policies; and, (2) increase citizen pressure on and oversight of government to combat corruption.

Subject to the availability of funds, the Mission anticipates investing approximately $30,000,000.00 in this activity in support of one award. The Mission reserves the right to award more or fewer awards than this estimate and is not obligated to make any awards.

Unless otherwise stated herein, all terms and conditions of the APS apply. Therefore, in addition to this Addendum, applicants are strongly encouraged to read in its entirety the APS as amended by Amendment 4 (issued on June 1, 2022), which can be found here:

https://www.grants.gov/web/grants/view-opportunity.html?oppId=332969.

https://www.grants.gov/web/grants/view-opportunity.html?oppId=332969 https://www.grants.gov/web/grants/view-opportunity.html?oppId=332969

TABLE OF CONTENTS

LIST OF ACRONYMS 5

SECTION A: PROGRAM DESCRIPTION 6

SECTION B: FEDERAL AWARD INFORMATION 22

SECTION C: ELIGIBILITY INFORMATION 26

SECTION D: APPLICATION AND SUBMISSION INFORMATION 29

SECTION E: APPLICATION REVIEW INFORMATION 31

SECTION F: FEDERAL AWARD AND ADMINISTRATION INFORMATION 35

SECTION G: FEDERAL AWARDING AGENCY CONTACT(S) 36

SECTION H: OTHER INFORMATION 37

ATTACHMENT 1 - CONCEPT PAPER TEMPLATE 38

ATTACHMENT 2 - ELIGIBILITY CERTIFICATION FORM 40

LIST OF ACRONYMS

ADS: Automated Directives Systems AO: Agreement Officer AOR: Agreement Officer Representative APS: Annual Program Statement CDCS: Country Development Cooperation Strategy CFR: Code of Federal Regulations CLA: Collaborating, Learning and Adapting CMMS: Collaborative Migration Management Strategies COR: Contracting Officer Representative CS: Office for Citizen Security DG: Democratic Governance Office DO: Development Objective DOC: Development Outreach and Communications ECAM: USAID El Salvador and Central America Regional Mission EGE: Economic Growth and Education Office GOES: Government of El Salvador NPI: New Partnerships Initiative RCS: U.S. Strategy for Addressing the Root Causes of Migration in Central

America (Root Causes Strategy) RDCS: Regional Development Cooperation Strategy RFA: Request for Application UDL: Universal Design for Learning USG: United States Government

SECTION A: PROGRAM DESCRIPTION

1. Title

The activity described below (hereinafter “the Activity”) will be named “Transparency and Accountability in the Public Sector”.

2. Introduction

General information

USAID/El Salvador invites the potential recipients to submit a concept paper under the addendum to the El Salvador and Central America Regional Mission (ECAM) Annual Program Statement (APS) No.: 72051921APS00001 that responds to the following objectives: (1) enhance government transparency and accountability, and compliance with anti-corruption policies; and, (2) increase citizen pressure on and oversight of government to combat corruption.

The Total Estimated Amount (TEA) of this award is $30 million, to be implemented within a five-year period.

The Activity will also be aligned with the USAID localization Strategy, as explained in the guiding principles section, and will require the recipient to set aside $7 million of the TEA to design a robust subgrant program that supports Objective 2. These subgrants could lead to Transition Awards throughout the lifetime of this activity.

Background

Corruption is a chronic and serious problem worldwide, hindering a government’s ability to provide basic services and undermining its effectiveness in addressing social and economic development challenges. As such, corruption is also thought to be among the root causes of irregular migration to the United States. Corruption in El Salvador has impaired governance and weakened public confidence in democratic institutions over the last two decades. Several ex-presidents – including Presidents Funes, Saca, and Sanchez Ceren, who collectively governed El Salvador from 2004-2019 – have been charged with illicit enrichment, money laundering, embezzlement, and other forms of corruption.

The scope and severity of El Salvador’s corruption problem is confirmed by multiple sources. El Salvador didn’t meet the performance standard related to control of corruption of the Millenium Challenge Corporation for FY 2022 (the median score is 0.00; El Salvador scored -0.13).

Transparency International’s 2021 Corruption Perceptions Index scored El Salvador at 34/100, a slight decline from 2018, and ranking the country 115 out of 180 countries. Similarly, in 2020 the World Justice Project (WJP) ranked El Salvador 98 out of 128 countries on its global Absence of Corruption index, and in the bottom third (23 out of 30 countries) regionally. One element of the WJP index, which measures the use of public office for private gain by executive branch officials, scored El Salvador at a historic low in 2020, in the bottom quintile for Latin America.

According to the last measure of Transparency International’s Global Corruption Barometer for Latin America and the Caribbean, conducted in 2019, 45 percent of Salvadorans thought corruption was on the rise in their country. Government officials were named as most corrupt by 47 per cent of the respondents. At the same time, 73 percent of Salvadorans said ordinary citizens can make a difference in the fight against corruption. Civil society’s participation in the fight against corruption has been fundamental in most Latin American countries and it continues to require new focuses and creative strategies. In recent years, CSOs have redoubled efforts to articulate their purposes more clearly; to network and communicate more effectively; and to carry out monitoring and advocacy work to increase their impact in shaping public institutions and to promote more active citizen participation in El Salvador.

Salvadorans are exposed to personal experiences and allegations of corruption on a regular basis.

The continued exposure to corruption has led to emotional desensitization, where citizens cannot respond to threats of corruption and show little interest in reporting or preventing its incidences.

USAID sees a need to engage with citizens at the local level to help them understand the implications of corruption in their daily lives and how they can contribute to, demand, and promote greater transparency.

In recent years, USAID has worked with key entities in the Government of El Salvador (GOES) that have maintained autonomy and have expressed a commitment to implementing anti-corruption practices. They include the ministries of Education and Health, which have been working to reduce petty corruption; the ministry of Environment and Natural Resources; the Secretariat of Innovation; the Public Defender’s Office; the Government Ethics Tribunal; the National Water Authority; and the Court of Accounts. USAID considers these institutions to be reliable partners with the potential to receive technical assistance to strengthen their anti-corruption policies and mechanisms. In addition, multiple municipal governments have expressed their commitment to improving transparency and citizen engagement at the local level, and have asked for support to strengthen those areas. After assessing that municipal governments can be reliable partners in the fight against corruption, USAID has responded favorably to these requests and has increased its support to these local-level governments.

3. Objectives/Purpose/Development Results

Due to the challenges posed by the current operating context, the new “Transparency and Accountability in the Public Sector” activity aims to target a supply/demand approach that will lead to: (1) enhanced government transparency and accountability, and compliance with anti-corruption policies (supply); and, (2) increased citizen pressure on and oversight of government to combat corruption (demand).

Specifically, the Activity will support civic pressure for democratic accountability, while targeting assistance to government institutions committed to fighting corruption, so that the Salvadoran population understands the implications of corruption in their daily lives as it erodes trust, weakens democracy, hampers economic development, and further exacerbates inequality, poverty, social division and the environmental crisis.

Development Hypothesis

If Salvadorans increase actions to monitor public spending, investment, and services and oversight bodies increase internal controls, then the GOES will be pressured to improve accountability and corruption will be reduced.”

CDCS Alignment and Results to be Achieved

Results Framework Link Activity Goal Expected Activity Results

DO 3:

Government responsiveness, accountability, and transparency improved

IR 3.2

Public demand for effective governance expanded

Increase citizen pressure on and oversight of the government to combat corruption

- Citizen oversight of public services, spending, and investment of public resources increased.

- Business/private sector engagement in reducing corruption and promoting integrity heightened.

- Academia and think tanks’ capabilities to investigate, perform research, and analyze corruption trends and cases improved.

- Public awareness and collective action on government corruption enhanced.

Sub-IR 3.2.2

Independent monitoring and oversight of government performance enhanced

IR 3.3

Corruption reduced

Enhance government transparency and accountability, and compliance with anti-corruption policies

- Internal mechanisms to prevent, detect and reduce petty corruption in selected government institutions strengthened.

- Mechanisms for GOES internal control, transparency, and detection of corruption in independent public institutions strengthened.

- Compliance with transparency regulations and ethics rules at the municipal level increased.

- Compliance with international commitments against corruption and promotion of transparency strengthened.

- Capacity and coordination among key oversight national institutions increased.

Sub-IR 3.3.1

Effectiveness of Government oversight and justice institutions are improved

Sub-IR: 3.3.3

Transparency of government operations enhanced

The activity will contribute to the Mission’s North Star of maintaining El Salvador’s score in Transparency International’s Corruption Perceptions Index at its 2019 level of 34 out of 100 (a ranking of 113 of 180 countries).

Key Stakeholder(s) and Counterparts

1. Government agencies: The Supreme Audit Authority ( Corte de Cuentas), the Office of the Public Defender of the Republic (Procuraduría General de la República), the Government Ethics Tribunal (Tribunal de Etica Gubernamental), Secretariat of Innovation, Ministry of Health, Ministry of Education, Ministry of Environment and Natural Resources, the National Water Authority, Ministry of Foreign Affairs.

2. At least 35 municipalities (prioritizing municipalities within the three urban hubs specified by the Mission’s strategy).

i. Urban Hub: Western (18 municipalities): Ahuachapán: Ahuachapán, San Francisco Menéndez Santa Ana: San Antonio Pajonal, Santiago de la Frontera, Texistepeque, Candelaria de la Frontera, El Porvenir, Chalchuapa, San Sebastián Salitrillo, El Congo, Coatepeque, Santa Ana Sonsonate: Armenia, Caluco, Izalco, San Julián Chalatenango: Nueva Concepción La Libertad: San Pablo Tacachico

ii. Urban Hub: Central (27 municipalities): La Libertad: San Matías, San Juan Opico, Quezaltepeque, Colón, Antiguo Cuscatlán, Comasagua, Santa Tecla, Zaragoza, San José Villanueva, Huizúcar, Nuevo Cuscatlán, La Libertad San Salvador: Nejapa, Apopa, Tonacatepeque, Cuscatancingo, Ayutuxtepeque, Delgado, San Salvador, Soyapango, Mejicanos, Ilopango, San Marcos, Santo Tomás, Santiago Texacuangos, Panchimalco, Rosario de Mora

iii. Urban Hub: Eastern (28 municipalities) Usulután: Berlín, San Agustín, San Francisco Javier, Jiquilisco, Puerto El Triunfo, Alegría, Santiago de María, Jucuapa, Tecapán, Ozatlán, Usulután, San Dionisio, Santa Elena, California, Jucuarán, Concepción Batres, Santa María, Ereguayquín San Miguel: Chirilagua, San Miguel, Chinameca, San Jorge, San Rafael Oriente, El Tránsito La Unión: El Carmen, La Unión, Conchagua, Intipucá

3. Civil society organizations (CSOs) that work to promote transparency and accountability in the GOES, including NGOs, business associations, independent media, and academia.

4. Programmatic/Demographic/Geographic Focus

Demographic Focus - Beneficiaries

Intended beneficiaries are Salvadoran citizens, organizations, and associations throughout the country whose livelihoods and access to key public services are routinely, directly, or indirectly affected by government corruption and the lack of government accountability, transparency, and responsiveness. The Activity will also seek to reach vulnerable populations as beneficiaries.1

According to the most recent available data, approximately 51.2% of Salvadorans live in or are vulnerable to multidimensional poverty (UNDP, 2019). Strengthening accountability in key areas will improve the delivery of public services critical to this group. In addition, the Activity will target intermediate beneficiaries, including central government institutions, independent government institutions, municipal governments, and CSOs, which directly channel citizen demands and activate social and legal mechanisms to pursue good governance and combat corruption.

Geographic Focus

The Activity will work primarily at the national level, with CSOs that have a national focus and with central government institutions capable of acting with the autonomy required to exercise effective oversight. It will also develop a package of interventions to promote transparency and increase compliance with ethics rules at the local level, prioritizing a minimum of 35 local governments selected among the 73 municipalities identified in the three urban hubs specified by the Mission’s strategy, including those outside of the San Salvador metropolitan area . USAID/El2

Salvador has already made important investments in Santa Ana and San Miguel; the Activity will build on previous efforts and engage with current and new local partners in these areas to expand citizen engagement sub-nationally while increasing local government accountability and transparency.

Interventions

The Transparency and Accountability in the Public Sector activity seeks to: (1) enhance government transparency and accountability, and compliance with anti-corruption policies; and,

(2) increase citizen pressure on and oversight of government to combat corruption.

In accordance with the development hypothesis, the Activity should balance interventions on both the supply and demand side and adaptively respond to emerging opportunities or constraints. Therefore, applicants should propose a flexible technical approach that takes these contingencies into consideration. This will allow the implementing partner the opportunity to meet the objectives of the Activity, as conditions and political will permit.

1. Enhance government transparency/accountability and compliance with anti-corruption policies.

1.1. Prevent, detect, and reduce petty corruption in select national institutions. The Activity will target key GOES ministries or institutions with high levels of petty corruption that affect citizens’ daily lives, enabling these ministries and institutions to identify, denounce, and strengthen their own internal corruption

2 Selection of these municipalities will be made in conjunction with USAID. It could be expanded outside the three main urban hubs considering the increased support provided to municipal governments in recent years by the Mission, and the demand outside these urban hubs.

1 For the purpose of this activity USAID considers the following groups or sectors to be vulnerable populations:

youth between ages 18 and 29; women; indigenous population; individuals from rural areas; people with disabilities;

and Lesbian, Gay, Bisexual, Transgender, Queer, Intersex and plus (LGBTQI+) individuals.

reduction protocols in response to citizen complaints. Selection criteria for institutions may include political will, percentage of national budget managed by these institutions, and whether they provide basic services to citizens (such as security, transportation, water, health, environment and education). The Activity may also include limited, conditional support to GOES institutions for efforts to streamline administrative processes and practices susceptible to official rent-seeking in order to reduce opportunities for petty corruption.

1.2. Strengthen internal control of corruption in independent oversight institutions.

Independent institutions require specialized assistance to deepen their capacities to detect, prevent, and deter high-level corruption, as distinct from 1.1, which is primarily aimed at reducing petty corruption. The Activity will identify opportunities to support individual GOES institutions to improve their anti-corruption functions, policies, and results. (Note: this sub-objective supports the independence and strength of institutions that make up the Anti-corruption Interinstitutional Working Group (GTIAC)).

1.3. Increase municipal transparency in spending and compliance with ethics rules.

Municipal governments are key actors in El Salvador and the main points of contact that citizens have with their government. Municipal governments that respond efficiently to citizens’ requests, comply with ethics regulations, and implement transparency and accountability mechanisms will be better prepared to hold a productive dialogue between community-based groups and local authorities in order to improve citizens' lives at the local level.

1.4. Strengthen national compliance with international commitments against corruption. Inter-institutional coordination will be pursued to follow up on the signing, ratification, and implementation of key international anti-corruption instruments, such as the Mechanism for Follow-up on the Implementation of the Inter-American Convention against Corruption (MESICIC), the United Nations Convention against Corruption (UNCAC), and the Open Government Partnership

(OGP).

1.5. Increase coordination among key national oversight institutions. If conditions permit, the Activity will support GTIAC institutions to pursue coordinated actions to improve responses to corruption. The GTIAC consists of the heads of the Supreme Court of Justice, the Supreme Audit Authority, the Office of the Attorney General, the Office of the Public Defender of the Republic, the Government Ethics Tribunal, and the Institute for Access to Public Information.

These are the six institutions with the oversight and legal responsibilities to enforce compliance with Salvadoran laws.

2. Increase citizen pressure on and oversight of government to combat corruption.

2.1. Increase public oversight of public services, spending, and investment of public resources. The Activity will provide specialized assistance to a range of CSOs and associations motivated to track public spending and investment and to maintain citizen oversight of the national agenda and discourse on corruption matters.

2.2. Heighten private sector engagement in reducing corruption and promoting integrity. The Activity will seek business and private sector partnerships and convene the sharing of best practices and lessons learned within sectors and/or from other countries to prevent corruption; promote ethical standards among private businesses; incentivize business integrity; promote open business practices; and advocate for legal reforms and regulations focused on public procurement, business registration, and other points of contact between the private sector and government institutions. USAID will also seek to enlist private sector support to develop innovative new tools, technology, and approaches to tackle corruption.

2.3. Improve academic and think tank capabilities to analyze corruption. The Activity will provide technical assistance to a select group of academic institutions and/or think tanks to improve their capabilities to scrutinize government reform proposals and decisions, conduct high quality research and analysis of corruption trends, issues, and cases, and also engage in training and anti-corruption capacity building for young researchers. The Activity will create a specialized university program and curriculum that will develop a new generation of leaders and practitioners in the science of anti-corruption.

2.4. Enhance public awareness and collective action on government corruption. The Activity will work with locally-focused community-based organizations and vulnerable populations, so that they understand the transparency mechanisms available locally to improve access to information and promote a demand for transparency.

5. Guiding Principles

Local Champions

On the “supply” (governmental) side, the Activity could engage with selected GOES institutions, including the Ministry of Health, Ministry of Education, Ministry of Environment and Natural Resources, the National Water Authority, Secretariat of Innovation, the Government Ethics Tribunal’s, the Public Defender’s Office, the Courts of Accounts, the Ministry of Foreign Affairs and key municipal governments that are leading efforts on transparency and accountability practices. The applicant should propose an adaptable approach that will allow adding or replacing GOES partners depending on their commitment to fighting corruption. Therefore, applicants need to incorporate Collaborating, Learning, and Adapting (CLA) in program implementation (see definition below).

On the “demand” (civil society) side, the Activity will support citizen-led transparency and accountability initiatives, as well as independent media, universities and think tanks interested in stepping up their involvement in overseeing the public sector, or in promoting government transparency, accountability, and anti-corruption measures. It will also support select private sector associations with an interest in improving government integrity in government operations that are susceptible to corruption. Note that transition awards to local organizations should be considered throughout the entire period of implementation of the Activity; if circumstances permit, after the award ends, USAID (subject to the availability of funds) may fund up to three awards as part of the transition award provisions of the resulting award in order to promote localization, continuity, and sustainability.

Transition Awards

Transition awards can be an effective means to increase local engagement, promote self-reliance, and foster and strengthen local sustainability. In alignment with the localization approach established above, the Recipient of the resulting award will focus activity resources on building and developing the capacity of local subrecipient(s) to become more capable of eventually receiving a direct award from USAID. The Recipient will develop a capacity building plan, which will include appropriate training and technical assistance in key organizational areas including: 1) governance; 2) administration; 3) human resources management; 4) financial management; 5) organizational management; 6) program management; 7) program performance and evaluation management; and, 8) leadership and team dynamic. Indicators, baselines, and targets for local capacity development are to be included in an internal monitoring plan to be prepared by the Recipient.

Throughout the course of the award, the Recipient will identify potential local organizations that could be eligible for a direct transition award. The process for recommending, reviewing and selecting transition awards will be established in the final agreement. The Recipient is responsible for developing the local subrecipient’s capacity and tracking progress towards meeting the criteria for a transition award.

Prior to recommending a local subrecipient to USAID, the Recipient must demonstrate that the local subrecipient:

● Is registered in all applicable USG systems (for example, the System for Award Management);

● Has demonstrated technical and management experience;

● Has demonstrated an ability to maintain relationships with stakeholders;

● Has well-defined indicators of success and the ability to monitor its own program performance in a cost-effective and efficient manner;

● Has the necessary staff with the knowledge, skills, and abilities to carry out a program;

● Demonstrates sufficient financial management capabilities and internal controls;

● Can address other general areas that would indicate potential success in managing specific technical programmatic areas; and,

● Can meet other pre-award requirements, including the risk assessment and the required representations and certifications.

The Recipient is responsible for tracking progress towards meeting the transition award criteria, which should be included as part of the Monitoring and Evaluation Plan. The Recipient should conduct a baseline capacity assessment at the time any subaward is made to a potential transition award recipient, with a follow-up assessment prior to recommending the local subrecipient for a transition award. Alternatively, the Recipient should conduct a risk assessment of the local subrecipient prior to recommending the local subrecipient for a transition award.

The Recipient will ensure that appropriate mechanisms are in place to avoid, eliminate, mitigate and reduce potential or actual conflict of interests, separate funds and accounts, and ensure proper segregation of roles and funds resulting from an entity being a subrecipient or a beneficiary under the same award.

While it is USAID’s intent to make a transition award to a qualified local subrecipient, there is no guarantee that the Agency will make a transition award, and decisions related to issuing a transition award and the selection of transition award recipients are solely within USAID’s discretion.

Private Sector Engagement

As part of Objective 2 (civil society), the Activity will seek private sector partnerships and convene the sharing of domestic or international best practices and lessons learned to prevent corruption, promote ethical standards among private businesses, incentivize business integrity, promote open business practices, and advocate for legal reforms and regulations focused on public procurement. USAID will seek to enlist the support of the private sector to develop new tools, technology, and approaches to tackle corruption in close collaboration with USAID/ECAM’s Economic Growth and Education Office.

USAID/USG Alignment

USAID/El Salvador’s 2020-2025 Country Development Cooperation Strategy (CDCS) seeks “to increase the belief among targeted populations that they can lead a safe and prosperous life, supported by a transparent and accountable government (…)”. Development Objective 3 supports increasing public demand pressure (IR 3.2) and strengthening independent monitoring and oversight of government performance. It seeks to achieve greater citizen oversight of public spending, investment, and services; increase private sector engagement in promoting government integrity; build the capacity of academic institutions and think tanks to investigate corruption trends and cases; and raise public awareness of the opaque dimensions of corruption, from money laundering to beneficial ownership to the illicit financing of political parties. All these efforts aim at generating stronger public pressures for government transparency and accountability.

The Activity will also align with IR 3.3, which seeks to strengthen independent oversight bodies, preserving their autonomy and building their capacity to exert internal control, to detect and prevent corruption, to improve compliance with transparency laws and international anti-corruption commitments, and to strengthen intra-governmental coordination in the https://www.usaid.gov/el-salvador/cdcs enforcement of anti-corruption policies and practices. All of these efforts are aimed at strengthening internal controls and making them more effective.

This Activity also aligns with the U.S. National Security Council’s 2021 “Root Causes Strategy” (RCS), which is organized into five pillars. Specifically, the Activity will contribute to Pillar II:

“Combating corruption, strengthening democratic governance, and advancing the rule of law.” It is also aligned with the U.S. Strategy on Countering Corruption, issued on December 6th, 2021.

Specifically, the Activity aligns with Pillars 3, 4 and 5 of the Strategy as it will contribute to holding corrupt actors accountable; preserve and enforce a multilateral anti-corruption architecture; and improve diplomatic engagement and leverage foreign assistance resources to advance policy objectives.

6. Adaptative, Flexible, Collaborative Management

USAID recognizes the importance of thinking critically and shifting strategic decisions to respond to emerging development challenges. The Activity should incorporate Collaborating, Learning, and Adapting (CLA) in program implementation to enable adaptive programming that can respond nimbly to emerging evidence, opportunities, and knowledge, as well as to changing circumstances and challenges. In particular, the Activity should be flexible enough to provide support for unanticipated needs and initiate support in new contexts or with new local partners as needs arise. While implementation plans will be submitted on an annual basis, they should be viewed as living documents, and semi-annual reviews will be expected in order to ensure adaptive and responsive programming.

The Recipient of the resulting award will be expected to articulate how interventions will adapt to dynamic and rapidly evolving environments, and which learning processes are appropriate to ensure the most effective implementation approach and continued progress toward anticipated results. Continuous assessments may include, but are not limited to, baseline needs assessments, as necessary, for contextual variations, as well as capacity assessments for institutions and organizations.

In order to prioritize technical assistance, USAID recommends that a six-month inception period be built into the award with a flexible approach to engaging key institutional players from the GOES under Objective 1 and establishing a realistic prioritization of activities taking into consideration need, political will and champions identified. This would allow time to ensure that when the Activity starts, it will be well-positioned to identify areas where this work can and cannot be performed, and the GOES institutions and leaders who support improvement in the areas of anti-corruption and transparency. Quick wins to advance the Activity’s objectives should be identified, if conditions permit, during the inception period. The Recipient should start working as soon as possible with non-GOES organizations as described under Objective 2.

Maintaining flexibility and adaptability to respond to evolving contextual dynamics, including pandemic-related health concerns, and to take advantage of opportunities and mitigate challenges, is important for successful Activity implementation. Interventions may require an iterative, adaptive management approach that regularly reassesses and re-evaluates the Activity’s https://www.whitehouse.gov/wp-content/uploads/2021/07/Root-Causes-Strategy.pdf https://www.whitehouse.gov/wp-content/uploads/2021/12/United-States-Strategy-on-Countering-Corruption.pdf operating environment(s), and adjusts program planning, implementation, and assessment of results as necessary.

7. Monitoring, Evaluation and Learning

Monitoring and evaluation (M&E), and collaborating, learning and adapting (CLA) for activities should emphasize the systematic process of collecting and analyzing performance data and other information to track progress toward planned results. It also involves collaborating with and across implementing partners to manage the relationship among activities, or between activities and a project, to achieve higher-level outcomes. Activity M&E and CLA focuses on whether an activity is achieving programmatic results and generating learning to inform the adaptation of activities based on evidence.

USAID/El Salvador seeks partnerships that contribute to the Agency’s commitment to a multifaceted CLA approach to development. The CLA approach is based on the understanding that development efforts yield more effective results if they are coordinated and collaborative;

test promising, new approaches in order to generate improvements and efficiencies; and build on what works and eliminate what does not. It is also understood that CLA takes into account programmatic learning and shifts generated by the activity (outward-generating) as well as those adopted by the activity from external learning sources. USAID also anticipates that a strong focus on adaptive management techniques as expressed through staffing skills, structure and culture, business processes, and stakeholder engagement will be particularly important in the implementation of the resulting activity, in order to track and adjust to the opportunities to operationally integrate with other activities working in related efforts. Thus, USAID anticipates a CLA approach that tailors CLA to the needs and opportunities of the resulting activity, while leaving open options for future evolution in its interpretation and application.

8. Coordination and Complementarity

USAID will closely coordinate this activity with the State Department’s Bureau of International Narcotics and Law Enforcement Affairs (INL), as well as with other USG agencies involved in anti-corruption efforts in El Salvador.

USAID will also oversee close coordination and collaboration between activities providing technical assistance or protection services for CSOs in the event that beneficiaries need assistance in any of those areas.

The Activity will also coordinate, if there are opportunities to do so, with a USAID regional activity (currently in the planning stage) aimed at countering transnational corruption, which may include addressing such issues as illicit finance, tax havens, asset recovery, exposing beneficial ownership, and supporting the transparency of the international financial system.

In addition, the Activity will seek to complement the efforts of other major donors such as the European Union, UNDP, the Spanish Agency for International Development Cooperation, and the German Corporation for International Cooperation.

9. Special Considerations

In the spring of 2021, USAID redirected assistance away from some GOES institutions to CSOs, including the Attorney General, the Supreme Court of Justice, and the Institute of Access to Public Information. These were three of the six core institutional partners of the GTIAC created with USAID’s assistance under its Government Integrity Project in 2018. Engagement with these three institutions is not possible at the moment. If/when conditions permit, the Activity could resume engagement with these institutions. The Activity will adaptively respond to such emerging opportunities, and the resulting award will include flexible language incorporating these contingencies. Assistance to the GOES could be expanded, for example, if key institutions show the will, ability, and autonomy to conduct effective oversight and play their constitutional or statutory roles in reducing corruption.

10. Branding and Marking

Communications and public perception are critical to the achievement of USAID/El Salvador’s development objectives to improve security, increase prosperity and strengthen democratic governance. Together with our partners, GOES and the communities in which we work, USAID promotes an increased level of hope for Salvadorans living a good life at home, measured by improvements in educational and economic opportunities, security, and government. This activity will contribute to this shared objective. The Recipient of the resulting award will provide a communications strategy demonstrating how the activity will utilize communications to achieve results and how the activity contributes to higher level objectives of increased hope and improved public perceptions. USAID El Salvador/DOC will coordinate with the Recipient's communications lead(s) regularly to align efforts, refine local hub messaging and national campaigns, and encourage the continued understanding and development of communications products that prioritize CDCS communication goals.

11. Cross-Cutting Principles

a. Gender Equality: USAID’s commitment to advance gender equality and pursue gender as a key development issue should be fully reflected in this activity. The Recipient will ensure that gender considerations are incorporated into all aspects of its planned programs. Gender considerations should be integrated into the activities, ensuring that men and women both benefit from USAID support and that gender awareness is a built-in component of the activities.

This project will take into account the fact that men and women are victims of corruption and experience transparency and access to information differently. The Recipient should identify effective solutions that respond to these different needs and adequately tackle discrimination and gender-based violence. The Recipient will incorporate strategic and gender-sensitive elements to inform planning, implementation, and monitoring of activities.

https://www.usaid.gov/news-information/press-releases/may-21-2021-usaid-redirects-assistance-salvadoran-government-institutions-civil-society

In addition, all Activities must integrate the Gender topic to contribute to the achievement of any of the five overarching outcomes of the USAID Gender Equality and Women’s Empowerment Policy:

● Reduce disparities between women and men in access to, control over, and benefit from economic, social, political, educational, and cultural resources, as well as wealth, opportunities, and services;

● Strive to eliminate gender-based violence (GBV), which affects women’s abilities to thrive and succeed, and mitigate its harmful effects on individuals and communities, so all people can live healthy and productive lives;

● Increase the capability of women and girls to exercise their basic and legal rights fully, determine their life outcomes, assume leadership roles, and influence decision-making in households, communities, and societies;

● Support strategies and activities that secure private-property rights and land tenure for women; and,

● Improve the access of women and girls to education, including opportunities for higher education and workforce development.

b. Social Inclusion: Since nondiscrimination is the basic foundation of USAID’s inclusive development approach of empowering women and girls, marginalized ethnic populations, indigenous peoples, internally displaced persons, people with disabilities, youth, and Lesbian, Gay, Bisexual, Transgender, Queer, Intersex and plus (LGBTQI+) individuals. The Recipient must consider integrated programming that reaches people from all these marginalized groups. The USAID LGBT Vision for Action reiterates USAID’s commitment to championing the human rights of LGBTQI+ persons and promoting their inclusion in development efforts.

Furthermore, USAID is committed to the inclusion of people who have physical and cognitive disabilities and those who advocate for and offer services on behalf of people with disabilities. This commitment extends from the design and implementation of USAID programming to advocacy for and outreach to people with disabilities. USAID's policy on disability is as follows: To avoid discrimination against people with disabilities in programs which USAID funds and to stimulate an engagement of host country counterparts, governments, implementing organizations and other donors in promoting a climate of nondiscrimination against and equal opportunity for people with disabilities.

https://www.usaid.gov/sites/default/files/documents/1861/LGBT_Vision_For_Action_May2014.pdf https://www.usaid.gov/sites/default/files/documents/1861/LGBT_Vision_For_Action_May2014.pdf

c. Environmental Compliance: An Initial Environmental Examination (IEE) LAC-IEE-22-34 for DO3 “Government Responsiveness, Accountability and Transparency Improved” was approved on November 30, 2021. This IEE covers activities expected to be implemented under this Award with the Recipient.

USAID has determined that a Categorical Exclusion and Negative Determination with Conditions apply to this award. The Negative Determination with Conditions was assigned due to the sub-awards to be managed by the Recipient.

The Recipient will be responsible for implementing all IEE conditions pertaining to activities to be funded under this award. The Recipient shall review the IEE listed above to better understand the actions needed to meet USAID environmental compliance.

For actions determined as Negative Determination with Conditions within the IEE related to this award (i.e., sub-awards), the Recipient shall submit an Environmental Monitoring and Mitigation Plan (EMMP) with the first-year Annual Work Plan for approval by the AOR. The purpose of the EMMP is to identify potential impacts of actions that are included in the work plan, and identify and implement mitigation measures that would minimize such impacts.

The EMMP form contains complete instructions on the purpose, timing, and steps to complete the EMMP.

The Recipient shall use USAID’s EMMP template, found at https://www.usaid.gov/documents/1865/environmental-mitigation-and-monitoring -plan-emmp.

The IEE is in Spanish and English, and the Recipient may use either one;

however, in case of any conflict between the two versions, the prevailing version is the English one. In the event that any sub awards do not have an impact on the environment (Table 1 questions), then Tables 2 and 3 of the EMMP do not need to be completed.

If upon completing the EMMP, the sub-award shows a potential impact to the environment (Table 1 has a question listed as Yes), the Recipient shall monitor the implementation of the EMMP’s mitigation measures (using Table 3 of the EMMP) during each year of implementation, and prepare a yearly environmental compliance narrative as a section of the Recipient’s Annual Report.

The EMMP must be amended each year, if and when new actions are incorporated into the project, and as part of any subsequent annual work plans, and if changes to mitigation measures are needed based on the previous year’s monitoring. The Recipient will not implement any EMMP related actions until the EMMP(s), or any subsequent amendments, are approved by the AOR, the Mission Environmental Officer, and the Regional Environmental Advisor.

https://www.usaid.gov/documents/1865/environmental-mitigation-and-monitoring-plan-emmp https://www.usaid.gov/documents/1865/environmental-mitigation-and-monitoring-plan-emmp

Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation (IEE and/or EMMP) must be halted until an amendment to the required documentation is submitted, and written approval is received from USAID.

d. Climate Risk Analysis: All USAID projects and activities approved after October 1, 2016 are required to be assessed for climate risks, and the results of that analysis will be documented in the Activity’s Initial Environmental Examination (IEE) (see Climate Risk Management for USAID Projects and Activities, a Mandatory Reference for ADS Chapter 201). This process of assessing, addressing, and adaptively managing climate risks is known as climate risk management (CRM). For USAID’s purposes, climate risks are potential negative consequences on projects or activities due to changing climatic conditions.

The goal of CRM is to both render USAID’s work more climate resilient (i.e., better able to anticipate, prepare for and adapt to changing climate conditions and withstand, respond to and recover rapidly from disruptions) and to avoid maladaptation (i.e., development efforts that inadvertently increase climate risks).

By using climate risk assessments to inform decision-making at the strategy, project and activity levels, USAID is better able to manage climate risks and more effectively pursue its mission to end extreme poverty and to promote resilient, democratic societies while advancing our security and prosperity. USAID/El Salvador determined that IR 3.3 of the CDCS has a high level of climate risk.

Further, the Mission determined that El Salvador has only moderate capacity (0.45 in government effectiveness) to respond to extreme climate events, and has demonstrated moderate commitment to responding to past events. Climate events can negatively affect service provision and the government’s response capacity. In addition, responses to extreme climate events provide ample opportunities for corruption and the misuse of funds and donations, something that has occurred in the country in the past. Given the frequency of severe climate events and their impact on the country, USAID/El Salvador will work to improve transparency, build resilience into institutional disaster response processes to combat opportunities for corruption, and support civil society efforts to monitor and oversee those processes while under the pressures often experienced during extreme climate events.

Interventions related to workshops, mentoring and dialogue/networking spaces (virtual and in-person), diagnosis reports, education campaigns, research studies, assistance and training on topics related to transparency, promotion of integrity, access to information, and anti-corruption practices have a “low” climate risk rating; however, the Recipient should take into consideration CRM options when…