Annex J4 - USAIDSenegal_G2G Design and Oversight_Mission Order 220-4.pdf

Mission Order

Mission Order Number: MO220-4 Series/Chapter: ADS 220 Supersedes: MO220-3 (March 6, 2017) Effective Date: December 16, 2019 Subject/Title: Design and Oversight of Government-to-Government Assistance

I. PURPOSE

Government-to-Government (G2G) engagement should be strategic, purposeful, and cost-effective, reflecting mutual accountability and shared risk. This Mission Order establishes responsibilities and provides guidance for the development and management of G2G assistance agreements, processes, and procedures. This Mission Order has been written in compliance with Agency Policy as articulated in Automated Directives System (ADS) 220 (July 28, 2014, partial revision March 12, 2019). In the case of any ambiguity or contradiction, ADS 220 guidance, as it may be amended or revised, takes precedence. Any recommended modifications to this Mission Order to increase consistency with USAID policies and applicable Mission practice should be communicated to the Program Office (PRM), which is responsible for drafting and updating this Mission Order.

II. AUTHORITY/POLICY

Primary Authority:

● Section 7031(a) of the 2019 Foreign Operations Appropriations Act (and similar provisions in other annual appropriations legislation);

● ADS 220, Use and Strengthening of Reliable Partner Government Systems for Implementation of Direct Assistance, specifies the policies and procedures to be followed when designing, negotiating, and implementing direct funding agreements to partner governments.

● ADS 103.3.12.1.a, Delegations of Authority, provides the Mission Director with authority to implement strategic, special, or support objectives.

Other References:

● Mission Order 201-2-2, Project and Activity Design and Implementation, establishes roles, responsibilities and procedures for project and activity design and implementation.

● Mission Order 103-7, Delegations of Authority, specifies which Mission office has approval authority for various documents in the design, implementation, reporting and close-out continuum, specifies required clearances, and provides model documents.

● Government Agreement Technical Representative Designation Letter and the companion G2G Reference Guide website for mandatory and pragmatic guidance, as well as Annex 2 for the list of mandatory references.

https://sites.google.com/a/usaid.gov/g2gig/essential-files https://sites.google.com/a/usaid.gov/g2gig/home

Mission Order Number: MO220-4 Effective Date: December 16, 2019

Mission Order: DESIGN AND OVERSIGHT OF GOVERNMENT-TO-GOVERNMENT ASSISTANCE

III. DEFINITIONS

Significant terms from the ADS for this Mission Order are as follows:

Activity: An activity is a sub-component of a project that contributes to a project purpose. It typically refers to an award (such as a contract or cooperative agreement). (ADS 201.3.4)

Cost Reimbursable Agreement (CR): Under this mechanism, USAID reimburses a Partner Government Implementing Entity (Government Entity) for its actual costs and expenditures incurred in carrying out the project or project activities. USAID must identify the inputs and the estimated costs of inputs to be financed by both USAID and the Government Entity, before signature of the award. Budgets must provide sufficient detail to justify the level of financing approved by USAID. (ADS 220.3.5.2.b(1))

Fixed Amount Reimbursement Agreement (FAR): Financing mechanism whereby USAID agrees to pay a Government Entity a fixed amount upon a determination by USAID that specified activity elements or units have been completed in accordance with plans and specifications previously approved by USAID. The payment amount is based on a reasonable estimate of the costs, determined before signature of the award, likely to be incurred to produce an objectively verifiable, independently useful output and is not altered based on the Government Entity’s actual cost experience. (ADS 220.3.5.2.b (2))

Government-to-Government Assistance (G2G): When USAID disburses funds directly to a partner government entity, including all instances in which USAID finances a partner government entity of a bilateral foreign assistance recipient country to implement a project or project activity using the partner government’s own financial management, procurement, or other systems. (ADS 220.3.4.2)

Host Country Contribution (HCC): Requirement under the Foreign Assistance Act that requires the partner government to provide at least 25% of the costs of the program, project, or activity. The contribution may be provided in cash or in-kind. (ADS 350.3.5)

Implementing Mechanism: An implementing mechanism is a means of implementing a project to achieve identified results, generally through the use of a legally binding relationship established between an executing agency (generally a USG agency like USAID or a Government Entity) and an implementing entity (contractor, grantee, Government Entity, international organization) to carry out activities with USG funding.

Examples of implementing mechanisms include contracts, cooperative agreements, grants, inter-agency agreements, bilateral project agreements, fixed amount reimbursement agreements, cost reimbursable agreements, performance agreements, cash transfers to Government Entity, public- private partnerships, Development Credit Authority agreements, and Development Innovation Venture awards. (ADS Chapters 200-201)

Implementation Letter (IL): Formal correspondence between USAID and another party following a formal agreement that obligates funding. Implementation letters serve several functions, including providing more detailed implementation procedures, providing details on terms of an agreement, recording the completion of conditions precedent to disbursements, and approving funding commitments and mutually agreed-upon modifications to program descriptions. USAID/Senegal uses bilaterally executed Implementation Letters as the principal means of sub-obligating funds for direct government financing of activities or projects. For purposes of this Mission Order, the generic term G2G agreement refers to ILs for sub-obligations. The IL includes the letter and all supporting attachments. (ADS220.3.4.5)

Milestone: Objectively verifiable and independently useful development output triggering payment in an amount corresponding to the output’s cost estimate. Milestones may be used to finance outputs that achieve incremental progress towards a more complex output or result. FAR milestones should not be confused with

ADS 201.3.5.7 performance indicators. (ADS 220.3.5.2.b (2)(a))

Project: A ‘project’ is defined as a set of executed interventions over an established timeline and budget intended to achieve a discrete development result through resolving an associated problem. It is linked to the CDCS Results Framework. More succinctly, a project is a collaborative undertaking with a beginning and end, designed to achieve a specific purpose. (ADS 201.3.3)

Public Financial Management Risk Assessment Framework (PFMRAF): USAID's risk management process to identify, mitigate, and manage the fiduciary risks encountered when considering G2G assistance.

(ADS 220.3.3)

IV. ROLES AND RESPONSIBILITIES

All Mission Offices are responsible for the implementation of this Mission Order and for adherence to the Agency guidance and principles on G2G agreement design and implementation.

Mission Director (MD): The Mission Director is responsible for all Mission strategic planning to include government-to-government strategic planning (ADS 103.3.12.1.a.). The MD also authorizes the Mission to rely on host government systems by signing the Approval for Use of Partner Government Systems (AUPGS).

(ADS 220.3.4.1). Using his/her authority to make grants to foreign governments, the MD obligates all G2G assistance through the signature of ILs. In consultation with the cognizant Technical Office Director (OD), the MD designates Government Agreement Technical Representatives (GATRs) to manage G2G awards on a day-to-day basis. Prior to implementation or changes in scope of programs or agreements, the MD must approve each new or significantly changed program in accordance with the Mission Order MO 201-2-2 on Project and Activity Design and Implementation. The MD or his/her designee chairs portfolio reviews per Mission Order MO 203-5.

Deputy Mission Directors (D/DIR): The cognizant Deputy Mission Director (Senegal or Sahel Regional) provides strategic guidance on G2G activity development and must review and clear all award documents before being submitted for the approval of the Mission Director. The D/DIR also decides, with e-GAT input, whether new proposed G2G activities can move forward. Within their respective areas of responsibility, as designated “alter egos” of the MD, D/DIRs may also exercise any authority assigned to the MD by this Mission Order. (See ADS 103.3.1c.)

Technical Offices (TO): TOs will generally lead design, development, and implementation of G2G agreements. TOs lead technical and management capacity assessments of Government Entities. If the results of technical and management capacity assessments indicate the need for strengthening sustainable host country systems in order to achieve planned results, the cognizant Technical Office is responsible for providing the required technical assistance to mitigate programmatic risks identified in the assessments. The Technical Office Director (OD) will nominate a Government Agreement Technical Representative (GATR) and an alternate, whose designations will be approved by the Mission Director. TOs will also ordinarily draft, in consultation with business advisory offices, the technical documents integrated as annexes to the obligating document. The OD will be a member of the Expanded Government Agreement Team (e-GAT) to contribute his/her expertise in the development of a G2G implementing mechanism, as well as in all technical aspects of agreement development, approval, implementation, modification, and close-out.

Office of Financial Management (OFM): OFM is responsible for leading the partner government systems (PGS) Team in conducting rapid appraisals and risk assessments, designing mitigation strategies, conducting financial reviews, supporting financial management capacity development, making payments, preparing financial reports, accounting for funds and balances, and ensuring compliance with audit requirements. OFM will provide the Program Office with the names of the Government-to-Government Agreement Team (GAT)

Financial Specialist and alternate to be assigned to G2G agreement development and implementation. The Controller (C/OFM) will be a member of the e-GAT to contribute his/her expertise in the development of G2G agreements, as well as in all financial management and fiduciary risk response aspects of agreement development, approval, implementation, modification, and close-out.

Program Office (PRM): PRM is the lead office in charge of the management and oversight of the Mission’s G2G portfolio. PRM is responsible for overseeing the proper implementation of this Mission Order. The PRM Office Director (D/PRM) will assign PRM GAT representative(s) for the design and implementation of the G2G agreement. These individuals will ensure G2G activities are consistent with the CDCS and that all planning requirements, including any necessary PAD amendments, are met. In coordination with M&E specialists, PRM will ensure compliance with performance monitoring of G2G awards. Per Mission Order MO 201-2-2 on Project and Activity Design and Implementation, PRM will coordinate with technical teams to design new G2G activities and provide overall support to the process.

PRM also advises on branding, marking and communication. The D/PRM will also be a member of the e-GAT to contribute his/her expertise in the development of the G2G implementing mechanism, as well as in all programmatic and policy aspects of agreement development, approval, implementation, modification, and close-out. PRM, or its designate, may provide final clearance on milestone completion (as defined in Section V).

Resident Legal Office (RLO): The RLO is responsible for interpreting this Mission Order and for all interpretations of law or Agency policy related to G2G. RLO drafts for MD signature all obligating documents (normally ILs) to establish or amend G2G activities or projects. Project or activity-specific technical documents integrated as annexes to the obligating document are ordinarily drafted by the TO in consultation with business advisory offices. The RLO will conduct milestone completion checks on a periodic basis. The Resident Legal Officer will be a member of the e-GAT to contribute his/her expertise in the development of G2G implementing mechanisms, as well as in all legal and policy aspects of activity design, agreement development, approval, implementation, modification, and close-out. Certain responsibilities, including drafting of ILs and periodic checks of milestone completion, may be delegated to the RLO’s USAID/Senegal FSN Advisor; however, responsibility for any definitive opinions on U.S. law and approval of documents that are legally binding on the U.S. Government ultimately lies with the Resident Legal Officer.

Regional Acquisition and Assistance Office (RAAO): As needed and appropriate, RAAO will provide support and expertise in costing, and provide other technical assistance. This could include: providing input into the AUPGS and choice of implementing mechanism; assisting with negotiating prices and establishing payment bases (e.g. outputs or cost reimbursement budgets); assisting in reviewing estimated costs of partner government implementation; providing advice and assistance regarding the partner government’s engagement, administration, and management of local organization and contractor implementers; and serving as the Mission subject matter expert on public sector procurement, including, if appropriate resources levels are available to the Mission, leading technical assistance or procurement system strengthening activities.

Design Team: The Design Team, led by the GATR, assists and advises the Mission Director on the planning, negotiation and design of a G2G award. For purposes of continuity, some members of the Design Team are ideally integrated into the PGS Team and the GAT Team. The size of the team may expand or contract to accomplish specific tasks at different times during the planning and design phase. Additional team members may be included as needed, and the size of the team may expand or contract to accomplish specific tasks at different times during the period of implementation or to address specific requirements of the agreement (such as construction, environmental impact, or gender- related activities).

Partner Government Systems Team (PGS Team): The PGS Team assists the Mission Director in arranging an appraisal and assessment of the partner government’s public financial management systems as well as organizing the Expanded Democracy, Human Rights and Governance Review (ADS 220.3.2), if necessary. The PGS Team membership is cross-sectoral. Ideally, some members of the PGS Team are integrated into the Design Team and the GAT. The Mission Controller, the RLO, and a PRM Representative are mandatory members of the PGS Team. The Team is led by the Controller, or by an OFM Team member designated by the Controller to lead the Team. (ADS 220.2.b)

Government-to-Government Agreement Team (GAT): The GAT, led by the Government Agreement Technical Representative (GATR), is a cross-sectoral team that includes the GATR and assigned specialists that support and advise the GATR. Each GAT will include a financial specialist and a program specialist for each G2G agreement. An RLO representative may also be included in the GAT. The membership of the GAT is coordinated by the TO with PRM and OFM, and RLO if an RLO representative is included. PRM maintains and updates the membership for each agreement. GAT members are assigned by their Office Directors at the beginning of the process, and these individuals also serve as team members on the PGS and Design Teams. The GAT is a mechanism for bringing additional expertise and support in the design and oversight of a G2G agreement. It is expected that the GAT will meet regularly, share information, and maintain in-depth and current knowledge of activities, results, and management issues related to the execution of activities under the specific G2G agreement.

Government Agreement Technical Representative (GATR)1: As the Mission Director’s designated technical representative for award management, the GATR is responsible for overall day-to-day management, including financial, managerial, organizational, and technical oversight, of a discrete activity or project. The GATR has direct responsibility for overseeing and guiding activity management, engaging in policy dialogue, and sharing information with the GAT. The GATR is usually the TO representative on the PGS Team and leads the Design Team during the design and planning phase of developing a G2G agreement.

The GATR coordinates the compilation of all attachments for the IL. The GATR, along with assigned specialists, form the cross-sectoral GAT. The GATR may engage other staff from his/her office, as needed, to provide expertise on the management of the activity. The GATR will be the primary point of communication, through which messages for the government entity from the GAT or e-GAT are coordinated.

While an active Assistance Officer’s Representative or Contracting Officer’s Representative (AOR/COR) certification is not required to serve as a GATR, acquiring or maintaining this certification is highly recommended. GATRs are expected to attend the G2G trainings offered by the Mission and/or other G2G-related training as deemed necessary and appropriate by their supervisors. The GATR Designation Letter contains specific authorities and duties that apply.

Expanded Government-to-Government Agreement Team (e-GAT): The e-GAT is composed of the Technical Office Director (OD), the Controller (C/OFM), the PRM Office Director (D/PRM), and the Resident Legal Officer (RLO). The role of the e-GAT is to support the GAT to provide strategic guidance on the development of the agreement, relationship management with the Government Entity, and resolving implementation and oversight challenges. E-GATs are a mechanism for bringing office director-level expertise and support to assist in overseeing activities. The e-GAT gives the D/DIR input on whether new proposed G2G activities can move forward. The e-GAT is responsible for determining if there is sufficient justification for an amendment to an agreement. It is expected that the e-GAT will meet on an as-needed basis, usually at the request of the GATR, together with the GAT to discuss management issues related to the execution of activities under the specific agreement.

1 References to the GATR in this Mission Order will apply equally to any alternate-GATR unless otherwise stated.

V. PROCEDURES

A. Prerequisite Statutory Determinations

Certain prerequisite determinations for Government-to-Government (G2G) assistance are required by statute and are made annually by USAID/Washington, in consultation with the State Department and other foreign affairs agencies. These include:

● The government is taking steps to publicly disclose on an annual basis its national budget, to include income and expenditures;

● The recipient government is in compliance with section 7013 of the State Foreign Operations Appropriations Act (regarding taxation of assistance); and

● The recipient government is taking steps to protect the rights of civil society, including freedom of association and assembly.

These determinations are coordinated by USAID/AFR. Any Technical Office (TO) initiating the planning and design of a G2G agreement must first confirm with the Program Office (PRM) that the required determinations by USAID/Washington have been made. This information must be included in the Government Agreement Technical Representative (GATR) files.

B. Assessment of Potential Government Entity Systems and Planning for Mitigation of Risks Identified

When considering implementing an activity through a G2G mechanism, the Mission must assess the fiduciary, management, and technical systems of the Government Entity. Except as otherwise provided in ADS 220, Missions must complete the Public Financial Management Risk Assessment Framework (PFMRAF) process as part of an overall project design and authorization process before obligating or sub-obligating funds to a government entity for implementation of G2G activities. PFMRAF is USAID’s risk based process for assessing a Government Entity’s public financial management (PFM) and accountability systems. If an exception is used, the Mission must still identify, mitigate, manage, and monitor mitigation of risks in accordance with ADS 220.3.3.1a.

The Office of Financial Management (OFM) will establish a Partner Government Systems (PGS) team to appraise and assess the Government Entity systems. The PGS Team will ensure that the requirements of a PFMRAF Stage 1 and Stage 2 are met. The Stage 1 will be completed to obtain a high-level understanding of a Government Entity’s PFM, governance, and public accountability systems to evaluate the viability of G2G programming. If proceeding to a Stage 2 risk assessment, the PGS Team will support the development of and conduct of this assessment which is designed to identify, evaluate, and propose measures to address fiduciary risks. In some cases, the risk assessment may occur before the design process or may occur concurrent with the design process. In either case, it is best to have overlap in membership of the PGS and Design Team to ensure applicable findings and mitigations are integrated into the design. Upon completion of the Stage 2 risk assessment, the PGS Team will lead negotiations of risk mitigation measures with the Government Entity, who will document these agreed-upon measures in a Risk Response Plan (RRP) submitted to the PGS team.

The PGS team will ensure that mitigation applicable to an activity is integrated into the activity design process.

An assessment approved by the Agency’s Risk Management Team (DC-RMT) and the final RRP is required before the Mission Director (MD) can authorize the Mission to use host government systems by signing the Approval for Use of Partner Government Systems (AUPGS). The AUPGS is drafted by OFM, with Technical Office (TO) input, and signed by the MD.

For G2G implementing mechanisms to succeed, government partner institutions must also have the necessary technical and management capacity. The TO will ensure these capabilities are adequately assessed and any weaknesses mitigated. Guidance on assessing technical and management capacity of G2G activities are included on the G2G Reference Guide.

C. Strategic Planning and Design

The decision to use a G2G agreement should be based on strategic planning and project design processes that consider the best means to invest USAID resources to achieve a clearly stated development purpose, taking into consideration a rigorous risk assessment and risk mitigation process.

G2G designs must comply with ADS 201-Program Cycle Operational Policy (ADS 201.3.4.6) and Mission Order MO 201-2-2 (Section B, October 9, 2018). Project design at the PAD level must address planned G2G activities. In addition, per MO 201-2-2, given that G2G awards require significant time and resource commitment across the Mission, the Deputy Mission Director (D/DIR) with input from the Expanded Government Agreement Team (e-GAT), will make the decision on whether a new proposed G2G activity can move forward.

The Technical Office Director (OD) will first assign a GATR to lead the Design Team and will coordinate with the e-GAT to ensure additional team members with requisite skills are added to the team. The Design Team will lead the planning, negotiation, and design of the G2G agreement. The Design Team’s membership may expand or contract depending on design needs, but will consistently include the Government Agreement Team (GAT) which will participate throughout the design and implementation process to ensure a level of continuity. The GAT is led by the GATR and includes the specialists assigned by their respective offices.

The OD may send a letter to the Government Entity to initiate the design process.

The Design Team will convene a G2G design presentation to the e-GAT and D/DIR for any new proposed G2G designs. The point at which this presentation can be made will vary and would depend on various factors such as the availability of a well-defined concept note, availability of risk assessment results, preliminary determination of the level of effort needed, and determination of partner government commitment. The Design Team will consult with the D/PRM to determine if adequate information is available to make this presentation. The presentation should be made prior to commitments being made to government counterparts, but does not preclude the Design Team from holding planning and design discussions.

During the presentation to the D/DIR and the e-GAT, the Design Team will provide a clear rationale that includes systems use and strengthening and accounts for the strategic considerations implicit in these questions: (1) Does the Mission see G2G as the most effective mechanism to meet objectives?; (2) Is the partner government committed to directly implementing?; (3) Are the costs to the US Government proportional to development-related benefits?; and (4) Is the risk environment conducive to G2G? These and follow-up questions are included in the G2G Process Map on the G2G Reference Guide. A new design presentation template is also available on the G2G Reference Guide. After the presentation, and based on e- GAT recommendation, the D/DIR will make the decision on whether a new proposed G2G activity can move forward.

D. Activity Design, Planning, and Negotiation

The Design Team, led by the GATR, will ensure that planning and design considerations, including but not limited to the ones listed below, are taken into account during the design and development of the G2G agreement:

https://sites.google.com/a/usaid.gov/g2gig/documents---guidance https://drive.google.com/drive/u/1/folders/0B61eCDJdZcvedXRJRFl2YXg3X3c https://docs.google.com/document/d/1HygK4xlYjccJQ5wbO1wgvEG6PIjpm5G4c_TGQ7FHUKk/edit https://sites.google.com/a/usaid.gov/g2gig/template-files---planning-design https://sites.google.com/a/usaid.gov/g2gig/template-files---planning-design

● Financial management capacity of Government Entity;

● Technical and programmatic capacity of Government Entity;

● Environmental responsibility;

● Activity compliance checklist (including FAA 611(e), if applicable);

● Government Entity work planning calendar, budget calendar, procurement processing times, etc.;

● Budget that accounts for host country contribution (HCC), risk mitigation, monitoring, evaluation, and learning, branding and marking, environmental mitigation if required;

● Note: Any waivers or modifications to the branding and marking policy must be considered during the design phase and approved by the MD concurrently with the approval of the G2G agreement.

All capacity building activities, based on the results of relevant assessments, will be integrated into the agreement and annual work plans. Government Entity systems will be used to the maximum extent practicable based on robust risk assessment findings.

For all new G2G designs, the Management Plan template and procedures and checklists available on the G2G Reference Guide will be used by the Design Team during the design and planning phases to support the compilation of information needed for the G2G agreement’s Implementation Letter (IL). The Management Plan is an internal working document owned by the GATR and his/her team, to be used as a tool for active management of the award. The procedures and checklists cover activity design, drafting the IL (letter and attachments), clearing and approving the IL, and amending the IL. These tools will be maintained and updated by PRM. PRM will also ensure the GATR is officially designated by the MD, with the GATR designation letter fully signed by the GATR and MD, prior to implementation.

E. Execution and Launch

Once the G2G agreement has been signed, the GATR will organize and lead the post-award launch meeting with the Government Entity and relevant Mission staff to orient them to key implementation processes (e.g., requesting advances, environmental compliance, requesting payments, reporting, milestone verification process, etc.). Post-award orientation templates are provided on the G2G Reference Guide.

F. Implementation

Effective oversight and routine monitoring of the activity are paramount to the success of G2G assistance.

1. Oversight Considerations

Primary responsibility for oversight of the G2G agreement lies with the GATR, who works closely with the other GAT members to manage the agreement and provide support to the Government Entity. GATRs maintain frequent liaison and direct communication with the Government Entity counterpart, other government entities, sector experts, and donors to share information and to review activity-level progress.

The GATR will be the primary point of communication through which messages for the government entity from the GAT or e-GAT are coordinated.

In addition to technical outcomes, the GAT Team, led by the GATR, will assess the planned capacity-building activities for the Government Entity to ensure that they are having the desired impact. The GATR in collaboration with other GAT members will update the management plan developed during the design phase to reflect considerations during implementation. It is a best practice for the GATR to organize a joint mid-term review meeting with the Government Entity and relevant Mission staff. This joint meeting serves as a progress check to understand the status of the G2G activity and to identify and address implementation challenges. Additional oversight considerations for the GATR are explained in the GATR Designation Letter https://sites.google.com/a/usaid.gov/g2gig/template-files---planning-design https://sites.google.com/a/usaid.gov/g2gig/essential-files and the G2G Reference Guide.

2. Performance Monitoring & Reporting

The GATR with the support of other GAT members will work closely with the PRM M&E Specialist to meet performance monitoring and reporting responsibilities specified in MO 203-4-1.1 (Performance Monitoring, May 15, 2018). These responsibilities include review and approval of Activity Monitoring, Evaluation, and Learning Plan (AMELP) which is cleared by the M&E Specialist; conduct of or certification of completion of DQAs; conduct of ongoing and systematic activity monitoring and oversight including site visits; conduct of timely analysis and review of performance data and reports. See MO 203-4-1.1 for more details.

3. Branding and Marking

G2G assistance is subject to USAID branding and marking requirements (ADS 320). Section B.8 of the Standard Provisions for DOAGs mandates that the partner government gives appropriate publicity to activities to which the United States has contributed, identify DOAG activity sites, and mark goods financed by USAID. The GATR will work with the Development Outreach and Communications team (DOC) in PRM to develop a communications strategy with the Government Entity and ensure the budget includes funds for financing related expenditures (such as renting rooms to stage events, purchasing banners, communications products, and stickers to identify office inventory and commodities). The DOC will provide a template and will approve the communications strategy. For publicity events or press releases, the GATR will provide DOC at least two weeks’ notice to allow time for possible corrections or clarifications. In general, it takes at least two weeks to make arrangements for events involving USAID/Senegal management.

4. Environmental Compliance

The GATR will work closely with the Mission Environmental Officer (MEO) to ensure compliance with USAID environmental policies and procedures, including climate risk integration. Responsibilities during the implementation phase as described in MO 204-2 (Mission Implementation of USAID Environmental Policies and Procedures, September 1, 2016) include: ensuring current Reg. 216 documentation that covers all activities being implemented; ensuring annual work plans include review of coverage of planned activities under the Initial Environmental Examination (IEE) and Environmental Monitoring and Mitigation Plan (EMMP); ensuring an EMMP, if applicable, is developed, reviewed and approved; and providing copies of environmental compliance documentation to the MEO. See MO 204-2 for more details.

5. Milestone Verification and Reimbursement Considerations

a. FAR Output or Associated Milestone Verification

Prior to the Grantee’s submission of a milestone reimbursement request, the GATR, in collaboration with other GAT members, will review that outputs or associated milestones to be paid have been completed in conformance with the agreed quality standards and specifications (ADS 220mah_072814 Section D.6.a, July 28, 2014). The GATR will verify completion and the OD will provide concurrence through an email or other written correspondence that denotes he/she has reviewed and concurs with the GATR’s verification. In cases where, in addition to verifying completion, the GATR has either (a) the documented input of a USAID contractor confirming appropriate milestone completion, or (b) a milestone that is under $100,000, only the OD will need to concur with the GATR’s verification. This threshold is preliminary and may be adjusted by the D/PRM depending on the results of the Regional Legal Office’ (RLO) periodic milestone review noted in the paragraph below. If the milestone being reviewed for payment does not have a documented review by a USAID contractor (i.e. does not meet condition a) or exceeds the dollar threshold (i.e. does not meet condition https://sites.google.com/a/usaid.gov/g2gig/home https://drive.google.com/open?id=1irdO5jsAHxVXKObMFy0oGZYSSrtRsYRu https://drive.google.com/drive/folders/0B61eCDJdZcvedXRJRFl2YXg3X3c https://drive.google.com/drive/u/1/folders/0B61eCDJdZcvedXRJRFl2YXg3X3c b), the GATR will verify completion and the OD will concur on ASIST as usual, but PRM, or its designate, will also clear.

Once USAID has completed the milestone verification process, the Grantee will submit an SF1034 requesting reimbursement and a written statement signed by an authorized representative of the Grantee certifying the outputs for which reimbursement is requested have been completed to OFM. OFM will route the voucher to the GATR in ASIST (Agency Secure Image and Storage Tracking System), who will upload the OD’s concurrence, as well as other clearances and reviews available (such as PRM’s concurrence or a third-party contractor’s review) and provide approval. Access to and support for ASIST will be provided by OFM and USAID/Senegal’s Information Management team. OFM will process the payment after the three conditions are met.

To ensure continued quality, RLO will conduct periodic reviews of milestones across the G2G portfolio based on a milestone review plan. These reviews are intended to ensure that GATR files contain adequate documentation of milestone achievement to support disbursement of funds under a G2G Agreement. If the RLO determines that documentation of milestone achievement is inadequate to support disbursement, the RLO, Program Office, and the OD will recommend to the MD a remediation plan to ensure adequate future documentation. The MD may also authorize a FAR audit (see Audit section below).

b. Advances for FAR and CR Activities

In the event the Grantee requires advances, USAID will only authorize them based on the outcome and recommendation of a Stage 2 assessment. Requests are for 30-day period needs based on cost estimates and the project implementation plan. The Grantee will submit an SF-1034 marked “Request for Advance” and the amount requested.

For a FAR activity, the liquidation is made upon output completion and verification by USAID as per the procedures above in 5a. For a CR liquidation, the GATR, with support from the GAT and OFM, will review the invoice and approve it for liquidation and payment (if the reimbursement is in excess of the outstanding advance amount).

The Grantee cannot have more than 90 days’ worth of advances outstanding, and if the amount outstanding is beyond 90 days, the GATR will work with the Grantee to liquidate their expenses or complete the milestones. In the event the advance cannot be liquidated, the GATR will work with the GAT, OFM, and RLO to determine whether a bill of collection should be issued.

c. CR Reimbursement

Because USAID reimburses actual costs reasonably incurred to achieve the intended objectives or results, activities funded via CR require a heightened level of monitoring and regular reporting from the partner to ensure that activities are on schedule, to identify issues, and to help resolve implementation problems as they arise (ADS 220mag_072814, July 28, 2014). GATRs, with support from the GAT, will ensure that a rigorous level of monitoring and reporting is maintained. These factors will inform the GATR’s approval of payment for expenditures incurred. The GATR will work closely with the GAT financial specialist and OFM to review CR invoices. OFM will provide the GATR(s) support on how to verify the invoices. The GATR will review, verify, and approve payment of invoices. As needed, OFM will assist the Government Entity to understand USAID requirements and provide guidance along the way.

OFM will conduct financial reviews to monitor cost reimbursement annual expenditure amounts less than $750,000; and facilitate financial audits for annual expenditures greater than $750,000 (see Audit section below).

6. Audit

ADS 591 provides the mandatory audit provisions for G2G assistance (ADS 591.3.2 Audits of Foreign Organizations and Host Government Entities). These provisions are incorporated into the standard provisions of DOAGs with the partner government. Section B.5. Reports and Information, Agreement Books and Records, Audits, and Inspections of the DOAG provides that a financial audit is required when a Government Entity expends $750,000 or more in USAID awards in its fiscal year for non-fixed price awards (e.g. CR). Fixed price awards are not subject to the annual audit requirement (ADS 591.3.2.1g). OFM will ensure compliance with Agency financial audit requirements for G2G awards.

An activity funded via FAR is subject to USAID audit (ADS 220mah_072814). However, it will be a performance audit focusing on compliance with the agreement terms and the verification of output or associated milestone completion to established quality standards and USAID legal/policy requirements.

Since the actual cost experience of the implementing entity under FAR is immaterial to the verification of the achievement of outputs or associated milestones, no financial audit of actual input costs should be performed under FAR. The MD may authorize a performance audit based on input from technical, business advisory offices, or the Office of Inspector General (OIG), among others.

7. Amendments and Modifications to G2G Agreements

a. IL Amendments

Whenever the GATR believes that an IL needs amendment, and in any case two months prior to the anticipated conclusion of a G2G activity, the GATR will organize a GAT and e-GAT meeting. The purpose of this meeting is to review activity progress and to determine whether an amendment is needed. During the meeting, the e-GAT will determine if there is sufficient justification to warrant an amendment, and if so, instruct the GATR to move forward with the amendment process. The GATR will follow the IL amendment SOP-checklist on the G2G Reference Guide which specifies the procedures and required clearances prior to the MD’s approval. IL amendments are signed by the MD, the designated fiduciary agent of the Government of Senegal (GOS), and the Sector Ministry representative.

Some reasons for amending a FAR IL may be (ADS 220mah D.1.b): an output or associated milestone is not completed in conformance with specifications2 and USAID may agree to a reasonable amount of additional time for the partner country implementing entity to remedy the nonconformance; an event beyond the control of the Government Entity has occurred (“force majeure”3) and it may be appropriate to amend the agreement to incorporate new design parameters into the project activity and finance reasonable, additional costs incurred from the force majeure event. Any amended milestones resulting from these changes should be consistent with the agreement in which the original milestones were articulated.

b. Information Letters

2 Where outputs or associated milestones are not accomplished in conformance with the agreed specifications, and incremental output or associated milestone achievement was not designed/contemplated in the FAR IL, reimbursement must be refused (ADS 220mah D.1.b).

3 Force majeure events are defined to include natural disasters (including floods, earthquakes, tsunamis, hurricanes, and cyclones), man-made disasters (including civil strife, coup d’etats, labor strikes, and fires) or other events beyond the control of the partner government that result in the nonconformance (ADS 220mah D.1.b).

https://docs.google.com/a/usaid.gov/viewer?a=v&pid=sites&srcid=dXNhaWQuZ292fGcyZ2lnfGd4OjIyN2JlMzk4ZDgwYjJlYWI https://docs.google.com/a/usaid.gov/viewer?a=v&pid=sites&srcid=dXNhaWQuZ292fGcyZ2lnfGd4OjIyN2JlMzk4ZDgwYjJlYWI

There may be cases where an information letter from the MD to the Government Entity, instead of an IL amendment, may be sufficient to document the necessary changes. The GATR will consult with RLO to determine if this is the case. If an information letter is sufficient, the TO Director will send the draft letter to PRM, who will assign an IL number. The RLO will clear the information letter prior to the MD’s approval and signature.

Some reasons where an information letter may be used include correction of clerical errors, or no-cost extensions that do not impact the IL completion date (e.g. extension of a FAR IL’s milestone’s estimated completion date that still falls within the IL completion date). However, no-cost extensions that impact the IL’s completion date (e.g. extension of a FAR IL milestone’s estimated completion date that falls outside of the IL completion date; change in CR IL dates) will require an amendment as described in (a) above.

8. Recordkeeping

Establishing and maintaining adequate files to document the actions taken to design, develop, implement and oversee G2G assistance activities is critically important and required for audit purposes and for agreement close-out.

The GATR will ensure that official files include the design, agreement development, planning, implementation/management (including any amendments or information letters), and close-out documents listed in required G2G documentation for G2G file intake. The GATR will also ensure that these files are organized and maintained in accordance with the G2G File Index available on the G2G Reference Guide.

The GATR will maintain complete hard copy files that are part of the official agreement for a period of three years after close-out of the agreement. The GATR will ensure that the G2G official file is uploaded into the Agency’s web-based information network ASIST within three months after the completion of a G2G agreement (including all amendments). Access to ASIST will be provided by OFM and USAID/Senegal’s Information Management team.

PRM will maintain original signature agreement, amendments, and action memoranda.

G. Close-out

The GATR will follow close-out procedures for G2G agreements outlined in the G2G Reference Guide.

There are two types of close-outs: administrative close-out and final close-out. An administrative close-out is required when an amendment to a G2G agreement requiring specific activities to be performed with a specific period of performance has elapsed, but the G2G agreement has not terminated. A final close-out is required when the G2G agreement governing the activity and all amendments to the G2G agreement governing all activities have expired.

H. Adapting and Learning

1. Evaluations

Pilot projects or new G2G agreements will have an evaluation. Evaluations will be coordinated with PRM, which will oversee the quality of the evaluations. GATRs of activities being evaluated will engage the Government Entity to plan any evaluations, the timeline, and the scope. Participatory approaches are encouraged. GATRs will ensure the evaluation team has all relevant background materials detailed in the SOW and provide additional documents, as feasible, at the request of the evaluation team. Evaluation recommendations will be incorporated into the design of any follow-up activities. See MO 203-4-2.1 (May 15, 2018) for more details.

https://docs.google.com/document/d/1tjhWnEkdEOOtFcgpqw-3o8MSqkAxuJy6S6h9jnUZl5c/edit https://sites.google.com/a/usaid.gov/g2gig/closeout-templates

2. Oversight Groups

The Mission’s G2G Working Group provides a platform for mission-wide involvement in overall G2G strategy, design, implementation, and MEL focusing on the Mission’s G2G portfolio. The Working Group consists of the GATR and alt-GATR of each agreement, and representatives of the business advisory offices.

It is co-chaired by a business advisory office member and a GATR, and overseen by the Senegal D/DIR. The G2G Working Group is a subcommittee of the Mission’s Governance Integration Team, which is chaired by the Senegal D/DIR.

3. Tools

The G2G Reference Guide is annexed and incorporated by reference into this Mission Order. The templates, procedures, and checklists cited in this Mission Order and provided in the G2G Reference Guide are mandatory reference materials and will be maintained by the Program Office. Revisions to the text of the GATR Designation Letter template will be done by RLO.

https://sites.google.com/a/usaid.gov/g2gig/?pli=1

VI. EFFECTIVE DATE AND CANCELLATION

This Mission Order is effective upon signature and will remain in force until cancelled or amended.

Peter Trenchard Mission Director USAID/Senegal

Date: December 16, 2019

Annexes:

Annex 1. List of Acronyms Annex 2. List of Mandatory References Annex 3. GATR Letter, G2G Reference Guide

Annex 1. List of Acronyms

ADS Automated Directives System

AMELP Activity Monitoring, Evaluation, and Learning Plan

AOR Assistance Officer’s Representative

AUPGS Approval for Use of Partner Government Systems

CDCS Country Development Cooperation Strategy

C/OFM Controller/Office of Financial Management

COR Contracting Officer’s Representative CR Cost Reimbursable Agreement

DC-RMT Agency Risk Management Team

D/DIR Deputy Director

D/PRM Program Office Director

DOAG Development Objective Agreement

DOC Development Outreach and Communications

D/PRM Office Director for the Program Office e-GAT Expanded Government-to-Government Agreement Team

EMMP Environmental Monitoring and Mitigation Plan

FAA Foreign Assistance Act (as amended)

FAR Fixed Amount Reimbursement Agreement

G2G Government-to-Government

GAT Government-to-Government Agreement Team

GATR Government Agreement Technical Representative Government Entity

GOS Government of Senegal

HCC Host Country Contribution

IEE Initial Environmental Examination

IL Implementation Letter

M&E Monitoring and Evaluation MD Mission Director

MEO Mission Environmental Officer

OD Office Director

OFM Office of Financial Management

OIG Office of Inspector General

PAD Project Appraisal Document

PFMRAF Public Financial Management Risk Assessment Framework

PGS Partner Government Systems Team

PRM Program Office

RLO Resident Legal Office RRP Risk Response Plan

TO Technical Office

Annex 2. List of Mandatory References

ADS 103, Delegations of Authority, provides general provisions governing the delegation of authorities or assignment of duties and responsibilities in the ADS and other Agency rules, regulations, and required procedures.

ADS 201, Program Cycle Operational Policy, operationalizes USAID’s development policy as described in ADS 200 and outlines the general principles that govern USAID’s Program Cycle, namely the application of analytic rigor to support evidence-based decision-making, adaptive management through continuous learning, promotion of sustainability through local ownership, and utilization of a range of approaches to achieve results.

ADS 204, Environmental Procedures, provides policy directives and required procedures on how to apply Title 22 of the Code of Federal Regulations, Part 216 (22 CFR 216) to the USAID assistance process.

ADS 220, Use and Strengthening of Reliable Partner Government Systems for Implementation of Direct Assistance, provides the policy directives and required procedures for determining the suitability of using partner country systems for implementation of USAID-funded assistance.

ADS 320, Branding and Marking, establishes requirements for branding and marking for G2G activities.

ADS 350, Grants to Foreign Governments, establishes requirements for grants to foreign governments.

ADS Chapter 591, Financial Audits of USAID Contractors, Recipients, and Host Government Entities, provides the policy directives and required procedures for planning and conducting financial audits of USAID-funded contractors, recipients, and host government entities.

ADS 621, Obligations, provides the policy directives and required procedures for the obligation and management of funds that Congress appropriates to USAID.

ADS 630, Payables Management, provides the principles, requirements, and procedures that govern the examination, certification, and payment of basic vouchers, invoices, contract financing requests, claims, and other payment requests.

ADS 631, Accrued Expenditures, provides the policy directives…