Annex J5 - USAIDSenegal Government Agreement Technical Representative Letter.pdf

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Government Agreement Technical Representative (GATR)

Designation Letter

DATE: June 17, 2020

FROM: Peter Trenchard, Mission Director

TO: Oumar Sagna, Health Office

SUBJECT: Government Agreement Administration Authorities

REF: Ministry of Health and Social Action (“MSAS”) for the Ndamir project, Activity to support the implementation of Senegal’s National Health and Social Development Plan (PNDSS) 2019-2028, including in the reduction of maternal and child mortality and the control, prevention, and elimination of malaria, oversight and implementation of activities described in the Assistance Agreement, IL 685-012-14

This letter designates you as the Government Agreement Technical Representative (GATR) and authorizes you to provide management and oversight of the above referenced Activity and any associated agreement(s) with the Partner Government Implementing Entity (Government Entity). The authority for this delegation appears in ADS 220.3.5.1(b).

As the GATR, you will lead a multi-disciplinary Government-to-Government (G2G) Agreement Team (GAT) to ensure that USAID exercises adequate management control over its assistance funds. The core GAT includes the GATR, a financial specialist from the Office of Financial Management (OFM), and a program office (PRM) representative. Other team members may also be assigned and, at different times during the activity cycle, the size of the team may expand or contract to accomplish specific tasks (the expanded GAT). The expanded GAT includes the Resident Legal Officer (RLO), the Controller (or Deputy Controller), the Office Director, and the Program Office Director. Conduct of GATR responsibilities will require the assistance of many Mission staff. It is your responsibility to (i) identify the tasks necessary for proper management and oversight and (ii) call on the assistance of the GAT members and other Mission staff as necessary to accomplish those tasks in the timeframe required.

The role of the GAT is to support the GATR and the Government Entity to manage the agreement, oversee implementation, and provide for needed capacity building assistance. GATs are a mechanism for bringing additional expertise and support to assist in overseeing activities. 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 agreement. The team is expected to assure timely achievement of objectives and outcomes, using detailed articulation and tracking of results against established indicators and achievement of milestones, as applicable. The team approach should entail vigorous dialogue and collaboration among core GAT, expanded team members, short term advisors from Mission support offices, USAID/Washington, and other offices as necessary.

Lessons learned and model documents for G2G design and implementation can be found on the G2G Reference Guide at https://sites.google.com/a/usaid.gov/g2gig/.

I. GENERAL RESPONSIBILITIES

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This letter and Mission Order MO220-4, Design and Oversight of Government-to-Government Assistance, as amended or superseded, (G2G Mission Order), state the specific duties, authorities, and limitations that accompany this designation. Your familiarity with those documents, as well as ADS 220, Use and Strengthening of Reliable Partner Government Systems for Implementation of Direct Assistance, the materials in the G2G Reference Guide Website, and applicable laws and policies is critical to carrying out your duties. Additionally, as GATR, you must (i) read all agreements, Implementation Letters (ILs), Development Objective Agreements (DOAG) sections, and Project Appraisal Documents (PADs) associated with the referenced agreement and (ii) thoroughly acquaint yourself with their purpose, terms, conditions. You must also understand the respective roles and responsibilities of the Government Entity, the GAT, the expanded GAT, the RLO, the Mission Director (DIR), the Deputy Mission Director (DDIR), and the GATR in ensuring the agreement accomplishes its purpose. As GATR, you should periodically review the agreement to maintain familiarity with its terms and conditions. You must maintain frequent liaison and direct communication with the Government Entity.

1. Mandatory Training. Attendance is mandatory for any G2G assistance training developed and offered at the Mission. While an active Assistance Officer’s Representative or Contracting Officer’s Representative (AOR/COR) certification is not required throughout the period that you serve as a GATR, acquiring or maintaining this certification is highly recommended.

2. Agreement Authority. In government agreement administration, improper actions include, but are not limited to, taking actions that are beyond the scope of your authority as delegated in this letter. As GATR, you do not have the authority to o Make any modifications to milestones or to deliverables required to verify completion of milestones with respect to FARAs;

o Increase FARA milestone payment beyond the cost fixed at the time of the signing of the agreement; or o Make any amendments or modifications to the government assistance agreement.

If you have questions in this area, contact the RLO for advice BEFORE you take action. The GATR should coordinate and work closely with the GAT and the RLO to resolve any ambiguities in the agreement or to process amendments to the agreement, IL, or milestones.

3. Financial Management. In financial management, you must act in a manner that is expected of a reasonable individual. At a minimum, a reasonable individual would be expected to o Take reasonable steps to ensure that the Government Entity has submitted all required agreement deliverables, services, and reports;

o Document and provide justification for the action, including determining if the Government

Entity has completed necessary requirements before authorizing payment (the documentation, whether formal or not, should be easily understood by an auditor or other third-party individual reviewing it); and o Discuss with the GAT, Office Director and RLO, and notify the Regional Inspector General if you suspect misuse or fraud related to use of U.S. government resources.

The GATR should coordinate and work closely with the financial specialist on the GAT to ensure compliance with financial management requirements.

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II. IMPLEMENTATION RESPONSIBILITIES

1. Post-award Launch Meeting. 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.).

2. Work Plan Approval (for Cost Reimbursement and, if appropriate, for Fixed Amount

Reimbursement Agreements (FARA). The GATR will periodically review and approve, after consultation with the GAT, the Government Entity’s technical work plans and any work plan modifications and provide written notice of approval to the Government Entity. Much of the success of G2G assistance depends on careful planning. Each agreement has different objectives and each entity has different capacities, all of which should be taken into consideration in the work plan. The work plan should reflect technical, risk mitigation, and capacity development activities. For FARAs, it should also tie activities to milestones.

3. Project Management Plan. The GATR in collaboration with the GAT and the Government Entity should develop a project management plan. The project management plan should build upon the findings from the Public Financial Management Risk Assessment Framework (PFMRAF), pre-award survey or other assessments and addresses the following elements: (1) risk mitigation measures; (2) capacity building required for successful execution of the activity; (3) routine project monitoring and site visits; (4) periodic joint progress review meetings between the GAT and key Government Entity officials; (5) a schedule for reporting or deliverables; and (6) for cost reimbursement agreements, tracking/reporting against established indicators. The format for the project management plan should follow the Mission provided template.

4. Acceptance and Approval of Goods and Services. The GATR, in consultation with the GAT, makes determinations regarding the fulfillment of obligations of the Government Entity that are prerequisites to the disbursement of funds.

i. For cost reimbursement awards, the GATR administratively approves whether costs are reasonable, allowable, and allocable under an award.

ii. For FARAs, the GATR determines whether milestones have been achieved as exactly specified in the agreement in English (unless the agreement provides that French is the controlling language) and administratively approving the requested payment for these milestones. Your administrative approval in consultation with the GAT must be based on receipt of the deliverable, or means of verification associated with each milestone. Verification may include physical confirmation or an on-site visit either by USAID or a third party. Verification may be done by appropriate analysis of written documents (vouchers, training sign-up sheets, reports, etc.), photos, videos, or other means designed to ensure activities are completed in accordance with the exact specifications in the agreement. Per the G2G Mission Order, Your Office Director and the RLO must clear on each milestone/activity completion. Such milestone verification documentation must be kept in the official G2G agreement files.

5. Required Approval for Agreement Amendment, including Modification of Milestones. It may be necessary to adjust activities, outputs, milestones or payment amounts based on changed conditions or when monitoring and oversight suggest that implementation is yielding different results than anticipated.

i. The GATR, in consultation with the GAT, may propose to the expanded GAT any changes to the activity description, technical provisions, milestones, payments and/or any other term or

4 | Page condition of the agreement. Missions must document such adjustments and modify agreements in writing per ADS 220.3.5.2b (2) (d) 8. The changes will then need to be cleared and approved by relevant offices as per Mission Order 103-6, Delegations of Authority and Clearance Procedures for Planning and Implementation (as amended or superseded), documented, usually through an agreement amendment, and maintained in the GATR and PRM files.

ii. If an event beyond the control of the Government Entity has occurred (“force majeure1”), it may be appropriate to amend the agreement to adjust payments or to 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. If the GATR determines that (i) multiple or substantial amendments indicate that the Government Entity is unlikely to accomplish the agreement activities and (ii) continuing the agreement is no longer in the best interest of the U.S. government, then the GATR, in coordination with the expanded GAT, may recommend re-negotiation or termination of the agreement to the Mission Director to the extent the agreement provides for unilateral termination.

6. Special FARA Milestone Considerations.

i. Modifications to milestone descriptions, verification deliverables or fixed amounts for milestones must not be retroactive to works in progress or previously completed.

ii. If the agreement permits partial payment for partial performance of a milestone, the GATR may recommend to the GAT administrative approval of payment for less than full performance of the milestone pursuant to the terms of the agreement.

iii. If the agreement does not permit partial payment for partial performance, the GATR must recommend to the expanded GAT a formal modification to the agreement prior to recommending paying for less than full performance of the milestone, so long as the payment amount corresponds to the estimated cost of the partially completed milestone.

7. Financial Management. Although the responsibility for making payments and accounting for funds and balances rests in the Mission’s OFM, the GATR must

i. Affirm in writing to the financial analyst on the GAT, prior to the disbursement of any funds to the Government Entity (including advances), that all required approvals, assessments (including capacity development) and conditions precedent under the agreement documents have been satisfied;

ii. Ensure that Government Entities have opened a dedicated bank account and that account details are current;

iii. Review Government Entity requests for reimbursement/liquidation (vouchers, any required evidence of milestone completion, and/or financial reports) and provide or deny administrative approval (see Non-Payment Letter in the G2G Implementation Guide) in accordance with the stipulations of the agreement, the initial budget, and the procedures in ADS Chapter 630- Payables Management. If necessary, the GATR will direct third parties to independently verify and document that work has been completed to support the payment;

1 Force majeure events include natural disaster (including floods, earthquakes, tsunamis, hurricanes, and cyclones), man-made disasters (including civil strife, coup d’états, labor strikes, and fires) or other events beyond the control of the Government Entity that result in nonconformance.

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iv. Develop an estimate of accrued expenditures (milestones or work completed and not paid) in coordination with the GAT on a quarterly basis, in accordance with ADS 631- Accrued Expenditures, and instructions from OFM;

v. Monitor the financial status of the agreement on at least a quarterly basis (use Mission pipeline reports, Ops-master, or the Milestone Payment Tracking Tool as appropriate), in coordination with the GAT, to ensure that the level of funding is the minimum necessary;

vi. In coordination with the GAT, monitor the financial management (including outstanding findings, bank/special accounts, financial systems and progress on capacity development) and host country contribution requirements in coordination with the GAT and in accordance with the agreement and Agency regulations (ADS 220 and 350.3.5- Grants to Foreign Governments);

vii. Ensure that all funding actions comply with the Agency's forward funding guidelines (ADS 602 - Forward Funding of Program Funds), where appropriate under the terms of the agreement;

viii. Coordinate with the GAT on audits (i.e. financial, limited scope and performance audits) that may be needed. Per ADS 591 - Financial Audits of USAID Contractors, Recipients, and Host Government Entities, financial audits are required for yearly expenditures of $750,000 and greater for non-FAR costs (cost reimbursement, advance/liquidation or sector assistance activities) using the approved list of designated auditors maintained by the Regional Inspector General;

ix. Ensure that any advance payments authorized under the agreement are for no more than 30 days of working capital requirements of the activity in accordance with ADS 220maj, Advances for G2G assistance and 636 - Program Funded Advances (see FAR Tracking Spreadsheet in the G2G Implementation Guide); and

x. Follow close-out procedures required for the agreement.

8. Capacity Building/Technical Assistance. Based on (i) the project management plan, (ii) discussion with the GAT, (iii) approval of the Office Director, and (iv) availability of resources, identify and support the provision of technical assistance to the Government Entity to help the Government Entity achieve the results in the agreement. Examples of assistance include use of in-house Mission resources, including staff, provision of on-the-job coaching and mentoring by embedding local staff with Government Entities.

9. Environmental Compliance. Consult with the Mission Environmental Officer (MEO) regarding any questions pertaining to environmental compliance.

i. Know the 22 CFR 216 threshold determinations and any attendant environmental mitigation and monitoring conditions that apply to the Government Entity’s activities, as established in the Request for Categorical Exclusion, Initial Environmental Examination, and/or relevant Environmental Assessments.

ii. Fully execute the environmental compliance responsibilities listed in ADS 204.2.c,

204.3.4. These responsibilities include but are not limited to the following: (a) ensuring that any specified environmental mitigation and monitoring is implemented, sufficient, and effective; and (b) ensuring that the Government Entity’s activities remain within the scope of the approved 22 CFR 216 documents.

iii. In certain cases, the GATR in consultation with the GAT may be required to recommend that project activities that cannot be brought into compliance be suspended or terminated.

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10. Legal Requirements. Consult with the RLO regarding any questions pertaining to agreement interpretation. The governing document for the GATR is the IL, Mission Order MO220-4, and ADS 220 policy.

i. Consult with the GAT, Office Director, and the RLO if any proposed action could reasonably result in a breach of the terms of any agreement document, this letter, Mission Order MO220-4, the ADS, or applicable U.S. policy, regulation, law, or statute.

ii. Refrain from approving or taking any action that exceeds the delegated authority of the GATR. (Questions should be referred to the RLO for advice BEFORE any action is taken.)

III. AGREEMENT ADMINISTRATION

1. Communications. The GATR should share relevant communications with GAT members. In particular, the GATR should provide to the GAT a copy of any communications between the GATR and the Government Entity that (i) may lead to an amendment to the agreement, (ii) may affect the Government Entity's rights or responsibilities under the agreement, or (iii) has or may affect the terms set forth under the agreement documents.

2. Branding and Outreach. The GATR will

i. Coordinate events and press releases with the Mission Development Outreach Communications Advisor; and

ii. Ensure that appropriate branding takes place in accordance with the terms of the agreement and USAID-approved partner government practices.

3. Files and Documentation. As the GATR, you have an important responsibility for establishing and maintaining adequate electronic and hard copy GATR files. These files are your primary tools for carrying out your duties and responsibilities as the GATR for this agreement and provide documentation of your actions. These files will also help alternate and successor GATRs, auditors, GAT members, and reviewers to understand your actions as GATR and the reasons behind such actions.

At a minimum, the GATR must ensure that the files contain the documents listed in G2G Required Documentation of the G2G Implementation Guide. In addition, PRM will maintain originally signed final ILs in PRM files. For FARAs, you must keep all documentation for milestone approval in the official G2G agreement file.

4. Property Disposition. The GATR is responsible for ensuring that project-financed property is maintained and disposed of in accordance with the terms of the agreement, the ADS, the DOAG, and customary Mission practice.

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IV. LIMITATIONS

1. Scope of Authority/Avoiding Unauthorized Commitments. Your authority does not include making any changes in the activity description, the terms and conditions of the applicable agreement(s) (e.g. IL(s)), milestone costs, or the total estimated budget. Actions you take or directions you give beyond the authorities provided in this memorandum or in ADS 220 may create unauthorized commitments under the agreement. Unauthorized commitments undermine the Agency’s financial management systems and can lead to disputes with the Government Entity and other interested parties, and in some cases, constitute criminal violations of law.

As GATR, you may face disciplinary action for unauthorized acts.

Ignorance, lack of oversight, and misunderstanding are not excuses for unauthorized commitments. Therefore, it is critical to educate yourself and remain informed of your authorities and the limitations on your authorities as a GATR. If you have questions in this area, contact the RLO for advice BEFORE you take action. You should coordinate and work closely with OFM in ensuring compliance with financial management requirements and with PRM in ensuring compliance with policy requirements.

2. Re-delegation. You may not re-delegate the authorities or responsibilities contained in this memorandum to any other person, except as provided below in subparagraph 3. When carrying out your GATR duties, you may ask the GAT and others to assist you, but such assistance has limits.

For example, you may ask others to conduct fact-finding or make recommendations regarding actions you may take as GATR. However, anyone assisting you must not take any action that directly affects the Government Entity’s rights or ability to carry out the activities for which the agreement was awarded. The ultimate responsibility for any actions taken, by you or others assisting you, remains with you.

3. Alternate GATR. In your absence, and only in your absence, Emma Din is hereby authorized to act on your behalf. If this individual is not available to carry out your GATR responsibilities during your absence, notify the Office Director as soon as possible to discuss alternatives. To ensure minimal disruptions, please notify the Government Entity and the GAT as soon as possible when you will be unavailable to discharge your GATR responsibilities for a period of more than two weeks. If the alternate is not available in your absence, the Office Director will designate a new alternate GATR.

4. Duration of GATR Designation. This designation will remain in effect for the life of the agreement unless the Mission Director rescinds it in writing or you resign this position. If you cannot fulfill your responsibilities as GATR for any reason (e.g. transfer to another post), please notify the Office Director as soon as possible in order to ensure the timely designation of a successor.

V. STANDARDS OF CONDUCT AND CONFLICTS OF INTEREST

As an employee of the U.S. government, you must respect and adhere to the principles of ethical conduct set forth in Title 5 of the Code of Federal Regulations, Part 2635—Standards of Ethical Conduct for Employees of the Executive Branch. You must notify the GAT, Office Director, and RLO immediately of any suspected fraud, bribery, conflict of interest, or improper conduct occurring during the course of your official duties by any party including yourself, employees of the Mission, Government Entity, or technical assistance implementing partners. Mission employees must avoid the appearance of such conflict in order to preserve public confidence in the U.S. government employee’s conduct of business.

As a GATR, you are responsible for protecting the U.S. government's interests, while supporting its reputation for fair and equal dealings with all its partners, including Government Entity’s. Therefore, if

8 | Page you have any direct or indirect financial interests in violation of 18 U.S.C. 208 and/or 5 CFR 2635.401 and 5 CFR 2635.501 that may place you in a position where there is a conflict between your private interests and the public interest of the United States, you must immediately inform your supervisor, the RLO, and the Assistant General Counsel for Ethics Administration of this conflict so that appropriate action may be taken. As GATR, you must avoid the appearance of such conflict in order to preserve public confidence in the U.S. government employee’s conduct of business. Furthermore, you must be aware of the post-employment restrictions on former U.S. government employees, including Personal Service Contractors, found in 18 U.S.C. 207, to prevent/ avoid/preclude possible violations.

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ACKNOWLEDGEMENT

Your signature below confirms that you

(1) Accept this appointment; and

(2) Agree to comply with all duties, responsibilities, and limitations outlined in this letter, particularly those pertaining to conflicts of interest, by agreeing to conduct business dealings in a completely impartial manner that avoids conflicts of interest.

I HEREBY ACCEPT THIS APPOINTMENT AND ACKNOWLEDGE MY DUTIES AND

RESPONSIBILITIES.

Oumar Sagna

G2G AGREEMENT TECHNICAL DATE

REPRESENTATIVE

After signing, return this original memorandum to the Program Office. Retain a copy for your records.

The Mission Director will acknowledge your acceptance of this designation by signing below and will send a copy to you and the others indicated below.

Peter Trenchard

USAID/SENEGAL MISSION DIRECTOR DATE

Cc:

Alternate GATR: Emma Din (HPNO) GAT Members (Office): Abdrahmane Diallo (PRM), Tidiane Wone (OFM), Oumou Dia, (RLO) e-GAT Members (Office Directors): Laura Campbell (HPNO), Karen Welch (PRM), Robert Clink

(OFM).

Deputy Mission Director: Catherine Andang

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Alternate Government Agreement Technical Representative Designation

TO: Emma Din

SUBJECT: Government Agreement Administration Authorities

REF: Ministry of Health and Social Action (“MSAS”) for the Ndamir project (Activity to support the implementation of Senegal’s National Health and Social Development Plan (PNDSS) 2019-2028, including in the reduction of maternal and child mortality and the control, prevention, and elimination of malaria, and implementation of activities described in the Assistance Agreement, IL 685-012-14

ACKNOWLEDGEMENT

Your signature below confirms that you

(1) Accept this appointment;

(2) Agree to comply with all duties, responsibilities, and limitations outlined in this memorandum, particularly those pertaining to conflicts of interest, by agreeing to conduct business dealings in a completely impartial manner that avoids conflicts of interest;

(3) Understand that you are only authorized to perform these duties in the absence of the GATR; and

(4) Understand that you may be required to participate in the expanded GAT, as needed.

I HEREBY ACCEPT THIS APPOINTMENT AND ACKNOWLEDGE MY DUTIES AND

RESPONSIBILITIES AS ALTERNATE GATR.

Emma Din

ALT. G2G AGREEMENT DATE

TECHNICAL REPRESENTATIVE

After signing, return this original memorandum to the Program Office. Retain a copy for your records. The Mission Director will acknowledge your acceptance of this designation by signing below and will send a copy to you and the others indicated below.

Peter Trenchard

USAID/SENEGAL MISSION DIRECTOR DATE

Cc:

GATR: Oumar Sagna (HPNO) GAT Members (Office): Abdrahmane Diallo (PRM), Tidiane Wone (OFM), Oumou Dia, (RLO) e-GAT Members (Office Directors): Laura Campbell (HPNO), Karen Welch (PRM), Robert Clink

(OFM).

Deputy Mission Director: Catherine Andang

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Annex GAT and Expanded GAT Membership2

GAT and Alternate GAT Members

GAT Name Alternate GAT Name

GATR Oumar Sagna Imane Sene

OFM

Representative

Tidiane Wone Robert Clink

PRM

Representative

Wouter Housen

Expanded GAT and Alternate Expanded GAT Members

Expanded GAT Name Alternate Expanded GAT Name

RLO Oumou Dia

Controller Robert Clink

Program Officer Director Karen Welch

Technical Office Director Laura Campbell

2 Subject to change. Master list maintained by Program Office. Please submit updates to Program Office.

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CLEARANCE PAGE FOR Government Agreement Technical Representative (GATR) Designation Letter

HPNO OD: LCampbell __________________ Date: ______________

A/PRM OD: MReilly __________________ Date: ______________

DMD: KAndang __________________ Date: ______________