Detailed_Intro_to_OTI._June_2012.v3.pdf

6/22/2012

The Office of Transition Initiatives

Detailed Introduction to OTI for

SWIFT IV Pre‐Solicitation Conference

June 2012

Overview

•Who we are

•Where & When

•What & Why

•How we work

Who are we?

Who?

OTI

• Created in 1994 for political response in a post‐Cold War world

• Focuses on key post‐conflict, stabilization and transition issues in priority countries

• Operational with special authorities and unique mechanisms

• Catalytic Programs intended to be 2‐3 years in duration

• 50 engagements and over $2 billion since 1994

• FY 12 budget (so far)‐ $205 million‐ $57 million TI plus $164 million other accounts (ESF, DA, CCF)

Office Background

“To support transition to democracy and to long term development in countries in crisis….That such support may include assistance to (1) develop, strengthen, or preserve democratic institutions and processes, (2) revitalize basic infrastructure, and (3) foster the peaceful resolution of conflict.”

House of Representatives Conference Report 106‐997 October 24, 2000

TI Legislation and OTI’s Mandate

To support US foreign policy objectives by helping local partners advance peace and democracy in priority countries in crisis.

Seizing critical windows of opportunity, OTI works on the ground to provide fast, flexible, short‐term assistance targeted at key political transition and stabilization needs.

OTI’s Mission

• Programming is fast, flexible and responsive

• Culture of entrepreneurism and decentralized decision‐making

• Staffing structure maximizes flexibility of PSCs & partners

• Mechanisms are “force multipliers”

• Intensive management of staff, partners and programs

• Action learning, real‐time reporting and innovative M&E

• Customized, integrated management and mapping systems

Basic Business Model

Indonesia

1998‐2002

$52 million

Afghanistan

2002‐2005

$57 million

Iraq

2003‐2006

$419 million Pakistan

2007‐TBD

$97 million

Afghanistan

2009‐TBD

$100+ million

13 Countries

TI: $53 million Non‐TI:$347 million

Budget Growth

Operations & Management Division

Program Learning & Innovation

Office of the Director

Africa Team

Asia Team

Middle East Team

Af/Pak Team

Latin America & Carribbean Team

Field Programs Division

Finance & Travel

Personnel Procurement & Staffing

Human Resources & Admin Support

Information & Technology

Innovation (GIU, OTI/A)

Program Team

Strategic Engagement

Budget & Program Procurement

Bullpen ‐ PLI

Media

TSU

Bullpen ‐ FPD

Bullpen ‐ OMD

Monitoring & Evaluation

USAID/DCHA

Updated June 18, 2012

Learning, Training & Facilitation

Applied Best Practices & Coordination

28 Bullpen

61 Field Staff 121 Partner Expat Staff

177 OTI Staff

88 Washington Staff

Force Multiplication

88 Washington Staff

28 Bullpen

61 Field Staff

177 OTI Staff

121 Partner Expat Staff

Force Multiplication

Force Multiplication

1350 Partner Local staff

Where and When?

Where and When?

Where Are We?

Is the country important to U.S. national interests?

Is there a window of opportunity?

Can OTI’s involvement significantly increase the chances of a successful transition?

Is the operating environment sufficiently stable?

OTI’s Criteria for Engagement:

When Does OTI Decide to Engage?

And Desired Effects •Quick projects that highlight peace dividends and/or build confidence

•Bringing people from feuding ethnic or religious groups to work productively together

•Disseminating fair and unbiased information more widely through open media outlets to positively effect public perceptions

•Fostering linkages between civil society and national and local government bodies to support transparent, local decision-making processes.

•Re-integrating ex-combatants and protecting vulnerable populations to help buy time for peace…

It’s not “what” but “why”

Illustrative Activities

Illustrative Activities

…Means that we tend to view success

In terms of effects: positive changes in public attitudes, perceptions or behaviors.

And in terms of how rapidly—and how well—its programs respond to both U.S. foreign policy imperatives and local political developments.

Success therefore depends on our ability to adapt program designs, plans, approaches and activities to keep pace in fluid environments.

How Does OTI do this?

Defining Success

How?

How?

Intensive Management & Monitoring

Assess

Act Adapt

Inherent Risk Reduced;

Desired Effect Amplified

• What are the emerging issues in your area?

• What are the critical events planned in the next 3‐6 months?

• What events are predictable over the next 3‐6 months?

• Map out the best‐case, worst‐case and most likely scenarios. What are the implications or expected outcomes of the most likely scenario?

• What conclusions can be drawn?

• What types of activities and/or overall approach could positively affect the above?

Calendar of Critical Events

Sample SRS or RA Exercise

2. Program Level •Approaches & Priorities

1. Activity Level •Immediate effects

•Context analysis3. Strategic Level

Three Levels of Analysis & Feedback

Activity Level Program Level Strategic Level

We need multiple tools to link the small picture to the big picture.

Data

Initial Assessment

• Team of 2-5 staff

• 2-3 weeks in country

• Recommends “Go” or “No Go” based on OTI Criteria for Engagement

Initial Assessment

• Team of 2-5 staff

• 2-3 weeks in country

• Recommends “Go” or “No Go” based on OTI Criteria for Engagement

Start‐up Workshop

• Immediately upon Award

• OTI & Implementing Partner staff meet for 2‐3 days in DC

• Partner orientation and initial strategy discussions

Start‐up Workshop

• Immediately upon Award

• OTI & Implementing Partner staff meet for 2‐3 days in DC

• Partner orientation and initial strategy discussions

Systems Review

• Approx. 6 months after start

• Team of 2-3 staff for 2 weeks

• Reviews management systems, processes and procedures, applies best practices

Systems Review

• Approx. 6 months after start

• Team of 2-3 staff for 2 weeks

• Reviews management systems, processes and procedures, applies best practices

“Go” Decision

• OTI Decides and Informs Stakeholders

• Five Day Report to Congress

• Task Order Competed and Awarded +/- One Month

“Go” Decision

• OTI Decides and Informs Stakeholders

• Five Day Report to Congress

• Task Order Competed and Awarded +/- One Month

Strategic Review Sessions

• Rolling Assessments held in‐ country with all OTI & Implementing Partner staff plus key stakeholders

• First meeting 2‐3 mos after start‐ up; held approximately every quarter thereafter. Once a year, external consultant facilitates.

Strategic Review Sessions

• Rolling Assessments held in‐ country with all OTI & Implementing Partner staff plus key stakeholders

• First meeting 2‐3 mos after start‐ up; held approximately every quarter thereafter. Once a year, external consultant facilitates.

Program Performance Review

• Annual objective peer review

• 2-4 OTI staff not associated with the program

• Assesses program’s performance and management and makes recommendations to OTI Senior Leadership

Program Performance Review

• Annual objective peer review

• 2-4 OTI staff not associated with the program

• Assesses program’s performance and management and makes recommendations to OTI Senior Leadership

Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9

Program Performance Management

Assessment

• Team of 2-5 staff

• 2-3 weeks in country

• Recommends “Go” or “No Go” based on OTI Criteria for Engagement

Assessment

• Team of 2-5 staff

• 2-3 weeks in country

• Recommends “Go” or “No Go” based on OTI Criteria for Engagement

Start‐up Workshop

• Immediately upon Award

• OTI & Implementing Partner staff meet for 2‐3 days

• Partner orientation and initial strategy discussions

Start‐up Workshop

• Immediately upon Award

• OTI & Implementing Partner staff meet for 2‐3 days

• Partner orientation and initial strategy discussions

Management Review

• Approx. 6 months after start

• Team of 2-3 staff for 2 weeks

• Reviews management systems, processes and procedures, applies best practices

Management Review

• Approx. 6 months after start

• Team of 2-3 staff for 2 weeks

• Reviews management systems, processes and procedures, applies best practices

Program Performance Review

• Annual objective peer review

• 2-4 OTI staff not associated with the program

• Assesses program’s performance and management and makes recommendations to OTI Senior Leadership

Program Performance Review

• Annual objective peer review

• 2-4 OTI staff not associated with the program

• Assesses program’s performance and management and makes recommendations to OTI Senior Leadership

Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9Month 5 Month 4 Month 3 Month 2 Month 1 Month 0

Handover Plan

• Finalized by month 18

• Agreement with USAID

Mission on continuing components

• Partners & staff frequently carry‐on after OTI exits

Handover Plan

• Finalized by month 18

• Agreement with USAID

Mission on continuing components

• Partners & staff frequently carry‐on after OTI exits

Closeout Planning

• Conducted by Management Bullpen

• Assets transferred to local partners or USAID Mission

• Job placement for local staff

Closeout Planning

• Conducted by Management Bullpen

• Assets transferred to local partners or USAID Mission

• Job placement for local staff

Final Evaluation

• Team of external evaluators

• Evaluates program performance effectiveness and impact

• Report on USAID Website

Final Evaluation

• Team of external evaluators

• Evaluates program performance effectiveness and impact

• Report on USAID Website

PPRs

(Approximately Annual)

PPRs

(Approximately Annual) SRSes & RAs

(Approximately Quarterly)

SRSes & RAs

(Approximately Quarterly)

After Exit Review

• Convened after closeout with key OTI and partner staff

• Assesses operations, management practices

• Catalogs lessons learned and distributes them to all partners

After Exit Review

• Convened after closeout with key OTI and partner staff

• Assesses operations, management practices

• Catalogs lessons learned and distributes them to all partners

Program Performance Management

SWIFT is fully competed Price plus Fixed Fee Indefinite Quantity Contract (IQC) that provides Grants Under Contract (GUCs) and other political transition programming.

Small grants (worldwide average $40,000) allow OTI to rapidly support the right activities at the right place at the right time, regardless of “sector,” using local procurement. In‐kind assistance permits support to “unofficial” groups so that OTI can move beyond the “usual suspects” and take calculated risks on innovative ideas. Programming can be directed and re‐directed as the situation demands.

The SWIFT approach allows for flexibility and responsiveness, rather than fixed programmatic deliverables. Essentially a services contract, it provides a platform for action where OTI remains responsible for results. To succeed, it requires a “one‐ team” approach, intensive management and adaptive leadership.

•Development & Training Services (dTS)

•Casals & Associates

•International Resources Group (IRG)

•Development Alternatives, Inc (DAI)

•Creative Associates

•AECOM

•Chemonics

SWIFT III

Partners:

SWIFT III: A Force Multiplier

FORCE MULTIPLIER MAP

Integrated Management Systems

OTI country programs normally consist of large numbers of small grants, STTAs, and other activities. They are tracked in OTI’s “Worldwide Activity Database.”

Our “Database” is actually an integrated activity design, monitoring, reporting, program management and mapping system for both OTI and its implementing partners. The backbone of every OTI country program, it supports:

(1) Fast‐paced, collaborative project design; assists staff in thinking analytically about each activity.

(2) Real‐time M&E, communications, reporting and financial tracking.

OTI and IP, field and Washington, are literally all on the same page.

(3) Can respond to evolving analytical, mapping or other information needs in fluid environments.

(4) Central to daily program management in the field and “telling our story” in Washington

OTI’s systems are constantly evolving and responding to new needs, incorporating lessons learned and framing best-practices

Implementing Partner HQ

OTI/ W

(COTR)

Implementing Partner

(COP)

OTI Rep

(CR)

up to$100,000

Management: Supervision/Decisions

Communication: Technical Oversight & Coordination

“Four Corners”

Managing the Contract

Implementing Partner HQ

OTI/ W

(COTR)Embassy

USAID

Mission Director

IP Project Development Local Staff

Implementing Partner

(COP)

OTI Rep

(CR)

up to$100,000

“One Team in the Field”

Characterized by:

•Constant communication and coordination;

•Awareness that implementation determines impact;

•Respect for roles, including that of local staff They bring critical, in-depth understanding of local dynamics local perceptions local prioritiesManagement: Supervision/Decisions

Communication: Technical Oversight & Coordination

Policy Integration

Field: Managing the Program

Thank You

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Questions?