[Federal Register Volume 62, Number 38 (Wednesday, February 26, 1997)]
[Notices]
[Pages 8772-8774]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-4381]
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AGENCY FOR INTERNATIONAL DEVELOPMENT
Title II Development Proposals; Instructions for Cooperating
Sponsor Submission of FY 1996 Development Program Results Reports
Pursuant to the Agricultural Market and Transition Act of 1996,
notice is hereby given that the Final Draft Guidelines for Fiscal Year
1996 P.L. 480 Title II Cooperating Sponsor Annual Results Report is
being made available to interested parties for the required thirty (30)
day comment period.
Individuals who wish to receive a copy of the draft guidelines
should contact: Office of Food for Peace, Room 323, SA-8, Agency for
International Development, Washington, D.C. 20523-0809. Contact person:
Gwen Johnson, (703) 351-0110. Individuals who have questions or
comments on the draft guidelines should contact David Nelson at (703)
351-0168.
The thirty day comment period will begin February 26, 1997.
Dated: February 7, 1997.
Jeanne Markunas,
Acting Director, Office of Food for Peace, Bureau for Humanitarian
Response.
Draft for Comment
Instructions for Cooperating Sponsor Submission of FY 1996 Title II
Development Program Annual Results Reports
I. Background
This guidance applies only to Title II development activities.
Pursuant to Section 407(f) of the Agricultural Trade Development
and Assistance Act of 1954 (P.L. 480), as amended, USAID reports
annually to Congress and other interested parties on the impact of
Title II food aid in addressing food security. Consequently, USAID
management and its field Missions, in consultation with Title II
Cooperating Sponsors (CSs), are establishing core results indicators
that will ensure consistency and compatibility of information and
permit the USAID to demonstrate the impact of food aid resources over a
planned period of time.
USAID Missions and the Office of Food for Peace (FFP) have been
designated as ``Operating Units'' under USAID reengineering guidelines.
Each is expected to submit a Results Review and Resources Request (R4)
report, covering the strategic support and/or program objectives (SOs)
identified in its strategic plan. (The draft BHR/FFP strategic
objective for Title II Development Programs is provided in Attachment
1.) CSs are requested to contribute to the process by submitting
relevant information on their Title II development program(s).
The FY 1996 Title II Annual Results Report is to be submitted to
the respective field Missions and FFP. The Mission will integrate
findings on complementary activities from this report into the relevant
SOs in its R4 report. It will comment on those activities that are
outside of the Mission's Strategic Objectives and forward the report to
FFP. FFP will use the contents of the CSs' Annual Results Reports and
Mission R4 reports to satisfy USAID and Congressional requirements to
demonstrate the impact of food aid in addressing food security as well
as to justify resource requests for the next fiscal year.
While preparation of the Title II Annual Results Report is the
primary responsibility of CSs, they should consult closely with the
Missions in the R4 reporting process. For countries in Africa without a
USAID Missions presence, CSs should consult with the responsible REDSO.
In addition to the information required in these guidelines, the
Missions may, within reason, and for the purposes of their own specific
information requirements, request additional information from CSs,
related to results reporting and the preparation of R4s.
This Title II Annual Results Report request is consistent with the
R4 guidance which has been disseminated to Missions worldwide.
II. Purpose
This Title II Annual Results Report is intended to provide
meaningful results-oriented information to USAID, as well as the
Congress, host governments, stakeholders, and our ultimate customers,
the beneficiaries. It will assist USAID Missions and FFP to demonstrate
the impact of Title II food aid on food security by serving as an
important information source during Mission and FFP preparation of
their R4s during the spring of 1997. The Title II Annual Results Report
is to focus on the food aid activity's performance indicators and
progress towards the achievement of results. It will also include a
discussion of any modifications to the approved Title II activity, and
a review of anticipated resource requests for FY 98. CSs are requested
to follow the guidelines below to the extent possible and report as
well as they can on actual performance for FY 1996 and expected results
for FYs 1997, 1998 and 1999, noting linkages to USAID activities.
III. Submission Due Date and Review Process
CSs must consult with their respective Missions regarding the
submission due date, which should be linked to the Mission R4
preparation schedule. However, the CS must submit one unbound copy of
the Title II Annual Results Report to the BHR/FFP officer responsible
for the country activity no later than April 15 (March 15 for countries
without a USAID Mission presence).
If the Mission R4 has not been submitted to USAID Washington by the
deadline for the Annual Results Report submission to FFP, Missions are
required to forward comments on the Annual Results Report. In either
document, the Mission must provide any necessary clarifications to a
CS's Annual Results Report along with Mission assessments of its
accuracy and completeness. For countries in Africa without a USAID
presence, such as Burkina Faso, Cape Verde, the Gambia and Mauritania,
REDSO assumes this responsibility.
To the extent possible, FFP will coordinate the review of the Title
II Annual Results Reports with the Bureau reviews of Mission R4s.
IV. Submission Length
The Title II Annual Results Report should be thorough and concise.
Reports should total no more than 10 pages for programs with two or
fewer program components and no more than 18 pages for programs with
three or more program components, excluding annexes. Repetition of
information already presented in the relevant approved Development
Activities Plan (DAP) or Previously Approved Activity (PAA) document is
unnecessary. Reference to the sections in these documents where key
issues are elaborated (including page number and/or section references)
should be made, as appropriate.
[[Page 8773]]
Draft for Comment
Guidelines for FY 1996, Title II Development Program Annual Results
Report
I. Overview of Title II Activities
A. Results
Briefly discuss progress to date or results achieved over the life-
of-activity (FY 1996 and prior years encompassed by the currently
operative DAP approval), including the role of the Section 202(e) grant
(if a grant was utilized during the life of the activity), with
particular emphasis on results obtained in FY 1996. Also present
anticipated results for FYs 1997-99 in terms of your chosen performance
indicators and/or Title II generic indicators.
A good performance assessment will (1) Describe progress over the
past year relative to planned results as reflected by the objective's
indicators, baselines and targets; (2) state explicitly whether
progress met, exceeded or fell short of expectations toward achievement
of the objective; (3) interpret significant trends and highlight
differences between planned and actual performance; (4) identify
reasons for performance shortfalls or greater than expected results;
and, (5) indicate plans for evaluation, where contributing factors are
not well understood. In cases where up-to-date performance indicator
data are not available because of the timing of data collection, you
should provide other evidence of progress toward achieving targets.
This part of the report should also include information on
evaluation findings, customer feedback results, or other evidence of
progress toward achievement of targets that supports a balanced
assessment of progress for each objective.
Some examples of key questions to consider are as follows:
--What circumstances led to exceeding or falling short of expected
targets? Were targets too high or too low? If so, why?
--Have key assumptions changed?
--How did customer feedback influence the CS's thinking on
accomplishing the objective? Did this feedback confirm the program is
on track, or are there issues which must be addressed?
--How have inter-sectoral partnering (among non-governmental
organizations and governmental actors), and changes in the
institutional and policy framework to stimulate community initiative
influenced program management?
--What is the significance of what is being accomplished (e.g., what is
the food security impact of improved water and sanitation
infrastructure, service and practices for the affected 1000 households
and the region or country as a whole?)
In part B below, be sure to provide a complete explanation of the
status of results monitoring and when performance reports conforming to
these guidelines will be submitted.
B. Monitoring, Evaluation, Audits, and Studies
1. Provide a brief update on the monitoring and evaluation system
established for your program, its design and how it measured the
results presented. State specifically how the baseline data were
established, and whether baseline data collection is complete; how
performance indicators were chosen and are being monitored; how impact
indicators were chosen and are being, or will be, evaluated; and the
number and general profile of personnel involved in the monitoring and
evaluation effort.
Note: If relevant, attach a revised implementation schedule or
monitoring and evaluation plan to serve as a modification to your
approved activity.
2. List all evaluations, audits, and studies conducted during the
life of the activity. State the purpose, the funding sources, the time
period covered, the individuals and/or organizations involved, and the
participation of Title II beneficiaries in the evaluations, audits, and
studies.
3. Attach as an annex a summary of the key findings or
recommendations of the evaluations, audits, or studies conducted in FY
1996 (i.e., a copy of the executive summary). Provide the status of any
outstanding recommendations from FY 1996 and/or previous years, if any.
If a copy of an evaluation or study has not already been submitted to
BHR/FFP, please attach a copy.
C. Monetization Sales (if applicable)
This section fulfills the requirement of Regulation 11 that CSs
submit an annual report on monetization and program income activities.
A separate annual monetization and program income report is not
necessary, as, pursuant to the authority granted him in 22 CFR 211.12
(Regulation 11), the Acting Assistant Administrator/BHR is waiving the
following sentence in 22 CFR 211.5(l), ``This annual report should be
submitted to AID/W by December 31 of each calendar year for the fiscal
year ending September 30 of that calendar year,'' to the extent that it
conflicts with this guidance with regard to the timing of reports.
1. Discuss the FY 1996 monetization, anticipated and unanticipated
effects on local, regional, or national production, and marketing of
the monetized commodity or its substitutes. Note whether the timing of
the sale corresponded with the agricultural crop cycle in order to
obtain the best sales price.
2. Provide a detailed monetization cost and revenues analysis. The
analysis should include the following: date of each commodity sale, the
commodity and amount (in MT) monetized, the sales price per MT
obtained, the amount in U.S. dollars of local currency generated, and a
comparison of the actual sales price to estimated and actual Free
alongside ship (FAS), Commodity, Insurance and Freight (CIF), and local
commercial market values. When reporting this information, CSs are
requested to use the worksheet provided in Attachments 2 and 3.
D. Environmental Compliance
Title II development activities will be reviewed in accordance with
USAID's environmental review procedures found in Regulation 16 (22 CFR
216). USAID's Global Environmental Office is currently reviewing of FY
1997 DAPs to determine which Cooperating Sponsor activities may need to
undergo an environmental review, if they have not already. Title II
activities most likely to be affected by this new requirement are those
involved in agricultural and physical infrastructure development. USAID
and CSs recognize that guidelines and training on environmental
compliance will benefit most Title II partners, and improve the
environmental soundness of Title II development activities. Further
guidance and clarification of procedures to ensure better furtherance
of Regulation 16 will be provided by USAID. Compliance with Regulation
16 may require modifications to project designs and budgets.
Cooperating Sponsors should be prepared to amend these as necessary.
If your program activities encompass agricultural and/or
infrastructure development, note briefly whether and how environmental
impact assessment of any kind was incorporated in the activity design
and how environmental impact is currently being monitored.
[[Page 8774]]
II. Modifications to Activity Design
A. Follow-Up of FY 1997 Title II Review (if Applicable)
If you have not already done so, please respond to the technical
and programmatic concerns raised during the FY 1997 review, as detailed
in the review summary cable or FFP's letter of approval. Address the
extent to which you have implemented or plan to implement the
recommendations made and the resulting budgetary impact. Explain any
delays in implementing recommendations.
B. Lessons Learned During Recent Activity Implementation
Based on recent progress and constraints, describe any
modifications made in FY 1996 to activity design or implementation,
including revisions to objectives, benchmarks, performance indicators,
and the implementation schedule. In addition, explain how any
modification may affect activity budgets and commodity allocations.
Finally, note significant changes in your operating environment, e.g.,
economic, social or political developments that affected or may
continue to affect performance in meeting one or more objectives.
III. Resource Analysis and Requests
(Sections A-D may be attached as an annex)
A. FY 1996 Expenditure Report and Narrative
1. Prepare a comprehensive report of actual expenditures during FY
1996. If possible, report on expenditures by Title II activity.
Identify all applicable funding sources, including, for example:
Section 202(e); monetization; Cooperating Sponsor contribution; other
donors; and other program income such as interest, empty container
sales, participant contributions, etc. Report all opening and closing
balances by funding source, and compare budgeted to actual line-item
expenditures. Amounts should be denominated in U.S. dollars. For local
currency line items that have been translated into U.S. dollars, state
the exchange rate and the date it was obtained.
2. Provide a brief explanation of significant line-item deviations
from the FFP-approved budget. If there was a shortfall in funding
(particularly local currency from monetization) during FY 1996, discuss
the activities affected, the impact of the shortfall on the achievement
of objectives, and how the shortfall was covered. Conversely, if the
funds available during FY 1996 exceeded budgeted expenditures, discuss
the activities affected, the impact on the achievement of objectives,
and how the additional funding was or will be spent.
B. FY 1996 Monetization Pipeline Analysis
For each activity supported by Title II monetization, provide a
pipeline analysis of local currency funds including: FY 1996 opening
balance of funds from prior year monetizations, including interest;
actual funds received from monetization sales during FY 1996; interest
earned during FY 1996; total actual expenditure of local currency
during FY 1996; closing balance of funds at the end of FY 1996; and the
amount of reserve/bridge funding needed to support the activity until
the FY 1997 monetization sale takes place. CSs are requested to report
this information utilizing the worksheet(s) provided in Attachment 4.
C. FY 1996 Commodity Pipeline Analysis
Attach as an annex the FY 1996 Fourth Quarter Commodity Status and
Recipient Status Report (CSR/RSR) and Loss Report, along with a summary
of CSR/RSR data for the full FY 1996.
D. FY 1997, 1998 & 1999 Budget Revisions
If changes to the original FY 1997, 1998 or 1999 budgets are
required or envisioned, prepare a revised comprehensive budget to serve
as a modification to the approved activity. List all funding sources,
actual opening balances, estimated line-item expenditures, and
estimated closing balances. Also present a table showing revised
commodities and tonnages by the Annual Estimate of Requirement's (AER)
category for each program activity.
E. Future New Submissions
This section pertains only to DAPs/PAAs ending in FY 1997 and FY
1998:
Briefly discuss plans to submit follow-on Title II proposals for FY
98 or FY 99, including any anticipated changes in activity and/or
resource requirements, discussions between your staff and the USAID
Mission on planned activities, whether and/or how the activity supports
one or more of the objectives under the Mission's strategic plan for
the country.
For anticipated new proposals, include a table showing the
commodities and tonnages, by AER category for each program activity,
along with any Section 202(e) funding, that you plan to request. (This
table may be included in an annex.)
[FR Doc. 97-4381 Filed 2-25-97; 8:45 am]
BILLING CODE 6116-01-M
