Implementation Tips USAID Partners - FHI 360

1 Implementation Tips USAID Partners Implementation Tips for USAID Partners Capable Partners Program 1825 Connecticut Ave., NW. Washington, 20009-5721. Tel. 202-884-8000. Implementation Tips USAID Partners About the Capable Partners Program The Capable Partners Program (CAP) works across different technical sectors to strengthen the organizational and technical capacities of non-governmental organizations (NGOs), community- based organizations (CBOs), faith- based organizations (FBOs), intermediary support organizations (ISOs) and NGO networks. CAP provides technical assistance, training and grants management to USAID Missions and operating units to: Strengthen operational and technical capacities of local NGOs, networks and ISOs;. Build and support linkages among local organizations (NGOs, cooperatives, networks, governments and businesses);. Increase capacity of NGOs, networks and ISOs to engage in advocacy for key policies or programs; and 3 Disseminate tested innovations, best practices and lessons learned.

2 Implementation Tips for USAID Partners is one of a suite of products to help NGOs effectively manage Government HUMAN RESOURCES. (USG) funds. Through publications as well as trainings, skills-building activities and , an online resource and information exchange for international development practitioners, CAP works to enhance NGO. performance and build community ownership. Acknowledgments Implementation Tips for USAID Partners was a collaborative undertaking, drawing on the wisdom and experience of many individuals and organizations. Foremost among them were CAP and CAP New Partners Initiative (NPI). technical staff who identified common areas of need and offered appropriate guidance. Special thanks go to the CAP. communication team who helped conceptualize, research, write and edit each issue of NGOC onnect eNews on which this publication is based . Finally, we acknowledge with gratitude, the tireless efforts of the USG NPI Team who reviewed the content of the eNews series to ensure consistency with the body of USG regulations governing management of Cooperative Agreements.

3 Funding for Implementation Tips for USAID Partners was provided by FHI 360. The contents do not necessarily reflect the views of FHI 360, USAID or the Government. 2012. All rights reserved by FHI 360, MSI and USAID . Implementation Tips may be photocopied or adapted, in whole or in part, provided the material is distributed free of charge and that credit is given to the Capable Partners Program and USAID . An electronic version of Implementation Tips is posted on Capable Partners Program, FHI 360 Executive Editor: Barney Singer, Vice President & Program Director 1825 Connecticut Ave, NW Managing Editor: Cate Cowan, Senior Communication & Program Officer Washington, DC 20009-5721 Editorial Associate: Kathleen Gannon, Senior Communication & Program Associate Design: Design Lab 360. Table of Contents Abbreviations and Acronyms ii Managing Your Relationship with Your Donors 71. Foreword iii Engaging the Community 74. About this Book iv Requirements for Performance Reporting 76.

4 Faith- based Organizations and USG Funding 78. 1. Governance 1 Project Close Out: Timeline 80. Governance, Management and the Role of Project Close Out: Required Reports and Actions 84. a Board of Directors 3. How to Set Up an Effective Board of Directors 5 5. Compliance 87. Overview of Strategic Planning 8 Overview of Procurement Policies 89. Procurement Processes and Allowability 92. 2. Financial Management 11 Procurement: Solicitation and Selection 95. Overview of Financial Management 13 Procurement: Restricted and Prohibited Items 99. Pipelines and Burn Rates 15 Procurement: Source Restrictions 101. Understanding Fluctuating Exchange Rates 17 Vehicle Procurement 104. Cost Share 20 Excluded Parties and Terrorism Searches 106. Allocating Shared Costs 22 International Travel Planning and Requirements 108. Foreign Tax (VAT) Reporting 24 Travel Expenses and Reimbursement 111. Requesting USG Funds Using SF-270 29 Gifts to and Lobbying USG Employees 115.

5 SF-425: Completing Your USG Financial Status USAID Environmental Requirements 117. Reporting Form 34. Annual Audit Requirements: Questions and 6. Monitoring and Evaluation 121. Answers 38 evidence - based Project Planning 123. M&E System Overview 126. 3. Human Resources 43 Managing Targets 129. Overview of Human Resources (HR) Policies 45. Putting HR Policies into Practice 48 7. External Relations 133. Supportive Supervision 51 Developing a Communication Plan 135. Performance Appraisals 54 Branding Your Program 138. Key Personnel 57 Meeting Donor Marking Requirements 141. Collaborating with Volunteers to Strengthen Pitching Your Program to Prospective Your Organization 59 Partners and Funders 144. Telling Program Success Stories 148. 4. Program Management 63. Using Your Workplan as a Management Tool 65 Glossary 151. Managing Subrecipients Under a Cooperative Agreement 67 Index 159. You and Your USAID Team 69. Implementation Tips for USAID Partners i Abbreviations and Acronyms ADS Automated Directives System AO Agreement Officer AOR Agreement Officer's Representative CA Cooperative Agreement CAP Capable Partners Program CBO Community- based Organization CFR Code of Federal Regulations COP Country Operational Plan CSO Civil Society Organization DEC Development Experience Clearinghouse ( USAID ).

6 EIN Employer Identification Number FAC Federal Audit Clearinghouse FAR Federal Acquisition Regulations FBO Faith- based Organization FM Office of Financial Management GAAP Generally Accepted Accounting Principles HQ Headquarters IFRS International Financial Reporting Standards LOE Level of Effort M&E Monitoring and Evaluation M&IE Meals and Incidental Expenses MOU Memorandum of Understanding NGO Non-governmental Organization NICRA Negotiated Indirect Cost Rate Agreement OAA Office of Acquisition and Assistance ( USAID ). OD Organizational Development OMB Office of Management and Budget PD Program or Project Director PO Program Officer PVO Private Voluntary Organization RFA Request for Applications RFP Request for Proposals RFQ Request for Quotations SF Standard Form SO Strategic Objective SOW Statement of Work SWOT Strengths, Weaknesses, Opportunities and Threats TA Technical Assistance TBD To Be Determined TOR Terms of Reference USAID Agency for International Development USC United States Code USG United States Government VAT Value Added Tax ii Foreword FHI 360 understands that lasting social change is buoyed by accountable and responsive civil society organizations (CSOs) and that capacity building contributes to sustainable development.

7 This understanding is embodied in the efforts of the Capable Partners Program (CAP) and our Leadership and Capacity Development practice to strengthen both the human and institutional capacities of CSOs working in any sector to solve their own problems, better fulfill their missions, and support quality and sustainability. Implementation Tips for USAID Partners is one of many significant efforts designed to serve these ends. It is intended to bolster the capabilities of local stakeholders and institutions to manage USAID funds as well as transform their organizations and ultimately their communities. We are pleased to provide this resource to enhance the accountability and performance of USAID -funded organizations. It is the fruit of a reciprocal and iterative learning process that aims to foster local ownership of tested methods and systems. We hope that local capacity building service providers and CSOs will find this manual's user-friendly language and format a valuable tool in their endeavors to improve their performance, accountability and impact.

8 Albert J. Siemens, PhD. Chief Executive Officer Implementation Tips for USAID Partners iii About this Book This collection of tips brings together and expands on a series of monthly Note: This collection of Tips electronic newsletters, NGOC onnect eNews, that supported new Partners focuses specifically on Agency and technical assistance providers who had little or no prior experience for International Development working with the USG. Each newsletter responded to specific, common ( USAID ) regulations, not those of questions about how to strengthen an organization's systems and other Government agencies. processes and how to navigate USAID rules and regulations. Each one It is intended only to help USAID also related to an aspect of organizational development (OD) governance, grantees. financial management, human resources, program management, external relations, compliance and monitoring and evaluation. This collection Definitive references are the USAID gathers together all of the topics under the relevant OD domain to make Automated Directives System (ADS) the information easier to consult and use.

9 Experienced OD practitioners and your Cooperative Agreement. working with NGOs around the world contributed to and reviewed the contents of this collection to ensure it filled gaps in available capacity- building resources. We hope that this collection, along with complementary tools and resources available on , does this, and, in the process, helps NGOs grow and become ever better at implementing their programs and fulfilling their missions. How to Use This Book The table of contents at the beginning and the index at the end help you quickly find the specific topic you need. Online version If you are reading this online, you can skip from one page to another whenever a word or phrase is in green and underlined. These are active links, meaning that, when clicked, a new page will appear that contains more information on that particular subject. To avoid duplicating information that is provided in depth elsewhere online, when you click on a word or phrase underlined in green you may go to a website that we believe is safe and useful.

10 You can tell where you are by looking at the web address or URL in your browser window.. iv 1. Governance GOVERNANCE. Implementation Tips for USAID Partners 1. 1. GOVERNANCE. G O V E RA N C E. Governance refers to the systems and processes needed to ensure the overall direction, effectiveness, supervision and accountability of an organization. This is typically the responsibility of the Board of Directors who make the policies that the executive director and staff carry out day to day. Good governance is essential to effectively operating any non- governmental organization (NGO). Many NGOs, founded to address pressing social needs, start with just a few people doing multiple tasks and often make no clear distinction between governance and management functions. However, as an organization grows, distinguishing governance from management is critical to enabling the organization to fulfill its mission, live up to its values, and be successful over the long term.