Title II Development Proposals; Instructions for Cooperating Sponsor Submission of FY 1996 Development Program Results Reports

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]

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