U.S. Agency for International Development

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1 U.S. Agency for International Development Section 1 Table of Contents U.S. Agency for International Development Organization and Programs Section Number Grant Administration 2 Regulations 3 Publications 4 Directory 5 Grant Administration Regulations 6 U.S. Agency for International Development Organization and Programs The U.S. Agency for International Development (USAID) is an independent federal agency that works to support long-term and equitable growth and advance U.S. foreign policy objectives by supporting economic growth, agriculture and trade; global health; and democracy, conflict prevention and humanitarian assistance. USAID provides assistance in five regions of the world: Africa; Asia; the Middle East; Latin America and the Caribbean; Europe and Eurasia. Each region is represented within the agency by a corresponding bureau that houses the staff responsible for that region. It also has an Afghanistan and Pakistan Affairs with field offices overseas. The agency has carried out programs in more than 100 countries. Historically, the concept of international development assistance evolved after World War II ended in 1945, and the U.S. Department of State provided significant financial and technical assistance after the war that allowed Europe to rebuild its infrastructure, strengthen its economy and stabilize the region. Through 1960, programs supporting technical assistance and capital projects continued as the primary form of U.S. aid, and became a key component of U.S. foreign policy. In 1961, the Foreign Assistance Act was passed and USAID was created, bringing together several existing foreign assistance organizations and programs. It was the first single agency charged with foreign economic development. U.S. international development assistance also transitioned away from technical and capital assistance to programs that addressed basic human needs, including: food and nutrition, population planning, health education and human resources development. Federal assistance and awards subsequently followed the emerging focus of the agency. The agency s organization chart can be seen in Fig. 1. USAID focuses its work in the following areas: Agriculture and Food Security USAID works with all participants in agricultural development to support efforts to increase productivity. 1

2 2 Agency for International Development Fig. 1 U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT the Inspector General OIG Field Offices Overseas Executive Secretariat the General Counsel Administrator Deputy Administrator Chief of Staff COO Counselors Chief Financial Officer Chief Information Officer Senior Procurement Executive Human Capital and Talent Management Budget and Resource Management Security Small and Disadvantaged Business Utilization Civil Rights and Diversity U.S. Global Development Lab Bureau for Food Security Economic Growth, Education and Environment Democracy, Conflict, and Humanitarian Assistance Global Health Bureau for Policy, Planning and Learning Foreign Assistance Legislative and Public Affairs Management Africa Europe and Eurasia Asia Afghanistan and Pakistan Affairs Middle East Latin America and the Carribbean Field Offices Overseas

3 Agency for International Development 3 Democracy, Human Rights and Governance encourages free and fair elections, teaches the skills of democratic governance, and helps citizens empower themselves to become full participants in their own development. Economic Growth and Trade economic growth and trade programs provide support both to government and private sector partners in lower-income countries to improve the levels of income their citizens enjoy. Environment and Global Climate Change addresses transnational problems related to air pollution, fouled groundwater, oceanic dumping, global warming, deforestation and protecting global biodiversity. Education and Training emphasizes programs of support for basic education and places a special emphasis on improving opportunities for girls, women and other underserved and disadvantaged populations. Gender Equality and Women s Empowerment focuses on establishing metrics that measure the gender impact of its programs to break the cycle of poverty, raise healthier families and help build communities. Global Health helps to prevent suffering, save lives and create a brighter future for families in the developing world. Global Partnerships recognizes and incorporates the efforts of partnership and private giving, focusing on grassroots support, local ownership, sustainability and accountability. Humanitarian Assistance supports crisis prevention programs, provides emergency humanitarian assistance and food aid, and helps nations emerging from natural disasters or internal conflicts return to the path of sustainable development. Water and Sanitation seeks to ensure the sound management of water for health and water for food to save lives and advance development. Grants are awarded for a variety of programs some recurring (e.g., Food for Peace grants and other grant programs exclusively for private voluntary organizations) and some for unique nonrecurring programs. All grants ultimately support objectives of that part of the U.S. foreign assistance program managed by USAID. USAID plans its development and assistance programs in close coordination with the Department of State, and collaborates with a variety of other U.S. agencies, multilateral and bilateral organizations, private companies, academic institutions, and nongovernmental organizations (NGOs). USAID offers three award types: contracts, grants and cooperative agreements. USAID partners with NGOs to deliver assistance across all of its regions and sectors and to promote inclusive economic growth, strengthen health and education at the community level, support civil society in democratic reforms and assist countries recovering from disasters. A subset of the wider NGO community, private voluntary organizations (PVOs) have for more than 50 years played an essential role in USAID s efforts to address global humanitarian and development needs. USAID PVO registration process enables it to identify capable partners and ensure that registrants meet the agency s basic partnership requirements. An organization that meets the definition of a PVO must register to compete for grants and other types of funding. PVO s can register at USAID award opportunities can be found at Grants.gov and FedBizOps.gov. For more information and training sessions on responding to a USAID solicitation, go to

4 4 Agency for International Development Readers may wish to consult the Catalog of Federal Domestic Assistance (CFDA) for more detailed information about USAID s programs. Because federal appropriations vary each year, not all discretionary programs are funded every year. The CFDA is available online at The programs and their CFDA numbers are listed below. Programs CFDA Number USAID Foreign Assistance for Programs Overseas Cooperative Development Program Ocean Freight Reimbursement Program Nongovernmental Organization Strengthening Institutional Capacity Building Foreign Assistance to American Schools and Hospitals Abroad Food for Peace Development Assistance Program Food for Peace Emergency Program John Ogonowski Farmer-to-Farmer Program Denton Program Global Development Alliance USAID Development Partnerships for University Cooperation and Development Section 2 USAID Grant Administration USAID agreement officers determine the type of award instrument to be used (contract, grant or cooperative agreement), record all understandings between USAID and the recipient, process any changes to the agreement, negotiate and execute the award, and conduct all close-out procedures. Activity managers participate in determining the type of instrument to be used, selecting the recipient and negotiating the expected level of cost-sharing. They also maintain contact with the recipient, monitor the grantees programs and conduct site visits. More information on the USAID grant and contract process is available at USAID s assistance policy is based on: Federal Grant and Cooperative Agreement Act (Pub. L , 31 U.S.C ). Foreign Assistance Act of 1961, as amended, Sections 621 and 635(b). Foreign Assistance Act, Title XII, Section 297, for research and educational institutions in the United States and international agricultural research centers. Foreign Assistance Act, Section 104, for assistance to organizations dealing with voluntary population planning. Foreign Assistance Act, Section 123, for development assistance of U.S. private and voluntary organizations and cooperatives. 2 C.F.R Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, which USAID incorporated into its regulations at 2 C.F.R. Part 700. Automated Directive System Major Functional Series 200, USAID Program Assistance, and 300, Acquisition and Assistance Agreements.

5 Agency for International Development 5 USAID has codified regulations covering certain grant-related topics in Title 2 and in Title 22 of the Code of Federal Regulations (see Section 3). USAID grants administration guidance is contained in various USAID supplemental references and the Automated Directive System. The ADS contains agency-created policy directives; required procedures; links to relevant external laws, Executive Orders and regulations; and optional helpful information and examples of best practices. USAID publications relating to its grants and programs are listed below with their corresponding ADS locations (see Section 4). USAID contracting policy is based on: Host Country Contracting provisions incorporated in Series 300, Chapters 305. Interagency Agreements provisions incorporated in Series 300, Chapter 306. Grants and Cooperative Agreements to Nongovernmental Organizations provisions incorporated in Series 300, Chapter 303. USAID Direct Contracting provisions incorporated in Chapter 302. USAID Financed Commodities provisions incorporated numerous chapters in Series 300. ADS Series 300 currently consists of 26 chapters. Chapter 303, Grants and Cooperative Agreements to Nongovernmental Organizations, is the most relevant for grants management, and it has been updated to include information related to OMB s uniform grant guidance. Since certain other provisions may be adopted by reference in USAID grant agreements, readers may find the other chapters in Series 300 to be useful. Attached to USAID grant awards are mandatory and standard provisions (required when applicable). Mandatory standard provisions for U.S. nongovernmental recipients: 1. applicability of 2 C.F.R. Part 700; 2. ineligible countries; 3. nondiscrimination; 4. investment promotion; 5. nonliability; 6. amendment; 7. notices; 8. subagreements; 9. OMB approval under the Paperwork Reduction Act; 10. USAID eligibility rules for goods and services; 11. debarment and suspension and other responsibility matters; 12. drug-free workplace; 13. equal participation by faith-based organizations; 14. preventing terrorist financings (implementation of E.O ); and 15. marking and public communications under USAID-funded assistance.

6 6 Agency for International Development Mandatory standard provisions for U.S. nongovernmental recipients when activities are undertaken outside the United States: 11. regulations governing employees; 12. conversion of U.S. dollars to local currency; 13. use of pouch facilities; 14. international air travel and transportation; 15. ocean shipment of goods; and 16. local procurement. Required as applicable standard provisions for U.S. nongovernmental recipients: The following standard provisions are required to be used when applicable. Applicability statements are contained in the parenthetical statement preceding the standard provision. When the standard provision is determined to be applicable in accordance with the applicability statement, the use of such standard provision is mandatory unless a deviation has been approved. 1. negotiated indirect cost rates predetermined; 2. negotiated indirect cost rates provisional (nonprofits); 3. negotiated indirect cost rates provisional (for-profits); 4. publications and media releases; 5. participant training; 6. voluntary population planning; 7. protection of the individual as a research subject; 8. care of laboratory animals; 9. title to and care of property (cooperating country title); 10. public notice; 11. communications products; 12. cost share; and 13. prohibition of assistance to drug traffickers. USAID s Automated Directives System can be accessed online at Uniform Grant Guidance USAID has integrated uniform grant guidance into its regulations (2 C.F.R. Part 700), with several exceptions. Under the procurement standards of the uniform guidance, contract provisions ( ) must contain the applicable provisions described in Appendix II, Contract Provisions for Nonfederal Entity Contracts Under Federal Awards, of the uniform guidance. The provisions in Appendix II are in addition to those that may be required by a federal awarding agency or a pass-through entity awarding the contract. USAID and its pass-through entities issuing contracts must pay specific attention to the provisions that specify certain dollar limits pertaining to the simplified acquisition threshold and termination for cause and for convenience (Appendix II.A and B).

7 Agency for International Development 7 However, a USAID provision also adds that all negotiated contracts (except those for less than the simplified acquisition threshold, currently set at $150,000), awarded by a pass-through entity with USAID funding must include a provision to the effect that the pass-through entity, USAID, the U.S Comptroller General or any of their duly authorized representatives must have access to any books, documents, papers and records of the contractor that are directly pertinent to a specific program for the purpose of making audits, examinations, excerpts and transcriptions ( (b)). This may be particularly important for international contracts. Under USAID regulations, uniform administrative requirements and cost principles (Subparts A through E of the uniform guidance) apply to for-profit entities ( 700.3). In addition, the agency in 700.4(a)(1) provided further details about the exceptions provision to the uniform guidance ( (b)), adding that the deputy assistant administrator for USAID s Bureau for Management, or his or her designee, may make exceptions on a case-by-case basis for individual nonfederal entities, except where otherwise required by law or where OMB or other approval is expressly required. In addition, USAID states that no case-by-case exceptions may be granted to the provisions of Subpart F, Audit Requirements. Therefore, in addition to Subparts A-E, USAID recipients, subrecipients and contractors must comply with Subpart F. Further, the deputy assistant administrator or designee also is authorized to approve exceptions, on a class or an individual case basis, to USAID program specific assistance regulations other than those that implement statutory and executive order requirements ( 700.4(a)(2)). In its discussion on nonfederal entity use of resources before requesting advance payments ( (b)(5)(a)), the uniform guidance states that nonfederal entities, to the extent available, must disburse funds available from program income (including repayments to a revolving fund), rebates, refunds, contract settlements, audit recoveries and interest earned on such funds before requesting additional cash payments. However, in 700.8, USAID notes that this provision is not applicable to earnings that are generated as foreign currencies. USAID s regulations point out in that unless the agreement provides otherwise, title to real property will vest in accordance with of the uniform guidance, which states that title to real property acquired or improved under a federal award will vest upon acquisition in the nonfederal entity. Furthermore, states that unless the agreement provides otherwise, title to equipment will vest in accordance with of the uniform guidance, which states that a conditional title to equipment acquired under a federal award will vest upon acquisition in the nonfederal entity. The uniform guidance adds that unless a statute specifically authorizes the federal agency to vest title in the nonfederal entity without further obligation to the federal government, and the federal agency elects to do so, the title must be a conditional title. Performance The Government Performance and Results Modernization Act (GPRMA) requires that federal agencies establish performance goals. Federal agencies provide information to the public on their goals and objectives in numerous ways. Federal agencies identify long-term goals and objectives in their strategic plans; they identify annual performance goals in their annual performance plans updated with the President s budget each February. Federal agencies report progress on their performance goals in their annual performance reports or their Performance and Accountability Reports (PARs) which are updated either in February or November each year, respectively. Agencies post their PARs, strategic plans, and annual performance plans on their websites. Performance.gov provides a one-stop shop for links to this agency information. The GPRMA performance goals provide insights to the goals and objectives of the grant programs offered by each agency and should align with the performance measures and outcomes nonfederal entities propose for each project. The GPRMA goals also

8 8 Agency for International Development align with the focus of the uniform guidance on performance and results. For more information, go to Strategic%20Plan% pdf. Section 3 Regulations The USAID federal agency regulation has been integrated with the uniform guidance, and both are under the Code of Federal Regulations (C.F.R.). The uniform guidance is located at 2 C.F.R. Part 200. The USAID regulation is located under 2 C.F.R. Part 700 and in Title 22 of the C.F.R. All can be accessed at ecfr at The uniform guidance also is located on Thompson s website at The USAID regulation also can be obtained from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402, ; ( C.F.R. Part Regulations Number Title 2 Uniform administrative requirements, cost principles, and audit requirements for federal awards 2 C.F.R 700 Partner vetting in USAID assistance 2 C.F.R. 701 Nonprocurement debarment and suspension 2 C.F.R 780 Requirements for drug-free workplace (financial assistance) 2 C.F.R. 782 Title 22 Employee responsibilities and conduct 22 C.F.R. 200 Rules and procedures applicable to commodity transactions financed by USAID. 22 C.F.R. 201 Overseas shipments of supplies by voluntary nonprofit relief agencies 22 C.F.R. 202 Registration of agencies for voluntary foreign aid 22 C.F.R. 203 Housing guaranty standard terms and conditions 22 C.F.R. 204 Payments to and on behalf of participants in nonmilitary economic development training programs 22 C.F.R. 205 Nondiscrimination in federally assisted programs of the Agency for International Development effectuation of Title VI of the Civil Rights Act of C.F.R. 209 Transfer of food commodities for food use in disaster relief, economic development and other assistance 22 C.F.R. 211 Public information 22 C.F.R. 212 Claims collection 22 C.F.R. 213 Advisory committee management 22 C.F.R. 214 Regulations for implementation of Privacy Act of C.F.R. 215 Environmental procedures 22 C.F.R. 216 Nondiscrimination on the basis of handicap in programs and activities receiving federal financial assistance 22 C.F.R. 217 Nondiscrimination on the basis of age in programs or activities receiving federal financial assistance 22 C.F.R. 218 Enforcement of nondiscrimination on the basis of handicap in programs or activities conducted by International Development Cooperation Agency, Agency for International Development 22 C.F.R. 219 Israel loan guarantee standard terms and conditions 22 C.F.R. 221 Administrative enforcement procedures of post-employment restrictions 22 C.F.R. 223 Implementation of the Program Fraud Civil Remedies Act 22 C.F.R. 224 Protection of human subjects 22 C.F.R. 225 New restrictions on lobbying 22 C.F.R. 227 Rules on source, origin and nationality for commodities and services financed by USAID 22 C.F.R. 228

9 Agency for International Development 9 C.F.R. Part Regulations Number Nondiscrimination on the basis of sex in education programs or activities receiving federal financial assistance 22 C.F.R. 229 Section 4 Publications Many publications from USAID are available free of charge or online. The following list reflects a sampling of currently available publications. USAID reports are available at the agency s Development Experience Clearinghouse (DEC), an online database of 200,000 USAID development project materials, including documents, images, video and audio. You may access DEC at to download a report from the repository. FrontLines is a monthly news publication with articles about the work USAID is doing. It is available at USAID Developments is a quarterly newsletter that provides the latest information on agency activities. Go to and enter your address to subscribe. Section 5 Directory Listed below are the USAID Offices that can provide information and technical assistance to award recipients. U.S. Agency for International Development Ronald Reagan Building 1300 Pennsylvania Ave. NW Washington, DC Questions and comments can be sent to ksc@usaid.gov Area Code 202 Administrator General Counsel Legislative and Public Affairs Public Affairs Specialist Specific bureaus can be reached at the number below: Area Code 202 Africa Asia Europe and Eurasia Latin America and the Caribbean Middle East Area Code 202 Inspector General Inspector General Hotline for Fraud, Waste and Abuse USAID Library Small and Disadvantaged Business Utilization Democracy, Conflict and Humanitarian Assistance Global Health Management

Grant Review and Pre-Award Process Elisa Gleeson Senior Grants Management Specialist

Grant Review and Pre-Award Process Elisa Gleeson Senior Grants Management Specialist 1 Learning Objectives Participants will gain an understanding of the elements of preaward and how to think through required