[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