Implementation Tips USAID Partners - FHI 360
Implementation TipsUSAID PartnersImplementation Tips for USAID PartnersCapable Partners Program1825 Connecticut Ave., NWWashington, D.C. 20009-5721Tel. 202-884-8000www.ngoconnect.netwww.fhi360.org
Implementation TipsUSAID Partners
About the Capable Partners ProgramThe Capable Partners Program (CAP) works across different technical sectors to strengthen the organizational andtechnical capacities of non-governmental organizations (NGOs), community-based organizations (CBOs), faith-basedorganizations (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 andbusinesses);HUMAN RESOURCES3 Increase capacity of NGOs, networks and ISOs to engage in advocacy for key policies or programs; and Disseminate tested innovations, best practices and lessons learned.Implementation Tips for USAID Partners is one of a suite of products to help NGOs effectively manage U.S. Government(USG) funds. Through publications as well as trainings, skills-building activities and www.NGOConnect.Net, anonline resource and information exchange for international development practitioners, CAP works to enhance NGOperformance and build community ownership.AcknowledgmentsImplementation Tips for USAID Partners was a collaborative undertaking, drawing on the wisdom and experienceof 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 CAPcommunication team who helped conceptualize, research, write and edit each issue of NGOConnect eNews on whichthis publication is based. Finally, we acknowledge with gratitude, the tireless efforts of the USG NPI Team who reviewedthe content of the eNews series to ensure consistency with the body of USG regulations governing management ofCooperative Agreements.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 U.S. Government. 2012. All rights reserved by FHI 360, MSI and USAID. Implementation Tips may be photocopied or adapted, in wholeor in part, provided the material is distributed free of charge and that credit is given to the Capable Partners Program andUSAID. An electronic version of Implementation Tips is posted on www.NGOConnect.Net.Capable Partners Program, FHI 3601825 Connecticut Ave, NWWashington, DC 20009-5721NGOConnect@fhi360.orgExecutive Editor: Barney Singer, Vice President & Program DirectorManaging Editor: Cate Cowan, Senior Communication & Program OfficerEditorial Associate: Kathleen Gannon, Senior Communication & Program AssociateDesign: Design Lab 360
Table of ContentsAbbreviations and AcronymsForewordAbout this Bookiiiiiiv1. Governance11.1 Governance, Management and the Role ofa Board of Directors1.2 How to Set Up an Effective Board of Directors1.3 Overview of Strategic Planning3584.4 Managing Your Relationship with Your Donors4.5 Engaging the Community4.6 Requirements for Performance Reporting4.7 Faith-based Organizations and USG Funding4.8 Project Close Out: Timeline4.9 Project Close Out: Required Reports and Actions7174767880845. Compliance875.1 Overview of Procurement Policies5.2 Procurement Processes and Allowability5.3 Procurement: Solicitation and Selection5.4 Procurement: Restricted and Prohibited Items5.5 Procurement: Source Restrictions5.6 Vehicle Procurement5.7 Excluded Parties and Terrorism Searches5.8 International Travel Planning and Requirements5.9 Travel Expenses and Reimbursement5.10 Gifts to and Lobbying USG Employees5.11 USAID Environmental Requirements899295991011041061081111151172. Financial Management112.1 Overview of Financial Management2.2 Pipelines and Burn Rates2.3 Understanding Fluctuating Exchange Rates2.4 Cost Share2.5 Allocating Shared Costs2.6 Foreign Tax (VAT) Reporting2.7 Requesting USG Funds Using SF-2702.8 SF-425: Completing Your USG Financial StatusReporting Form2.9 Annual Audit Requirements: Questions andAnswers131517202224293. Human Resources433.1 Overview of Human Resources (HR) Policies3.2 Putting HR Policies into Practice3.3 Supportive Supervision3.4 Performance Appraisals3.5 Key Personnel3.6 Collaborating with Volunteers to StrengthenYour Organization45485154574. Program Management634.1 Using Your Workplan as a Management Tool4.2 Managing Subrecipients Under aCooperative Agreement4.3 You and Your USAID Team65Glossary1516769Index159Implementation Tips for USAID Partners346. Monitoring and Evaluation38596.1 Evidence-based Project Planning6.2 M&E System Overview6.3 Managing Targets7. External Relations7.1 Developing a Communication Plan7.2 Branding Your Program7.3 Meeting Donor Marking Requirements7.4 Pitching Your Program to ProspectivePartners and Funders7.5 Telling Program Success Stories121123126129133135138141144148i
Abbreviations and FPRFQSFSOSOWSWOTTATBDTORUSAIDUSCUSGVATiiAutomated Directives SystemAgreement OfficerAgreement Officer’s RepresentativeCooperative AgreementCapable Partners ProgramCommunity-based OrganizationU.S. Code of Federal RegulationsCountry Operational PlanCivil Society OrganizationDevelopment Experience Clearinghouse (USAID)Employer Identification NumberU.S. Federal Audit ClearinghouseU.S. Federal Acquisition RegulationsFaith-based OrganizationOffice of Financial ManagementGenerally Accepted Accounting PrinciplesHeadquartersInternational Financial Reporting StandardsLevel of EffortMonitoring and EvaluationMeals and Incidental ExpensesMemorandum of UnderstandingNon-governmental OrganizationNegotiated Indirect Cost Rate AgreementOffice of Acquisition and Assistance (USAID)Organizational DevelopmentU.S. Office of Management and BudgetProgram or Project DirectorProgram OfficerPrivate Voluntary OrganizationRequest for ApplicationsRequest for ProposalsRequest for QuotationsStandard FormStrategic ObjectiveStatement of WorkStrengths, Weaknesses, Opportunities and ThreatsTechnical AssistanceTo Be DeterminedTerms of ReferenceU.S. Agency for International DevelopmentUnited States CodeUnited States GovernmentValue Added Taxwww.NGOConnect.NET
ForewordFHI 360 understands that lasting social change is buoyed byaccountable and responsive civil society organizations (CSOs) andthat capacity building contributes to sustainable development. Thisunderstanding is embodied in the efforts of the Capable PartnersProgram (CAP) and our Leadership and Capacity Development practiceto strengthen both the human and institutional capacities of CSOsworking in any sector to solve their own problems, better fulfill theirmissions, and support quality and sustainability.Implementation Tips for USAID Partners is one of many significant effortsdesigned to serve these ends. It is intended to bolster the capabilitiesof local stakeholders and institutions to manage USAID funds as well astransform their organizations and ultimately their communities.We are pleased to provide this resource to enhance the accountabilityand performance of USAID-funded organizations. It is the fruit ofa reciprocal and iterative learning process that aims to foster localownership of tested methods and systems. We hope that local capacitybuilding service providers and CSOs will find this manual’s user-friendlylanguage and format a valuable tool in their endeavors to improve theirperformance, accountability and impact.Albert J. Siemens, PhDChief Executive OfficerImplementation Tips for USAID Partnersiii
About this BookNote: This collection of Tipsfocuses specifically on U.S. Agencyfor International Development(USAID) regulations, not those ofother U.S. Government agencies.It is intended only to help USAIDgrantees.Definitive references are the USAIDAutomated Directives System (ADS)and your Cooperative Agreement.This collection of tips brings together and expands on a series of monthlyelectronic newsletters, NGOConnect eNews, that supported new partnersand technical assistance providers who had little or no prior experienceworking with the USG. Each newsletter responded to specific, commonquestions about how to strengthen an organization’s systems andprocesses and how to navigate USAID rules and regulations. Each onealso related to an aspect of organizational development (OD)—governance,financial management, human resources, program management, externalrelations, compliance and monitoring and evaluation. This collectiongathers together all of the topics under the relevant OD domain to makethe information easier to consult and use. Experienced OD practitionersworking with NGOs around the world contributed to and reviewed thecontents of this collection to ensure it filled gaps in available capacitybuilding resources. We hope that this collection, along with complementarytools and resources available on www.NGOConnect.Net, does this, and,in the process, helps NGOs grow and become ever better at implementingtheir programs and fulfilling their missions.How to Use This BookThe table of contents at the beginning and the index at the end help youquickly find the specific topic you need.Online versionIf you are reading this online, you can skip from one page to anotherwhenever a word or phrase is in green and underlined. These are activelinks, meaning that, when clicked, a new page will appear that containsmore 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 awebsite that we believe is safe and useful. You can tell where you are bylooking at the web address or URL in your browser “window.”ivwww.NGOConnect.NET
Implementation Tips for USAID PartnersGOVERNANCEGovernance11
GOVERNANCE1G O V E RA N C EGovernance refers to the systems and processes neededto ensure the overall direction, effectiveness, supervisionand accountability of an organization. This is typically theresponsibility of the Board of Directors who make the policiesthat the executive director and staff carry out day to day.Good governance is essential to effectively operating any nongovernmental organization (NGO). Many NGOs, founded toaddress pressing social needs, start with just a few people doingmultiple tasks and often make no clear distinction betweengovernance and management functions. However, as anorganization grows, distinguishing governance from managementis critical to enabling the organization to fulfill its mission, live upto its values, and be successful over the long term.This section introduces basic governance concepts, thedistinctions and relationships between management and theBoard of Directors and offers an overview of strategic planning,a key process for setting an organization’s future direction.Topics:21.1Governance, Management and the Roleof a Board of Directors1.2How to Set Up a Board of Directors1.3An Overview of Strategic Planningwww.NGOConnect.NET
1.1Governance, Management andthe Role of a Board of DirectorsQAWhat is the difference between governance andmanagement? Who provides governance, andwhy is it important?As an organization grows and expands, it is important tounderstand the difference between governance and managementand who is responsible for each. Governance is about vision andorganizational direction, while day-to-day implementation ofpolicies and procedures is the role of management.In most civil society organizations, governance is provided by a Boardof Directors, which may also be called the management committee,executive committee, Board of Governors or Board of Trustees. Thisgroup oversees the organization, making sure it fulfills its mission, livesup to its values and remains viable for the future.GOVERNANCE1DEFINITIONSGovernance—The systems andprocesses concerned with ensuringthe overall direction, effectiveness,supervision and accountability ofan organization; typically the purviewof a Board of Directors.Management—The art of directing theday-to-day operations of the organization.By-laws—Rules governing the operationof a nonprofit organization. By-lawsoften provide the methods for selectingdirectors, creating committees andconducting meetings.Although by no means an exhaustive list, essentially, the Board has thefollowing responsibilities: define expectations for the organization set and maintain vision, mission and values; develop strategy (for example, a long-term strategic plan); and create and/or approve the organization’s policies. grant power select, manage and support the organization’s chief executive. verify performance ensure compliance with governing document (for example,a charter); ensure accountability and compliance with laws andregulations; and maintain proper fiscal oversight.Management takes direction from the Board and implements it ona day-to-day basis. Management has the following responsibilities: communicate expectations—mission, strategy, policies—to theentire staff; manage day-to-day operations and program implementation tofulfill the expectations; and report results to the Board.When the balance between the responsibilities of the Board andmanagement is established and functioning well, the organization isbetter able to: meet expectations of clients, beneficiaries and other stakeholders; deliver quality programs that are effective and efficient; and comply with laws, regulations and other requirements.Implementation Tips for USAID Partners3
GOVERNANCE1REFERENCESA Handbook of NGO Governancehttp://www.ecnl.org/dindocuments/18 Governance%20Handbook.pdfGovernance at a Glancehttp://www.ngoconnect.net/c/document library.pdfGovernance & Board ext StepsIf your organization is struggling with finding a balance between the rolesof the Board and executive management, review your organization’s charteror other governing document, the Board’s terms of reference and thejob descriptions of senior management staff to see what parametersare defined.If these sources are insufficient to provide clarity, then consider asking theBoard to define responsibilities and procedures more precisely. In the end,it is part of governance—and therefore part of the Board’s responsibilities—to ensure that organizational roles and structures are clearly defined.www.NGOConnect.NET
1.2How to Set Up anEffective Board of DirectorsQAWhy does our organization need a Board, andhow do we create an effective one?One of your organization’s key assets is its Board of Directors. TheBoard, needed in most countries to enable an NGO to register andoperate legally, mainly provides oversight, but its members may alsoserve as advocates and fundraisers.Governance 1.1: Governance, Management and the Role of a Boardof Directors discussed the differences between governance andmanagement and introduced the broad responsibilities of a Board ofDirectors. Here we focus on how to form a Board.GOVERNANCE1DEFINITIONSGovernance—The systems andprocesses concerned with ensuringthe overall direction, effectiveness,supervision and accountability ofan organization; typically the purviewof a Board of Directors.Management—The art of directing theday-to-day operations of the organization.An NGO’s Board of Directors is typically made up of volunteers and isseparate from the organization’s management and paid staff. The Board’sprimary function is to provide oversight to the organization, includingensuring that the NGO fulfills its mission, lives up to its values, andremains viable for the future. It may be composed of community leaders,representatives of beneficiary groups, and/or private donors. A Boardtypically meets regularly with the organization’s executive director andmanagement team to review progress.Organizations are governed in different ways. Some Boards meet frequently,especially when organizations are young or facing challenges. Other Boardsare more hands off, meeting quarterly or annually to review financial andperformance reports and to set goals for the coming year.Like it or not, your Board members will be seen in the community as areflection of your organization. In this way, the Board can be both the faceand fate of your organization. Therefore, it is very important that you findBoard members who will represent your organization well and be able toattract support for your cause.Define Eligibility CriteriaAlthough each NGO is unique, there are some qualifications for Boardmembers that are nearly universal. First, a Board member should becommitted to the mission of the organization. You want someone whocares about your work and is willing to volunteer to support it. Second,a Board member must be willing to commit to fulfilling the Boardresponsibilities set forth by the organization. These responsibilities caninclude attending Board meetings, participating on a committee, andhelping raise funds. Third, determine how long a Board member’s term willlast. Establishing the length of the term at the outset will help candidatesdecide if they can commit to the position and will help the organizationmaintain a fresh and vibrant Board.Once you determine the qualifications that you are looking for inBoard members, write up position descriptions to refer to whenevaluating Board candidates.Implementation Tips for USAID Partners5
GOVERNANCE1AV O I D C O N F L I C T SOF INTERESTIt is assumed that an NGO’s Boardmembers act in the best interestsof the organization. There are,however, situations that cast ashadow on this statement. Hereare some examples: The Board member also serveson the Board of a rival NGO. The NGO buys officeequipment from the companyof the Board member’s cousin. A Board member hires a staffperson to provide servicesprivately. The NGO gives a stipend to theson of the chair of the Board.There may be reasonableexplanations for these situationsthat do not necessarily involveactual wrongdoing. But in all ofthese cases there are potential orperceived conflicts of interest evenif no actual wrongdoing exists.Because the Board is a reflectionof your organization, it is best tosteer clear of even the appearanceof a conflict of interest.Source: Questions Every BoardMember Should Ask by the CEEWorking Group on Nonprofit Governance,The Global Forum on NGO indocuments/18 Governance%20Handbook.pdfTake time to get to knowyour candidates for theBoard and carefully considerwhat they will bring to theBoard if selected to serve.Below is one example of a Board member position description. Tosee other examples, visit www.bridgestar.org, managementhelp.org orwww.scoreknox.org.Example of Position Description for Board Members1.2.3.4.5.6.7.8.9.10.Know and support the mission of the organizationAttend (specify monthly, quarterly, etc.) Board meetings regularlyPrepare for meetings in advanceMaintain confidentialityOffer informed and impartial guidanceAvoid special agendas and conflicts of interestParticipate in committees and special eventsAdvise the chief executiveTake part in resource developmentPromote the organization in the communitySource: A Position Description for Board Members from A Handbook on NGOGovernance by CEE Working Group on Nonprofit Governance, http://www.ecnl.org/dindocuments/18 Governance%20Handbook.pdfNext, consider what you want the composition of your Board to be.Although all Board members should meet the qualifications in the positiondescription, a diverse Board brings a wide range of perspectives to theorganization, which in turn generates more thoughtful approaches torealizing its mission. Think about what skills are needed and whether anindividual can help with resour
Implementation Tips USAID Partners Capable Partners Program 1825 Connecticut Ave., NW Washington, D.C. 20009-5721 Tel. 202-884-8000 www.ngoconnect.net
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