IOM-USAID HANDBOOK
IOM-USAID HANDBOOK20211
Table of ContentsACRONYMS AND KEY TERMS . 5Introduction . 9About USAID.10USAID Reorganization .10 Journey to Self-Reliance.10 Program Transformation .10 Processes Transformation .11 Structure Transformation .11 Workforce Transformation.12USAID Private Sector Engagement.12Key Legislation .13Foreign Assistance Act (FAA) .13Annual Department of State, Foreign Operations, and Related Programs Appropriations Bill.14The Global Fragility Act .14Women, Peace, and Security Act of 2017 .15USAID Budget .15Appropriations Process.15USAID Funding .16USAID Bureaus .17Functional Bureaus.17Headquarters Bureaus.29Geographic Bureaus.29Counter-Trafficking .31USAID Missions.32USAID Strategies and Policies .32Digital Strategy.32Democracy, Human Rights and Governance (DRG) Strategy .33CVE Strategy .33New Partnerships Initiative .34Building Resilience to Recurrent Crisis Policy & Program Guidance .35The Development Response to Violent Extremism & Insurgency: Putting Principles IntoPractice Policy.352
Assistance for Civilian Policing Policy .36Counter Trafficking in Persons Policy .36Cooperation with the Department of Defense Policy .36Evaluation: Learning from Experience Policy.36Private Sector Engagement Policy .37Scientific Integrity Policy .37Scientific Research Policy.37Sustainable Service Delivery in an Increasingly Urbanized World Policy .37USAID Education Policy .38Gender Equality & Female Empowerment Policy.38Youth in Development: Realizing the Demographic Opportunity Policy .39IOM-USAID Relationship .40Public International Organization (PIO) Status .40Administrative Payment .40Auditing Policy.41Types of Partnership with USAID .41USAID Assistance Awards: Grants and Cooperative Agreements.41USAID Acquisition Awards: Contracts and IDIQs.43USAID Funding Opportunities .44USAID Grant and Contract Process.44Application Procedures f or USAID Funding .48OTI Funding Application Procedures.48BHA (OFDA) Funding Application Procedures.49Application Procedures for Public USAID Funding Opportunities .50Pre-Solicitation Phase .50USAID Awards: Systems, Registrations, Reporting, and Modifications.55Registrations.55Budget Guidelines.56Standard Financial Provisions in USAID Awards .56Payment Management System (PMS) .58Monthly Reimbursements .58Audit and Records .58Interest and Program Income .593
Refunds.59Disposition of Property / Assets.60Programmatic Reporting .60BHA (OFDA)-Specific Programmatic Reporting Requirements.60OTI-Specific Programmatic Reporting Requirements.61Financial Reporting .61Federal Financial Report Form (SF-425).61OTI-Specific Financial Reporting Requirements .62Amendments and Modifications to Grant Agreements .63Agreement Budget Limitations .63Agreement Budget Revisions.63Cost Extensions and No-Cost Extensions .64Financial Considerations During Award Close-Out.65Close-Out Period.65Foreign Tax Reporting .67United Nations Coordination Levy.67Leahy Vetting.69Approaching Risk on USAID Awards.71USAID Proposal Development .71Key Concerns on USAID Awards .72Material Support to Designated Terrorist Organizations (DTOs).72Fraud, Corruption and Other Prohibited Conduct .73Protection From Sexual Exploitation and Abuse (PSEA).74Branding Guidelines for IOM Projects Funded by USAID .76Why is Branding Important? .774
ACRONYMS AND KEY TERMSAcquisitionA general term for USAID that refers to obtaining goods and services, through varioustypes of contracts, for the use or benefit of the Agency. Interested organizations submita proposal in response to a Request for Proposals (RFP). Every USAID Mission has anAcquisitions and Assistance Office, led by Contracting Officers.ADSAO/AORAutomated Directives SystemAgreement Officer / Agreement Officer Representative (USAID)APSAnnual Program StatementA general announcement of funding for a specific Fiscal Year(s) and on a certain topic.Organizations are invited to propose specific activities in specific countries. An APS isnormally open for a year and is meant to encourage concept papers on a wider range ofprograms before a second stage submission of a full application for those concept papersdeemed potentially viable. 1AssistanceA general term for USAID that refers to transferring funds (or other valuables) fromUSAID to another party for the implementation of programs that contribute to the publicgood and in furtherance of the objectives of the Foreign Assistance Act. Interestedorganizations submit an application in response to an Annual Program Statement (APS)or Notice of Funding Opportunity (NOFO).AWPAnnual Work Plan (sometimes WP – Work Plan)BAABroad Agency AnnouncementA tool used by USAID to collaborate with both the private and public sector when facinga development challenge that does not have a clear solution and there appears to be anopportunity for innovation. BAAs can result in contracts, grants, or cooperativeagreements.BAFOBest-and-Final-Offer, the final round in the RFA and RFP processBIMPBranding Implementation and Marking PlanBNPBudgeting for New ProjectsA document that must be prepared for upload in PRISM when a budget modification isgranted.Country Development Cooperating StrategyThis is typically a five-year strategy that determines a Mission’s approach in a country,articulated the self-reliance trajectory, and details expected results.Calls for ApplicationsCooperative AgreementAwarding vehicle in which USAID exerts more control than with a Grant, but less controlthan with a Contract. CoAgs are often (but not always) competed via an et-grant-or-contract/grant-and-contract-process5
ContractAwarding vehicle in which USAID exerts the greatest control. Contracts are alwayscompeted, with USAID giving overwhelming preference to for-profit-led consortia.COPChief of Party, the head of every USAID projectCORMFCountry Office with Resource Mobilization FunctionsCRCompetitive Range, the second round in the RFA or RFP processCTAcronym used by USAID to refer to counter terror activitiesC-TIPAcronym used by USAID to refer to counter trafficking in personsCVECountering Violent ExtremismDARTDisaster Assistance Response TeamThe team deployed by OFDA/BHA to coordinate and manage an optimal USG response.DCOPDeputy Chief of PartyDraft NOFO/Draft RFP Draft Notice of Funding Opportunity (NOFO) or Draft Request for Proposal (RFP)A draft of the NOFO/RFP is shared prior to the formal solicitation being released. Thepurpose is to receive feedback and input on the NOFO/RFP.Draft SOWDraft Scope of WorkA draft of the planned scope of work is shared so that industry can provide feedback andget a better understanding of a planned activity. The final SOW is usually “Section C” inan RFP).FSRFinancing Self-RelianceFAAForeign Assistance ActGrantAwarding mechanism in which USAID exerts the least amount of control. A grant is a legalinstrument used often by USAID in emergency situations.IDIQ/IQCIndefinite Delivery/Indefinite Quantities ContractAn IDIQ is a contracting mechanism that allows USAID to group programs with similaractivities into one large contract. IDIQs are usually multiple-year and can be held eitherby many contractors or a single contractor. IDIQs are usually led by a “for-profit” firm.The acronyms IDIQ and IQC may be used interchangeably.KMKnowledge ManagementLOCLetter of CreditA payment method that authorizes IOM to request an electronic drawdown of fundsthrough the PMSLeader with AssociatesAn awarding mechanism that is the “non-profits” equivalent of an IDIQ/IQC.LWAMELMonitoring, Evaluation and Learning; most USAID projects include an MEL Specialist6
NICRANegotiated Indirect Cost Rate AgreementNOFONotice of Funding OpportunityA general announcement for funding, which provides a description of the requirement orprogram and how USAID will evaluate the applicant. A NOFO is usually for a specificprogram and open for a limited time (unlike an APS – see above definition).NPIThe New Partnerships InitiativeOFDA/ BHAUSAID Office of Foreign Disaster Assistance/Bureau for Humanitarian AssistanceOTIUSAID Office of Transition InitiativesPIOPublic International OrganizationPMSPayment Management SystemAn internet-based system used by the USG for deposit and reporting services for mostnew grant and cooperative agreements.Pre-Solicitation Notice Provides advance notification that USAID will be issuing a solicitationRFARequest for ApplicationsA general announcement for funding that is used when USAID’s intent is to provideassistance for an activity or methodology that supports or is in keeping with USAID’sprogram objectives. An RFA usually results in the awarding of a Cooperative Agreement.RFAs are usually simpler than RFPs but still include the preparation of two volumes (Techand Cost), each with multiple requirements.RFFRapid Response FundA sub-granting tool designed for contexts affected by emergencies to quickly mobilizeresources for service providers.Request for InformationA call for organizations to share technical or other requested information with USAID,before a formal solicitation is issued.RFIRFPRequest for ProposalsA general announcement for funding that usually results in the awarding of a Contract.RFTOPRequest for Task Order ProposalsA funding announcement used within and IDIQ/IQC.Set-AsideA federal contract designated for small business bidding only. It is the portion of acontract that is guaranteed to go to a minority owned company. These can becompetitive or sole-sourced.SOWScope of Work (or SOO – Statement of Objectives)Sources Sought Notice A notice issued by USAID to determine how many sources are interested in aproject that is under consideration, the level of experience and qualifications, andwhether the activity might be suitable for a particular type of small business set-aside.7
SWIFTSupport Which Implements Fast TransitionsAn IQC mechanism used by OTI that consists of pre-approved partners, wherein fundsare awarded through a Task Order.USAIDUnited States Agency for International DevelopmentUSGUnited States Government8
Introduction2The IOM-USAID Handbook is intended to be used by IOM field staff who are working on USAIDprograms. It offers an introduction to the agency and how it works, as well as provides specific guidanceon the different steps that are involved in developing and operating a project funded by USAID.The Handbook begins with an introduction to USAID, including certain strategies and policies and keylegislation that drive USAID goals, and how the Agency is structured. These sections have been added inorder to provide background information on what USAID values and the position that the Agency holdsin key areas. In addition to providing additional information on USAID, this will also be valuable for thedevelopment of proposals.Following the introduction to the Agency is a section that explains what the IOM-USAID relationship is,especially since IOM is a Public International Organization, and what kinds of awards we normally applyfor or are offered. This is particularly useful for colleagues that are in the early stages of exploring afunding opportunity. In regards to funding opportunities, the Handbook also provides additionalguidance on all steps of the application process, and the steps that follow once an award has beengranted. This includes information on the databases used by USAID, the reporting process,modifications/amendments, and additional guidance on risk mitigation. Finally, the Handbook concludeswith some information on guidance and the importance of it for projects funded by USAID.The major sections included in the Handbook do provide the contact that can be utilized for additionalinformation or clarifications on any of the guidance provided in this document. Should you have anyquestions about what is included, or there is uncertainty about any of the sections, please feel free toreach out to the point of contact or to the Community Stabilization Unit that will direct you to the rightperson.Comments and suggestions on this Handbook are most welcome and can be directed to the CommunityStabilization Unit at IOM D.C. (email: csunit@iom.int).2All content in the Handbook, especially in relation to contractual obligations of IOM, are subject to negotiationbetween the Parties.9
About USAID3The United States Agency for International Development (USAID) was created in 1961, when PresidentJohn F. Kennedy signed the Foreign Assistance Act into law. USAID “carries out US foreign policy bypromoting broad-scale human progress” and by leading “international development and humanitarianefforts to save lives, reduce poverty, strengthen democratic governance and help people progress beyondassistance.”Headquartered in Washington, DC, USAID's major organizational units are called bureaus. Each bureauhouses staff responsible for major subdivisions of the Agency's activities. USAID has both geographicbureaus that are responsible for the overall activities in countries and functional bureaus that conductAgency programs worldwide in nature or those that cross geographic boundaries. Within USAID there arenumerous bureaus and offices with which IOM has collaborated. IOM Missions often work directly withUSAID Country Missions, managed by the Regional Bureaus, as well as with various offices that are underthe Functional Bureaus.To hear more about the work that USAID is doing today, please see the following video.USAID ReorganizationIn April 2018, USAID publicly released its internal redesign plans. The process, known as “Transformationat USAID,” represented one of the most significant organizational restructuring processes in the Agency’shistory. The purpose of the reorganization of USAID is to accomplish the mission of ending the need forforeign assistance, and to assist host country partners in reaching a position of self-reliance. Thetransformation that is currently occurring is primarily focused on the structure, programs, processes, andworkforce of the Agency. Journey to Self-RelianceThe ‘Journey to Self-Reliance’ is a part of the USAID transition to reorient the Agency to be in aposition where greater development outcomes are being achieved. In order to do so, USAIDfocuses on achieving locally-sustained result in order to provide the foundation for countries tobecome more self-reliant. In an effort to reorient the work currently being done to self-reliance,the Policy Framework has been establishedTo learn more about this journey, please visit their website here. Program TransformationUSAID plans to shift their priorities to programs that have a focus on incentivizing reform,strengthening in-country capacity and facilitating locally led development.As a part of this transformation, USAID plans to further develop engagement with the privatesector to prioritize market-based approaches with the goal of elevating the ability of hostcountry partners to finance their own development and supporting long-term sustainability. In3Information on USAID and its various bureaus and offices was obtained from the USAID Internet site:www.usaid.gov.10
order to support countries in their journey to financing their own development, USAID plans toadopt an approach called Financing Self-Reliance (FSR) in which they seek to identify thefinancing challenges and opportunities that countries encounter. This will be used as afoundation for USAID to assist countries in building their capacity to solve their owndevelopment challenges. Processes TransformationThe processes at USAID will be changed through a series of employee-led and interconnectedreforms. The series will include integrating self-reliance concepts, including the self-reliancemetrics, into planning processes. Such metrics have resulted in the creation of “CountryRoadmaps” which has become a tool to identify how self-reliant partner countries currently are,and then utilize it to tailor partnerships and programs accordingly.Another essential component is improving collaboration with the Department of Defense (DoD)in order to address increasing interdependence of civilian and military efforts. The expectation isthat increasing coordination with the DoD will result in development results that are moreeffective and efficient. Structure TransformationThe changes in structure primarily focus on transitioning the Agency to becoming more fieldoriented. Key changes to the organizational structure include: The strengthening of USAID leadership through the addition of two AssociateAdministrators:o Associate Administrator for Relief, Response and Resilience who is responsiblefor humanitarian, crisis and conflict-related worko Associate Administrator for Strategy and Operations who is responsible forAgency management and administrative services The consolidation and realignment of the Functional Bureaus, resulting in four newFunctional Bureaus designed to increase USAID responsiveness to humanitarian, conflictrelated, and crisis work. The merging of policy design and performance with budget and resource managementpractices.Please see below the new organization chart:11
Workforce TransformationUSAID is transforming its workforce in order to support a more agile and mobile workforce that canwork anytime, anywhere, and under any condition. In order to accomplish this, USAID plans tomodernize its performance management system, utilize a new Leadership Philosophy, implement aKnowledge Management Framework, and optimize the talent of Foreign Service Nationalemployees.USAID Private Sector EngagementPrivate Sector Engagement (PSE) is a strategic approach employed by USAID to consult, strategize, align,collaborate, and implement with the private sector for great scale, sustainability, and effectiveness ofdevelopment or humanitarian outcomes. 4 The PSE policy is a component of USAID’s focus on supportingpartner countries on their “Journey to Self-Reliance”.Since 2001, Global Development Alliances (GDAs) have been USAID’s premier model for public-privatepartnerships. 5 A GDA is a partnership that involves USAID, the private sector, as well as a potential rangeof other partners, to develop and implement activities and achieve sustainable development impact.USAID occasionally issues a GDA Annual Program Statement (APS) that serves as an invitation to cocreation extended to the private sector and other organizations interested in working closely with theprivate sector to achieve significant and sustainable development results and impact. 6 For moreinformation about USAID GDAs, see an example of a GDA APS in the USAID Handbook OneDrive ector-engagementhttps://www.usaid.gov/gda6 USAID GDA APS No: APS-OAA-16-000001. Issued 16 May 2016.512
For more information about USAID’s private sector engagement policy and practices, visit the PSEwebpage and view the USAID Private-Sector Engagement Policy document in the OneDrive.Key LegislationAs of June 2020, the primarily legislative texts that govern USAID are the Foreign Assistance Act (FAA)and the annual State and Foreign Operations appropriations bill. The annual appropriations bill includesfunding levels, congressional directives and statements of policy that pertain to USAID programs andoperations. In addition, there are also some independent laws that guide USAID policy and programmingwith thematic areas and/ or geographic regions.Foreign Assistance Act (FAA)The FAA is a United States Act of Congress which resulted in the creation of USAID to administer nonmilitary, economic assistance programs. The act particularly highlights which programs USAID can andcannot provide assistance. In instances where USAID can provide assistance, it should be done with theobjective of mobilizing resources from public and private sources for development purposes. The actoutlines that the assistance should consist of programs that facilitate access to private capital markets,investment, and technical skills. Please see below a description of the major programs that IOMnormally works with: Agriculture, Rural Development, and NutritionThe act authorizes the use of assistance for agriculture, rural development, and nutrition as long asit is to help create employment, expand the provision of basic services to enhance the capacity forself-help, or alleviate starvation, hunger, and malnutrition. Population and HealthIn order to contribute to improvement in the health of people in developing countries, the actauthorizes assistance to be used for health programs. Assistance for this is to primarily be for basicintegrated health services, safe water and sanitation, disease prevention and control, and relatedhealth planning and research. All of the programs under this should have a focus on self-sustainingcommunity-based health. Additionally, there is to be an emphasis on addressing the special healthneeds of children and women. Human RightsThis section specifically states that USAID is not permitted to provide assistance to any country thatengages in a consistent pattern of gross human rights violations. When determining if a governmentfalls into this category, the Assistant Secretary of State for Democracy, Human Rights and Labor andthe Ambassador at Large for International Religious Freedom will be consulted in order to begin aninvestigation on the government. Assistance to Foreign Countries to Meet Minimum Standards for the Elimination of TraffickingUSAID is permitted to utilize funding for projects that aim to eliminate trafficking by drafting laws,investigating and prosecuting traffickers, protection of victims, and exchange programs forgovernmental and nongovernmental personnel to combat trafficking. International Disaster AssistanceThis section authorizes the United States to fund effort to alleviate human suffering followingnatural and manmade disasters. The assistance can be used specifically for relief and rehabilitation,13
including assistance for disaster preparedness, and contingency planning for natural disastersabroad. Antiterrorism AssistanceForeign assistance is authorized to be used to enhance the ability of law enforcement personnel inforeign countries to deter terrorists and terrorist groups from engaging in international terroristacts. Assistance may be specifically for training services and the provision of equipment. Theprojects that are to be implemented under this section are to be for enhancing antiterrorism sk
The team deployed by OFDA/BHA to coordinate and manage an optimal USG response. DCOP Deputy Chief of Party Draft NOFO/Draft RFP Draft Notice of Funding Opportunity (NOFO) or Draft Request for Proposal (RFP) A draft of the NOFO/RFP is shared prior to the formal solicitation being released. The purpose is to receive feedback and input on the NOFO .
The IOM 12-point Global Strategy2 defines the overall focus of IOM’s work. The IOM Regional Strategies are based on the IOM mandate enshrined in the IOM Constitution and derived from the IOM’s Global Strategy. This document presents a forward-looking Regional Strateg
As we learned from an external evaluation of the quality of USAID’s evaluation reports (USAID Forward evaluations as well as others), there have been clear improvements in quality between 2009 and 2012, i.e., before and after the USAID Evaluation Policy was issued in 2011. USAID’s technical and regional bureaus are energized and are rigorously
MS-IOM1711-0 4-Point IOM with 4 BI, FC Bus and SA Bus Support X X MS-IOM2711-0 6-Point IOM with 2 UI, 2 UO, 2 BO, FC Bus, and SA Bus Support. Relays are rated for 120/240 VAC. X MS-IOM2711-2 6-Point IOM with 2 UI, 2 UO, 2 BO, FC Bus, and SA Bus Support. Relays are rated for 240 VAC. X MS-IOM2721-0
INTERNAL AUDIT REPORT IOM Sana'a YE201701 16 - 23 MAY 2017 Issued by the Office of the Inspector General . Page 2 of 13 Report on the Audit of IOM Sana'a Executive Summary Audit File No. YE201701 The IOM Office of the Inspector General (OIG) conducted an internal audit of the IOM Sana'a, Yemen
Opening Doors: A Performance Evaluation of the Development Credit Authority (DCA) in Ethiopia Wolday Amha, Consultant William M. Butterfield, Mission Economist, USAID/Ethiopia Fasika Jiffar, Senior SME Development Specialist, USAID/Ethiopia Leila Ahlstrom, Financial Management Specialist, USAID/DCA USAID/Ethiopia May 2016, Addis Ababa Cre dit .
The deadline to submit proposals is May 2nd, 2016 at 5 pm. Questions about this APS must be sent via email to ASHAapplications@usaid.gov. 2016 USAID/ASHA Annual Partners Conference Registration Is Open We are pleased to announce the 2016 USAID/ASHA Annual Partners Conference will be held March 29-30, 2016 (Tuesday-Wednesday) at the Crystal .
This Graphic Standards Manual replaces and updates the guidance released in 2005. It provides instructions on how to best utilize our brand to communicate . USAID Standard Graphic Identity (hereinafter referred to as "USAID logo") builds upon the recognition and brand-equity developed over more than 65 years of U.S. foreign aid. The USAID .
The United States Agency for International Development (USAID)/Yemen contracted Banyan Global . Gender Integration Technical Assistance Task Order to undertake a countrywide Gender Analysis to inform USAID's 2017-2020 Yemen Programming Approach (YPA). USAID/Yemen . with the role of women in political leadership largely
