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Skip Sourcebook Navigation Administering Results-Oriented Assistance Instruments
USAID Sourcebook
Results Define
Admin
Core Values Sources FAQ Glossary USAID ADS Updated 10/10/02
Award administration encompasses all the dealings between USAID officials and the recipient from the time the award is made until the end of USAID support. The specific nature and extent of administration will vary from award to award in the normal exercise of Federal stewardship responsibilities. It can range from reviewing and analyzing performance reports, performing site visits to a more technically developed substantial involvement by USAID under a cooperative agreement." (ADS 303.5.13)
The Recipient "is responsible for implementing the program in accordance with the terms and conditions of the award and all applicable USAID regulations." (ADS 303.3.4) The Cognizant Technical Officer (CTO), the Activity Manager, and the Agreement Officer (AO) share oversight of an assistance award. The functions are closely related and shall not be performed in isolation. (ADS 303.5.13) It is essential that the CTO, the Activity Manager, and the AO work as a team in order to effectively administer assistance instruments (See ADS E303.5.13)
- serve as the mandatory control point of record for all official communication that would constitute an amendment to the award;
- review copies of all performance and financial status reports for adequacy and responsiveness;
- provide for the continuing oversight of the financial management aspects of the award;
- keep the Agreement officer informed on recipient performance;
- request or arrange for special audits, when deemed necessary;
- request the Agreement Officer take necessary action where reports are not received, are determined to be inadequate, or a problem is apparent;
- determine that the award does not contain administrative approvals which are in conflict with regulations and policies, and;
- submit copies of status reports as required by the Mission Director or Bureau DAA to the Agreement Officer; and
- be responsible for all award suspension and termination actions.
- prepare internal USAID documentation to the satisfaction of the Agreement Officer.
(See ADS E303.5.13) (See ADS E303.5.13) What are the roles and responsibilities of an Agreement Officer?
As a member of the Strategic Objective team, "the Agreement Officer bears the legal responsibility for the award and therefore, only the Agreement Officer can take action to enter into, change or terminate the award on behalf of USAID." (ADS 303.3.4a) The Agreement Officer is responsible for ensuring that USAID exercises prudent management over assistance funds by (see ADS 303.3.4a):
1. Interpreting USAID's assistance policies and procedures and coordinating with the SO Team, applicants and recipients to ensure consistency of interpretation.
2. Determining the appropriate type of instrument to be used in accordance with ADS 304.
3. Guaranteeing the integrity of the competitive process by:
(a) approving the Annual Program Statement or the Request for Application prior to publication; and
(b) obtaining a written evaluation report from the competitive review panel asserting that the review and evaluation of all applications was in keeping with USAID policies and essential procedures.4. Making a responsibility determination regarding a potential recipient's management competence in implementing a planned activity in accordance with USAID's policies and essential procedures.
5. Developing the instrument which sets out the results that the recipient plans to achieve and all understandings between USAID and the recipient.
6. Negotiating costs in the financial plan of the award meet OMB and USAID standards" by:
(a) requiring the CTO to confirm the necessity of certain costs;
(b) conducting a comprehensive cost analysis; and
(c) discussing the cost analysis and supporting information in a Negotiation Memorandum.7. Assuring that there no restrictions in the award that go beyond the provisions of the applicable OMB Circulars, USAID Regulation 26, or applicable Standard provisions, unless a deviation has been approved.
8. Processing necessary deviations.
9. Executing the award and maintaining contact with the relevant SO Team, the designated CTO, and the recipient for proper award administration.
10. Preparing and executing amendments to awards as necessary.
11. Initiating actions when terminations or suspensions are necessary.
12. Maintaining the official Agency files for each grant or cooperative agreement.
What are the roles and responsibilities of the Activity Manager?
As a member of the Strategic Objective Team, the Activity Manager is responsible for ensuring that USAID exercises prudent management over assistance funds prior to awards by:
1. Preparing competitive announcements or writing a justification for an exception to competition.
2. Managing the process of technical evaluation of applicants on behalf of the Agreement Officer, including performing a past performance review, conducting elements of the pre-award survey, and providing technical analysis of specific costs when requested by the Agreement Officer.
3. Determining if the applicant's program description is responsive to a published USAID competitive notice or is otherwise in keeping with established USAID strategic objectives.
4. Recommending the expected level of cost sharing in accordance with specific program requirements.
5. Processing all necessary internal USAID authorization papers to request that the Agreement Officer consider awarding a grant or cooperative agreement to a selected applicant, including Program Descriptions with clearly established goals that are realistic, measurable, and represent the highest objective that the recipient can expect to materially affect and for which it will be held accountable.
6. Assisting the Agreement Officer in determining the potential recipient's level of technical and managerial competence.
What are the roles and responsibilities of the Cognizant Technical Officer?
While typically the Activity Manager may assume the responsibilities and role of the Cognizant Technical Officer (CTO), it is important to note that the CTO is the individual who is designated by the Agreement Officer to administer certain aspects of the assistance instrument. The Cognizant Technical Officer is responsible for ensuring that USAID exercises prudent management over specific assistance awards for which they are designated as CTO by:
1. Monitoring and evaluating the recipient and the recipient's performance during the award by:
(a) maintaining contact including site visits and liaison with the recipient;
(b) reviewing and analyzing all performance and financial reports, as well as verifying timely delivery; assuring compliance with the terms and conditions of the award;
(c) carrying out all responsibilities as delegated by the Agreement Officer in the Schedule of the award or noted under the "Substantial Involvement" section of Cooperative Agreements;
(d)promptly notifying the Agreement Officer of any developments which could have a significant impact on the award; and
(e) preparing internal documents to support amendments to the award.2. Evaluating the recipient's program effectiveness at the end of the program and submitting a final report to the Agreement Officer and the Activity Manager.
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Last Updated on: October 10, 2002 |
