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USG Donors and Regulations Overview

USG Statute and Regulation Hierarchy


U S C o n s titu tio n A u th o r i! in g P r o g r a m S ta tu te A n nual A ro r ia tio n s A c t

S"A"U"#

C r o s s C u ttin g S ta tu te s F e d e r a l C ir c u la r s C o d e s o f F e d e r a l R e g u la tio n s A w a rd A g re e m e n t A g e n c y P o lic y a n d G u id e lin e s


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AUDIT FOCUS

R#GU$A"%O &

USG Re'uirements( Guidelines( Policies


How do they a ly0

Statutes))))))))))**A$$ F#D AG#&C%#S O+, Circulars))))**)))A$$ F#D AG#&C%#S Code of Federal Regs))*****SP#C%F%C "O AGC. Agreement Formats)*))) SP#C%F%C "O 3

OMB CIRCULARS
A-110 A-110 (2 (2 CFR CFR 215): 215): Award Award Administrati Administrati n n R!"#ir!m!nts R!"#ir!m!nts
$sta%&is'!s $sta%&is'!s(rant (rant mana(!m!nt mana(!m!nt r#&!s r#&!s

A-122 A-122 (2 (2 CFR CFR 2)0): 2)0): C C st st *rin+i,&!s *rin+i,&!s


D!t!rmin!s D!t!rmin!sw'at w'at + + sts sts+an +an%! %!+'ar(!d +'ar(!d tt (rants (rants

A-1)): A-1)): A#dit A#dit 2 2 n-*r n-*r

-- Stat!s. Stat!s. L L +a& +a& / / 01 01 and and -it -it Or(ani3ati Or(ani3ati ns ns
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$sta%&is'!s $sta%&is'!sa#ditin( a#ditin( r#&!s r#&!s

Code of Federal Regulations


"he CFR is the codification of the general and ermanent rules u1lished 1y the #2ecutive de artments and agencies of the US Federal Government* "%"$# "%"$# CFR CFR PAR" PAR" S#C"%O& S#C"%O& 33 33 CFR CFR 334 334 ** 35 35
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D n r /#id!&in!s. Dir!+ti0!s and * &i+i!s 6 USA%D


7 Automated Directives System 8ADS9 7 Ac'uisition : Assistance Policy Directives 8AAPDs9

6 OFDA 8USA%D9
7 Pro osal and Re orting Guidelines

6 FFP 8USA%D9
7 DAP( DRP( +.AP( etc* Guidelines 7 +oneti!ation Field +anual Note: None are regulatory, except as written into the CFRs or agreements

A#t mat!d Dir!+ti0!s S4st!m 8ADS9


6 ADS is USA%D;s <directives management= rogram* 8%nternal O erations +anual9 6 %t contains>
7 %nternal USA%D olicy directives 7 Re'uired internal rocedures 7 Hel ful references and lin?s Note: Note: USAID USAID employees employees must must ollow ollow ADS, ADS, !ut !ut it it "oes "oes not not apply apply "irectly "irectly to to awar"ees awar"ees
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5: 6 w d I 7n w w'i+' r#&!s a,,&48 A: Ask yourself the following:


-* @ho is the donor0 3* @hat is the ty e of resource0 A* @hat is the ty e of award instrument0 B* @ho is the reci ient0
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US/ + m,&ian+! r!"#ir!m!nts ar! in-&#!n+!d %4:


D n r R!s #r+! T4,! Award T4,! R!+i,i!nt

6 USA%D 6 PR+ 6 USDA

6 Cash 6 Commodities

Assistance Awards 6 Grants 6 Coo erative Agreements Ac'uisition Awards 6 Contracts 6 %CCs

6 US or &onDUS 6 &onD rofit or For rofit

R!(#&ati ns a&s D!-in! A#t' riti!s


Compliance depends upon not only following the right rule, but also getting the right approval when necessary
USAID *RM USDA

6 AO vs* C"O 6 +ission vs* @DC

6 Office of the Com troller vs* Refugee Coordinator

6 CCC vs* USDA

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USAID R &!s and R!s, nsi%i&iti!s


A(r!!m!nt O--i+!r (AO)
$etter

C (ni3ant T!+'ni+a& O--i+!r (CTO)

L!(a& and Finan+ia& 6 Has legal res onsi1ility for the award* 6 Pre ares and e2ecutes the award document( including all mods* 6 %nter rets USA%D rules( olicies and rocedures*

*r (rammati+ 6 +onitors the reci ient and ensures com liance with the award* 6 Reviews re orts and other su1missions* 6 #valuates the rogram;s effectiveness*
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Categories of Awards
Assistan+! Awards

A+"#isiti n Awards

6 *#r, s! is t ,r 0id! s#,, rt t a++ m,&is' a ,#%&i+ ,#r, s!1 6 /rant r#&!s a,,&4

6 *#r, s! is t ,#r+'as! r a+"#ir! ( ds r s!r0i+!s - r t'! dir!+t %!n!-it t'! US/1 6 *r +#r!m!nt r#&!s (FAR9AIDAR) a,,&412

USG Award ypes


Assistan+! Awards A+"#isiti n Awards

/rant C ,!rati0! A(r!!m!nt L!ad!r w9 Ass +iat!s (L:A) *#%&i+9*ri0at! A&&ian+! (/DA)

C ntra+t Ind!-init! 5#antit4 C ntra+t (I5C)

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/rants 0s1 C

,!rati0! A(r!!m!nts

A C ,!rati0! A(r!!m!nt is a /rant wit' ;S#%stantia& In0 &0!m!nt<1 .ou can tell the difference 1y> 6 loo#ing in the agreement or $su!stantial in%ol%ement clauses&, 6 or !y chec#ing the agreement num!er' examples(( )*+,A,--,-.,--+*+,-- /0INCS1, DFD,2,--,-),--334,-- /5FDA Dar ur1
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;S#%stantia& In0 &0!m!nt< in+&#d!s= (- #nd in ADS )0)1)111) -* A 3* A roval of the reci ientEs %m lementation Plans* roval of s ecified ?ey ersonnel*

A* Agency and Reci ient Colla1oration( such as>


a* Partici ation in an advisory committee 1* Concurrence on su1awards c* A roval of +:# lans

d* +onitoring of interrelations with other roFects

3* Authority to halt a construction activity


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=%#t ;S#%stantia& In0 &0!m!nt< d !s n t in+&#d!: -* Directing the reci ient;s ersonnel oliciesG 3* Directing a reci ient to award a contract or su1grant to a s ecific organi!ationG A* Partici ating in the negotiation or award of a su1grant or contractG B* Re'uesting a reci ient to erform wor? not included in the sco e of wor?G 5* Anything outside the 1ounds of the agreement*
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C> @hat will e2ternal auditors focus on0


6 O+, Circulars 6 Codes of Federal Regulations 6 Award A(r!!m!nt 8which almost always includes the cross cutting statutes9

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Tr#! r Fa&s!8
C> USA%D Grants and Contracts follow the same rules for the most art0 A> FA$S#HH

C> "he Agreement Officer is only arty who has the authority to modify the agreement0 A> "RU#
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C> @hat is included in su1stantial involvement0


6 A 6 A roval of %m lementation Plans* roval of ?ey ersonnel*

6 Agency and Reci ient Colla1oration 8advisory


committees( concurrence on su1awards( +:# lans( interrelations with other roFects*9

6 Authority to sto construction

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