MYAP FY Pipeline and Resource Estimate Proposal PREP

Country/CS FY 2008 Pipeline and Resource Estimate Proposal PREP: Pipeline and Resource Estimate Proposal Title II Country/Cooperating Sponsor Fiscal Year 2008 Submission Date: ________________________ CS HQ Contact Name CS HQ Contact Address CS HQ Contact Tel. CS HQ Contact Fax CS HQ Contact Email CS Country Office Contact Name CS Country Office Address CS Country Office Contact Tel. CS Country Office Contact Fax CS Country Office Contact Email List of Acronyms ADS AER BEO CBO CS DAP DCHA DIP ER ESR FFE FFP FFP/W FFPIB FFW FY GDA IEE IPTT ITSH LOA MCA MCC MT MYAP NER NICRA PREP PVO REO RFFPO TA USAID Automated Directives System Annual Estimate of Requirements Bureau Environmental Officer Country Backstop Officer Cooperating Sponsor Development Assistance Program Bureau of Democracy, Conflict and Humanitarian Assistance Detailed Implementation Plan Emergency Resources Environmental Status Report Food for Education Office of Food for Peace Office of Food for Peace-Washington Food for Peace Information Bulletin Food for Work Fiscal Year Global Development Alliance Initial Environmental Examination Indicator Performance Tracking Table Internal Transport, Storage, and Handling Life of Agreement Millennium Challenge Account Millennium Challenge Corporation Metric Ton Multi-Year Assistance Program Non-Emergency Resources Negotiated Indirect Cost Rate Agreement Pipeline and Resource Estimate Proposal Private Voluntary Organization Regional Environmental Officer Regional Food for Peace Officer Transfer Authorization United States Agency for International Development 1 PIPELINE AND RESOURCE ESTIMATE PROPOSAL (PREP): All currently-active Multi-Year Assistance Programs (MYAPs) and Development Assistance Programs (DAPs) that intend to operate past September 30, 2007 must submit a Pipeline and Resource Estimate Proposal (PREP) for Fiscal Year (FY) 2008 resources, 10/1/2007 – 9/30/2008. This includes a program summary as well as commodity, Section 202(e) and Internal Shipping, Storage and Handling (ITSH) request levels. PREPs do not apply – and should not be submitted – for new MYAPs being submitted in FY 2008, or for programs that are closing out and for which bridge funding might be provided until such MYAPs are approved. The Transfer Authorization (TA) prepared by USAID/FFP explicitly outlines the Life of Agreement (LOA) resources for each program‟s commodity metric tonnages, freight estimates and support funds (Section 202(e) and ITSH). The CS‟s adherence to programmatic and budgetary components as described by these LOA levels for commodities (including monetization proceeds) and support funds will facilitate an expeditious review and approval process for the PREP. In cases where the CS will be requesting a significant programmatic or financial change from their originally approved program, the CS will need to adhere to the guidelines set forth in the Title II Program Policies and Proposal Guidelines for consideration of a program amendment. INSTRUCTIONS FOR PREP SUBMISSION: The Cooperating Sponsor (CS) should submit a hard copy and an electronic copy of their FY08 PREP to the Office of Food for Peace (USAID/FFP) and the cognizant USAID Mission/Embassy/Regional Office for all currently-active Multi-Year Assistance Programs (MYAPs) and Development Assistance Programs (DAPs) no later than July 20, 2007. The hard copy submitted to DCHA/FFP should be sent to: AMEX International FY08 PREP Submission RRB North Tower, Suite 270 1300 Pennsylvania Ave., NW Washington, DC 20004 The electronic copy submitted to DCHA/FFP should be sent to: ffpdocs@amexdc.com. Please include “PREP FY08”, the CS name and country in the subject line of the email for each PREP submitted. PREP FORMAT AND COMPONENTS: All PREP submissions must be:  No more than 15 pages in length, excluding title page and annexes;  Written in 12-point font (for narrative) in English, with one-inch margins, paginated, with a date on each page; and  Prepared in MS Word (text) and Excel (spreadsheets), with print areas set to letter-sized paper. 2 A complete PREP includes the timely and complete submission of narrative and corresponding attachments as listed below, provided in this order and with titles corresponding to those provided in bold. CSs should use the templates provided herein, as applicable. Narrative: 1. Introduction/Summary. See page 4 for details. 2. Detailed Implementation Plan (DIP). Narrative may be accompanied by a separate attachment, as needed. See page 4 for details. 3. Financial plan and analysis. Include reference to the Comprehensive and Detailed Budgets, as needed. See page 4 for details. 4. Monetization, including justification and tables. See page 5 for details and corresponding templates. 5. Commodity justification, if applicable. Include reference to the AER/Commodity Pipeline, as needed. See page 7 for details. 6. Rations, including size, justification and breakdown. Narrative may be accompanied by a separate attachment, as needed. See page 7 for details. 7. Exit Strategy, if applicable. See page 7 for details. 8. Receipt of USAID field concurrence. CSs should be aware that FFP/Washington requires USAID field concurrence prior to PREP approval. See page 8 for details. Attachments: 9. Comprehensive Budget. See page 8 for details and Annex A for the corresponding template. 10. Detailed Budget. See Annex B for the corresponding template. 11. (Signed) AER and Commodity Pipeline. See page 9 for details and Annex C for the corresponding template. 12. Summary Request and Beneficiary Tracking Table. See page 9 for details and Annex D for the corresponding template. 13. (Signed, updated) Bellmon Analysis. If no changes have been made, CSs should make note in the PREP. See page 9 for details. 14. (Signed) Environmental Status Report, or a statement under a similar header in the narrative verifying there have been “no changes.” To resolve deferred activities, an amended Initial Environmental Examination (IEE) should be submitted. See page 10 for details and Annex E for the corresponding template. 15. (Signed) Certifications regarding Lobbying, Terrorist Financing, and Non-Discrimination. See page 10 for details, and Annex F for the corresponding document. CSs need only submit a signed copy of the signature portion provided on page 8 of Annex F. 16. Updated NICRA. A copy of the latest Negotiated Indirect Cost Rate Agreement (NICRA), negotiated annually between CSs and USAID (or USDA), should be submitted with the PREP. 17. FY 2006 Reconciliation. See page 11 for details Please include only the information requested (state if a section is not applicable). Supplemental information may be provided only if it directly supports information requested in the PREP. Please direct any questions regarding these instructions to the appropriate CBO. 3 EVALUATION AND APPROVAL CRITERIA: Annual funding is subject to the availability of funds and commodities. Contingent on such availability, PREPs will be evaluated and approved based on the technical and financial merits of the proposal as provided within the narrative and accompanying attachments. NARRATIVE: 1. Introduction/Summary: Successful Program Implementation and Responsiveness A critical factor in the approval of the FY08 PREP is the assessment that adequate progress is being made towards achieving results. The CS should demonstrate compliance with all requirements and address previously raised concerns and recommendations that have been identified in the FY 2007 approval documentation, the FY 2006 Results Report reviews, evaluations, and other sources. Programs that are unable to demonstrate progress towards achieving their outlined objectives and targets should provide a description of their operating environment, the extenuating circumstances which are impeding progress, and specific ways that the CS plans to mitigate these obstacles in FY 2008 and in project out-years. 2. Detailed Implementation Plan (DIP) Provided within the narrative or as a separate attachment, a detailed implementation plan must be submitted for FY 2008 which accurately reflects program activities given the resources requested and performance targets set. This plan should be regarded as a management tool that guides and directs the implementation of the program year. At a minimum, the plan should include: (1) A list or chart identifying key activities planned; (2) Quantify, timing and sequencing of these activities; (3) Person(s) responsible; and (4) The relationship between the planned activities and the program‟s intermediate results. Narrative is encouraged to further describe the plan in detail especially regarding the “quantity” “timing” and “sequencing” of incremental activities that are critical for achieving annual performance targets (e.g., agricultural activities, school feeding and student attendance programs) and to clearly convey the linkages between proposed program activities and expected results. Program implementation is a learning process. Successful programs build on and replicate positive achievements while integrating improvements that will resolve programs and issues. Design of the detailed implementation plan should be an iterative process, reflecting learning through doing. Where appropriate, changes and improvements in the implementation plan due to “lessons learned” should be highlighted and discussed. It should be evident that the implementation plan is designed in “real time” and is evolving based on achievement of results and feedback from program monitoring and evaluation. 3. Financial Plan and Analysis The financial plan for the fiscal year, including monetization, Section 202(e) and ITSH funding pipeline analyses, should meet the criteria contained in OMB Circular A-122, which will be used by 4 the USAID Mission and DCHA/FFP to determine whether the financial plan is reasonable. For Title II programs with monetization components, the USAID Mission/Cognizant FFP Representative will ensure that the CS has satisfactorily met financial and management capacity certification requirements. Within the Comprehensive and Detailed Budgets, CSs should also provide narrative to clarify budget line items in requests for Section 202(e) and/or ITSH funds. For further information regarding the eligible and ineligible and uses of support funds, please reference the FFP Information Bulletins (FFPIBs) on Section 202(e) and ITSH (Reference Documents A, B, and C) and FFP‟s Budget Instructions on Monetization, Section 202(e) and ITSH. 4. Monetization A. Monetization Proceeds LOA Analysis Table CSs should complete the following table for each fiscal year of the MYAP/DAP. If this information is not yet available, note “not available.” LOA expenditures are expected to stay within approved LOA budget levels. Explain any deviations from approved fiscal year budget levels and include previous year information if possible. FY __ Monet. Budget (as approved in TA or TA Amend.) Anticipated /Actual Monet. Proceeds Received Actual Monet. Proceeds Expended Monet. Budget Request FY __ FY __ FY __ FY __ TOTAL $0 $0 $0 $0 *Provide all monetary values in U.S. Dollars 5 B. Anticipated Monetization Proceeds and Cost Recovery for FY08 CSs should complete the table below as it applies to FY 2008. (Actual monetization proceeds and cost recovery figures for FY 2008 will be captured within the CS‟s FY 2008 Results Report). Call Fwd. 1 1. Expected sale date (or period) 2. Commodity 3. Tonnage (MT) to be called forward 4. Exchange Rate at time of sale or sales agreement (estimated) 5. CS estimated FAS cost (total $/MT) 6. Ocean Freight estimate (foreign flag) ($/MT) 7. Inland Freight estimate ($/MT) 8. C&F total cost est. using foreign flag ($/MT) [lines 5+6+7] 9. Anticipated sales price $/MT (anticipated average if multiple lot sales planned) 10. Anticipated Monetization Proceeds [lines 3 x 9] 11. Partner / Consortium Monetization Fee - if applicableA 12. Anticipated Cost Recovery [lines 10 / 8] $0 $0 $0 $0 $0 $0 0 #DIV/0! $0 $0 $0 $0 Call Fwd. 2 Call Fwd. 3 Total / Avg #DIV/0! $0 $0 #DIV/0! #DIV/0! #DIV/0! #DIV/0! * Provide all monetary values in U.S. Dollars Note: Formulas have been provided to summarize data, where necessary. Please do not enter data in these fields. A. The amount that the Cooperating Sponsor pays as a fee to a partner or consortium lead for managing a monetization sale. C. Timing and Maximizing Monetization Proceeds The CS should provide justification for the timing of monetization of commodities and how this corresponds to the agricultural crop and market cycles in order to obtain the best sales price (this information should also be reflected in the commodity pipeline table included in the AER). Additional issues to address include: How does the CS ensure that the value of monetized proceeds will not diminish due to currency fluctuations and/or devaluation? How will the CS compensate for a shortfall of monetization proceeds or modify their programming accordingly? How would an increase/decrease in proceeds affect activities and results? 6 5. Commodity Justification Provide any needed explanation of commodities in the PREP narrative if, for example, the AER differs from LOA levels approved for the program for that year. 6. Rations CSs should detail and justify any changes in the ration size, composition, target population(s) and utilization for such rations for FY 2008, as well as any changes made from previous years/the original proposal, for each program activity. If rations are being proposed to support more than one activity, i.e., MCH, FFW, SF, discuss whether and how the rations are complementary and/or harmonized. If more than one Cooperating Sponsor is distributing rations in the country (including WFP), discuss whether and how rations are harmonized among implementing partners and with the host country government. Similarly, any changes in ration eligibility criteria should be described, by activity, where appropriate. For example, if the beneficiary numbers expand or shrink based on changes in specific criteria for being eligible to participate in the activity or activities, please include a brief description of this change and impact on the program. As always, ration size and composition should correspond to the objective of the food-assisted program and give adequate attention to associated nutrition issues and logistical and financial costs. Note: Cooperating Sponsors must ensure that total tonnage levels provided in this section match those provided in Line 10 (formerly Line 17) of the AER, per commodity. The ration calculator, provided as a separate tab within the AER and Commodity Pipeline document, should be used as the reference source for such calculations. 7. Exit Strategy CSs entering their final or next to final year of programming in FY 2008 must include a discussion of their proposed exit strategy within the PREP narrative, with an eye towards sustainability and consolidating the results achieved to date. Consider where the program is in its life cycle and which program outcomes and impacts are expected to be sustained. Describe which activities will be phasing over, phasing down, or phasing out during FY 2008 or by the program‟s end and how this will be done (See Program Graduation and Exit Strategies: A Focus on Title II Food Aid Development Programs). While an exit strategy is ideally built in from the start, some programs may not have defined one and may need to adjust activities to ensure successful close-out. In other cases where a strategy was identified at the beginning of the program, a CS should reexamine its viability and fill in any missing details. The objectives of successful exit are for outcomes to sustain following exit and key activities to continue as needed using local (community or government) resources, but in some cases ongoing external support is required. One of the key methods to enable such continued support is program and resource integration with non-Title II resources, which may involve other U.S. government sources or other donors. Resource integration should thus ideally be woven into the program‟s exit strategy as well. The U.S. government offers a wealth of technical and financial resources that can be used to complement a MYAP/DAP, especially those in the last year(s) of programming. For example, a CS might solicit technical assistance through the Farmer-to-Farmer Program, private 7 sector partnerships through the Global Development Alliance (GDA) in USAID, or increase program integration through host governments, USAID Missions, and special U.S. government initiatives such as the Millennium Challenge Corporation (MCC). By seizing upon alternative resource pools, multiyear program activities are not confined to the life of Title II resources alone and can use other resources to continue key activities and move gradually to greater sustainability. Accordingly, please consider linkages with the following:       USAID Farmer-to-Farmer Program USAID/Mission Programs USAID Global Development Alliance (GDA) Initiative to End Hunger in Africa (IEHA) The Millennium Challenge Corporation (MCC) Host Government Programs Please contact your program‟s FFP Officer if you would like help pursuing one or more of these linkages. 8. USAID Field Concurrence A mission approval cable from the designated Food for Peace representative to FFP/Washington is required before final approval. If no USAID mission is present in the country, the PREP should be reviewed by the U.S. Diplomatic Post's country team, who should provide comments and concurrence to FFP/Washington. The USAID Regional Offices, FFP Officers and/or bilateral missions with oversight responsibilities for the non-presence country should also review and comment on the proposal. ATTACHMENTS: 9. Comprehensive Budget CSs should submit a comprehensive budget for FY 2008 (See Annex A for format). CSs should maintain consistency in budget presentation as they move from the original program proposal submission through all subsequent PREPs. Provide narrative to accompany the budget and explain any cumulative increases of 10% or more from the approved budget during the life of the program. Note that the overall LOA budget is expected to remain constant over the life of activity. Explain budget line item changes (technical sector budget only) of 10% or more of the FY08 PREP budget as compared to the original approved budget for FY08. The technical sector breakout is reported in the Summary Request Tables (Section 12, page 9). 8 Please note that any significant changes to the budget, as noted above, will require prior approval. Such approval may be granted through a TA modification when approving the FY08 PREP. 10. Detailed Budget See Annex B for format. 11. Annual Estimate of Requirements (AER) and Commodity Pipeline A critical component of the PREP is the Annual Estimate of Requirements (AER), provided in Annex C. Given that resource requirements are ultimately approved through the AER along with the Transfer Authorization, it provides a critical link to all aspects of the PREP. These instructions contain a revised version of the AER, which now contains corresponding pipeline information „tabs‟ (the Commodity Pipeline and PVO Summary Sheets). These pipeline tabs are not an official financing mechanism for FFP, but rather an important planning tool for the office. Taken together, they present the CS‟s FY 2008 commodity and support funds request and projected usage (burn rate) for the existing resources (carry-in) and those being requested. At this time, this version of the AER is not officially approved by the Office of Management and Budget; however FFP has initiated the process to certify this version of the form and asks CSs to utilize it in the interim. Note that while the Commodity Pipeline and PVO Summary Sheets should be submitted with the PREP, periodic updates will be requested by FFP throughout the Fiscal Year. The commodity pipeline information will aid FFP to better schedule and prioritize funding actions. 12. Summary Request and Beneficiary Tracking Table Using the template provided in Annex D, the CS should project program beneficiary targets for FY 2008, and should link these beneficiaries to recipient categories as well as to technical sectors. Note that the tonnage and recipient categories provided in this table must match those submitted in the Annual Estimate of Requirements (AER). This information will allow FFP to project how Title II resources will be programmed, compare beneficiary projections with final results, and respond to U.S. government requests for data. Changes in the allocation of funds and/or metric tonnage between technical sectors must be described in the PREP and will require a TA modification or Amendment prior to approval if the result is over a 10 percent shift (similar to changes in line items greater than 10%). 13. Bellmon Analysis Bellmon determinations are required for all commodities – those for direct distribution as well as monetization – transferred to CSs under Title II. Accordingly, CSs should submit an updated Bellmon Analysis with their PREP submission to account for any changes in terms of market disincentives, storage capacity, etc., including mission comments, where applicable. Extensions to when the Bellmon Analysis is submitted to FFP will be made on a case-by-case basis upon request to the relevant Country Backstop Officer. If there are no changes since the previous submission, a Mission Director or cognizant FFP representative for non-presence countries must certify this status through the annual mission approval 9 cable. This cable shall indicate that the mission either “has determined” or “is unable to determine” that “the commodity plan described in the PREP and/or Bellmon Update meet the two criteria (low disincentive and sufficient storage space) for a positive Bellmon Determination.” The language of the cable can be supported by analysis where specific questions exist. Please consult relevant documents on Food for Peace's web site for additional information. 14. Environmental Status Report (ESR) Using the template provided in Annex E, CSs must submit an Environmental Status Report (ESR) with their PREP to report on the mitigation measures outlined in the original MYAP/DAP Initial Environmental Examination (IEE). If activities in the original IEE for the MYAP/DAP were classified as a Categorical Exclusion and/or a Negative Determination without Conditions, then the CS should only state "No changes" in the narrative under a similar header. If activities were classified as a Negative Determination with Conditions or Positive Determination, then the CS should include details in the ESR concerning the mitigation measures for potential environmental impacts of discrete activities over the previous fiscal year. The ESR will indicate whether mitigation plans outlined in the IEE are on schedule and detail the monitoring and evaluation measures being undertaken by the CS. Compressed photos and maps are encouraged. For those CSs who received a prior year deferral on one or more aspects of their program from the DCHA Bureau Environmental Officer (BEO), an amended IEE should be included with the PREP to resolve each deferral or indicate that the activity will not be conducted, if that is the case. The CS must first gain clearance from the Mission for the ESR prior to its submission to Washington. For presence countries, clearance is preferably from both the Mission Environmental Officer and the Food for Peace Officer based in each country. For non-presence countries, clearance from the Regional Mission is required, preferably from both the Regional FFP Officer and Regional Environmental Advisor. In case clearance from only one Mission staff person is available, then preference is given to the staff person most familiar with environmental mitigation measures of the Title II programs. CSs must then submit the ESR to Washington for final clearance by the DCHA Bureau Environmental Officer (BEO). See Annex E of the Guidance, the FFP Environment Website, or the Environmental Procedures Training Manual for further details on USAID environmental requirements and procedures. Copies of the ESR are maintained in the DCHA BEO IEE database. 15. Certifications Regarding Lobbying, Terrorist Financing, and Non-Discrimination These documents are required for all CSs implementing programs under Title II. See Annex F for the corresponding document. CSs need only submit a signed copy of the signature portion provided on page 8 of Annex F. For clarity, CSs may leave the RFA/APS and application numbers blank, but should include both the CS and country name under “Name of Recipient.” 16. NICRA A copy of the latest Negotiated Indirect Cost Rate Agreement (NICRA), negotiated annually between CSs and USAID (or USDA), should be submitted with the PREP. 10 17. FY 2006 Reconciliation. Please attach any updated expenditure reports, etc. that were not submitted with the FY 2006 Results Report, using templates and tables provided in the PREP. If this information has already been provided FFP, please note the date of its submission in the narrative under a similar header. 11 Annexes Annex A: Comprehensive Budget Template Comprehensive Budget Template Annex D: Summary Request and Beneficiary Tracking Table Summary Request & Ben Tracking Table Annex B: Detailed Budget Template Detailed Budget Annex E: Environmental Status Report Information and Template ESR Information and Template Annex C: AER and Commodity Pipeline AER & Commodity Pipeline Annex F: Program Documentation Certifications: Lobbying, Terrorist Financing, and Non-Discrimination Certification Form Reference Documents Reference Document A: Section 202(e) Food for Peace Information Bulletin Reference Document C: Complementary Budgeting Matrix for Section 202(e) and ITSH Food for Peace Information Bulletin Complementary Budgeting Matrix Section 202(e) FFPIB Reference Document B: ITSH Food for Peace Information Bulletin ITSH FFPIB 12