Common use of Pre-Award Surveys Clause in Contracts

Pre-Award Surveys. Effective Date: 11/19/2020 a. Pre-Award Survey Requirements. For all assistance awards, if any of the following criteria apply, the AO must establish and convene a formal survey team to conduct an examination that will help inform the Pre-Award Risk Assessment (see 303.3.9): (1) The AO or Planner is uncertain about the prospective recipient's capacity to perform financially or programmatically. (2) The prospective recipient has never had a USAID grant, cooperative agreement, or contract. This requirement does not apply to Fixed Amount Awards. (3) The prospective recipient has not received an award from any Federal agency within the last five years. This requirement does not apply to Fixed Amount Awards. (4) The AO has knowledge of deficiencies in the applicant's annual audit (Single Audit or equivalent). (5) The AO determines it to be in the best interest of the U.S. Government. b. Contents of the Pre-Award Survey. The survey team examines the applicant’s systems to determine whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills in order to achieve the objectives of the program, or whether specific conditions will be needed. (1) For a U.S. organization, the AO must ensure that the applicant can meet the requirements of the award, including 2 CFR 200 and the applicable cost principles. The AO or the AO’s representative must conduct a detailed analysis that addresses whether: i. The applicant’s accounting, recordkeeping, and overall financial management systems meet the standards in 2 CFR 200.300-309 and 2 CFR 200.334-338. ii. The applicant's system of internal controls is reasonable in accordance with applicable cost principles. This includes the segregation of duties, handling of cash, contracting procedures, and personnel and travel policies. iii. The applicant's property management system, if applicable, meets the property standards in 2 CFR 200.310-316. iv. The applicant meets the requirements in 2 CFR 200.331-333 for the administration and monitoring of subawards. v. The applicant's procurement system, if procurement is significant to the award, meets the standards set forth in 2 CFR 200.317-327. (2) For a non-U.S. organization, the AO must ensure that the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non- U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team must either use ADS 303sam, Non-U.S. Organization Pre-Award Survey Guidelines and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non- U.S. organizations pre-award surveys, risk assessments, and specific conditions (see ADS 303sam, NUPAS Guidelines and Support). (3) For Fixed Amount Awards, the AO must use the ADS 303mak, Fixed Amount Award Entity Eligibility Checklist to ensure the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations. c. Composition of the Pre-Award Survey Team. When assembling a formal survey team, the AO must ensure appropriate expertise. (1) A typical team consists of: i. A technical office team member, ii. The AO, or the AO’s representative, iii. A financial officer from the Bureau for Management, Office of the Chief Financial Officer, or the Mission or regional controller's office, and iv. A representative from M/OAA/Contract Audit and Support Division, Contract Audit Management Branch (for Washington-based awards), if possible. (2) Depending on the capacity of the Operating Unit to assemble the above team, the survey may be conducted in whole or in part by a local accounting firm approved by the cognizant Regional Inspector General as long as the Scope of Work for such work includes conflict of interest restrictions prohibiting the firm from providing capacity development to entities it surveys. (3) The survey team reviews the applicant’s systems against the standards discussed in paragraph b of this section and submits its findings to the AO for review, consideration, and informing the risk assessment.

Pre-Award Surveys. Effective Date: 11/19/202008/01/2019 a. Pre-Award Survey Requirements. For all assistance awards, if any of the following criteria apply, the AO must establish and convene a formal survey team to conduct an examination that will help inform the Pre-Award Risk Assessment (see 303.3.9): (1) The AO or Planner is uncertain about the prospective recipient's capacity to perform financially or programmatically. (2) The prospective recipient has never had a USAID grant, cooperative agreement, or contract. This requirement does not apply to Fixed Amount Awards. (3) The prospective recipient has not received an award from any Federal agency within the last five years. This requirement does not apply to Fixed Amount Awards. (4) The AO has knowledge of deficiencies in the applicant's annual audit (Single Audit or equivalent). (5) The AO determines it to be in the best interest of the U.S. Government. b. Contents of the Pre-Award Survey. The survey team examines the applicant’s systems to determine whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills in order to achieve the objectives of the program, or whether specific conditions will be needed. (1) For a U.S. organization, the AO must ensure that the applicant can meet the requirements of the award, including 2 CFR 200 and the applicable cost principles. The AO or the AO’s representative must conduct a detailed analysis that addresses whether: i. The applicant’s accounting, recordkeeping, and overall financial management systems meet the standards in 2 CFR 200.300-309 and 2 CFR 200.334200.333-338337. ii. The applicant's system of internal controls is reasonable in accordance with applicable cost principles. This includes the segregation of duties, handling of cash, contracting procedures, and personnel and travel policies. iii. The applicant's property management system, if applicable, meets the property standards in 2 CFR 200.310-316. iv. The applicant meets the requirements in 2 CFR 200.331200.330-333 332 for the administration and monitoring of subawards. v. The applicant's procurement system, if procurement is significant to the award, meets the standards set forth in 2 CFR 200.317-327326. (2) For a non-U.S. organization, the AO must ensure that the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non- U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team must either use ADS 303sam, Non-U.S. Organization Pre-Award Survey Guidelines and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non- U.S. organizations pre-award surveys, risk assessments, and specific conditions (see ADS 303sam, NUPAS Guidelines and Support). (3) For Fixed Amount Awards, the AO must use the ADS 303mak, Fixed Amount Award Entity Eligibility Checklist to ensure the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations. c. Composition of the Pre-Award Survey Team. When assembling a formal survey team, the AO must ensure appropriate expertise. (1) A typical team consists of: i. A technical office team member, ii. The AO, or the AO’s representative, iii. A financial officer from the Bureau for Management, Office of the Chief Financial Officer, or the Mission or regional controller's office, and iv. A representative from M/OAA/Contract Audit and Support Division, Contract Audit Management Branch (for Washington-based awards), if possible. (2) Depending on the capacity of the Operating Unit to assemble the above team, the survey may be conducted in whole or in part by a local accounting firm approved by the cognizant Regional Inspector General as long as the Scope of Work for such work includes conflict of interest restrictions prohibiting the firm from providing capacity development to entities it surveys. (3) The survey team reviews the applicant’s systems against the standards discussed in paragraph b of this section and submits its findings to the AO for review, consideration, and informing the risk assessment.

Pre-Award Surveys. Effective Date: 11/19/2020‌ a. Pre-Award Survey Requirements. For all assistance awards, if any of the following criteria apply, the AO must establish and convene a formal survey team to conduct an examination that will help inform the Pre-Award Risk Assessment (see 303.3.9): (1) The AO or Planner is uncertain about the prospective recipient's capacity to perform financially or programmatically. (2) The prospective recipient has never had a USAID grant, cooperative agreement, or contract. This requirement does not apply to Fixed Amount Awards. (3) The prospective recipient has not received an award from any Federal agency within the last five years. This requirement does not apply to Fixed Amount Awards. (4) The AO has knowledge of deficiencies in the applicant's annual audit (Single Audit or equivalent). (5) The AO determines it to be in the best interest of the U.S. Government. b. Contents of the Pre-Award Survey. The survey team examines the applicant’s systems to determine whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills in order to achieve the objectives of the program, or whether specific conditions will be needed. (1) For a U.S. organization, the AO must ensure that the applicant can meet the requirements of the award, including 2 CFR 200 and the applicable cost principles. The AO or the AO’s representative must conduct a detailed analysis that addresses whether: i. The applicant’s accounting, recordkeeping, and overall financial management systems meet the standards in 2 CFR 200.300-309 and 2 CFR 200.334200.333-338337. ii. The applicant's system of internal controls is reasonable in accordance with applicable cost principles. This includes the segregation of duties, handling of cash, contracting procedures, and personnel and travel policies. iii. The applicant's property management system, if applicable, meets the property standards in 2 CFR 200.310-316. iv. The applicant meets the requirements in 2 CFR 200.331200.330-333 332 for the administration and monitoring of subawards. v. The applicant's procurement system, if procurement is significant to the award, meets the standards set forth in 2 CFR 200.317-327326. (2) For a non-U.S. organization, the AO must ensure that the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non- U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team must either use ADS 303sam, Non-U.S. Organization Pre-Award Survey Guidelines and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non- U.S. organizations pre-award surveys, risk assessments, and specific conditions (see ADS 303sam, NUPAS Guidelines and Support). (3) For Fixed Amount Awards, the AO must use the ADS 303mak, Fixed Amount Award Entity Eligibility Checklist to ensure the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations. c. Composition of the Pre-Award Survey Team. When assembling a formal survey team, the AO must ensure appropriate expertise. (1) A typical team consists of: i. A technical office team member, ii. The AO, or the AO’s representative, iii. A financial officer from the Bureau for Management, Office of the Chief Financial Officer, or the Mission or regional controller's office, and iv. A representative from M/OAA/Contract Audit and Support Division, Contract Audit Management Branch (for Washington-based awards), if possible. (2) Depending on the capacity of the Operating Unit to assemble the above team, the survey may be conducted in whole or in part by a local accounting firm approved by the cognizant Regional Inspector General as long as the Scope of Work for such work includes conflict of interest restrictions prohibiting the firm from providing capacity development to entities it surveys. (3) The survey team reviews the applicant’s systems against the standards discussed in paragraph b of this section and submits its findings to the AO for review, consideration, and informing the risk assessment.

Pre-Award Surveys. Effective Date: 11/19/202008/01/2019 a. Pre-Award Survey Requirements. For all assistance awards, if any of the following criteria apply, the AO must establish and convene a formal survey team to conduct an examination that will help inform the Pre-Award Risk Assessment (see 303.3.9): (1) The AO or Planner is uncertain about the prospective recipient's capacity to perform financially or programmatically. (2) The prospective recipient has never had a USAID grant, cooperative agreement, or contract. This requirement does not apply to Fixed Amount Awards. (3) The prospective recipient has not received an award from any Federal agency within the last five years. This requirement does not apply to Fixed Amount Awards. (4) The AO has knowledge of deficiencies in the applicant's annual audit (Single Audit or equivalent). (5) The AO determines it to be in the best interest of the U.S. Government. b. Contents of the Pre-Award Survey. The survey team examines the applicant’s systems to determine whether the prospective recipient has the necessary organization, experience, accounting and operational controls, and technical skills in order to achieve the objectives of the program, or whether specific conditions will be needed. (1) For a U.S. organization, the AO must ensure that the applicant can meet the requirements of the award, including 2 CFR 200 and the applicable cost principles. The AO or the AO’s representative must conduct a detailed analysis that addresses whether: i. The applicant’s accounting, recordkeeping, and overall financial management systems meet the standards in 2 CFR 200.300-309 and 2 CFR 200.334200.333-338337. ii. The applicant's system of internal controls is reasonable in accordance with applicable cost principles. This includes the segregation of duties, handling of cash, contracting procedures, and personnel and travel policies. iii. The applicant's property management system, if applicable, meets the property standards in 2 CFR 200.310-316. iv. The applicant meets the requirements in 2 CFR 200.331200.330-333 332 for the administration and monitoring of subawards. v. The applicant's procurement system, if procurement is significant to the award, meets the standards set forth in 2 CFR 200.317-327326. (2) For a non-U.S. organization, the AO must ensure that the applicant can meet the requirements of ADS 303mab, Standard Provisions for Non- U.S. Nongovernmental Organizations as part of the risk assessment. For local non-U.S. organizations, the pre-award survey team must either use ADS 303sam, Non-U.S. Organization Pre-Award Survey Guidelines and Support or conduct a detailed analysis in accordance with locally-established or award-specific criteria that achieve the same objectives as the NUPAS. For additional guidance regarding local non- U.S. organizations pre-award surveys, risk assessments, and specific conditions (see ADS 303sam, NUPAS Guidelines and Support). (3) For Fixed Amount Awards, the AO must use the ADS 303mak, Fixed Amount Award Entity Eligibility Checklist to ensure the intended recipient will be able to comply with ADS 303mat, Standard Provisions for Fixed Amount Awards to Nongovernmental Organizations. c. Composition of the Pre-Award Survey Team. When assembling a formal survey team, the AO must ensure appropriate expertise. (1) A typical team consists of: i. A technical office team member, ii. The AO, or the AO’s representative, iii. A financial officer from the Bureau for Management, Office of the Chief Financial Officer, or the Mission or regional controller's office, and iv. A representative from M/OAA/Contract Audit and Support Division, Contract Audit Management Branch (for Washington-based awards), if possible. (2) Depending on the capacity of the Operating Unit to assemble the above team, the survey may be conducted in whole or in part by a local accounting firm approved by the cognizant Regional Inspector General as long as the Scope of Work for such work includes conflict of interest restrictions prohibiting the firm from providing capacity development to entities it surveys.local (3) The survey team reviews the applicant’s systems against the standards discussed in paragraph b of this section and submits its findings to the AO for review, consideration, and informing the risk assessment.