10 FAH-1 H-030
MANAGING PUBLIC DIPLOMACY FINANCIAL RESOURCES
(CT:ASH-6; 11-16-2018)
(Office of Origin: R/PPR)
10 FAH-1 H-031 MANAGING PUBLIC
DIPLOMACY FINANCIAL RESOURCES
(CT:ASH-1; 06-21-2017)
One of the most important responsibilities of the PAO is
managing public diplomacy financial resources, including the oversight of funds
awarded through grants/federal assistance. At a small post, the PAO is
directly responsible for the management oversight of PD resources. At a large
post, the PAO may assign responsibility for program/resource management and the
handling of financial requests on a daily basis to another American officer
and/or LE staff member. Whichever way it is handled, the head of the public
diplomacy section (PDS) bears ultimate responsibility for the effective and
responsible management oversight of all PD resources.
(1) PD financial resources consist of: a budget
allocation (.7 funds) that is approved through a budget review process with
Washington and allotted to post; an exchanges portfolio (ECE funds);
representation allowances; and other resources that may vary from post to
post. These additional resources may include: Economic Support Funds (ESF), President's
Emergency Plan for AIDS Relief (PEPFAR), and Assistance for Europe, Eurasia and
Central Asia (AEECA). The PDS may also work with budget resources generated
locally, for example through fundraising. The PAO is the approver of ICASS
billed services charged to the PD billing code. The PD Funding Matrix in 4 FAH-3 H-160
governs the division between PD and D&CP funding for PD operations.
(2) The PDS has responsibility for maximizing
utilization of PD funds and determining the use of PD discretionary funding
(i.e., funds that are not used to cover fixed costs). However, to ensure good
resource management and adequate management controls, it is essential for the
PAO or other designated individual to work closely with the Management Section
of the Embassy, especially the financial management office. Under 4 FAM/FAH,
the Financial Management Officer (FMO) is responsible for account management,
allotment control, payments, and the budget planning and reporting process, and
has certain legal responsibilities including certification authorities for
funds availability and payment.
(3) Training in the effective management of PD
resources is available through FSI. It is essential that PAOs and others
responsible for management, program oversight and grant authority of PD
resources complete this training.
10 FAH-1 H-032 Federal Assistance
Awards
(CT:ASH-1; 06-21-2017)
(Authority: U.S. Department of State Federal Assistance
Directive, Sub-Chapter 1.D. Roles and Responsibilities).
Federal Assistance (including grants and cooperative
agreements) has long played an important role in public diplomacy programs,
from grants to partner with local cultural institutions to individual grants to
American speakers. PAOs and/or their designees are responsible for executing,
monitoring and evaluating those grants.
Posts may generate grants or cooperative agreements (using
PD funds) to collaborate with in-country or U.S. organizations on projects.
These could include grants to a journalists association for journalism
training or to an NGO for a seminar on democracy; grants to a museum to host an
exhibit of American art; or to a cultural organization to sponsor a concert by
American musicians. The following are basic guidelines for PAOs and PDS grants
officers in implementing and managing such grants; full guidance on grants and
federal assistance is available at A/OPE/FAs website.
a. Grants officers require warrant authority from A/OPE
to sign grants, cooperative agreements, and other federal assistance
instruments. This authority cannot be redelegated by the grants officer to any
other individual. Therefore, it is advisable for posts to have more than one
warranted grants officer to ensure adequate oversight over posts grants
program. (For detailed instructions, see Federal Assistance Directive, dated
May 2017, Chapter 1. D. 2.: Grants Officers and Other Signature Authorities.
To request new grants warrants, back-up warrants, or level increases, posts
should use the online Warrants System.
b. Every post should have at least one grants officer
with responsibility for public diplomacy grants and, if possible, an additional
public diplomacy grants officer. Grants officers must be direct-hire American
staff with a valid organizational need to be authorized by the Department to
award federal assistance actions. To qualify to become a grants officer, the
officer must complete grants training. Grants training is offered through
the Foreign Service Institute, on-line and at FSI in Arlington, or sometimes at
overseas locations. Grants officers need to update their training every three
years. See the on-line FSI catalogue on the FSI website for information on
course schedules and to register for a course. Information on training is also
available on the A/OPE/FA SharePoint site.
c. Grants officers must comply in full with all
Department of State regulations pertaining to awards of federal assistance, as
found in the most recent U.S. Department of State Federal Assistance Directive
(released May 2017, or subsequent updates) and Part 2 Section 200 and 600 of
the Code of Federal Regulations (CFR). Grants officers with public diplomacy
responsibilities should only sign or manage federal assistance awards that have
an intrinsic public diplomacy objective in support of mission goals. They
should not sign awards for other sections unless those programs have a public
diplomacy objective. They are strongly discouraged from signing awards on behalf
of other federal agencies.
d. Federal Assistance awards using PD funds (i.e. those
funds designated for public diplomacy under the Diplomatic & Consular
Program Public Diplomacy [PD .7], or Educational and Cultural Exchange funds
[ECE]) may only be used for public diplomacy purposes. Public diplomacy
statutory authorities do not allow for awards to commercial firms. Public
diplomacy awards are administered by the PD Section for programs that are
intrinsically focused on engaging with the public and that connect, inform,
inspire change, or persuade priority audiences on mission-level strategic goals
and objectives. Public diplomacy promotes U.S. foreign policy goals, including
mutual understanding between citizens of the U.S. and foreign countries,
advances national interests, and enhances national security by engaging with
audiences in the public domain. Priority audiences should be clearly
identified in the missions PD Implementation Plan (PDIP), as should the tools
post will use to engage them.
(1) Per current Department guidance, all grants above
$25,000 require approval from the appropriate regional bureau, regardless of
the amount of the grant officers warrant. The approval process is explained
in the Federal Assistance Directive, Chapter 3. C.: Regional Bureau Approval.
Prior to making an award, a risk assessment must be performed for a potential
recipient of federal funds to review the integrity of the organization, past
performance, and any other factors of either the organization or the program
itself that could affect the outcome of the program. Grants officers must not
intentionally divide, or appear to divide, a single award requirement into two
or more separate awards to avoid exceeding the single transaction limit
assigned to them by their Certificate of Appointment (warrant), competition
requirements, Bureau approval level or any other Bureau/post/country-specific
requirements. These actions are considered split grants.
(2) If a grants officer moves from one post to another
(or from Washington to an overseas post), the grants officer must apply for a
new post-specific warrant.
(3) Each PD section should also have a minimum of one
grants officer representative (GOR). The GOR is designated by the grants
officer and has managerial responsibilities for the programmatic and technical
aspects of a specific award agreement. A GOR is mandatory for all assistance
awards exceeding $100,000. For awards less than or equal to $100,000, it is up
to the grants officer to determine if a GOR is necessary. The GOR may be
Full-Time Equivalent (FTE) personnel, including While Actually Employed (WAE)
staff, LE staff, a personal services contractor or hired under a personnel
services agreement. The GOR must have completed A/OPEs certification requirements.
Third-party contractors may not serve as GORs. GORs must fulfill continuing
education requirements to maintain their certification every three years.
(4) Training courses for grants officers
representatives include PY220, PY222, PY260, PY224 and PY261. Information on
additional courses is available on the A/OPE/FA website and the FSI website.