ADS Chapter 253

Participant Training
and
Exchanges
for
Capacity Development

Partial Revision Date: 09/26/2014

Responsible Office: E3/ED
File Name: 253_092614
 09/26/2014 Partial Revision

Functional Series 200 – Programming Policy

ADS 253 – Participant Training and Exchanges for Capacity Development
POC for ADS 253: Jeffrey Shahan, (202) 567- 4061, [email protected]

Table of Contents

253.1 OVERVIEW ................................................................................ 4

253.2 PRIMARY RESPONSIBILITIES ................................................. 5

253.3 POLICY DIRECTIVES AND REQUIRED PROCEDURES ......... 7

253.3.1 Program Design Considerations ............................................................. 8

253.3.1.1 Human Performance Factors ...................................................................... 8
253.3.1.2 Training Venue Selection Criteria.............................................................. 10
253.3.1.3 Participant Training Plans ......................................................................... 13
253.3.1.4 Participant Training Program Requests (Concept Designs) ...................... 13
253.3.1.5 Participant Training Program Implementation Plan ................................... 14

253.3.2 Participant Eligibility and Selection ...................................................... 14

253.3.2.1 Observers.................................................................................................. 19

253.3.3 Cost Tracking .......................................................................................... 19

253.3.4 In-Country Participant Training Requirements..................................... 21

253.3.4.1 Provider Selection ..................................................................................... 22
253.3.4.2 Travel, Lodging, and Other Logistics ......................................................... 22
253.3.4.3 Conditions of Sponsorship ........................................................................ 23
253.3.4.4 Pre-Participant Training Preparation and Orientation ................................ 24
253.3.4.5 Monitoring and Reporting .......................................................................... 25

253.3.5 Third-Country Participant Training Requirements ............................... 27

253.3.5.1 Provider Selection ..................................................................................... 27
253.3.5.2 Travel, Lodging, and Other Logistics ......................................................... 27
253.3.5.3 Conditions of Sponsorship ........................................................................ 29
253.3.5.4 Pre-Departure Preparation and Orientation............................................... 32
253.3.5.5 Monitoring and Reporting .......................................................................... 35

253.3.6 Regional Participant Training Requirements........................................ 39

253.3.7 U.S.-Based Training Requirements ....................................................... 41

253.3.7.1 Provider Selection and Tuition Guidelines ................................................ 42
253.3.7.2 Travel, Lodging, and Other Logistics ......................................................... 43
253.3.7.3 Conditions of Sponsorship ........................................................................ 46

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253.3.7.4 Pre-Departure Preparation and Orientation............................................... 49

253.3.7.5 Monitoring and Reporting .......................................................................... 53

253.3.8 Alumni Support ....................................................................................... 58

253.3.9 Evaluating Participant Training ............................................................. 59

253.4 MANDATORY REFERENCES ................................................. 59

253.4.1 External Mandatory References ............................................................. 59

253.4.2 Internal Mandatory References .............................................................. 60

253.4.3 Mandatory Forms .................................................................................... 60

253.5 ADDITIONAL HELP ................................................................. 61

253.6 DEFINITIONS ........................................................................... 62

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ADS 253 – Participant Training and Exchanges for Capacity Development

253.1 OVERVIEW
Effective Date: 09/26/2014

This chapter provides the policy directives and required procedures for the design and
implementation of Participant Training programs, including Exchanges, for foreign
nationals that are financed, in whole or in part, directly or indirectly, by USAID. Foreign
nationals, who are selected by the Agency to engage in Participant Training programs,
including Exchanges, are considered Participants.

This chapter does not apply to Participant Training programs, including Exchanges that
are sponsored by Public International Organizations (PIO) under a USAID-funded
program contribution, unless the PIO is voluntarily adhering to Agency policy in
consultation with USAID staff. Under a USAID-funded program contribution, the Agency
generally relies on the PIO’s internal systems and procedures for program
implementation; therefore, the PIO itself is the Participant’s sponsor rather than USAID.
However, PIOs may voluntarily agree to adhere to Agency policy provided in this ADS
chapter, but in such cases the PIO must adhere to all requirements of this chapter in its
entirety and USAID will thereby be the Participant’s sponsor rather than the PIO. This
provision applies specifically to program contributions to PIOs and does not apply to
other types of awards to PIOs [i.e., cost-type grants, general contributions, etc.] (see
ADS 308.3.10).

Participant Training is:

 A learning activity involving Participants taking place in the U.S., a third country,
or in-country, in a setting predominantly intended for teaching or imparting
knowledge or skills, with formally designated instructors or lead persons, learning
objectives, and outcomes, conducted fulltime or intermittently.

 The transfer of knowledge, skills, or attitudes (KSAs), as well as ideas and sector
context, through structured learning and follow-up activities to solve job
performance problems or fill identified performance gaps. Participant Training
can consist of long-term academic degree programs, short or long-term non-
degree technical courses in academic or in other settings, seminars, workshops,
conferences, on-the-job learning experiences, observational study tours, and the
use of technology such as distance or e-learning, and online courses.

 An Exchange, which is

- Any program that involves an exchange of ideas, values, or culture between a

host country and the United States or another country; or

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- Traditional programs with individuals traveling between a host country and the
United States or another country, non-traditional programs using technology,
or a combination of both (see 253.3.1.2).

NOTE: Site-visits that are being carried out for the purposes of internal USAID project or
program administrative business are not Participant Training.

253.2 PRIMARY RESPONSIBILITIES

Effective Date: 09/26/2014

a. The Bureau for Economic Growth, Education, and Environment, Office of

Education (E3/ED) establishes Participant Training program policy for USAID. E3/ED
provides leadership and guidance in the design, implementation, monitoring,
documentation, and reporting results of Participant Training programs for Sponsoring
Units (the funding source of the Participant Training program, which may be a Mission
or USAID/Washington Office), contractors, or grant or cooperative agreement recipients
(Implementers).

E3/ED also:

 Collects and maintains Participant Training program data from Sponsoring Units
and program Implementers and submission of data into the Student and
Exchange Visitor Information System (SEVIS). USAID uses Exchange Visitor
and Participant data to inform management decisions, answer congressional
inquiries, report on USAID activities, compile and disseminate program results,
and to develop policy and procedural guidance.

 Ensures USAID’s compliance with external Department of State (DOS),

Department of Homeland Security, and Internal Revenue Service (IRS)
requirements pertaining to the vetting and selection of U.S.-bound Participants,
and submission of data into SEVIS.

 Provides the Department of Homeland Security, Bureau of Citizenship and

Immigration Services (BCIS), and the Department of State with information
regarding individuals USAID sponsors for U.S.-based Participant Training
programs (see ADS 252, Visa Compliance for Exchange Visitors).

b. Sponsoring Units fund and administer Participant Training programs by using

the services of Implementers. Sponsoring Units are accountable for results and must
show that Participant Training programs contribute to the achievement of USAID and
USG objectives. Sponsoring Units have the authority to select host country Non-
Governmental Organizations (NGOs), Private Voluntary Organizations (PVOs), or other
entities as program Implementers. When the Sponsoring Unit uses a grant or
cooperative agreement that includes Participant Training, implementation responsibility

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is shared between the Sponsoring Unit and Implementer. Implementer accountability to

USAID is set by the terms of each specific contract, grant, or cooperative agreement.

Also, Sponsoring Units for centrally funded or centrally managed Participant Training
programs coordinate with E3/ED and the Management Bureau, Office of the Chief
Financial Officer, Washington Financial Services Division (M/CFO/WFS) to verify any
Participant Training costs that Participants designated as non-returnees or terminated
from their USAID program must repay (see 253.3.7.5g).

c. The Management Bureau, Office of the Chief Financial Officer, Washington

Financial Services (M/CFO/WFS) issues to Participants who are designated as non-
returnees or terminated by USAID from their programs a AID Form 253-1, Demand for
Participant Training Cost Repayment Letter, based on E3/ED’s debt determination
for centrally funded or centrally managed Participant Training (see 253.3.7g).

d. Program Implementers, whose accountability to USAID is set by the terms of

their contract, grant, or cooperative agreement, assist Sponsoring Units with pre-
program preparation, and also with program implementation, monitoring, data reporting,
and other essential responsibilities.

A Mission or Washington Office may choose to retain part of the management

responsibility for Participant Training.

When it is not practical or possible for Missions or Washington Offices to meet Agency
reporting requirements for Participant Training (see 253.3.4.5b, 253.3.5.5e, and
253.3.7.5e), the Mission or Washington Office is encouraged to consider engaging one
or more training implementers to provide centralized services for reporting all Participant
Training being implemented by all of its implementers. This centralized approach can
alleviate the responsibility of TraiNet data entry for Mission staff and those
implementers that are either unwilling or lack the necessary capacity to carry-out this
necessary function.

Additionally, as a practical matter, it is impossible to handle U.S.-based or third-country

Participant Training effectively without an experienced U.S.-based or third-country
entity, to administer the day-to-day oversight and monitoring requirements of this ADS
chapter that must be carried out in the country of the Participant Training program. An
in-country entity is also needed to administer the Participant processing requirements in
this ADS chapter that must be carried out in the Participant’s country of residence.

Unless USAID staff is providing U.S.-based and third-country implementation support,

the services of a U.S.-based or third-country entity must be engaged for U.S.-based and
third-country Participant Training programs to at least provide the following:

 Carry out oversight and data reporting, including validation of arrival, in the
Training Results and Information Network (TraiNet) and the Visa Compliance

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System (VCS), in compliance with ADS 252, as well as in compliance with the
Sponsoring Unit’s Participant Training objectives, Agency requirements, and
other applicable U.S. Government (USG) statutes;

 Track and monitor Participants’ progress toward original enrollment goals (see
253.3.5.5 and 253.3.7.5);

 Ensure the Participant's timely departure from the country of training; and

 Assist with Participant or Sponsoring Unit legal problems, such as arrests or

lawsuits or other emergencies; for example, repatriation of disabled Participants
or their mortal remains (see 253.3.5.5 and 253.3.7.5).

Unless USAID staff is administering Participant processing requirements that must be

carried out in the Participant’s country of residence, an in-country entity must be
engaged to at least provide the following:

 Language Proficiency verification (see 253.3.5.3e and 253.3.7.3f);

 Pre-Departure Orientation (see 253.3.5.4 and 253.3.7.4);

 Exchange Visitor Security Risk and Fraud Inquiry assistance (see ADS 252.3.3);
and

 Monitor the Participant's timely return to the host-country and coordinate the
Participant’s effective reintegration into the workplace with Participant employers.

253.3 POLICY DIRECTIVES AND REQUIRED PROCEDURES

Effective Date: 09/26/2014

The policy directives and required procedures provided in this section are applicable to
all Participant Training programs. Other requirements for U.S. visa compliance and
invitational travel are addressed in ADS 252 and ADS 522, Performance of
Temporary Duty Travel in the U.S. and Abroad respectively.

All USAID Sponsoring Units involved in funding or managing Participant Training

programs must familiarize themselves with mandatory references for this chapter (see
253.4) and should also familiarize themselves with supplementary references of this
chapter (see 253.5), including the Participant Training Practitioner’s Manual.

Sponsoring Units must carry out, directly or through the procurement of services (see
253.2d), all provisions of this directive when planning and implementing Participant
Training programs. They must:

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a. Design, implement, and track the Participant Training program for results and
impact, with the ultimate aim of strengthening institutional or organizational
capacity. Participant Training programs must support USAID objectives or other
USG initiatives.

b. Report on their Participant Training programs as part of their broader

performance measurement (monitoring), evaluation, and reporting requirements.

c. Design and carry out Participant Training programs with cost control and cost-
sharing practices whenever possible; for example, using distance learning to the
fullest extent feasible.

d. Strictly follow the policy requirements for both program and legal matters,
including those contained the AID Form 252-1, Conditions of Sponsorship
form for U.S.-Based Activities, dated 12/2013 or later, and the AID Form 1381-
7, Conditions of Sponsorship for Third Country Participant Training, dated
01/2010 or later.

e. Ensure all documentation and other applicable media are produced in

accordance with USAID branding requirements (see ADS 320, Branding and
Marking).

253.3.1 Program Design Considerations

Effective Date: 01/22/2010

Sponsoring Units must be guided by a number of technical program design

considerations.

253.3.1.1 Human Performance Factors

Effective Date: 09/26/2014

Sponsoring Units must review all Participant Training concepts, designs, and requests
to ensure that the human performance factor intended to be addressed by the
Participant Training program is Knowledge and Skills (and/or Attitude). All six
universally accepted human performance factors must be considered. They are:
information, resources, incentives, knowledge and skills, capacity, and motives (see
Updated Behavior Engineering Model). Participant Training can only address the
Knowledge and Skills (and/or Attitude) human performance factor. If Sponsoring Units
want expected outcomes related to the other five performance factors they may
consider alternative technical assistance interventions and possibly revise or reconsider
the Participant Training program concept, design, or request.

Examples of Participant Training interventions include:

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 Short-term technical Training: always less than six months in duration, but
typically a one-to-two week classroom style course that is led by a professional
instructor or technical expert with the goal of helping participants acquire new
knowledge and skills in their area of employment.

 Long-term academic education: typically degree-earning course-work that

requires six or more months of commitment at or through an accredited institution
of higher learning. This venue, while more expensive, offers cultural exposure
and is often used to further the knowledge, skills, and “place in society” of
influential leaders and “rising stars”.

 Entrepreneurial Management Training: typically coaching and mentoring, “on-the-

job” and peer learning that takes place at a participant’s place of employment or
at an institution or related business in-country, in a third country, or in the U.S.

 Observational Training: typically scheduled visits to facilities, frequently in several

locations, to learn a process, method, or system through observation and
discussion. Observational Training should emphasize the acquisition of
development ideas, attitudes, and values. Such training is often appropriate for
middle and high-level officials and others with substantial professional
experience who need to be updated or exposed to new ideas and technologies,
but who cannot be away from their jobs for extended periods of time. Participant
teams from a single country or multi-country teams with homogeneous interests
and levels of responsibilities are often suited for Observational Training.

 Exchange:

- Any program that involves an exchange of ideas, values, or culture between a

host country and the United States or another country; or

- Traditional programs with individuals traveling between a host country and the
United States or another country, non-traditional programs using technology,
or a combination of both (see 253.3.1.2).

 Distance or “e-Learning”: learning, including online courses and degrees, that

allows participants to acquire skills at their own pace. It also allows participants to
earn credits, certificates, and degrees from universities. It offers cost savings to
Missions that would otherwise be required to cover short- and long-term travel,
housing, and other living costs.

Examples of non-Participant Training interventions include:

 Job descriptions that are written and communicated;

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 Protocols and policies that are created and published;

 Gathering and posting of client satisfaction data on a regular basis;

 Adequate tools and supplies;

 Organization’s Vision, Values, and Mission statements that are redefined and
published;

 Strategic plans;

 Job aids, such as instruction manuals that are designed and disseminated;

 Standards and protocols;

 Feedback systems;

 Motivation/incentive recognition systems, such as awards;

 Supportive supervision;

 Improved logistical systems;

 Organization support, enhancement, and leadership that create an enabling

environment;

 Discussions with supervisors concerning job expectations;

 Policy changes;

 Reorganization of work priorities; and

 Information Management Systems.

By reviewing Participant Training concepts, designs, and requests in the context of the
six universally accepted human performance factors, USAID Sponsoring Units can
ensure the appropriate use of Participant Training as an intervention.

253.3.1.2 Training Venue Selection Criteria

Effective Date: 09/26/2014

Sponsoring Units must choose the most appropriate Participant Training venue (see
253.3.3.4, 253.3.3.5, and 253.3.3.6). The selection of venue is a function of several

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factors, cost being among the most important. However, the foremost determinant must
be the needed outcomes or impact of the program.

By reviewing Participant Training concepts, designs, and requests in the context of

these venue considerations, USAID Sponsoring Units can optimize the use of each
venue.

At a project level, Sponsoring Units must balance three criteria: 1) quality (outcomes of
the program as they relate to Mission objectives; 2) quantity (number of Participants
trained); and 3) cost (both program costs and overall project costs).

a. In-Country Participant Training

In general, in-country Participant Training provides potential benefits and

concerns including:

Content Benefits: In-country Participant Training is especially appropriate for

short-term programs in vocational or technical fields; for persons who are unable
to leave the host country; and for persons who are not proficient in English or the
language of a third country. In-country Participant Training allows for deep
consideration of a topic, especially if delivered in a series of focused or custom-
designed Participant Training topics which are then given practical application at
worksites.

Concerns: Limited experiential immersion and variety of ideas. Difficulty in

separating Participant Training from technical assistance activities. Urgent in-
country events can take precedence over work of Participant Training
coordination teams. Also, possible limited availability of qualified Participant
Training and/or logistics providers.

Management Benefits: Participants’ schedules easy to accommodate and fewer

administrative requirements for implementation.

b. Third-Country Participant Training

In general, third-country Participant Training provides potential benefits and

concerns including:

Content Benefits: Participant Training in a third-country may be more

appropriate than U.S.-based Participant Training when there are similar
conditions in the host country and the third-country. Technology acquired in a
third-country may be more easily adapted to the host country, and the language,
customs and the implementation of solutions to problems are very similar.
Generally, third-country institutions can provide high quality instruction at a lower
cost to USAID, particularly where savings may be made in airfares.

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Management Concerns: Difficulty monitoring Participants and ensuring

compliance with third country visa requirements.

c. U.S.-Based Participant Training

In general, U.S. Participant Training provides potential benefits and

concerns including:

Content Benefits: A large array of schools, colleges, institutions and Participant

Training institutions that offer a broad selection of technical subjects and are
willing to accept USAID participants. U.S.-based programming lends itself to the
formation of sustainable partnerships with host-country entities. Immersion and
experiential learning, and a focus on theory or a U.S. model, U.S. linkages, team
formation and U.S. culture including political, professional, and social culture.

Concerns: Challenge of relating the Participant Training experience to the home

country context. Coordination between implementer entities in the Participant’s
country of residence and in the U.S.

Management Benefits: Expenditure of USG funding within U.S. taxpayers’ local

communities.

d. Distance or “e-Learning”

In general, Distance or e-Learning provides potential benefits and concerns

including:

Content Benefits: Distance or “e-Learning” is education using online courses to

earn credits, certificates and degrees from colleges and universities without
leaving the home country. This allows participants to acquire skills at their own
pace. It offers cost savings to Missions that would otherwise be required to cover
short- and long-term travel, housing, and other living costs.

Concerns: Participants may need additional motivation and monitoring by the

Sponsoring Unit to ensure completion of their course work in a timely way.
Exposure to technical area context can be limited since the participant does not
travel to another country. Networking may also be limited.

Management Benefits: Ability to fund multiple advanced degree programs due

to cost savings.

Reporting: Sponsoring Units must use TraiNet to document all USAID

Participants sponsored for Distance or e-Learning programs, except U.S. citizens
(see 253.3.2).

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 IN-COUNTRY – For Participants who reside in the same country the

institution is offering the Distance or e-Learning program, Sponsoring
Units must report the program as an in-country program (see 253.3.4.5);

 THIRD-COUNTRY – For Participants who reside outside the country the

institution is offering the Distance or e-Learning program, when the
institution is not located in the U.S., Sponsoring Units must report the
program as a third-country program (see 253.3.5.5);

 U.S.-BASED – For Participants who reside outside the country the

institution is offering the Distance or e-Learning program, when the
institution is located in the U.S., Sponsoring Units must report the program
as a U.S.-based program (see 253.3.7.5).

253.3.1.3 Participant Training Plans

Effective Date: 09/26/2014

Sponsoring Unit Participant Training Plans are not mandatory yet they are extremely
useful and strongly recommended. Participant Training Plans assemble the Sponsoring
Unit’s full range of Participant Training programs which would otherwise remain
dispersed under separate technical office’s plans or program areas. A Participant
Training Plan, usually developed annually, enables the Sponsoring Unit to identify its
overall Participant Training objective, nature, expected costs, the
institutional/organizational change that the Participant Training will support, and non-
Participant Training inputs that will help to improve performance of the
institution/organization.

For best practice guidance and a sample template for developing Participant Training
Plans, please see ADS 253sab, Participant Training Plan.

253.3.1.4 Participant Training Program Requests (Concept Designs)

Effective Date: 09/26/2014

Sponsoring Unit Participant Training Program Requests (concept designs) are technical
design documents that, while not mandatory, are extremely useful and strongly
recommended (especially when Participant Training programs are not already part of an
Implementer’s approved work plan). A Participant Training Program Request provides
the Implementer with the technical and logistical information he or she needs to design
and deliver discrete Participant Training programs that directly support the Mission
program areas by presenting the intended results and objectives of the program, the
knowledge and skills (and/or attitudes) to be acquired, and any follow-on activities.
Estimated costs for the program are also included. Other information may include

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Participant selection criteria, venue selection, language testing requirements, and

suggested program provider.

Participant Training Program Requests often comprise a major component of

Sponsoring Unit Participant Training Plans.

For best practice guidance and a sample template for drafting Participant Training
Requests, see ADS 253sac, Participant Training Intervention Request Form.

253.3.1.5 Participant Training Program Implementation Plan

Effective Date: 09/26/2014

While not mandatory, an Implementer can prepare a Participant Training Program

Implementation Plan in response to a Participant Training Program Request (see
253.3.1.4). The Implementer would prepare this Plan after the program provider has
been selected and has developed the program. The Participant Training Implementation
Plan covers each segment of the Participant Training program, including relationships of
program components to assistance objectives, identification of the program provider,
and the location, specific program components, and duration of each segment. It also
describes in day-by-day detail how the program objectives will be achieved and
provides a budget estimate.

For best practice guidance and a sample template for developing Participant Training
Implementation Plans, see ADS 253sad, Participant Training Program
Implementation Plan.

253.3.2 Participant Eligibility and Selection

Effective Date: 09/26/2014

Effective selection of Participants results in a Participant Training program with highly

motivated Participants who perform well, participate appropriately, benefit from the
program, and are highly likely to apply the acquired knowledge and skills (and/or
attitudes) in furtherance of program objectives. An adequate investment of time and
effort in selection is essential to both program cost containment and impact.

It is preferable that USAID staff approve individuals who are selected for Participant
Training; at a minimum, Sponsoring Units must review the names and countries of
residence of selected Participants.

The AID Form 1380-1, Participant/Exchange Visitor Biographical Data, is an

optional form may be used to collect Participant biographical information (use of the
form is a highly recommended best practice).

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a. Eligibility

Sponsoring Units must be guided by the following requirements to determine an

individual’s eligibility for Participant Training:

1. Individuals who USAID sponsors for Participant Training must be citizens

or legal residents of the host country.

2. U.S. citizens, U.S. permanent residents, individuals with dual U.S. and
other country citizenship living outside the U.S., green card holders, and
individuals who are seeking asylum in the U.S. are not eligible for USAID-
sponsored Participant Training programs unless the need for such
sponsorship is critically related to attaining a development objective, and
the Sponsoring Unit justifies the program in writing and on a case-by-case
basis. The Sponsoring Unit’s official Participant Training files must store a
copy of the justification.

The Mission Director or cognizant Washington Office Director must

approve the selection of excepted Participants. The approving official
must be aware that the U.S. citizen, U.S. permanent resident, or individual
with dual U.S. and other country citizenship, or green card holder
Participant will not travel with a J-1 visa, will have the right to remain in the
U.S. permanently after completing the USAID-sponsored program, and
will not be included in Agency statistical reporting of Participant Training
programs.

Sponsoring Units must not enter any information related to a U.S. citizen
in the TraiNet system or USAID Visa Compliance System (VCS).
Information related to U.S. citizens selected as excepted Participants must
be documented via hardcopy documentation in the Sponsoring Unit’s
official Participant Training files.

Sponsoring Units must advise U.S. citizens, who are selected by the
Mission Director or cognizant Washington Office Director as excepted
Participants, in writing that there may be U.S. income tax implications
related to tax payments over and above any amount due in connection
with their USAID program. The approved, excepted U.S. citizen
Participant is responsible for such tax payments.

3. Individuals who are from a “Covered Country” must meet the criteria in
ADS 206, Prohibition of Assistance to Drug Traffickers.

4. Sponsoring Units may approve Third-Country Nationals (TCNs) residing in

USAID presence or non-presence countries only on a case-by-case basis.

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Selection justification must be documented via hardcopy documentation in

the Sponsoring Unit’s official Participant Training files and must describe:

 How the approved sponsorship of the TCN contributes to the

achievement of a development objective or USG initiative;

 Why sponsoring the individual is more advantageous than investing

in a host-country national; and

 The cost-effectiveness of the approved sponsorship and the

likelihood that the TCN will return to work in the host country,
unless otherwise justified.

The Sponsoring Unit must also ensure that all other aspects of Participant
processing are carried out as indicated in this chapter and in ADS 252.

5. Individuals who USAID sponsors for Participant Training may be working

under a non-competitively awarded USAID cooperative agreement or sub-
agreement, grant or sub-grant, but must not be:

 Employed by USAID, including Personal Services Contracts (PSC)

and interagency agreements with USAID;

 Working under a USAID contract or sub-contract;

 Working under a competitively awarded USAID cooperative

agreement or sub-agreement, grant or sub-grant.

 Employed by a Public International Organization (see ADS

308.3.10).

b. Selection

Sponsoring Units must be guided by the following Participant selection guidelines:

1. Participants must not be chosen based on any personal, non-program

interests. Patronage must be avoided and selection criteria must be
transparent. Immediate family members of USAID employees may not be
selected.

2. It may be advantageous to select an alternate candidate for Participant

Training in the event that a primary candidate is unable to participate.

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3. Participants should possess the prerequisite academic or other

skills/experience that will enable them to successfully complete the
program.

4. Gender Equality and Women's Empowerment: In alignment with

Agency policy on gender equality and women's empowerment, E3/ED has
established an annual target of 50 percent female participation in
Participant Training (see 253.1). This target applies to each Sponsoring
Unit, not to individual programs. Sponsoring Units should try to meet the
50 percent female participation target, and should seek to exceed it when,
for example, their objective is to substantially increase the number of
women trained in certain areas as quickly as possible. Sponsoring Units
must identify and consider structural and cultural conditions in the host
country that limit women’s Participant Training opportunities when they
plan projects and activities (see ADS 205, Integrating Gender Equality
and Female Empowerment in USAID's Program Cycle).

5. Qualified Lesbian, Gay, Bisexual, and Transgender (LGBT) Persons:

LGBT issues in USAID presence countries must be explored and
addressed through the involvement of LGBT persons in Participant
Training programs. Sponsoring Units must select and include qualified
LGBT persons, without discrimination, in Participant Training.

6. Qualified Persons with Disabilities: Sponsoring Units must select and

include for Participant Training (both academic and technical) qualified
Persons with Disabilities. The USAID Disability Policy Paper, dated
September 12, 1997, provides guidance and procedures to promote
Participant Training opportunities for persons with disabilities within
USAID programs in the U.S. as well as in host countries where USAID has
programs.

The Policy Paper defined a disability as a physical or cognitive impairment

that affects a major life function, consistent with the definition found in the
Rehabilitation Act of 1973. Sponsoring Units must: 1) make programs
inclusive; 2) consult with the disability community; 3) increase staff
awareness; and 4) discuss disability issues with host country counterparts
and other stakeholders, including contractors, grantees, and other donors.

Participants with disabilities must be included in USAID-sponsored

Participant Training programs as much as possible. Higher program costs
associated with any individual Participant with disabilities is insufficient
justification for Sponsoring Units to preclude the Participant from a
Participant Training program if she or he is otherwise qualified. Therefore,
the requirements for the placement and monitoring of Participants with

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disabilities are the same as for all other Participants except for the
following:

SPECIAL ALLOWANCES – Sponsoring Units may need to budget higher

costs related to Participants with disabilities, and provide them with the
equipment/supplies they need as well as other necessary household-
related items so that they have the same opportunity to succeed as non-
disabled Participants.

Participants with disabilities may need additional medical equipment (such

as wheelchairs, crutches, special telephones for the hearing/visually
impaired) or additional program provider-related equipment and supplies
(such as Braille keyboards and Braille textbooks, which may be more
expensive than regular textbooks).

Participants with disabilities may also need additional settling-in and/or

exit allowances to cover the cost of a ramp to accommodate a wheelchair,
higher typing costs, additional computer time/equipment return, and/or
baggage allowances to cover the expense of equipment that had to be
purchased rather than rented.

The Sponsoring Unit (and implementer, in accordance with their award)

should review and approve the additional allowances on a case-by-case
basis.

MAINTENANCE ALLOWANCES – Participants with disabilities must

receive the same maintenance allowances as other Participants except
when the individual requires a personal assistant. The personal assistant
may be a spouse or adult family member who travels with the Participant,
or may be someone hired upon arrival in the U.S.

Some Participants may also require an assistant who helps with

school/program-related activities. For the purposes of a J-2 visa for a
dependent, a dependent is defined as a spouse or child under 21 years
old. If the Participant travels with a family member who also serves as a
personal assistant, the Sponsoring Unit may reduce or waive the amount
of funds required to be available in order to qualify for dependent status.

In addition, the Sponsoring Unit may increase the Participant's monthly

maintenance allowance to cover the expenses incurred by the dependent
up to 50 percent of the Participant's maintenance, plus an amount to cover
the dependent’s health and accident insurance. USAID will only provide
additional maintenance for the personal assistant and not for any other
dependents that accompany the Participant and assistant. Please note
that the Participant’s use of a non-family member as a personal assistant

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may cause the Sponsoring Unit problems with securing the appropriate
visa or establishing the appropriate mechanism to pay the personal
assistant’s "salary."

MEDICAL INSURANCE –Sponsoring Units or the monitoring contractor

must have proof that each disabled Participant has sufficient insurance
coverage for the disability, as well as any other pre-existing medical
condition.

253.3.2.1 Observers
Effective Date: 09/26/2014

Sponsoring Units may allow Participant Training program stakeholders, such as Agency
staff, USAID implementers, and other partners, to accompany Participants on programs
as observers. The presence of observers is often desirable, especially in the case of
short-term technical Participant Training programs, because it can help build continuity
with other technical assistance activities related to the program.

Sponsoring Units must ensure:

 Funds that otherwise would have been used for Participant Training
sponsorship are not used for observer travel;

 Observers have attended the pre-departure (see 253.3.5.4 or 253.3.7.4)

or pre-program orientation (see 253.3.4.4), and that their observer role is
clearly defined in the orientation; and

 Observers do not disrupt the program by attempting to change the

schedule or other aspects of the program design, once the program has
commenced.

Please note that observers must travel on a visa other than J, unless determined
otherwise by a consular officer. USAID visa compliance processes and systems must
not be used to assist observers in obtaining a J visa (see ADS 252).

253.3.3 Cost Tracking

Effective Date: 09/26/2014

Sponsoring Units must apply cost control principles for all types of Participant Training,
whether U.S.-based, third-country, regional, or in-country programs. The Sponsoring
Units must group the cost data in a standard format that supports analytical studies,
comparisons, and for IRS reporting in the case of U.S.-based Participant Training.

Sponsoring Units must use the following cost tracking categories. Sponsoring Units
must group direct Participant Training expenditures under the three cost categories

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captured by TraiNet: Instruction, Participant, and Travel. The three cost categories
below can be further defined using any detailed sub-line items if needed:

1. INSTRUCTION includes costs directly incurred to convey knowledge or impart

skills (and/or attitudes). In addition to outsourced instructional costs, Sponsoring
Units must also estimate Participant Training costs embedded within a technical
assistance contract or activity and not clearly separable from other expenditures.
The estimates must include proportionate staff time along with other identifiable
Participant Training program costs. A sample list of instruction costs includes the
following items or their functional equivalents:

 Technical Participant Training program fees;

 Instruction or instructional portion of a packaged program;

 Academic tuition and fees [excluding housing or lodging], as published;

 Transport of instructors or program providers;

 Books, computers, equipment, supplies, course handouts, Internet

connectivity fees;

 Dissertation/thesis expenses, production allowance;

 Seminar/conference registration fees;

 Workshop fees;

 Professional society membership fees, journal and media subscriptions;

 English language training;

 Orientations and airport meet and greet services;

 Escort/interpreter's fees; and

 Supplemental enrichment programs.

2. PARTICIPANT includes costs directly incurred to meet the Participant’s personal

needs and program requirements. A sample list of Participant costs includes the
following items or their functional equivalents:

 Housing or lodging, or lodging portion of a packaged program;

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 Maintenance allowances and per diem rates;

 Health and accident insurance premium;

 Medical examination fees, if applicable;

 Visa or Exchange Visitor status fees, if any;

 W-7 certification fees (certification of non-U.S. residence for tax

purposes); and

 Federal, state, and local income taxes, if any.

3. TRAVEL includes costs directly incurred to transport the Participant (and not to
transport instructors or program providers) from the home country to the country
where the program is taking place and back, as well as costs related to travel
within the country where the program is taking place. A sample list of travel
costs includes the following items or their functional equivalents:

 International travel costs (air, train, bus); and

 Any travel to the program site(s).

Sponsoring Units must document their reason(s) for selecting higher-cost Participant
Training sites or programs that on the surface appear to be functional equivalents to
lower-cost alternatives.

Sponsoring Units must observe the principles of cost sharing whenever possible, but
the application of cost sharing must be flexible and case-specific to the capabilities of
cost-sharers, or when the award includes a cost share component. A 25 percent
contribution of total Participant Training program costs by other contributors is a general
target. USAID may count in-kind contributions toward cost sharing when they are
assigned a reasonable monetary value.

Sponsoring Units are encouraged to estimate the administrative project costs (including
salaries, fringe benefits, staff travel, consultant fees, sub-contracts, and indirect costs)
associated with each Participant Training program. The administrative cost of each
program should be retained on file for reference. For best practice guidance and a
sample template for developing a Participant Training program budget, see ADS
253sae, Budget Worksheet (BWS).

253.3.4 In-Country Participant Training Requirements

Effective Date: 09/26/2014

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Sponsoring Units must consider the option of in-country Participant Training (any
Participant Training program conducted in the host country). This option often
combines instructional or classroom stimulus with procedural simplicity, and possible
cost savings.

253.3.4.1 Provider Selection

Effective Date: 09/26/2014

Sponsoring Units must determine Participant Training objectives before addressing cost
issues. In cases where the delivery of the actual exchange, training, or education will
be outsourced by an Implementer, the Sponsoring Unit must ensure that the
Implementer considers the best practice of procuring Participant Training program
provider services through limited competition.

253.3.4.2 Travel, Lodging, and Other Logistics

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to Participant travel
and lodging, Participant allowances, and other logistics:

a. Participant Travel

Sponsoring Units must purchase round-trip (if feasible), economy class airline tickets for
in-country Participant travel that involves air transportation.

b. Participant Lodging

When an in-country program requires overnight lodging, Sponsoring Units should follow
the Agency best practice of arranging double-occupancy accommodations whenever
feasible, except when home-stays are being arranged. Per Participant lodging costs will
be significantly below standard allowance rates, which are based on single occupancy.

c. Participant Allowances

The Sponsoring Unit, in coordination with the Participant Training program provider, will
determine in-country long-term and in-country short-term maintenance rates, where
applicable.

Sponsoring Units, and Implementers in accordance with the terms of their awards, must
not deduct from Participant allowances Participant costs that will be paid by the
Sponsoring Unit or Implementer separately from allowances (see 253.3.3).

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d. Interpreters

In cases where a Participant requires an interpreter for an in-country program,

Sponsoring Units must negotiate the interpreter's compensation for each program to
obtain the lowest possible rate. USAID does not rely on Department of State rates for
interpreter services as the basis for establishing interpreter fees.

Sponsoring Units must not assign Participants who know the language of the Participant
Training program to be collateral interpreters or technical escorts while they are in
Participant status, as they are not trained in interpreter or technical escort skills, and
undertaking those duties would detract from their full participation in the program.

253.3.4.3 Conditions of Sponsorship

Effective Date: 09/26/2014

The following subsections detail the minimum essential conditions of sponsorship.

a. Health and Accident Insurance

Sponsoring Units must determine whether specific in-country Participant Training

program activities subject them to any risk of health and accident liability for medical
costs Participants may incur, and if so, take appropriate steps according to local
situation, including purchasing independent supplemental insurance.

b. Language Proficiency

Sponsoring Units must arrange for a language assessment if there are any doubts of a
Participant’s proficiency in the language in which the Participant Training program is to
be conducted, unless the Sponsoring Unit has pre-determined that an interpreter will
accompany the Participant(s).

c. Program Work Load

Participants in academic degree programs (associate, bachelor’s, master’s degree, or

doctorate) must be registered for a full-time student course load or be engaged in
program-related activities on a full-time basis, as defined by the respective academic
institution throughout the duration of their USAID-sponsorship. Academic Participant
Training programs that bridge the summer months must include the equivalent of full-
time summer study.

Participants in non-degree programs must be engaged in the program on a full-time

basis, as defined by the respective Participant Training program provider.

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253.3.4.4 Pre-Participant Training Preparation and Orientation

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to pre-Participant

Training preparation and orientation:

a. Stakeholder Compact

Although not mandatory for in-country Participant Training, Sponsoring Units have the
option of preparing a written Stakeholder Compact for each Participant sponsored by
USAID for in-country Participant Training. Individuals who accept sponsorship by
USAID for in-country Participant Training enter into a relationship of mutual commitment
between USAID, the Implementer, the Participant Training program provider, the
Participant, and the Participant’s employer. This relationship entails both rights and
responsibilities for all parties, which are written out in a Stakeholder Compact
(sometimes referred to as a Stakeholders’ Agreement, Participant Training Agreement
or Objectives Memorandum). Elements of a Stakeholder Compact include:

 A description of expected work performance outcomes from the Participant

Training program and/or post-program follow-on activities; and

 An agreed-upon return-to-work date and stakeholder responsibilities in the post-

program, follow-on phase.

For short-term programs, the Sponsoring Unit is encouraged to develop wording for a
standardized, summary Stakeholder Compact.

In cases where no employer is identified at pre-departure time (for example, with self-
employed Participants, entrepreneurs, or some long-term Participants), the Stakeholder
Compact is drawn between the Participant, the Sponsoring Unit, and other
stakeholders. The cost-benefit of the Participant Training program in question must be
clear in meeting organizational performance goals.

For best practice guidance and a sample template for developing stakeholder
compacts, see ADS 253sai, Stakeholder Compact Illustratives.

b. Orientation

Pre-program orientation is an integral part of any Participant Training program.

Orientations create a foundation for technical or academic Participant Training by
reducing uncertainty and eliminating obstacles to learning. Orientation is particularly
beneficial to Participants who will be involved in certain types of programs, like those
involving an overnight stay or exposure to cultural or civil challenges in the country of
the Participant Training program.

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Orientation is normally divided into four parts: Program Objectives and Overview;
Administrative and Policy Review; Cultural Aspects; and Training/Learning Methods.
USAID recommends that these topics be covered in orientations for in-country
Participants.

253.3.4.5 Monitoring and Reporting

Effective Date: 09/26/2014

Sponsoring Units must monitor and report on in-country programs and Participants to
ensure that problems are identified and resolved quickly and that the Participant
Training program is successful.

a. Participant Monitoring

Sponsoring Units must monitor each Participant’s progress in an in-country program. At

a minimum, program and Participant monitoring must show that:

 Sponsoring Units maintain current Participant contact information;

 The Participant promptly reports any change of address;

 The Participant Training program meets the original program objectives and
Stakeholder Compact requirements, if applicable;

 The Participant is enrolled in a full course of study, if in an academic program, or

is regularly attending scheduled activities or sessions of a technical program;

 The Participant attains established levels of achievement; as determined by the

Participant Training program provider ; and

 The Participant has not developed serious personal or health problems that
impair the successful completion of the program.

b. Participant Reporting

Sponsoring Units must use TraiNet to document all USAID Participants, except U.S.
citizens (see 253.3.2). The Office of Management and Budget (OMB), in accordance
with the Paperwork Reduction Act, approved TraiNet as the official USAID Web-based
Participant Training management system database. TraiNet is funded and maintained
by E3/ED.

Sponsoring Units must enter data in TraiNet for any in-country Participant Training
programs or sub-programs of two consecutive class days or more in duration, or 16
contact hours or more scheduled intermittently. However, Sponsoring Units should

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report any and all other in-country Participant Training programs that are critical to their
development efforts.

Sponsoring Units must enter selected, aggregated, in-country Participant Training data
into TraiNet no less frequently than within 30 days of the end of each Federal fiscal year
quarter. Sponsoring Units must consolidate the Participant Training data according to
program or sub-program. Sponsoring Units must enter each Participant’s name for
long-term (six months or longer) programs, and consolidate Participant Training data
according to program or sub-program, as required for third-country Participant Training.
The data must include:

 Participant Name (for long-term programs);

 Participant Country of Residence;

 Subject area;

 Program Name;

 Start and end date;

 Total number of Participants per Participant group, with gender breakdown; and

 Total cost of each Participant Training program.

Sponsoring Units must update the estimated Participant Training costs that were
developed during the planning phase, and report actual Participant Training costs
incurred in TraiNet within 30 calendar days (90 calendar days for long-term programs)
of the completion of each program (see 253.3.3).

c. Required File Documentation

Sponsoring Units, and Implementers in accordance with the terms of their awards, must
handle, maintain, and safeguard EV documentation in compliance with the USAID
Records Management Program (see ADS 502, The USAID Records Management
Program).

Sponsoring Units must retain hard (paper) copies of the following administrative file
documents of Participants, dependents, and sponsored programs:

 Participant Training Program Request, if applicable (see 253.3.1.4);

 Nomination/Participant selection documentation;

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 Participant Training Program Implementation Plan, if applicable (see 253.3.1.5);

and

 Participant tracking documentation

253.3.5 Third-Country Participant Training Requirements

Effective Date: 09/26/2014

Sponsoring Units must consider the option of third-country Participant Training (any
Participant Training program conducted in a country that is not the host country or the
United States). This venue option often provides the content benefits of immersion and
experiential learning, a focus on theory or a regional model, regional linkages, and team
formation.

Third-country Participant Training programs must not take place in countries that are
identified as terrorist countries by the U.S. Department of State (see State Sponsors of
Terrorism).

Only the Mission Director or cognizant Washington Office Director may waive the
restrictions outlined above on a case-by-case basis (e.g., on a by program basis). This
authority may not be re-delegated.

253.3.5.1 Provider Selection

Effective Date: 09/26/2014

Sponsoring Units must determine Participant Training objectives before addressing cost
issues. In cases where the delivery of the actual exchange, training, or education will
be outsourced by an Implementer, the Sponsoring Unit must ensure that the
Implementer considers the best practice of procuring Participant Training program
provider services through limited competition.

253.3.5.2 Travel, Lodging, and Other Logistics

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to Participant travel
and lodging, Participant allowances, and other logistics:

a. Participant Travel

Sponsoring Units must purchase round-trip (if feasible) economy class airline tickets for
Participant travel.

b. Participant Lodging

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Sponsoring Units should follow the Agency best practice of arranging double-occupancy
accommodations whenever feasible, except when home-stays are being arranged. Per
Participant lodging costs will be significantly below standard allowance rates, which are
based on single occupancy.

c. Participant Allowances

All USAID-sponsored Participants must receive no more than the prescribed USAID
allowance rate, unless the Sponsoring Unit authorizes a higher rate in consideration of
individual circumstances.

Sponsoring Units must not pay Participants the published allowance rates in full, without
cause. Sponsoring Units must adjust payment accordingly if the full amount is not
required. Sponsoring Units must make any final determinations regarding allowance
adjustments, including a determination as to whether to reduce maintenance for trips of
fewer than 30 days outside the country of the Participant Training program.

The maintenance allowances for third-country Participant Training programs fall into two
categories that Sponsoring Units must observe: long-term programs and program
allowance rates and short-term programs and program allowance rates.

1. Long-Term (six months or longer) Program Allowance Rates

The Sponsoring Unit must establish third country long-term (six month or
longer) Participant Training allowance rates based on program needs and
the prevailing practices in the location of the Participant Training program.

2. Short-Term (less than six months) Program Allowance Rates

Third-country short-term (less than six months) Participant Training

allowance rates must not exceed foreign per diem rates established by the
Department of State, Office of Allowances as maximum U.S. dollar rates
for reimbursement of government civilians traveling on official business in
foreign areas. For regulations pertaining to these rates, see the
Standardized U.S. Government Federal Travel Regulations as established
by the General Services Administration (GSA) (41 CFR 301-7 and 301-8).

d. Interpreters

Sponsoring Units must negotiate interpreter's compensation for each program to the
lowest possible rate. USAID does not rely on Department of State rates for interpreter
services as the basis for establishing interpreter fees.

Sponsoring Units must not assign Participants who know the language of the Participant
Training program to be collateral interpreters or technical escorts while they are in

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Participant status, as they are not trained in interpreter or technical escort skills and
undertaking those duties would detract from their full participation in the program.

253.3.5.3 Conditions of Sponsorship

Effective Date: 09/26/2014

Sponsoring Units must inform all potential Participants of the Agency’s conditions of
sponsorship for third-country Participant Training, and seek potential Participants’
agreement to those conditions, as part of the initial Participant selection process (see
253.3.2).

For long-term (six months or longer) third-country programs, Sponsoring Units must
ensure that Participants sign the AID Form 1381-7, Conditions of Sponsorship for
Third Country Participant Training, dated 01/2010 or later, indicating that they
understand and agree to the contents of the form before accepting USAID sponsorship.
This form is an optional best practice for short-term (less than six months) third-country
programs. The following subsections detail the minimum essential conditions of
sponsorship:

a. Visa Compliance

Foreign nationals may be required to obtain a visa to enter the country of the Participant
Training program. In such cases, Sponsoring Units must adequately brief Participants
so that they understand the requirements and benefits of their visa status, and to meet
those requirements and maintain status at all times while in the country where the
program is taking place.

During transit, the U.S. Government requires citizens of certain countries to go through
the U.S. consular screening process even though they remain airside and do not pass
through immigration control. If Participants intend to transit through the U.S. or through
another country en route to the country of the Participant Training program, USAID
expects the Participant to personally obtain the transit visa, if the country in transit does
not exercise the visa-free transit regime. A C1 Transit Visa is required for transit
through the U.S.

b. Dependents

USAID defines a dependent in the context of third-country Participant Training as the

spouse or child under 21 years old of a USAID-sponsored Participant. In order to avoid
a management burden and financial liability, and to minimize the possibility of non-
returnees, USAID strongly discourages dependent travel. Sponsoring Units must be
mindful of the possible adverse effects of dependents on program success.

Sponsoring Units must approve dependent travel for third-country programs. A

Sponsoring Unit may only approve dependent travel when it is in the best interest of the

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Agency, or when cultural or religious norms would otherwise require a Participant

Training program to be cancelled if a Participant could not be accompanied by a
dependent.

The Participant bears sole responsibility for supporting his or her dependents while they
are in a third country, and must present the Sponsoring Unit with evidence of having the
resources to do so. The evidence of resources should include a round-trip airline ticket
(if feasible) or guaranteed round-trip airline travel for the dependent(s), as well as health
and accident insurance coverage. USAID has no obligation to pay living expenses for
family members who accompany a Participant.

Each Mission must establish a policy governing the travel of dependents eligible to
accompany or join the Participant during third-country Participant Training programs.
Missions may permit such Participants to bring family members to the country where the
program is taking place either for the full program period or for short visits so long as
Participants have sufficient personal financial resources to cover related expenses.
Missions or their contractors must consider first whether: a) the Participant is likely to
be distracted from program goals by family obligations; and b) the separation from
family during the program will pose a hardship likely to affect the Participant’s learning
ability. Sponsoring Units should provide a pre-departure orientation for dependents
when practical.

Adequate financial expenditure estimates are based on the cost of living in the area
where the Participant Training program is taking place. A general rule is that 50% of the
monthly maintenance for the area is required for each accompanying dependent. The
Sponsoring Unit must consider the total number of dependents and the expected length
of stay in the country where the program is taking place in determining total expenditure
estimates for the Dependent Certification. Sponsoring Units have the option of using
AID form 1380-5, Dependent Certification to document approval of dependent travel
for third-country programs.

The Participant must arrange, maintain, and pay for each dependent's health insurance
coverage and ensure that the insurance remains in effect for the duration of the
dependent’s presence in the third-country. Dependent health insurance coverage
arranged by the Participant must provide for maternity benefits, if appropriate.

Participants must make sure that dependents’ flight tickets do not expire (are kept
updated with the issuing airline).

c. Health and Accident Insurance

Sponsoring Units must enroll Participants of third-country Participant Training programs

in health and accident insurance coverage. Sponsoring Units may select any provider

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that offers requisite coverage, as determined in consultation with knowledgeable

sources in the receiving country.

d. Participant Employment

USAID-sponsored Participants of third-country Participant Training programs can be

employed in the third-country where the program is taking place only in connection with
an assistantship, on-the-job-Training, or program-related practical experience that is an
integral, documented part of the sponsored program and the Sponsoring Unit
approves it. As long as the employment is part of the approved program, USAID does
not require special work permission. When a Participant receives a salary or stipend in
connection with employment that is part of the sponsored program, the individual’s
maintenance allowance must be reduced by the net amount paid.

USAID-sponsored Participants of third-country Participant Training programs can also

be employed in the third-country where the program is taking place when the
employment is not part of the approved sponsored program, only under the
following conditions. The Sponsoring Unit must make a factual determination that:

 The Participant requires employment for an urgent and unusual need that has
arisen since the Participant arrived in country. Financial needs associated with
the Participant having dependents in the third-country where the program is
taking place are not sufficient justification for employment.
 Employment does not exceed twenty hours per week; and

 Employment does not interfere with the Participant’s program participation nor
cause his or her studies to fall below the full-time level.

Sponsoring Units must approve any employment in writing in such cases when the
employment is not part of the program. If at any point the Participant's program
participation becomes affected by the employment, the Sponsoring Unit must take steps
to have the individual end the employment. Participant employment may not be
approved for the purpose of supporting dependents.

e. Language Proficiency

Unless an interpreter has been arranged, Sponsoring Units must verify that each
Participant is proficient in the language the Participant Training program will be
conducted in, at a sufficient level to participate in his or her program.

f. Program Work Load

Participants in academic degree programs (associate, bachelor’s, master’s degree, or

doctorate) must be registered for credits and carry a full-time student course load or be
engaged in program-related activities on a full time basis, as defined by the respective

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academic institution, throughout the duration of their USAID-sponsorship. Academic

Participant Training programs that bridge the summer months must include the
equivalent of full-time summer study.

Participants in non-degree programs must be engaged in the program on a full time

basis, as defined by the respective Participant Training program provider.

253.3.5.4 Pre-Departure Preparation and Orientation

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to pre-departure

preparations and orientation:

a. Stakeholder Compact

Sponsoring Units have the option of preparing a written Stakeholder Compact for each
USAID-sponsored third-country Participant Training Participant.

Individuals who accept USAID sponsorship for Participant Training in a third-country

enter into a relationship of mutual commitment involving USAID, the Implementer, the
Participant Training program provider, the Participant, and the Participant’s employer.
This relationship entails both rights and responsibilities for all parties. The Stakeholder
Compact (sometimes referred to as a Stakeholders’ Agreement, Training Agreement, or
Objectives Memorandum) sets out these rights and responsibilities in writing. Elements
of a Stakeholder Compact include:

 A description of expected work performance outcomes from the Participant

Training program and/or post-program follow-on activities; and

 An agreed-upon return-to-work date and stakeholder responsibilities in the post-

program, follow-on phase.

For short-term (less than six months) Participant Training programs, the Sponsoring
Unit should develop wording for a standardized, summary Stakeholder Compact linked
to the AID Form 1381-7, Conditions of Sponsorship for Third Country Participant
Training, dated 01/2010 or later.

In cases where the agreement does not identify an employer at pre-departure time (for
example, with self-employed Participants, entrepreneurs, or some long-term
Participants), the Stakeholder Compact is drawn between Participant, the Sponsoring
Unit, and other stakeholders. The cost-benefit of the Participant Training program in
question must be clear in meeting organizational performance goals.

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For best practice guidance and a sample template for developing stakeholder
compacts, see ADS 253sai, Stakeholder Compact Illustratives.

b. Pre-Departure Orientation

Sponsoring Units must conduct pre-departure orientation for third-country programs.

Pre-departure orientation is an integral part of any Participant Training program and
creates a foundation for technical or academic Training by reducing uncertainty and
eliminating obstacles to learning. Participation by Implementer staff, Mission Participant
Training staff and technical office staff, host country officials, and returned USAID
Participants may be valuable, particularly when group orientations are held.

Pre-departure orientation is typically divided into four parts: Program Objectives and
Overview; Administrative and Policy Review; Cultural Aspects; and Training/Learning
Methods. These topics should be covered in orientations for third-country Participants.

1. Program Objectives and Overview

The Sponsoring Unit, implementing partner, and stakeholders agree on the

objectives, content, and logistics of the Participant Training program, return to
work date, itinerary, and the institutional change that the program is expected to
support. Participants must understand the relationship of their program to the
USAID and host country development plan and what their responsibilities are in
return.

For academic programs, differences in academic procedures and expectations

between the home country and the country where the program is taking place
must be explicitly discussed with the Participant. This is particularly important
when differences in academic relationships and teaching systems could hinder
the Participant’s integration into the program, and thereby constrain learning.

2. Administrative and Policy Review

An oral review of the administrative aspects of the Participant Training program

must be thorough and careful. Uncertainty about logistics, scheduling, or
administration can be stressful for some Participants. The Review must include:

 A completed Participant Pre-Departure Checklist completed by the

Sponsoring Unit and a copy given to the Participant;

 An AID Form 1381-7, Conditions of Sponsorship for Third Country

Participant Training, dated 01/2010 or later, signed by the Participant
and a Sponsoring Unit official;

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 When applicable, the Stakeholder Compact to confirm the Participant's

understanding of responsibilities as a USAID-sponsored Participant;
agreement with the program objectives and anticipated results; the
requirement to return to the home country upon completion of the
Participant Training program; and the consequences of failing to do so.
The Mission retains one copy of these documents; the other is given to the
Participant. The Mission sends a copy to an Implementer, when
necessary;

 USAID policies and rules on per diem payments, employment, operation

of automobiles, dependents, and other similar issues;

 Travel plans, including reservations, tickets, arrival, and airport

arrangements, security procedures at the port of entry, date of departure,
and date of arrival in and departure from the country where the program is
taking place;

 Explanation of health and accident insurance coverage and limitations

must make clear that USAID is not responsible for claims in excess of the
coverage provided or for claims ineligible for coverage;

 Emergency contact information for Participants in distress in the third

country;

 The requirement to return home immediately upon completion of the

program and penalties for failing to do so;

 An explanation of maintenance and other allowances. The Participant is

advised, in writing, that USAID will pay no legal fees on behalf of a
Participant if the Participant is arrested or otherwise required to obtain
legal counsel, and that the Sponsoring Unit will reduce maintenance rates
if the Participant receives any additional income in the form of a
scholarship, assistantship, or wages;

 Hotel and housing arrangements and an explanation of the financially

responsible party;

 Participant’s physical mailing address (not a P.O. Box); and

 Emergency contact numbers in the Mission so that family members can

contact Participants in an emergency.

3. Cultural Aspects

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Participants and their dependents who travel to the third country to join them
require a brief introduction to life in the country where the program is taking
place, which includes some understanding of the culture, climate, clothing, foods,
religions, and other customs, as well as some information on political differences
and personal safety. Returned Participants are particularly useful guests at
orientation because they can give first-person accounts of awkward cultural
situations that the Participants might encounter.

The orientation must stress appropriate behavior in male-female relationships

and interaction in the country where the program is taking place, especially as
regards minor children. Films, videotapes, the Internet, books, role playing, and
other resources can be used to raise awareness of beliefs, behavioral patterns,
social manners, and similar key cultural standards.

4. Methods of Learning or Interaction

The pre-departure orientation must explain the interactive nature of classroom

discussion or exchange interaction, in which Participants are expected to express
their own thoughts and analyses of problems. Many third-country Participant
Training programs require a minimum level of computer literacy, for example, for
Internet or library searches. Such instruction must be provided in the home
country as needed, wherever possible.

253.3.5.5 Monitoring and Reporting

Effective Date: 09/26/2014

Sponsoring Units must monitor and report on programs and Participants.

a. Participant Monitoring

Sponsoring Units must monitor each Participant’s progress in a third country to ensure
that problems are identified and solved quickly and that the Participant Training is
successful. At a minimum, monitoring must confirm that:

 The Participant has arrived and settled into appropriate living quarters;

 The Participant promptly reports any change of address;

 The Participant Training program meets the original program objectives and
Stakeholder Compact requirements, if applicable;

 The Participant is enrolled in a full course of study, if in an academic program, or

is regularly attending scheduled activities or sessions of a technical program;

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 The Participant attains established levels of achievement; as determined by the

Participant Training program provider;

 The Participant does not develop serious personal or health problems that impair
the successful completion of the program; and

 The Sponsoring Unit makes departure arrangements for the Participant upon the
completion, end, or termination of the program. The Sponsoring Unit arranges a
debriefing with the Participant.

Sponsoring Units must maintain current Participant contact information in the country
where the program is taking place of all Participants.

b. Non-Returnees

USAID considers any Participant Training program to include travel from the country
where the program is taking place to the Participant’s home country in addition to the
technical or practical components of the program; therefore, the end date of a
Participant’s program is the day that the Participant is scheduled to arrive back in his or
her home country from the country where the program is taking place. A Participant
must depart the country where the program is taking place within three calendar days
(seven calendar days for long-term programs) after the last technical or practical
component of his or her program unless circumstances arise that would preclude such
departure and the Sponsoring Unit gives the Participant written approval for a later
return date.

USAID-sponsored Participants must return to their home country immediately upon

departure from the country where the program is taking place. Sponsoring Units must
make continuous efforts to see that Participants do so. Careful selection of Participants,
predetermination of Participants’ employer’s or Participants’ affiliated organization’s
commitment to the Participant Training program, progress monitoring, and tracking
Participants' post-program whereabouts will help ensure that Participants’ return to their
home country when the program ends.

Sponsoring Units must track the departure status of their Participants and follow up
promptly if a Participant fails to return home after completion of his or her USAID
program.

The Sponsoring Unit is responsible for the determination, in writing, that the Participant
is a non-returnee. Once that determination is made, the Sponsoring Unit must then
initiate actions on behalf of the U.S. Government to recover the Participant’s Participant
Training program costs in accordance with USAID procedures (see 253.3.5.5f). USAID
must retain information about the Participant’s program costs in the Participant’s file and
also record the costs in TraiNet.

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c. Participant Arrest

Implementers in accordance with their awards must notify the Sponsoring Unit
immediately and in writing when Participants are arrested. Neither USAID nor the
implementer must aid or abet the Participant's departure from the third country prior to
the date of trial. If a Participant must remain past the anticipated return date for reasons
related to arrest and trial, the Sponsoring Unit must make financial arrangements
consistent with the AID Form 1381-7, Conditions of Sponsorship for Third Country
Participant Training, dated 01/2010 or later, for appropriate accommodations until the
Participant's trial is over and the court renders a final legal determination.

d. Death of a Participant

In the event that a Participant dies during the course of his or her third-country
Participant Training program, Sponsoring Units, and Implementers in accordance with
the terms of their awards, must perform the following actions:

 Inform the deceased Participant’s next-of-kin or other appropriate family member,

and inquire into any special cultural or religious requirements for handling and
repatriating the remains;

 Notify the USAID Contracting Officer’s Representative or Agreement Officer’s

Representative (if the representative is not within the Sponsoring Unit);

 Contact the Participant’s health and accident insurance provider for assistance
with repatriation of remains;

 Notify the U.S. Embassy in the deceased Participant’s country of residence or

home country from which the Participant departed for the Participant Training
program;

 Notify the Embassy of the deceased Participant’s country of residence or home

country located in the country where the program is taking place, and inquire into
any special cultural or religious requirements for handling and repatriating the
remains; and

 Work with the mortuary in the country where the program is taking place to
ensure that preparation and repatriation of remains has been expeditiously
arranged, and that all necessary documentation (including repatriation contact
information and address in the deceased Participant’s country of residence or
home country) has been provided for transport and delivery of remains.

e. Participant Reporting

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Sponsoring Units must use TraiNet to document all USAID Participants, except U.S.
citizens (see 253.3.2). TraiNet is the Agency-wide database for Participant Training,
jointly supported by E3/ED and the Bureau for Management, Office of the Chief
Information Officer, Division of Software Development Maintenance (M/CIO/DS).

Sponsoring Units must enter program data for third-country Participant Training in the
TraiNet database no less frequently than within 30 days of the end of each Federal
fiscal year quarter. Sponsoring Units must enter each Participant’s name for long-term
(six months or longer) programs, and must consolidate Participant Training data
according to program or sub-program, as is required for in-country Participant Training.
The data must include:

 Participant Name (for long-term programs);

 Participant Country of Residence;

 Subject area;

 Program Name;

 Start and end date;

 Total number of Participants per Participant group, with gender breakdown; and

 Total cost of each Participant Training program.

Sponsoring Units must update estimated Participant Training costs that were developed
during the planning phase, and report actual Participant Training costs incurred in
TraiNet within 30 calendar days (90 calendar days for long-term programs) of the
completion of each program (see 253.3.3).

f. Recovery of Training Costs

The signed AID Form 1381-7, Conditions of Sponsorship for Third Country
Participant Training, dated 01/2010 or later, is one legal instrument USAID uses to
collect Participant Training costs from Participants who fail to return home upon
completion of their program or are terminated by USAID from their program.

The Sponsoring Unit will determine the appropriate collection action for non-returnees
or Participants terminated by USAID from their third-country Participant Training
program based on a number of considerations. The Sponsoring Unit must document
procedures for handling non-returnee cases and cases of Participants terminated by
USAID from their program and include them in a Participant Training Mission Order or
Mission Directive.

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Sponsoring Units must retain all administrative file documents of Participants for a
period of three years after the program end date. These saved documents will provide
written evidence substantiating any indebtedness to the USG in the event that USAID
later determines a Participant to have been a non-returnee or terminated by USAID
from their program with a debt to the USG (see ADS 625.3.6.7c).

g. Required File Documentation

Sponsoring Units, and Implementers in accordance with the terms of their awards, must
handle, maintain, and safeguard EV documentation in compliance with the USAID
Records Management Program (see ADS 502).

Sponsoring Units must retain hard (paper) copies of the following administrative file
documents of Participants, dependents, and sponsored programs:

 Participant Training Program Request, if applicable (see 253.3.1.4);

 Nomination/Participant selection documentation;

 Participant’s biographical data information -- including names and contact

information of family members residing in the country where the program is
taking place (see optional AID Form 1380-1, Participant/Exchange Visitor
Biographical Data;

 Face page of Participant’s passport or national identification card;

 Signed AID Form 1381-7, Conditions of Sponsorship for Third Country

Participant Training, dated 01/2010 or later;

 Participant Training Program Implementation Plan, if applicable (see 253.3.1.5);

 Pre-departure orientation checklist;

 Stakeholder Compact, if applicable (see 253.3.5.4); and

 Participant tracking documentation.

253.3.6 Regional Participant Training Requirements

Effective Date: 09/26/2014

Sponsoring Units should consider the option of regional Participant Training, based on
regional development objectives and the availability of regional funding. Regional
programs bring together Participants from multiple countries to one location, providing

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the content benefits of immersion and experiential learning, a focus on a theoretical or a

regional model, and regional and multi-national team formation.

Sponsoring Units must be guided by the following provisions related to regional

Participant Training:

a. Regional Participant Training Defined

Regional Participant Training is Participant Training (see 253.1) that is funded by a

Sponsoring Unit using regional funds, as opposed to bi-lateral funds, the results of
which will be reported on a regional and/or multi-national basis, as opposed to being
reported only on a country-specific basis.

Participant Training supported by Missions funding Participants from multiple countries

to attend the same program in the same location using individual country bi-lateral
funds, the results of which are to be reported on a country-specific basis, is not
considered regional Participant Training. Such programs are considered to be either in-
country (see 253.3.4), third-country (see 253.3.5), or U.S.-based (see 253.3.7)
Participant Training programs, respectively.

b. Reporting Regional Participant Training

Sponsoring Units must use TraiNet to document all USAID Participants sponsored for
regional Participant Training programs, except U.S. citizens (see 253.3.2). TraiNet is
the Agency-wide database for Participant Training, jointly supported by E3/ED and the
Bureau for Management, Office of the Chief Information Officer (M/CIO).

Sponsoring Units must enter data in TraiNet for regional programs no less frequently
than within 30 days of the end of each Federal fiscal year quarter.

TraiNet provides optional screens for reporting data on regional Participant Training.
Appropriate reporting of regional programs in TraiNet depends upon each Participant’s
country of permanent residence and the location of the regional program.

 IN-COUNTRY – For Participants who reside in the same country where a

regional Participant Training program is taking place, Sponsoring Units
have the option of reporting the program as either a regional program or
an in-country program (see 253.3.4.5);

 THIRD-COUNTRY – For Participants who reside outside the country

where a regional Participant Training program is taking place, when the
program is not taking place in the U.S., Sponsoring Units have the option
of reporting the program as either a regional program or a third-country
program (see 253.3.5.5);

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 U.S.-BASED – For Participants who reside outside the country where a

regional Participant Training program is taking place, when the program is
taking place in the U.S., Sponsoring Units must report the program as a
U.S.-based program (see 253.3.7.5).

c. Required Policy and Procedures

Policy and procedures applicable to regional Participant Training depend upon the
Participants’ country of permanent residence and the location of the regional exchange,
training, or education.

 IN-COUNTRY – For Participants who reside in the same country where a

regional Participant Training program is taking place, Sponsoring Units must
refer to the In-Country Participant Training section of this directive for applicable
policy and procedures (see 253.3.4);

 THIRD-COUNTRY – For Participants who reside outside the country where a

regional Participant Training program is taking place, when the program is not
taking place in the U.S., Sponsoring Units must refer to the Third-Country
Participant Training section of this directive for applicable policy and procedures
(see 253.3.5);

 U.S.-BASED – For Participants who reside outside the country where a regional
Participant Training program is taking place, when the program is taking place in
the U.S., Sponsoring Units must refer to the U.S.-based Participant Training
section of this directive for applicable policy and procedures (see 253.3.7).

253.3.7 U.S.-Based Training Requirements

Effective Date: 09/26/2014

Sponsoring Units must consider the option of U.S.-based Participant Training. This
option often contributes to the achievement of on-going program goals and
development objectives, and helps to build cultural understanding with key stakeholders
in partner countries.

Cultural Focus “Experience America” -- U.S.-based Participant Training programs

contribute greatly toward fulfilling the foreign policy goals of the United States and
furthering its national interests. USAID functions in an interdependent and
interconnected world. U.S.-based programs enable individuals to reach across borders
and interact with one another on a personal and professional level. Such programs help
to foster mutual understanding and cooperation between nations and to dispel myths
and misunderstandings of U.S. culture and society among people, building a richer
understanding of American people, places, and practices. USAID programs touch
thousands of people throughout the world. They strengthen the bonds of our global
community and promote international development and stability. U.S. programs act in

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concert with U.S. national security interests. In areas as diverse as economic growth,
health, education, environment, food security and legislative studies, U.S.-based
Participant Training programs foster global cooperation in every area of professional
and human endeavor. They provide participants not only with the knowledge, skills, and
attitudes they need to improve their societies and work places, but also with the
opportunity to gain a broader understanding of different people and different
professional cultures.

Individuals who are found unsuitable for selection due to findings that resulted from a
Security Risk and Fraud Inquiry (see ADS 252.3.3) or medical eligibility (see ADS
252.3.2) are not eligible to participate in U.S.-based Participant Training programs.
ADS 252 provides policy regarding Agency approval of Participants in U.S.-based
programs.

253.3.7.1 Provider Selection and Tuition Guidelines

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to Participant

Training program provider selection, and tuition and administrative fees:

a. Training or Education Provider Selection

Sponsoring Units must determine Participant Training objectives before addressing cost
issues. In cases where the delivery of the actual exchange, training, or education will
be outsourced by an Implementer, the Sponsoring Unit must ensure that the
Implementer considers the best practice of procuring Participant Training program
provider services through limited competition.

In accordance with Presidential Executive Orders 12876, 12900, and 13021,

Sponsoring Units must endeavor, to the maximum extent possible, to maintain the use
of Historically Black Colleges and Universities (HBCUs) and other Minority Serving
Institutions (MSIs), including Hispanic Serving Institutions and Tribal Colleges and
Universities, as Participant Training program providers.

b. Tuition and Administrative Fee Caps

While Sponsoring Units must determine Participant Training objectives before

considering costs, at the same time, Sponsoring Units must also observe general caps
on total tuition and administrative fees for long-term (six months or longer) academic
programs.

The Mission Director (or Officer Director for Washington-managed programs), or their
designees, are authorized to waive these caps in individual instances, with a written
justification specifying why the cap is not in the cost-benefit interest of the Sponsoring
Unit.

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The following tuition cap figures are based on general rates for current undergraduate
and graduate out-of-state students, and are subject to periodic review and adjustment
by E3/ED. They are adjustable for the actual costs and special needs of USAID-funded
Participants:

 Undergraduate enrollment: $26,063 per standard U.S. academic year, for the
institution's tuition and administrative fees; and

 Graduate enrollment: $31,926 per standard U.S. academic year, for the
institution's tuition and administrative fees.

A five percent inflation factor may be added to the tuition cap in each successive year,
starting with the 2013-2014 academic year.

253.3.7.2 Travel, Lodging, and Other Logistics

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to Participant travel
and lodging, allowances, and other logistics:

a. Participant Travel

Sponsoring Units must purchase round-trip (if feasible), economy class airline tickets for
Participant travel. All USAID-funded travel must be purchased in compliance with the
Fly America Act. The Fly America Act requires the use of U.S. registered carriers, with
certain exceptions, and does not preclude the use of a foreign-flag carrier that provides
transportation under an agreement between the U.S. Government and a foreign
government (referred to as Open Skies Agreements).

b. Participant Lodging

Sponsoring Units should follow the Agency best practice of arranging double-occupancy
accommodations whenever feasible, except when home-stays are being arranged.

c. Participant Allowances

All USAID-sponsored Participants must receive no more than the prescribed USAID
allowance rate, unless the Sponsoring Unit authorizes a higher rate in consideration of
individual circumstances.

Sponsoring Units must not pay Participants the published allowance rates in full, without
cause. Sponsoring Units must adjust payment accordingly if the full amount is not
required. Sponsoring Units must make final determinations regarding allowance
adjustments, including a determination as to whether to reduce maintenance for trips
outside the U.S. of fewer than 30 days.

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Maintenance allowances fall into two categories that Sponsoring Units must observe:
long-term program allowance rates and short-term program allowance rates.

1. Long-Term (six months or longer) Program Allowance Rates

Long term program allowance rates are used when Participants are enrolled in
programs that are six months or longer, take place in academic institutions, and
result in an academic degree or a technical certificate of completion.

The Department of State researches and establishes long-term academic

program allowance rates for U.S. sites (see ADS 253mac, Monthly
Maintenance Rates). USAID uses these rates to guide its long-term academic
program monthly maintenance; however, Sponsoring Units have the flexibility to
determine the final rate allowances that are reflected in each Participant Training
program budget. Allowances that are not considered appropriate are not to be
paid. In some instances, a Participant may not need the entire range of potential
cost elements.

Sponsoring Units must raise or reduce allowances based on the actual cost of
the program. The program Contracting Officer’s Representative (COR) or
Agreement Officer’s Representative (AOR) must have documented justification to
support increased or reduced allowances.

Not all Department of State allowances apply to USAID Participants. Only those
allowances listed below must be used to calculate allowances for USAID
Participants.

 Books and supplies: $1,000 per academic year; $300 per summer term
(includes English language programs).

 Supplementary book allowance: Up to $300 per year (accountable).

 International travel: Round trip (from home to program site and return),
unless provided by another funding source as cost-sharing.

 Monthly maintenance: As provided in published rates (DOS rates for

academic programs, GSA rates for technical programs). Rates may be
adjusted to fit specific needs.

 Return baggage allowance (for long-term programs): $300.

 Thesis allowance: $500 for master's (discretionary) and $1,000 for

doctorate (increase possible if required).

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 Incidental allowance if required for travel between multiple sites: $20 per
day.

 Book shipment: Discretionary, $50 for each semester or quarter, or other

amount set by Mission or Washington Office COR/AOR.

 Professional societies: Discretionary, $275 for a two-year period, or other

amount set by Mission or Washington Office COR/AOR.

 Student memberships: Discretionary, $75/year.

 Property damage insurance: Discretionary, amount set by Mission or

Washington Office COR/AOR, to provide coverage for Participants
enrolled in long-term academic programs or in other instances as deemed
appropriate.

The Participant may be eligible for expense reimbursement for the following cost
elements. Sponsoring Units make reimbursement decisions on a case-by-case
basis.

 Research projects

 Computer purchases

 Internet access fees

 Tutors

 Excess thesis expenses

 Book purchases in excess of the established rate

 Book shipments

 Professional society memberships

 Student memberships

2. Short-Term (less than six months) Program Allowance Rates

U.S. short term (fewer than six months) program allowance rates (such as
standard per diem rates) are based on GSA’s Standardized U.S. Government
Federal Travel Regulations, as established by GSA. These rates are found at 41
CFR 301-7 and 301-8.

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USAID reminds Sponsoring Units that they must reduce maintenance allowances
by the amount equal to any additional money that a Participant directly receives
in the form of a scholarship, stipend, assistantship, or wages (see 253.3.1.4(b)).
Participants must receive only the amount that the Sponsoring Unit establishes
based on the prescribed rate.

d. Interpreters

Sponsoring Units must negotiate interpreter's compensation for each program to the
lowest possible rate. USAID does not rely on Department of State rates for interpreter
services as the basis for establishing interpreter fees.

Sponsoring Units must not assign Participants who know English to be collateral
interpreters or technical escorts while they are in Participant status, as they are not
trained in interpreter or technical escort skills, and undertaking those duties would
detract from their full participation in the Participant Training program.

253.3.7.3 Conditions of Sponsorship

Effective Date: 09/26/2014

Sponsoring Units must inform all potential Participants of the Agency’s conditions of
sponsorship for U.S.-based programs, and seek potential Participants’ agreement to
those conditions, as part of the initial Participant selection process (see ADS 253.3.2).
All Participants must sign the English-version of the AID Form 252-1, Conditions of
Sponsorship for U.S.-Based Activities, indicating that they understand and agree to
the contents of the form before accepting USAID sponsorship. The EV may also sign a
version translated into his or her primary language if a translation is available.
Sponsoring Units must use the most recent version of this form (dated 12/2013 or later).
ADS 252 provides further policy related to the handling of the form. The following
subsections detail the minimum essential conditions of sponsorship:

All EVs must sign the English-version of the AID Form 252-1, Conditions of
Sponsorship for U.S.-Based Activities, indicating that they understand and agree to
the contents of the form before accepting USAID sponsorship. The EV may also sign a
version translated into his or her primary language if a translation is available.
Sponsoring Units must use the most recent version of this form (dated 12/2013 or later).
A signed copy must be retained by the Sponsoring Unit and the Implementer in
accordance with the terms of their award, as well as given to the EV. The R2-Verifier
(see 252.3.5.2) of an EV’s or dependent’s VCS record must scan and upload a signed
copy to VCS. Prior to sharing the completed form with the EV, Sponsoring Units must
remove page 3 of this form (the page with a grey “FOR USAID STAFF ONLY” box) –
page 3 of this form is for internal USAID use only.

a. Visa Compliance

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Sponsoring Units must review and adhere to the provisions in ADS 252, which provides
guidance regarding U.S. visa compliance for Agency-sponsored individuals. With few
exceptions, any foreign national whom USAID sponsors fully or partially, directly or
indirectly, for Participant Training programs in the U.S. must enter the U.S. on a J-1 visa
(non-immigrant Exchange Visitor visa) processed under a USAID Exchange Visitor
program number (see ADS 252).

b. Dependents

ADS 252 provides policy regarding travel to the U.S. for dependents of Agency-
sponsored Participants. In order to avoid financial liability and to minimize the
possibility of non-returnees, USAID strongly discourages dependent travel (see ADS
252.3.4).

c. Two-Year Residency Requirement

ADS 252 provides guidance regarding the two-year residency requirement for Agency-
sponsored individuals. Section 212(e) of the Immigration and Nationality Act (8
USC § 1182) requires that J-1 visa holders reside for a total of 24 months, either
consecutively or non-consecutively, in their respective home country before qualifying to
apply for certain types of non-immigrant visas (for example, H-1 or L-1) or legal
permanent residence in the U.S. – commonly known as a green card (see ADS 252).

d. Health and Accident Insurance

ADS 252 provides guidance regarding health and accident coverage for Agency-
sponsored Participants in U.S.-based programs. Sponsoring Units must enroll EVs in
health and accident insurance coverage that meets or exceeds the federal requirements
established to implement the Mutual Educational and Cultural Exchange Act of 1961, as
amended, Public Law 87–256, 22 U.S.C. 2451, et seq. (1988) as set forth in the Code
of Federal Regulations, Title 22, Part 62.14 (22 CFR 62.14), as periodically updated.
Additionally, Sponsoring Units must ensure that certain aspects of minimum coverage
meet specified Agency minimum coverage requirements (see ADS 252.3.6.2).

e. Participant Employment

USAID-sponsored Participants for U.S.-based Participant Training programs can be

employed in the U.S. only in connection with an assistantship, on-the-job-Training, or
program-related practical experience that is an integral, documented part of the
sponsored program and the Sponsoring Unit approves it. As long as the employment
is part of the approved program, USAID does not require special work permission.
When a Participant receives a salary or stipend in connection with employment that is
part of the sponsored program, the individual’s maintenance allowance must be
reduced by the net amount paid.

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USAID-sponsored Participants for U.S.-based Participant Training programs can also

be employed in the U.S. when the employment is not part of the approved
sponsored program, only under the following conditions. The Sponsoring Unit must
make a factual determination that:

 The Participant requires employment for an urgent and unusual need that has
arisen since the Participant arrived in the U.S. Financial needs associated with
the Participant having dependents in the U.S. are not sufficient justification for
employment; and

 Employment does not interfere with the Participant’s program participation nor
cause his or her studies to fall below the full-time level.

Sponsoring Units must approve the employment in writing in such cases where the
employment is not part of the program. If at any point the Participant's program
participation becomes affected by the employment, the Sponsoring Unit must take steps
to have the individual end the employment. Participant employment must not be
approved for the purpose of supporting dependents.

Employment must not exceed 20 hours per week. Employers and Participants are
required to complete USCIS Form I-9, Employment Eligibility Verification.
Sponsoring Units must inform the USAID Responsible Officer or Alternate Responsible
Officers in E3/ED of all Participant employment (see ADS 252).

f. Language Proficiency

Sponsoring Units must verify that each Participant is proficient in English at a sufficient
level to participate in his or her program, if the Participant will undertake a U.S.-based
Participant Training program conducted in English. Sponsoring Units must designate
the party responsible for assessing English competency. English language competency
can be verified through a variety of means including interviews, publications,
presentations, past education conducted in English, and formal testing. Even if
accompanied by an interpreter, each Participant must have sufficient English language
skills to understand and respond to basic questions at the port of entry.

In certain cases, a Participant may not initially have sufficient English proficiency to
qualify for an academic program in the U.S. However, if the program includes an
introductory English language instruction sufficient to prepare the Participant for the rest
of the program, the Sponsoring Unit may approve the Participant for the program.

For more specific guidance on assessing English language competency or for

assistance in obtaining formal tests, please contact E3/ED/PT (see 253.2).

g. Program Work Load

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Participants in academic degree programs (associate, bachelor’s, master’s degree, or

doctorate) must be registered for credits and carry a full-time student course load or be
engaged in program-related activities on a full-time basis, as defined by the respective
academic institution, throughout their stay in the U.S. Academic Participant Training
programs that bridge the summer months must include the equivalent of full-time
summer study.

Participants in non-degree programs must be engaged in the program on a full time

basis, as defined by the respective Participant Training program provider.

253.3.7.4 Pre-Departure Preparation and Orientation

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to pre-departure

preparations and orientation:

a. Stakeholder Compact

Sponsoring Units must prepare a written Stakeholder Compact for each Participant
USAID sponsors for U.S.-based Participant Training programs that are more than one
week in duration. Preparing a Stakeholder Compact is optional for U.S.-based
programs that are one week or less in duration.

Individuals who accept USAID sponsorship for Participant Training enter into a
relationship of mutual commitment involving USAID, the implementer, the Participant
Training program provider, the Participant, and the Participant’s employer. For long-
term academic programs, the educational institution represented by the academic
advisor must be included as a stakeholder. This relationship entails both rights and
responsibilities for all parties. The Stakeholder Compact (sometimes referred to as a
Stakeholders’ Agreement, Training Agreement, or Objectives Memorandum), sets out
these rights and responsibilities in writing. Elements of a Stakeholder Compact include:

 A description of expected work performance outcomes from the Participant

Training program and/or post-program follow-on activities; and

 An agreed-upon return-to-work date and stakeholder responsibilities in the post-

program, follow-on phase.

For short-term (less than six months) Participant Training programs, the Sponsoring
Unit is encouraged to develop wording for a standardized, summary Stakeholder
Compact linked to the AID Form 252-1, Conditions of Sponsorship form for U.S.-
Based Activities, dated 12/2013 or later.

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In cases where no employer is identified at pre-departure time (for example, with self-
employed Participants, entrepreneurs, or some long-term Participants), the Stakeholder
Compact is drawn between the Participant, the Sponsoring Unit, and other
stakeholders. The cost-benefit of the Participant Training program in question must be
clear in meeting organizational performance goals.

For best practice guidance and a sample template for developing stakeholder
compacts, see ADS 253sai, Stakeholder Compact Illustratives.

b. Pre-Departure Orientation

Sponsoring Units must conduct pre-departure orientation for Participants selected for
U.S.-based programs (see also ADS 252.3.6) and must provide Participants with a copy
of the Agency’s official Pre-Departure Guide for U.S.-Based Participant Training and
Exchange Visitor Programs. Orientation programs are typically organized by the
implementer and create a foundation for technical or academic Training by reducing
uncertainty and eliminating obstacles to learning. Participation by implementer staff,
Mission Participant Training staff and technical office staff, host country officials, and
returned USAID Participants may be valuable, particularly when group orientations are
held.

In the case of effective U.S-based English language Training programs, orientation

incorporates American cultural and generalized administrative information, international
travel guidance, and exercises drawing on everyday life in the United States.
(Language programs incorporating such material are not a substitute for pre-departure
orientation.)

Pre-departure orientation is normally divided into four parts: Program Objectives and
Overview; Administrative and Policy Review; Cultural Aspects; and Training/Learning
Methods. These topics must be discussed in orientations for U.S. Participants.

1. Program Objectives and Overview

The Sponsoring Unit, implementer, and stakeholders agree on the objectives,

content, and logistics of the Participant Training program, return to work date,
itinerary, and the institutional change that the program is expected to support.
Participants must understand the relationship of their program to the USAID and
host country development plan, and what their responsibilities are in return.

For academic programs, differences in academic procedures and expectations

between the home country and the U.S. must be explicitly discussed with the
Participant. This is particularly important when differences in academic
relationships and teaching systems could hinder the Participant’s integration into
the program, and thereby constrain learning.

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2. Administrative and Policy Review

The administrative and policy review of the Participant Training program must be
thorough and careful to avert any potentially stressful uncertainty about program
logistics, scheduling, or administration. During the review,

 The Sponsoring Unit must complete a Participant Pre-Departure Checklist

and share a copy with the Participant.

 Each Participant must sign the AID Form 252-1, Conditions of

Sponsorship form for U.S.-Based Activities, dated 12/2013 or later,
and the Stakeholder Compact to confirm: a) his or her understanding of
responsibilities as a USAID-sponsored Participant; b) concurrence with
the program objectives and anticipated results; and c) acceptance of the
requirement to return to the home country upon completion of the
program, and the consequences of failing to do so, including any required
repayment of program costs (see AID Form 253-1, Demand for Training
Costs Repayment Letter). The Mission retains one copy of these
documents and gives another to the Participant. The Mission should also
send a copy to the implementer.

 The Sponsoring Unit must:

a) Fully discuss USAID policies and rules on per diem

payments, employment, operation of automobiles,
dependents, and other similar issues.

b) Review travel plans, including reservations, tickets, arrival,

and airport arrangements, security procedures at the port of
entry, date of departure, and date of arrival in and departure
from the U.S.

c) Explain the Participant’s health and accident insurance

coverage. The explanation must include the limitations of
coverage and make clear that USAID is not responsible for
uncovered claims. The Sponsoring Unit must also provide
emergency contact information for Participants in distress
while in the United States.

d) Emphasize the requirement that the Participant must depart

the U.S. within three calendar days (seven calendar days for
long-term programs) after the last technical or practical U.S.-
based component of his or her program and the requirement
to return home upon completion of the program and
penalties for failing to do so. (Marriage to a U.S. citizen or

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permanent resident does not provide an acceptable

justification for violating this requirement.).

e) Explain maintenance and other allowances. The Sponsoring

Unit must advise the Participant in writing that USAID will
pay no legal fees on behalf of a Participant if the Participant
is arrested or otherwise must obtain legal counsel, and that
the Sponsoring Unit will reduce maintenance rates if the
Participant receives any additional income in the form of a
scholarship, assistantship, or wages.

f) Provide information on hotel and housing arrangements, and

the financially responsible party.

g) Provide a physical mailing address (not a P.O. Box).

h) Share emergency contact numbers in the Mission so that

family members can contact Participants in an emergency.

i) Discuss the income tax status of any scholarship with the

Participant.

3. Cultural Aspects

Participants and dependents who travel to the U.S. to join a Participant require an
introduction to life in the United States, which includes an understanding of the
culture, climatic differences, clothing, food, religions, and other customs as well as
information on political differences and personal security questions. Meetings with
returned Participants can be particularly useful in identifying awkward cultural
situations that the Participants might encounter.

The orientation must stress appropriate behavior in male-female relationships and

interaction in the United States. Orientation can effectively employ films, videotapes,
the Internet, books, role playing, and other resources to provide awareness of
beliefs, behavior patterns, cultural standards of politeness, and similar key cultural
aspects.

4. Methods of Learning

The pre-departure orientation must explain the interactive nature of classroom

discussion in the U.S., in which Participants express their own thoughts and
analyses of problems. Also, pre-departure orientation for U.S. Participant Training
should, whenever possible, include some basic computer Training, as U.S.-based

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program settings require a minimum level of computer literacy for Internet or library
searches, for example.

253.3.7.5 Monitoring and Reporting

Effective Date: 09/26/2014

Sponsoring Units must be guided by the following provisions related to the monitoring
and reporting of programs and Participants:

a. Participant Monitoring

The Sponsoring Unit must monitor Participant progress, which ensures that problems
are resolved quickly and increases the likelihood that the Participant's program will be
successful.

Sponsoring Units must include rigorous monitoring requirements in Scopes of Work and
Program Descriptions that involve Participant Training implementation services. At a
minimum, monitoring must include assurances that:

 The Participant has arrived and settled into suitable living quarters;

 The Participant promptly reports any change of address;

 The program meets the original program objectives and Stakeholder Compact
requirements, if applicable;

 The Participant is enrolled in a full course of study, if in an academic program, or

is regularly attending scheduled activities and/or sessions of a technical program;

 The Participant attains established levels of achievement as determined by the

Participant Training program provider;

 The Participant does not develop serious personal or health problems that impair
the successful completion of the program; and

 The Sponsoring Unit makes departure arrangements for the Participant upon
completion or termination of the program. The Sponsoring Unit arranges a
debriefing with the Participant.

Sponsoring Units must monitor the academic progress of Participants who are enrolled
in degree-earning academic education programs by reviewing AID Form 1380-69,
Academic Enrollment and Term Report (AETR) obtained from the academic
institutions.

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b. Non-Returnees

ADS 252 provides policy regarding the monitoring and reporting of Participant departure
from the U.S. USAID considers the content of any Participant Training program to
include travel from the U.S. to the Participant’s home country in addition to the technical
or practical components of the program; therefore, the end date of a Participant’s
program is the day the Participant is scheduled to arrive back in his or her home country
upon return from the U.S. A Participant must depart the U.S. within three calendar days
(seven calendar days for long-term programs) after the last technical or practical U.S.-
based component of his or her program, unless circumstances preclude the departure
and the USAID Responsible Officer (RO) or Alternate Responsible Officer (ARO)
approves the exception in writing (see ADS 252).

USAID-sponsored Participants must return to their home country immediately upon

departure from the U.S. Sponsoring Units must make continuous efforts to reduce the
non-returnee rate, focusing on planning, design, Participant selection, progress
monitoring, and on tracking Participants' post-program whereabouts. The Sponsoring
Unit is responsible for the determination in writing that the Participant is a non-returnee,
and, when such determination is made, to initiate actions on behalf of the U.S.
Government to recover the Participant’s Participant Training costs (see 253.3.7.5g).
Sponsoring Units must keep these Participant program costs in the Participant’s file and
also record them in TraiNet.

c. Participant Arrest

Implementers in accordance with their awards must notify the Sponsoring Unit
immediately and in writing when Participants are arrested. Neither USAID nor the
implementer must aid or abet the Participant's departure from the U.S. prior to the date
of trial. If a Participant must remain past the anticipated return date for reasons related
to arrest and trial, the Sponsoring Unit must make financial arrangements consistent
with the AID Form 252-1, Conditions of Sponsorship form for U.S.-Based
Activities, dated 12/2013 or later, for appropriate accommodations until the
Participant's trial is over and the court renders a final legal determination.

d. Death of a Participant

In the event that a Participant dies during the course of his or her Participant Training
program, Sponsoring Units, and Implementers in accordance with the terms of their
awards, must perform the following actions:

 Inform the deceased Participant’s next-of-kin or other appropriate family member,

and inquire into any special cultural or religious requirements for handling and
repatriating the remains;

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 Notify the USAID Responsible Officer or an Alternate Responsible Officer for visa
compliance;

 Notify the USAID COR or AOR (if the representative is not within the Sponsoring
Unit);

 Contact the Participant’s health and accident insurance provider for assistance
with repatriation of remains;

 Notify the U.S. Embassy in the deceased Participant’s country of residence or

home country from which the Participant departed for the Participant Training
program;

 Notify the Embassy of the deceased Participant’s country of residence or home

country located in the U.S., and inquire into any special cultural or religious
requirements for handling and repatriating the remains; and

 Work with the mortuary in the U.S. to ensure that preparation and repatriation of
remains has been expeditiously arranged, and that all necessary documentation
(including repatriation contact information and address in the deceased
Participant’s country of residence or home country) has been provided for
transport and delivery of remains.

e. Participant Reporting

Sponsoring Units must use TraiNet to document all USAID Participants and their
accompanying dependents, except U.S. citizens (see 253.3.2). TraiNet is the Agency-
wide database for Participant Training, jointly supported by E3/ED and the Bureau for
Management, Office of the Chief Information Officer, Division of Software Development
Maintenance (M/CIO/DS). The data must be entered in TraiNet within an adequate
timeframe (see Estimated Timeframes for J Visa Process) to allow for the issuance
of the Certificate of Eligibility for J-Visa Status, form DS-2019, which is required for the J
visa application process (see ADS 252).

In the event that a Mission Director or USAID/W Office Director has exempted an
individual who is participating in a U.S.-based Participant Training program (see 253.1)
from USAID's policy of requiring the use of a J-1 Visa (see ADS 252), Sponsoring Units
must enter data for the program and individual in the TraiNet database no less
frequently than within 30 days of the end of each Federal fiscal year quarter. This data
must not be submitted to VCS.

Sponsoring Units must update the estimated Participant Training costs that were
developed during the planning phase, and report actual Participant Training costs
incurred in TraiNet within 30 calendar days (90 calendar days for long-term programs)
of the completion of each program (see 253.3.3).

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f. Participant Taxes

ADS 252 provides policy regarding U.S. tax requirements for J-1 visa holders. All J-1
visa holders assisted with funds from U.S. sources including USAID are subject to the
U.S. Internal Revenue Service (IRS) requirement to file U.S. tax returns, whether or not
tax payments are due (see ADS 252).

Sponsoring Units must provide excepted U.S. citizens and U.S. permanent residents
whose selection as a Participant has been approved by the Mission Director or
Washington Office Director (see 253.3.2a.2) with a Statement of Expenditures (or IRS
Form 1099) detailing program-related expenditures paid from U.S. sources on behalf of
the Exchange Visitor (see 253.3.3).

g. Recovery of Training Costs

Recovery of Participant Training costs from the Participant is authorized and predicated
on a separate binding agreement outside of Participant Training implementers’
contracts or agreements with USAID. The agreement which authorizes the recovery of
Participant Training costs from the Participant is referred to as the AID Form 252-1,
Conditions of Sponsorship form for U.S.-Based Activities, dated 12/2013 or later.
Funds recovered as a result of Participant repayments to USAID are not considered
recoverable cost(s) under implementer contracts or agreements with USAID for
reprogramming purposes, since the funds recovered are a result of a separate binding
agreement. The recoveries flow from non-appropriated sources, and USAID cannot re-
classify them as an authorized budgetary resource. Receipts become unavailable for
USAID budgetary purposes, that is, they cannot be re-programmed for any reason.
Recovered funds must be returned by the Agency to the general fund of the U.S.
Treasury to avoid potential Anti-deficiency Act violations (see ADS 625, Accounts
Receivable and Debt Collection).

As noted on the AID Form 252-1, Conditions of Sponsorship form for U.S.-Based
Activities, dated 12/2013 or later, USAID informs Participants of, and obtains their
agreement to, repay Participant Training costs if they fail to return home upon
completion of their program or are terminated by USAID from their program.

In cases when a USAID Mission or Bureau deferred or recommended a waiver of the

Two-Year Home Residency Requirement indicated on a Participant’s DS-2019 Form
(see ADS 252 for information on the DS-2019 form) and the Conditions of Sponsorship
form, USAID will not send a Demand Letter, issue a Bill of Collection, or otherwise seek
to recover any costs related to the sponsorship of such Participant.

Upon confirmation that the Participant is a verifiable non-returnee or has been

terminated by USAID from their program, the following accounting procedures occur, in
order:

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 The Sponsoring Unit or Activity Manager for Mission-funded and managed

Participants must determine the costs spent for the Participant Training as
recorded in TraiNet.

 The funding Mission’s Controller or Regional Controller must send an AID Form
253-1, Demand for Participant Training Costs Repayment Letter (“Demand
Letter”) to the non-returnee at his or her last known address. For centrally
funded or centrally managed programs, E3/ED determines the costs spent for the
Participant Training and advises the Washington Financial Services Division
(M/CFO/WFS) who sends the Demand for Training Costs Repayment Letter to
the non-returnee’s last known address.

 The relevant accounting office (billing office) establishes the Accounts

Receivable, in accordance with ADS 625.3.6.1. Overseas, the relevant billing
office is the Mission Controller or Regional Controller. In Washington, it is
M/CFO/WFS.

 Once the billing office has recorded the Accounts Receivable, it returns a copy of
the Demand Letter, with a completed Accounts Receivable reference as formal
acknowledgement of the record, to the Sponsoring Unit. The Sponsoring Unit can
then use the Accounts Receivable reference for follow-up and determination of
the current status of the receivable.

 The relevant billing office, with support from the Sponsoring Unit (for Mission-
funded Participant Training programs) or the Washington office (for centrally
funded Participant Training programs), must reply to any communications
concerning the Demand Letter within five business days.

The Sponsoring Unit transfers delinquent accounts over 60 days to USAID/W for debt
servicing (see ADS 625).

h. Required File Documentation

Sponsoring Units, and Implementers in accordance with the terms of their awards, must
handle, maintain, and safeguard EV documentation in compliance with the USAID
Records Management Program (see ADS 502).

Sponsoring Units must retain hard (paper) copies of all of the following administrative
file documents of Participants, dependents, and sponsored programs:

 Training Request, if applicable (see 253.3.1.4);

 Nomination/Participant selection documentation;

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 Participant’s biographical data information -- including names and contact

information of family members residing in the U.S. (see optional AID Form 1380-
1, Participant/Exchange Visitor Biographical Data;

 Face page of Participant’s passport;

 Participant security risk and fraud inquiry (SRFI) documentation (see ADS
252.3.3);

 English language proficiency documentation;

 Medical clearance confirmation, if applicable;

 AID Form 252-1, Conditions of Sponsorship form for U.S.-Based Activities,

dated 12/2013 or later (signed by both the Participant and USAID official);

 Training Implementation Plan, if applicable (see 253.3.1.5);

 Pre-departure orientation checklist;

 Stakeholder Compact, if applicable (see 253.3.7.4); and

 Participant tracking documentation.

Retention of these documents will provide written evidence substantiating any

indebtedness to the USG in the event a Participant is later determined to be a non-
returnee (see 253.3.7.5) or is terminated by USAID from his or her program with a debt
to the USG (see ADS 625.3.6.7c).

253.3.8 Alumni Support

Effective Date: 09/26/2014

Alumni of USAID Participant Training programs are a powerful force in furthering

development objectives.

a. Associations and Activities

Sponsoring Units must consider the significance of alumni associations and activities
when designing Participant Training programs. Forming an alumni association offers
alumni other opportunities to positively impact their country through implementing
concepts explored during their in-country, third-country and U.S. programs. Alumni
associations also provide for a sustainable forum for Missions to engage and partner
with alumni to advance shared goals. Alumni Association Formation: A Guide for

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USAID Missions is a helpful guide to those Sponsoring Units that wish to fund alumni
activities or form alumni organizations. No two associations are alike and there is no
single formula that will guarantee the successful creation of an alumni association,
however, Agency best practice presents a set of key steps and guidelines that many
successful associations have followed with proven success.

b. Online Community

Sponsoring Units must encourage Participants to register at the Web site entitled
“International Exchange Alumni”. The Agency has teamed with the Department of
State to allow Sponsoring Units and Participants access to the Web site (found at
https://alumni.state.gov/). Use of the Web site is highly encouraged, but not
mandatory. State Alumni is a global community, a dynamic and interactive networking
experience for all past and current Participants of U.S. government-sponsored
Participant Training programs. It allows Participants to stay connected with their
Participant Training experiences and explore the various opportunities available to
Participants. Members can find fellow alumni in their country and in all regions of the
world, and can share ideas, learn from fellow alumni, and find out about alumni activities
being implemented in communities the world over.

253.3.9 Performance Monitoring and Evaluation of Participant Training

Effective Date: 09/26/2014

The Agency’s Evaluation Policy (January 2011) emphasize using strong performance
monitoring and evaluation practices in order to apply learning gained from evidence and
analysis to USAID programs. Given that Participant Training contributes to achieving
development results, Sponsoring Units should consider the implications of ADS 201 and
thoughtfully apply corresponding performance monitoring and evaluation requirements.
For more information, Sponsoring Units should consult with the Office of Learning,
Evaluation, and Research in the Bureau for Policy, Planning, and Learning.

253.4 MANDATORY REFERENCES

253.4.1 External Mandatory References

Effective Date: 05/17/2012

a. 41 CFR 301-7 (travel allowances)

b. 41 CFR 301-8 (travel allowances subsistence)

c. 49 U.S.C. 40118, the Fly America Act

d. Enhanced Border Security and Visa Entry Reform Act, Pub. L. 107-173/H.R.
3525

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e. Executive Order 12876, Historically Black Colleges and Universities

f. Executive Order 12900, Educational Excellence for Hispanic Americans

g. Executive Order 13021, Tribal Colleges and Universities

h. Foreign Assistance Act of 1961, as amended

i. Open Skies Agreements

j. Section 212(e) of the Immigration and Nationality Act (8 USC § 1182)

k. State Sponsors of Terrorism

l. U.S. Internal Revenue Code, 1986 [Participant taxes]

253.4.2 Internal Mandatory References

Effective Date: 09/26/2014

a. ADS 201, Program Cycle Operational Policy

b. ADS 205, Integrating Gender Equality and Female Empowerment in

USAID's Program Cycle

c. ADS 206, Prohibition of Assistance to Drug Traffickers

d. ADS 252, Visa Compliance for Exchange Visitors

e. ADS 252maa, Complete Guide to USAID Visa Compliance

f. ADS 253mac, Monthly Maintenance Rates

g. ADS 522, Performance of Temporary Duty Travel in the U.S. and Abroad

h. ADS 625, Administrative Accounts Receivable

i. AIDAR 752.7019

j. USAID Disability Policy Paper, September 12, 1997

253.4.3 Mandatory Forms

Effective Date: 09/26/2014

a. AID Form 252-1, Conditions of Sponsorship for U.S.-Based Activities

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b. AID Form 253-1, Demand for Training Costs Repayment Letter

c. AID Form 1380-1, Participant/Exchange Visitor Biographical Data

d. AID Form 1380-5, Dependent Certification

e. AID Form 1380-69, Academic Enrollment and Term Report (AETR)

f. AID Form 1381-7, Conditions of Sponsorship for Third Country Participant

Training

g. Non immigrant Visa Application Form (DS-156)

h. USCIS Form I-9, Employment Eligibility Verification

253.5 ADDITIONAL HELP

Effective Date: 09/26/2014

a. ADS 253sab, Participant Training Plan

b. ADS 253sac, Training Intervention Request Form (TIRF)

c. ADS 253sad, Training Implementation Plan (TIP)

d. ADS 253sae, Budget Worksheet (BWS)

e. ADS 253saf, Alumni Association Formation: A Guide for USAID Missions

f. ADS 253sag, Participant Training Practitioner’s Manual

g. ADS 253sah, Pre-Departure Guide for U.S.-Based Participant Training and

Exchange Visitor Programs

h. ADS 253sai, Stakeholder Compact Illustratives

i. ADS 253saj, Updated Behavior Engineering Model

j. Estimated Timeframes for J Visa Process

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253.6 DEFINITIONS
Effective Date: 09/26/2014

The terms and definitions listed below have been incorporated into the ADS Glossary.
See the ADS Glossary for all ADS terms and definitions.

academic Training
Includes any program at a college or university leading to a degree (such as an
Associate of Arts/Science, Bachelor of Arts/Sciences, Masters of Arts/Sciences, or
doctorate). Academic Training can also include post-doctoral studies. (Chapter 253)

activity
In the context of this ADS chapter, see “Program”. (Chapter 252 and 253)

best practices
Highly recommended and endorsed Agency procedures to define and produce results-
based Participant Training programs, developed from field experience across regions
and consolidated in guidance material managed by the Bureau for Economic Growth,
Education, and Environment, Education Office (E3/ED). (Chapter 253)

bill of collection
A letter or form sent by USAID to a non-returnee Participant that includes the amount of
the Participant Training cost that is due, including administrative charges and late
penalties, if applicable. (Chapter 253 and 625)

capacity development
Approaches, strategies, or methodologies used by USAID and its stakeholders to
change, transform, and improve performance at the individual, organizational, sector, or
broader system level. (Chapter 253)

conferences
Short meetings among technical specialists or others working in a common field,
generally of a week's duration or less, to discuss a particular topic of shared,
professional interest. (Chapter 253)

cost containment, cost control (interchangeable)

Broad terms to describe a range of management actions, procedures, and tools applied
by the Sponsoring Unit and/or its contractor, grantee, or partner (Implementer) to
reduce the costs that USAID pays for Participant Training without compromising quality.
The cost to be contained may be any direct or indirect Participant or program cost.
Includes cost-sharing (see “cost-sharing”). (Chapter 253)

cost-sharing
Any instance where USAID or its partner arranges financial or in-kind support from
counterpart organizations or independent non-governmental organizations to benefit an

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Participant Training program. Cost-sharing can be done with the Participant Training
activity provider, Participant Training implementer, host-country institution, or any other
stakeholder. Typical cost-sharing includes tuition remissions, assistantships, program-
fee discounts, home-stays, in-kind contributions, international transportation costs,
Participant salary, and payment of any direct Participant cost by the non-USAID funding
source. Cost-sharing mobilizes additional financial resources for Participant Training,
and increases the coverage and effectiveness of USAID's limited budget resources.
(Chapter 253)

covered countries
Countries identified annually as major illicit drug-producing or drug-transit countries
under Section 490(h) of the FAA as well as any country or portion of a country that the
State Department determines is to be treated as a covered country under the 487
regulations. (Chapter 206 and 253)

dependent
The alien spouse and minor unmarried children of a Participant who accompany or join
the sponsored individual, and who sought to enter or have entered the United States
temporarily on a J-2 visa. For the purpose of these regulations, a minor is a person
under the age of 21 years old. (Chapter 253)

disability
A physical or cognitive impairment that affects a major life function, consistent with the
definition of the Rehabilitation Act. (Chapter 253 and 514)

distance learning
In the context of this ADS chapter, see “e-learning”. (Chapter 253)

DS-2019 form (Certificate of Eligibility)

An electronically generated federal form Participant Training Participants (also referred
to as Exchange Visitors) need in order to obtain a Department of State J-1 Exchange
Visitor visa. The form is issued by the USAID Responsible Office or Alternate
Responsible Officer in Washington under Department of State J-1 Exchange Visitor
Program guidelines. (Chapter 252 and 253)

e-learning
An online activity that allows participants to acquire skills and knowledge at their own
pace; allows participants to earn credits, certificates, and degrees from universities; and
offers cost savings to Missions that would otherwise be required to cover short- and
long-term travel, housing and other living costs. (Chapter 253)

event
In the context of this ADS chapter, see “Program”. (Chapter 252 and 253)

exchange

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Any program that involves an exchange of ideas, values, or culture between a host
country and the United States. Traditional programs with individuals traveling between
the U.S. and another country, non-traditional programs using technology, or a
combination of both. (Chapter 252 and 253)

Exchange Visitor
Any host-country resident or host-country national traveling to the United States whose
travel USAID funds in whole or in part, directly or indirectly is an Exchange Visitor. All
USAID-sponsored Exchange Visitors must obtain, use, and abide by the terms of the
J-1 visa exclusively even if they already have a valid non-immigrant visa (e.g., B-1/B-2).
All Individuals traveling under Invitational Travel (see ADS 522) must also travel on a
J-1 visa as a USAID-sponsored Exchange Visitor. (Chapter 252 and 253)

federal fiscal year

The Federal Fiscal Year has a start date of October 1st and an end date of September
30th. The first quarter of the Federal Fiscal Year begins on October 1st and ends on
December 31st. Subsequent quarters end on March 31st, June 30th and September 30th.
(Chapter 253)

follow-on
Term used to describe post-Participant Training activities or reports that document the
impact of Participant Training programs on the home country, Sponsoring Unit, in-
country employers, institutions, and Participants. (Chapter 253)

host country
The country in which a USAID-funded activity takes place. (Chapters 252, 253, 301,
305, 322, 495)

host country national

A citizen of a host country. (Chapter 253)

implementer
The individual or entity that carries out program and management planning and
oversight of Participant Training . See “Participant Training contractor.” (Chapter 253)

individual taxpayer identification number (ITIN)

The unique identifying number assigned by the IRS to each Participant trained in the
U.S., to track U.S. tax liability and payment. (Chapter 253)

in-kind contribution
The value of non-cash contributions to an Participant Training program provided by any
third party, including counterpart contributions from host country institutions. In-kind
contributions may be in the form of space, equipment, supplies, expendable property,
and the value of goods and services directly benefiting and specifically identifiable to a
Participant or the Participant Training program. (Chapter 253)

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J-1 visa
A non-immigrant visa issued by the U.S. Embassy for an individual who has a residence
in a foreign country which he has no intention of abandoning and who is coming
temporarily to the U.S. as a Exchange Visitor for the purpose of consulting;
demonstrating special skills; presenting; lecturing; conducting research; attending
professional meetings, conferences, workshops, or observational study tours; and
degree and non-degree academic studies (full course load); and specialty and non-
specialty Participant Training activities. (Chapter 252 and 253)

long-term Participant Training

Training provided in a structured learning environment, including but not limited to
degree-earning programs, with duration of six months or longer. (Chapter 253)

non-presence country
A country where USAID does not have a Mission or Representative Office. (Chapter
253)

non-returnee
An Exchange Visitor who has remained in the U.S. after the conclusion of his or her
program. Non-Returnees may include individuals who have remained in the U.S. and
have applied for a waiver of the two-year home residency requirement. They may also
include “no-shows” and individuals who fail to appear for their Exchange Visitor
program. A non-returnee may also be an individual who departs the United States but
does not return to their home country. (Chapter 252 and 253)

observation tours
Scheduled visits to one or more facilities to learn a process, method, or system through
observation and discussion. Observation Participant Training emphasizes the
acquisition of development ideas, approaches, and values. Participant teams with
homogeneous interests and levels of responsibility are often suited for observational
Training. (Chapter 253)

on-the-job Training
Instruction in a specific task or skill via mentoring by a practitioner using explanations,
demonstration, practice, and feedback. On-the-job Training may be combined with
academic or technical Participant Training to provide a practical experience component.
(Chapter 253)

Participant
An eligible host-country resident or national sponsored by USAID for a Participant
Training program conducted within the U.S., a third country, or in-country for the
purpose of furthering USAID development objectives. A learning activity takes place in
a setting in which an individual (the Participant) interacts with a knowledgeable
professional predominantly for the purpose of acquiring knowledge and skills for the
professional or technical enhancement of the individual. Learning activities may be

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formally structured, such as an academic program or a technical course, or they may be

more informal, such as an observational study tour. (Chapter 253)

Participant Training
A learning activity involving Participants taking place in the U.S., a third country, or in-
country, in a setting predominantly intended for teaching or imparting knowledge or
skills, with formally designated instructors or lead persons, learning objectives, and
outcomes, conducted fulltime or intermittently. The transfer of knowledge, skills, or
attitudes (KSAs), as well as ideas and sector context, through structured learning and
follow-up activities, or through less structured means, to solve job performance
problems or fill identified performance gaps. Participant Training can consist of long-
term academic degree programs, short or long-term non-degree technical courses in
academic or in other settings, seminars, workshops, conferences, on-the-job learning
experiences, observational study tours, and the use of technology such as distance or
e-learning, and online courses. The term Participant Training also encompasses
Exchanges, which are any program that involves an exchange of ideas, values, or
culture between a host country and the United States or another country; traditional
programs with individuals traveling between a host country and the United States or
another country, non-traditional programs using technology, or a combination of both.
(See 253.3.1.2) (Chapter 253)

Participant Training agreement

See Stakeholder Compact. (Chapter 253)

Participant Training impact

Improvements in individual job or organizational performance attributable to new skills,
knowledge, and attitudes (KSAs) acquired during the Participant Training and applied at
work settings, designed to contribute to institutional, sectoral, and host-country
development objectives. (Chapter 253)

Participant Training implementer

The individual or organization hired by a Mission or USAID/W Bureau or Independent
Office to help design, implement, or monitor aspects of results-oriented Participant
Training under Mission guidance and authority. See “Implementer.” (Chapter 253)

Participant Training, in-country

A learning activity taking place in a classroom or workshop setting with formally
designated instructors, learning objectives, and outcomes, conducted full-time or
intermittently within the host country. (Chapter 253)

Participant Training, informal

Learning activities taking place outside the classroom or other such formal structuring
during a period of Agency-sponsored Participant Training . Includes study and
observational tours, or on-the-job practical learning activities not connected to formal
classroom instruction, or through distance learning. (Chapter 253)

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Participant Training provider

Any institution, organization, or individual, whether public, private, non-profit, or for-
profit, that furnishes instruction directly to a Participant under full or partial USAID
funding. Distinct from Participant Training implementers who arrange for such
Participant Training and are also known as program Implementers. (Chapter 253)

Participant Training, regional

Any Participant Training program funded using regional funds, as opposed to bi-lateral
fund, that contributes to the achievements of regional, as opposed to country-specific,
objectives. Regional Participant Training may take place inside or outside a cluster of
countries that form a geographically or politically designated region. Any Participant
Training (see 253.1) program that is funded by a Sponsoring Unit using regional, not bi-
lateral funds, and where the results of the Participant Training will be reported on a
regional or multi-country basis, not a single country basis. (Chapter 253)

Participant Training, technical

Formally structured learning activities, generally in a classroom, that do not lead to an
academic degree. Can include technical courses at community colleges, technical
institutes or universities, on-the-job activities tied to technical-area classroom work, or
any combination of such formally structured, non-degree producing instructional
program. (Chapter 253)

Participant Training, third-country

Any Participant Training program conducted in a country that is not the host country or
the United States. (Chapter 253)

partner
An organization or individual with whom the Agency collaborates to achieve mutually
agreed upon objectives and to secure participation of ultimate customers. Partners
include host country governments, private voluntary organizations, indigenous and
international non-governmental organizations (NGOs), universities, other U.S.
Government agencies, United Nations and other multilateral organizations, professional
and business associations, and private businesses, foundations and individuals.
(Chapters 101, 102, 253)

program
A program is aligned with a CDCS Development Objective and includes all projects and
other activities that are associated with a particular DO. (Chapter 253)

In the context of this ADS chapter, a program is a discrete Participant Training event or
academic term enrollment involving Participants taking place in the U.S., a third country,
or in-country intended for the transfer of knowledge, skills, or attitudes to solve job
performance problems or fill identified performance gaps. (Chapters 252 and 253)

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Public International Organization (PIO)

An international organization composed principally of countries or such other
organization as designated pursuant to ADS 308.2. (Chapter 253 and 308)

Sponsoring Unit
The Mission or Bureau/Independent Office that expends USAID funds for Participant
Training design, implementation, or evaluation activities. (Chapter 253)

stakeholder agreement
See Stakeholder Compact. (Chapter 253)

stakeholder compact
Also known as a Participant Training or Stakeholder Agreement. A written agreement
involving Participants, employers, and Sponsoring Units of specific performance change
targets within the organizational setting of the Participants selected for an Exchange or
Training. (Chapter 253)

stakeholders
Those who are affected by a development outcome or have an interest in a
development outcome. Stakeholders include customers (including internal,
intermediate, and ultimate customers) but can include more broadly all those who might
be affected directly, or indirectly, by a USAID activity and might not be identified as a
“customer.” (Chapter 253)

statement of expenditure
The accounting of expenditures that must accompany each U.S. Participant's income
tax return, detailing the Training-related expenditures paid from U.S. sources on behalf
of the Participant. (Chapter 253)

third country
Any country that is neither the U.S. nor the host country. (Chapter 253)

third country national

A legal resident, but not a citizen, of the non-U.S. country in which the Sponsoring Unit
is operating. (Chapter 253)

TraiNet
USAID's database for reporting of information on all USAID Participant Training, and
other Exchange Visitor activities. TraiNet is USAID’s single repository of Participant
Training data. TraiNet is a Web-based application that helps Missions, contractors and
contractor systems at various locations to collaborate in Participant Training reporting.
(Chapter 253)

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