RFA Issuance Date:		August 13, 2009
Questions on RFA Due By:	August 24, 2009
RFA Closing Date:		September 24, 2009
RFA Closing Time: 		4 p.m. Nairobi, Kenya Time
 
Subject:	Request for Applications (RFA) No. SOL-623-09-000017; Djibouti Elections and Political Processes (DEPP)

 Dear Applicant:

The United States Agency for International Development (USAID), East Africa is seeking applications from qualified and eligible organizations to implement the “Djibouti Elections and Political Processes (DEPP) ” with USAID-provided financial assistance.  

The authority for this RFA is found in the Foreign Assistance Act of 1961, as amended. 

USAID intends to make available up to $1,825,000 and award a single Cooperative Agreement (a form of a grant) to fund the successful Applicant’s Program designed to achieve objectives and results matching those described in the RFA Section C.  USAID will make funds available incrementally.  Program implementation is expected to be fully completed within two years– the maximum period of authorized funding.   It is anticipated that award will be made in September, 2009.

I.	ELIGIBILITY:

USAID/East Africa seeks applications from the U.S. Nongovernmental Organizations (see NOTE at the end of this Cover Letter) having necessary knowledge/experience in successfully managing or implementing similar programs in the past.  Rapid mobilization is required immediately following selection of the successful Applicant.  The Cover Sheet of the application must include statement on the timeframe (example: within two weeks of the award’s signing) Applicant will deploy team necessary to start the full-scale implementation of the initial major phase (or component) of the Program.

U.S. Agency for International Development
USAID/East Africa
P.O. Box 629
Village Market 00621
Nairobi, Kenya	Courier Address:
USAID/East Africa
c/o American Embassy
United Nations Avenue, Gigiri,
Nairobi, Kenya	U.S. Postal Address:
USAID/East Africa
Unit 64102
APO AE 09831-4102	

Tel: 254-20-862 2000
Fax: 254-20-862 2680 / 2682
http://eastafrica.usaid.gov	

II.	OTHER IMPORTANT INFORMATION:

1.   It is the USAID’s policy not to award profit under assistance instruments (22 CFR 226.81).  However, when the prospective Applicant envisions awarding a sub-contract in order to carry out the Program, the for-profit subawardee’s profit/fee is a legitimate Program expenditure (provided it is reasonable).  
2.   All reasonable, allocable, and allowable expenses, both direct and indirect, which are related to the grant program and are in accordance with applicable cost standards (22 CFR 226, OMB Circular A-122 for non-profit organizations, OMB Circular A-21 for universities, and the Federal Acquisition Regulation (FAR) Part 31 for-profit organizations), may be paid under the grant.
3.   The authorized Geographic Code for the procurement of goods and services (including contracts and consultants) by the awardee(s) and any sub-awardees under this RFA is 000 (the United States) and 941 (The United States and any independent country (excluding foreign policy restricted countries), except the cooperating country itself).
4.   USAID anticipates making $1,825,000 available to the program.
5.   During the implementation USAID will remain substantially involved in/by the following:
	a. Approval of the Recipient's Implementation Plans
	b. Approval of Specified Key Personnel (see RFA Section C, Program Description 	 
	    including Annexes, Annex C)
	c. Agency and Recipient Collaboration or Joint Participation
	d. Agency authority to immediately halt a construction activity
6.   Meaningful Cost-Sharing by the Applicant is expected in order to extend the Program. The successful Applicant will be required to report on their expended cost share -USAID will monitor. While the proposed Cost-Sharing is not the application evaluation/selection factor it will be assessed in the context of the overall cost-effectiveness.
7.   To ensure the Recipient’s use of USAID-provided funds is fully compliant with the important environmental policies, in addition to areas of USAID substantial involvement and the applicable Provisions (attached), the contemplated Cooperative Agreement will also include the following Special Provisions:

•	AOTR’s prior approval of the proposed sub-awardee(s) preparing/drafting all designs and executing independent road improvement works supervision
•	The successful Recipient is required to submit the following to AOTR and obtain his/her approval: the environmental scoping report, the environmental assessment Scope of Work, and associated statements of work). AOTR’s recommendations are expected to be incorporated in the final documents for approval.      
    
III.	INSTRUCTIONS FOR APPLICATION DELIVERY:

If your organization decides to submit an application, in order to receive consideration the submitted application package must be submitted electronically directly to USAID by emailing to: afazaldeen@usaid.gov.  Emails with attachments must be no larger than 4MB per e-mail and no more than (6) attachments per email. Do NOT submit attachments as compressed files, leave all attachments “unzipped”.  

Delivery of applications as paper copy (original plus two copies of the technical and cost application) is acceptable. 

DELIVER/ADDRESS OFFER TO:

BY HAND						BY MAIL
U. S. Agency for International				U. S. Agency for International
Development						Development
USAID/East Africa/RAAO				USAID/East Africa/RAAO
c/o American Embassy					Unit 64102
United Nations Avenue, Gigiri				APO AE 09831-4102 
Nairobi, Kenya						Ref: RFA No.: SOL-623-09-000017
Ref: RFA No.: SOL-623-09-000017			Attn: Amina Fazaldeen,  
Contact: Amina Fazaldeen, USAID/EA/RAAO 		USAID/EA/RAAO

     (i) via regular mail –  All mail is subject to US Embassy electronic imagery scanning methods and physical inspection.  Ensure the package is sealed and clearly marked: Application in Response to RFA#: SOL-623-09-000017, USAID/East Africa/RAAO.

Regardless of delivery method used applications must be received by the Issuing Office (see NOTE at the page bottom) no later than the Closing Time and Date stated on this Solicitation’s face page.  Offerors are advised to allow sufficient lead-time for application delivered (by any method of delivery above) to the Government’s application first entry-point to reach the final point of application receipt before the RFA’s closing time and date.      

       (ii) hand delivery (including commercial courier) -- All deliveries are subject to physical inspection by the U.S. Embassy prior to receipt by USAID and the Agreement Officer.  

Faxed applications will NOT be considered.

Issuance of this RFA does not constitute an award commitment on the part of the Government, nor does it commit the Government to pay for costs incurred in the preparation and submission of an application.  In addition, final award of any resultant grant cannot be made until funds have been fully appropriated, allocated, and committed through internal USAID procedures.  While it is anticipated that these procedures will be successfully completed, potential applicants are hereby notified of these requirements and conditions for award.  Applications are submitted at the risk of the applicant; should circumstances prevent award of a cooperative agreement, all preparation and submission costs are at the applicant's expense.
 
In the event of an inconsistency between the documents comprising this RFA, it shall be resolved by the following descending order of precedence:
 
(a)  Section B - Selection Criteria;
(b)  Section A – Cooperative Agreement Application Format;
(c)  Section C - Program Description;
(d)  This Cover Letter.

No extension of the RFA’s Closing Date will be entertained.
 
This RFA consists of this Cover Letter and the following:
 
1.  Section A – Cooperative Agreement Application Format;
2.  Section B - Selection Criteria;
3.  Section C – Program Description;
4.  Section D - Certifications, Assurances, and Other Statements of Applicant/Grantee; 
5.  Section E -  Standard Provisions. 

If you have difficulty accessing the RFA, please contact the Grants.gov Helpdesk at 1-800-518-472 or via e-mail at support@grants.gov for technical assistance.  It is the responsibility of the recipient of the application document to ensure that it has been received from Grants.gov in its entirety and USAID bears no responsibility for data errors resulting from transmission or conversion processes.

NOTE:  The successful Applicant’s implementation will be subject to 22CFR226 and applicable sections of the 22CFR216.  The 22CFR226, Administration of Assistance Awards to U.S. Non-Governmental Organizations applies to U.S.-based recipients.  Additionally, the successful U.S.-based recipient’s performance must be compliant with: Mandatory Standard Provisions for U.S., Nongovernmental Recipients and the Required As Applicable Standard Provisions. 

Standard Provisions are enclosed in the RFA Section E.  

Sincerely,
//signed//

Tadeusz Findeisen
Agreement Officer
USAID/EA/RAAO

	

TABLE OF CONTENTS

Table of Contents	
SECTION A - GRANT APPLICATION FORMAT……………………………………         6
A.1. PREPARATION GUIDELINES……………………………………………  ……6
A.2. TECHNICAL APPLICATION FORMAT…………………………………           8	
A.3. COST APPLICATION FORMAT…………………………………..……  … … 10	
SECTION B - SELECTION CRITERIA…………………………………..…………   ….   14
	B.1.	GENERAL…………………………………..………………………… ……  14
	B.2.	TECHNICAL SELECTION/EVALUATION CRITERIA …………… ……  14
	
SECTION C - PROGRAM DESCRIPTION…………………………………..……………  16                            
   SECTION D- CERTIFICATION, ASSURANCES AND OTHER STATEMENTS OF 
				         RECIPIENTS…….…………………………………..…………………… ……21
Representations/Certifications Required for Awards to U.S. NGO…………………   …..……21

SECTION E- SPECIAL PROVISIONS………………………………….. …………..………..32

Mandatory Standard Provisions for U.S., Nongovernmental Recipients ……………..…… ….32
Required as Applicable Standard Provisions for U.S., Nongovernmental Recipients…..… …..45

SECTION A - COOPERATIVE AGREEMENT APPLICATION FORMAT

A.1. Preparation Guidelines

All applications received by the deadline from eligible applicants will be reviewed for responsiveness to the specifications outlined in these guidelines and the application format. Failure to do so will be at the applicant’s risk.

Section B addresses the technical evaluation procedures for the applications.  Applications which are submitted late, are incomplete or do not conform to the preparation guidelines run the risk of not being considered in the review process.  Late applications will be considered for award if the Agreement Officer determines it is in the Government's interest.

Technical and cost applications must be in English and must be presented on standard 8 ½” x 11” paper, using Times New Roman Font, 12 point pitch, one inch margins, single-spaced with pages numbered consecutively. Applications should be in the format of MS-WORD and cost applications should be in Excel. There are two exceptions:  a) budgets may be in a slightly smaller font (10 point), and b) tables may use smaller fonts, but must be easily readable.  No typeface or characters should be smaller than 10 characters per inch. A CD-ROM version in Word and Excel must be submitted to the Agreement Officer. 

Applicants must clearly identify the person authorized as the official point of contact, the legal mailing and street addresses, phone and fax numbers and email address.

The applicant shall sign the application and print or type its name on the Cover Page of the technical and cost applications.  Erasures or other changes must be initialed by the persons signing the application.  Applications signed by an agent shall be accompanied by evidence of that agent's authority, unless that evidence has been previously furnished to the issuing office.

Applicants that include data that they do not want disclosed to the public for any purpose or used by the U.S. Government except for evaluation purposes, should:
 
(a) Mark the title page with the following legend:
 
”This application includes data that shall not be disclosed outside the U.S. Government and shall not be duplicated, used, or disclosed - in whole or in part - for any purpose other than to evaluate this application.”

If, however, a grant is awarded to this applicant as a result of - or in connection with - the submission of this data, the U.S. Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting grant.  This restriction does not limit the U.S. Government's right to use information contained in this data if it is obtained from another source without restriction.  The data subject to this restriction are contained in sheets; and:
 
(b) Mark each sheet of data it wishes to restrict with the following legend:
 
 "Use or disclosure of data contained on this sheet is subject to the restriction on the title page of this application."

The application should be prepared according to the format set forth below.  Applications must be submitted to USAID/East Africa no later than the date and time and to the location indicated on the cover letter of this RFA. 

Technical applications should be specific, complete and presented concisely.  The applications should demonstrate the applicant's capabilities and expertise with respect to achieving the goals of this program.  The applications should take into account the technical evaluation criteria found in Section B.

The technical application shall not exceed the page limits described in RFA Section A.2. There is no page limitation on the cost or business application. Separate maps, annexes, charts or organigrams do not count against page limitations. 

Unnecessarily elaborate brochures or other presentations beyond those sufficient to present a complete and effective application in response to this RFA are not desired and may be construed as an indication of the prospective recipient's lack of cost consciousness.  Elaborate art work, expensive paper and bindings, and expensive visual and other presentation aids are neither necessary nor wanted.

Applicants should retain for their records one copy of the application and all enclosures which accompany their application.  Erasures or other changes must be initialed by the person signing the application.  To facilitate the competitive review of the applications, USAID will consider only applications conforming to the format prescribed below.

Applications must remain valid for a minimum of 120 days.

Explanation to Prospective Applicants – Any prospective applicant desiring an explanation or interpretation of this RFA must request it in writing by close of business indicated on the cover letter of this RFA to allow a reply, in the form of an RFA amendment, to reach all prospective applicants before the submission of applications. Questions or requests for explanations must be submitted to Amina Fazaldeen email (afazaldeen@usaid.gov), regular mail, or fax. Oral explanations or instructions given before award will not be binding.  Any information given to a prospective applicant constitutes a courtesy on behalf of USAID to facilitate the best application submission possible from the applicants.  Further, any information given to a prospective applicant concerning this RFA will be furnished promptly to all other prospective applicants as an amendment of this RFA, if that information is necessary in submitting applications or if the lack of it would be prejudicial to any other prospective applicants.

Amendments to the RFA will be posted to Grants.gov.  Applicants shall acknowledge receipt of any amendment to this RFA by signing and returning the amendment or by email to afazaldeen@usaid.gov.  The Government must receive the acknowledgement by the time specified for receipt of applications.

USAID intends to award one Cooperative Agreement resulting from this RFA to the responsible applicant whose application has met the standards set forth in the evaluation criteria.  USAID reserves the right to reject any or all applications or to award more than one.

The Government may award the Agreement on the basis of initial applications received, without discussions.  Therefore, each initial application should contain the applicant’s best terms from a cost and technical standpoint.

A written award mailed or otherwise furnished to the successful applicant(s) within the time for acceptance specified either in the application(s) or in this RFA (whichever is later) shall result in a binding Agreement without further action by either party.  Before the application’s specified expiration time, the Government may accept an application, whether or not there are negotiations after its receipt, unless a written notice of withdrawal is received before award.  Negotiations conducted after receipt of an application do not constitute a rejection or counteroffer by the Government.

The Agreement Officer is the only individual who may legally commit the Government to the expenditure of public funds.  No costs chargeable to the proposed Agreement may be incurred before receipt of either a fully executed Agreement or a specific, written authorization from the Agreement Officer.

A.1.2. USAID Branding Requirements

USAID’s mandatory branding/marking requirements for all U.S. NGOs became effective on January 2, 2006.  The three new Standard Provisions are set forth in Section D of this RFA. The Recipient also can review and download the regulations, guidance, graphics at www.usaid.gov/branding.  Applicants selected for award will be required to provide a “Branding Strategy” and a “Marking Plan” for review and inclusion in the final award by the Grant officer.

A.2. Technical Application Format

Introduction

The content of the technical application will be the most important element for evaluating the applications.  The technical application will become the basis for the program description of the award.  Accordingly, the technical portion should provide a clear statement of what is to be accomplished, how and on what schedule.  It must be specific, complete, and concise and shall not exceed the specified number of pages. 

The applicant should designate key personnel. In addition, applicants should present a staffing plan and management structure that stipulates the personnel that implement the proposed work plan.  Resumes or curriculum vitae in English for each key personnel shall be included as attachments. Specific details for the content of the technical portion of the application are described below. 

Applicants should submit technical applications according to the RFA instructions. The structure and maximum page limits (per proposal) of the application format are presented below.
Technical Application Format
A. Cover sheet (1 page);
B. Executive Summary (2 pages);
C. Institutional Capacity, Management Approach, and Past Performance (4 pages);
D. Program Description (17 pages);
E.  Monitoring and Evaluation Plan (3 pages);
F.  Key Personnel (3 pages);
G. Attachments: 
E.1 Resumes or CVs;
E.2 Past performance references;
E.3 Other attachments.

A.2.2. Cover Letter (1 page)
Provide the name and contact information for the Applicant, its Project Manager (the contact person who will receive routine correspondence regarding the contents and status of the proposed activities during the application and implementation processes), and the Authorized Representative (the person who is legally responsible for receiving grant funds should a grant be made).

A.2.3. Executive Summary (2 pages)

The executive summary should be a maximum two-page overview of what the applicant believes best represents the key features of its proposed program.  This should include a brief description of the overall program strategic approach, expected results as linked to the Monitoring and Evaluation Plan, and the level of funding requested and the proposed cost-share to be provided. 

A.2.4. Institutional Capacity, Management Approach, and Past Performance  (4 pages)

The purpose of this section is to provide USAID with an understanding of the Applicant's capacity to implement and manage the program.  Applicants should include a description of the management structure that includes: 1) an organ gram with the proposed key staff; 2) roles, responsibilities, and authorities of key personnel; and 3) a discussion on the relationship of the country office to any HQ staff that may provide technical assistance.

A.2.5.Program Description (17 pages)
 
Program Description (Maximum 17 pages excluding annexes): Applicants should focus on describing how they propose to achieve the activity objective(s). The application should describe the Applicant’s innovative ideas, approaches and capacity to achieve the results of the program.  Applicants are requested not to merely repeat what is already described in this RFA.  The applications should take into account the technical evaluation criteria found in Section B. and must comprise a narrative that contains the following information: 

1.  Discussion of the problem being addressed by the activity, and   
2.  Detailed description of the activities to be undertaken including information on how the activity will be implemented and by whom, sustainability, and any other pertinent information.  

A.2.6.	Monitoring and Evaluation Plan (3  pages)

In this section, the Applicant should identify specific program outcomes and propose a monitoring and evaluation plan as well as quarterly and annual incremental benchmarks for phase of implementation.  

A.2.7.  Program Management and Key Personnel (3 pages)

In this section, the Applicant should briefly provide an overview of how the proposed program will be managed.  Applicants should identify the key personnel positions for this program.  Include position descriptions (including roles and responsibilities), relevant experience and academic and professional qualifications for all key personnel. Applicants should also include a two to three page curriculum vita as an appendix for each candidate.  

A.3.		Cost Application Format

The cost or business application is to be submitted under separate cover from the technical application.  Certain documents are required by an applicant in order for an Agreement Officer to make a determination of responsibility.  However, it is USAID policy not to burden applicants with undue reporting requirements if that information is readily available through other sources.
  
The following sections describe the documentation that applicants for assistance award must submit to USAID prior to award. While there is no page limit for this portion, applicants are encouraged to be as concise as possible, but still provide the necessary detail to address the following:

•	A budget and an accompanying budget narrative detailing the total costs for implementation of the program your organization is proposing.  The budget should be submitted using Standard Form 424 and 424A and SF 424B that can be downloaded from the following USAID web site: 

http://www.usaid.gov/procurement_bus_opp/procurement/forms/SF-424/sf424_complete.pdf

A.3.1.	Standard Form 424 and 424A and B

Standard Form 424 is the required fact sheet for applications submitted for Federal assistance.  Standard Form 424A is the form used by applicants for presenting overall budget information.  

Standard Form 424A, Section A, requests costs organized by headquarters and field, and by Federal and Non-Federal.  This information should be the same as that presented in other Sections.  Federal refers to the funds requested from USAID, and Non-Federal refers to funding from the applicant and other sources.  The amounts for Federal and Non-Federal presented here should be the same as the Estimated Funding presented on Standard Form 424, 15.a and b, plus any entry for e.  The total program amount on the face sheet should be the same amount presented in Section A and in Section B.

A.3.2.	Indirect Costs, NICRA, and Evidence of Responsibility

Applicant’s must include their most recent Negotiated Indirect Cost Rate Agreement (NICRA) from the cognizant Government Audit Agency stating the latest audited indirect cost rates, the base to which such rates are applied and the method of application. Note if the Applicant is a consortium, all members must submit the documentation required below.  If a NICRA is unavailable, submit sufficient information to allow USAID to determine the reasonableness of the rates.  (For example, a breakdown of labor bases and overhead pools, the method of determining the rate, annual financial statements, etc.)

Applicants who do not currently have a Negotiated Indirect Cost Rate Agreement (NICRA) from their cognizant agency shall also submit the following information:
 
     (1) copies of the applicant's financial reports for the previous 3-year period, which have been audited by a certified public accountant or other auditor satisfactory to USAID;
 
     (2) projected budget, cash flow and organizational chart;
 
     (3) A copy of the organization's accounting manual.

Applicants that have never received a grant, cooperative agreement or contract from the U.S. Government are required to submit a copy of their accounting manual.  If a copy has already been submitted to the U.S. Government, the applicant should advise which Federal Office has a copy.  USAID regulations require that USAID conduct a pre-award audit of new applicants selected for award.

In Addition applicants must submit completed and signed “Certifications, Assurances, and other Statements of Applicant/Grantee” in Section D and a copy of the organizational chart for the proposed consortium.

Evidence of Responsibility.  USAID reserves the right to seek additional evidence of responsibility deemed necessary for the Agreement Officer to make a determination of responsibility.  The information submitted should substantiate that the Applicant:

	(i)	Has adequate resources or the ability to obtain such resources as required to complete the program as described

	(ii)	Has the ability to comply with the assistance conditions, taking into account all existing and currently prospective commitments of the applicant, nongovernmental and governmental.

(iii)	Has a satisfactory record of performance.  Past relevant unsatisfactory performance is ordinarily sufficient to justify a finding of non-responsibility, unless there is clear evidence of subsequent satisfactory performance.

	(iv)	Has a satisfactory record of integrity and business ethics; and,

	(v)	Is otherwise qualified and eligible to receive an award under applicable laws and regulations (e.g., EEO).

A.3.3.	Detailed Budget and Budget Narrative

The detailed budget and narrative should follow the SF424 and 424A, should use the same Object Class Categories, and should fully define and support the costs distributed to both the Federal and Non-Federal portions of the budget.   

The basis for the figures in the categories must be supported as indicated below, so that the Agreement Officer will be able easily to verify all costs for the proposed program.  This will obviate the need to request budget clarifications, which delay the award process.  It may cover groups of items as appropriate. 

Personnel-Names of staff, titles, person days and rates--indicating if based on current salaries and are appropriate for the locality

Fringe Benefits-Percentage base against which calculated

Travel-Number of trips, destinations, number of persons traveling, number of days per trip, costs based on coach fares (clearly distinguishing domestic and international travel). Indicate purpose of each trip and which objective the trip would benefit.

Equipment-Types, numbers, cost per item and how calculated (i.e., whether based on catalogues or supplier quotes). Include purpose of each type of equipment to be bought with USAID funds. Also, provide a disposal plan after completion of the activity. How would the equipment be used and where would it go after the end of program?

Supplies-General description of supplies needed, estimated costs and the basis for proposed prices

Contractual-Consultants (e.g., for evaluation), number of days, rates, per diem.

Other-Details regarding other items budgeted, but including sub-Agreements, training, if any.  (Costs must be separated into those assigned to the applicant organization and those for the partner organization, which would be shown as a sub-Agreement for purposes of the Cooperative Agreement.) The applicant should propose a cost share, in cash and in-kind, of the total program budget.

When allocating costs between Federal and Non-Federal, it is important to note the following:

Procurement-Award recipients are encouraged to use their own private cost share/matching funds for procurements of non-expendable property estimated at over $5,000 per unit, for procurements of motor vehicles (including motor bikes), and particularly for all non‑U.S. procurements. 

Cost Share Arrangements-USAID endorses cost-sharing resources as an important principle in USAID-recipient relationships.  Cost-share or match is non-U.S. Government resources obtained by the Applicant and used to directly support the proposed activities.  All cash and in-kind contributions must meet the criteria set forth in 22 CFR 226.23 and may be in any combination of in-kind support, staff salaries, waiver of overhead, etc.  Cost share is legally binding and reported on a periodic basis on payment forms. USAID has the right to reduce its share of funding if the cost-share reported is less than the agreed upon percentage or amount contained in the award.  Finally, if a difference remains after an award has expired, the difference shall be refunded to USAID. Cost share will be considered within the best value to the government consideration. USAID may give preference to proposals with a greater cost-share contribution. There is no cost share target for this RFA.  However meaningful cost-sharing is expected.

Award recipients will be required to report in their annual reports and in the Financial Status Report Form SF 269 the total amount of cost‑sharing to date.  Although the recipient is encouraged to cost-share on a life‑of‑project basis, it is advisable to expend those funds on a pro-rata basis per year and not wait until the last year of the agreement to expend its cost share match. Partner contributions may be applied to the cost-share when auditable as such.  While not required, the application will be strengthened if the USAID contribution is gradually reduced over the life of project. 
 
A.3.4.	Other required information.

•	the breakdown of all costs according to each partner organization involved in the program;
  
•	the costs associated with external, expatriate technical assistance and those associated with local in-country technical assistance;

•	the breakdown of the financial and in-kind contributions of all organizations involved in implementing this Cooperative Agreement;
        
•	the procurement plan for commodities provided under this Cooperative Agreement.

SECTION B - SELECTION CRITERIA

B.1 			General 

It is anticipated that under this RFA USAID will award one cooperative agreement to the Applicant that is determined to be the most likely to achieve the program objectives described in Section C.  The selection criteria presented below serve to: (a) identify the significant matters which applicants should address in their applications and (b) set the standard against which all applications will be evaluated.

The technical applications will be evaluated in accordance with the Selection/Evaluation Criteria set forth below.  To the extent that they are necessary (if an award is not made based on initial application), USAID staff may request clarification and supplemental materials from applicants whose applications have a reasonable chance of being selected for an award.  The entry into discussions is to be viewed as part of the evaluation process and shall not be deemed by USAID or the applicants as indicative of a decision or commitment upon the part of USAID to make an award to the applicants with whom discussions are being held.

Applicants are reminded that the Government is not obligated to make an award on the basis of lowest proposed cost or to the applicant with the highest technical evaluation score.  After the final evaluation of applications, the Agreement Officer will make the award(s) to the responsible applicant(s) whose application(s) is/are judged to be the most advantageous in accomplishing the objectives of the program and offer the best value to the Government, considering both technical and cost factors, including any proposed cost share/matching.

The Government may (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application (see Section B, Selection Criteria), and (d) waive informalities and minor irregularities in applications received.
 
The Government may award the Cooperative Agreement on the basis of initial applications received, without discussions.  Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint.

B.2.		TECHNICAL SELECTION/EVALUATION CRITERIA

1.	Evaluation Criteria

The program will have the following evaluation criteria:  Technical, cost and other factors will be evaluated relative to each other, as described herein.  Applicants should note that these criteria: (1) serve as the standard against which all proposals will be evaluated, and (2) serve to identify the significant matters which offerors should address in their proposals. 

-	 Technical Evaluation (100 points)
The following general factors, which are further described below, will be the basis of evaluation for all Technical Proposals: 

a)	Strategic/Technical Approach:  (55 points)

-	Understanding of Djibouti’s current social, political and economic circumstances and the strategic linkages of this program to those factors;
-	Extent to which the technical approach sets forth a creative, feasible and clear course of action to cover all aspects necessary for the achievement of the objectives/results described in the scope of work; 
-	Accuracy of impact indicators and proposed plan to measure them;
-	Credit will also be given for special attention to gender-related issues.

b)	Institutional Capacity, Management Approach, and Past Performance (25 points)

Institutional capacity is a determination of the relative effectiveness of organizational and management capacity which, when applied to the achievement of USAID/Djibouti program objectives, are likely to result in concrete and measurable success.  Past performance is a measure of the degree to which a grantee satisfied its customers in the past while complying with applicable U.S. laws and USAID grant regulations. Criteria for determination of the strength of institutional capacity and past performance also include:

-	Demonstrated experience and past performance in strengthening and supporting democratic electoral and political processes, providing training and technical capacity building to strengthen key political institutions, including the development of political parties, assisting local government in elections management with an appropriate emphasis on transparency and accountability issues;
-	Sound management structure of the program that indicates clear, streamlined and responsive organizational structures and relationships; and ability to provide professional and timely logistical support to local operations.

In as much as past performance is critical to the final selection, USAID will contact any or all of the references provided by the applicant and other sources of information, including but not limited to: other USAID missions and government agencies, better business bureaus, published media, and electronic databases. USAID will not, however, evaluate an applicant’s organizational past performance on the basis of personal past performance of the applicant’s key personnel.

c)	Key Personnel: (20 points)

Key Personnel will be assessed on the appropriateness of their academic background and years of experience working with electoral institutions as well as international experience in providing technical assistance on electoral and political processes programs, particularly in African countries.   

  

C – PROGRAM DESCRIPTION

Djibouti Elections and Political Processes (DEPP)
1.   Background

a)	Overall Context

Djibouti gained independence from France in 1977 but it was not until 1999 that Djibouti held its first multiparty presidential election.  At that point, Ismail Omar Guelleh came to power with 74% of the vote.  Most notably, in 2001 his government negotiated a peace accord between the Issas-led government and the largely Afar-led minority, which had previously fought a 3 year civil war (1991-1994).  In 2002, this peace accord resulted in the formation of a coalition government named the Union for Presidential Majority made up of the ruling party’s Peoples Rally for Progress (RPP) and the Afar-led Front for Restoration of Unity and Democracy (FRUD), as well as other smaller parties such as the National Democratic Party (PND) and the Social Democratic People’s Party (PPSD).  This coalition has won every Presidential and Parliamentary election since it was formed, and the majority of the seats in the Regional Council elections.  The opposition has boycotted every election since its loss in the Parliamentary election of 2003.  The most recent election was the Parliamentary election in February, 2008, which was declared “free and fair” by the Africa Union.     

The opposition coalition, the Union for Democratic Alternative (UAD), consists of four parties:  the Republican Alliance for Democracy (ARD), which represents the armed segment of FRUD; the Movement for Democratic Renewal (MRD); the Union for Democracy and Justice (UDJ) and the Djiboutian Party for Democracy (PDD).  They were all established in 2002.

Djibouti’s 2011 Presidential and Regional elections are its third presidential election and second regional council election since gaining independence in 1977.  These elections could serve as a break with the status-quo and could introduce a level of competition and pluralism that has not been seen in Djibouti.   Regional Council seats, which are comprised of a number of non-party affiliated independent members, will be up for election and could provide the opportunity for broader participation at the local level.  At the Presidential level, President Guelleh’s constitutional mandate ends in 2011 leaving the door open for new leadership.  

Moving beyond the status-quo will also require a review of the current citizenship laws, including the provision of birth certificates and identity cards.  In June 1976, the territory's citizenship law, which favored the Afar minority, was revised to reflect more closely the weight of the Issas.  After independence, national identity cards were only granted to Issas, even though they were not necessarily born in Djibouti and did not have Djiboutian parents.  Since 2006/2007, the voter registry has been updated on an annual basis but some Djiboutian cannot meet all voter requirements; as they do not have birth certificates as a proof of their Djiboutian citizenship.  Djiboutian citizenship is based on Law No. 79/AN/04/5iem of  July 13th, 2004.  It grants citizenship to any child, whether born in Djibouti or abroad, if one parent is Djiboutian.  It also grants citizenship to any child born in Djibouti from unknown parents.    

b)	 Presidential and Regional Elections Calendar 

Draft Election Calendar

–	On April 9, 1999 Ismail Omar Guelleh, candidate of the ruling People's Rally for Progress (PRP), was elected with 74 % of the vote the other 26% went to opposition candidate Moussa Ahmed Idriss, of the Unified Djiboutian Opposition (ODU).
–	On April 8, 2005; Ismail Omar Guelleh was re-elected for a second 6 year term with 78, 9% of the vote. The opposition boycotted the elections.
–	Next Elections are scheduled between February 28 and March 10, 2011. According to the Electoral law, Presidential elections are scheduled minimum of 30 days and maximum of 40 days before the current term expires. For this calendar, we assume that presidential and regional elections will be scheduled for March 10th 2011.

Presidential Elections

Date 	Days before / after election	Event	
December 10, 2010	90 days before election	Establishment of National Electoral Independent Commission (CENI) 
	
January 30, 2011
	40 days before election 	Candidates for presidential elections submit application for a period of 10 days 
(It lasts for 10 days, starting the fortieth day and ending on the thirtieth day before the polling day) 	
January 1st , 2011	70 days before election	Voter registration period 
Voter rolls review by the CENI 
Period for any complaints related to registration to be addressed to CENI	
TBD		The period to register and review the voter rolls is from January 1st to March 31st. But when an election is organized before this deadline; the review period is determined by the President of republic as soon as the polling day is known. Otherwise elections are organized based on the lists of last voter rolls review.	
February 9, 2011	30 days before election	Candidate application period ends 	
February 16, 2011	25 days before  election	List of candidates is published by the Ministry of Interior and Decentralization
	
February 16, 2011	25 days before 	Election campaign is opened from the day when the list of candidates or parties allowed to participate in the campaign is published in the Official Newspaper. 	
March 9, 2011	The Wednesday before election	Election campaigns end at 00:00 on the Wednesday before the election day.	
March 10, 2011		Polling day	
March 10, 2011		Immediately after the counting of votes, President of each polling station releases the ballot result and gives a copy to each political party representative. 	
March 11, 2011 (MOID)
March 15, 2011 (CC)	2nd and 5th day after election
	Official result is released by the Ministry of Interior and Decentralization (MOID) the day after the polling day. The Constitutional Court (CC) proclaims the result on the 5th day after the polling day. 

Regional Elections 
March 21, 2011		Campaign period begins for the second round	
March 21, 2011		Final list of candidates published for the second round	
March 26, 2011		Campaign period closes for the second round	
April 2,  2011		Polling day for the second round	

Research of the existing legislation/decrees resulted in the Presidential and Regional Elections Calendar which can be found above.  A number of assumptions were made in this calendar.  First, it is assumed that the Government will choose the latest date in the 10 day period allowed for the election.  It is also assumed that the Presidential and Regional elections will be held on the same day, although the Government has not confirmed this yet.  Finally, it should be noted that candidates at the Regional level may have to compete in the second round of voting, so at the very least there will be two elections in 2011.

In conjunction with this calendar, the 2005 Presidential Election was reviewed and there were three areas where the electoral framework was not observed:  1) the National Electoral Commission was established 50 days before the election rather than the required 90 days; 2) the list of candidates was published two days later than the required date; and 3) the campaign period started 10 days later than the stipulated start date.  During the 2006 Regional Elections, all actions were completed on time.    

c)	Prior USAID Support to Democracy and Good Governance and Results Obtained

Activities carried out in the past two years produced the following results and are expected to produce more significant participation of citizens in the electoral process. USAID was, at that time, the only donor providing the necessary training for CENI staff and equipment for the Ministry of Interior.

1.	A total of 330 people were trained in best practices in election administration, including members  of National Electoral Commission (CENI) and polling agents; 
2.	Consultants supplied technical support to CENI members to develop the observation schedule and the index count forms;
3.	Computer equipment and office supplies were provided to the Ministry of Interior and Decentralization for the Djibouti Legislative Elections in February 2008;
4.	Workshops and training sessions provided greater opportunities for women to participate in the democratic process.  Additionally, two of the women who participated in the workshops were elected to Parliament. Women parliamentarians now represent 14% of the Parliament, an increase from 9% previously.   
5.	USAID’s support to Health and Education supports the Government’s new decentralization plan by supporting efforts to build systems and capacity of the Ministry of Health and Education at the local level.    
 
d)	 Donor Support 

The donors have recently formed a donor coordination group to discuss and coordinate democracy and governance issues and to prepare for the 2011 elections.  A donor matrix with current and future projects is being developed and will be shared with the implementing partner once a selection is made.  In broad terms, the donors support human rights, decentralization, and anti-corruption.  Donors are working with their headquarters on support to the 2011 election. 

2.	Program Framework 
The purpose of the project is to support a pluralistic, fair, broad based and representative environment that will ensure meaningful inclusion of the population in the 2011 election.   The long term expected result is more meaningful participation of citizens in electoral and political processes.  In order to achieve these results, the program will work with government electoral officials who are mandated to organize the elections, civil society members who will be selected to form the Electoral Commission, political parties that develop party platforms and communicate with constituents, and the media to ensure that voters are educated and informed of their choices. 
The program will be implemented and evaluated according to the new Foreign Assistance Framework for Governing Justly and Democratically and specifically under the Framework’s Program Area: Political Competition and Consensus-Building as laid out below.  Program elements, activities and F Framework indicators are also listed below.  The applicants are requested to structure their technical approach around the F Hierarchy and include F level indicators and add impact level indicators in their M&E plan.    

Objective:  Governing Justly and Democratically

Program Area:  2.3 Political Competition and Consensus-Building
Program Element:  2.3.2 Elections and Political Processes
Sub-Elements:  2.3.2.2 Election Management
				2.3.2.3 Public Awareness, Transparency and Turnout
				2.3.2.5 Observation, Monitoring and Oversight
Program Element:  2.3.3 Political Parties
			Sub-Element: 2.3.3.4 Participation of Parties in Elections

a)	Program Element:  Elections and Political Processes

i)	Expected Result:  Credible Election Management  

Support will focus on training for electoral administrators (through the Ministry of Interior) on election procedures and administration including: voter registration, ensuring proper citizenship documents; designation of polling stations; drawing up voters' lists; identity cards; drafting procedures for tabulating votes; using computer hardware/software; and adjudicating complains.

F Level Indicator:  Number of Election Officials Trained with USG Assistance 

ii)	Expected Result: More Informed and Active Citizenry through Voter Education

Regarding voter education activities, support will be provided for free and diverse media coverage, message development, public service announcements, and civic education activities that inform the citizenry and increases understanding of the electoral system, political choices and roles and responsibilities of election officials, political parties and voters.   Studies and focus groups that illuminate voters’ views of democracy, elections, electoral systems and the effectiveness of media coverage in Djibouti will provide insights into voter expectations and how best to reach them through media messaging.            

F Level Indicator:  Number of People Reached By USG Assisted Voter Education  

iii)	Expected Result:  Effective Oversight of Electoral Processes  (90 Days before the Election)

The National and Regional Election Commission is composed of GORD employees, civil society and  political parties members who oversee the elections, identify shortfalls in electoral processes, evaluate the electoral framework and serve as a watchdog. Support will be given for the establishment of these Commissions in the run up to the 2011 elections.  Both Ministry of Interior and Prefets organize elections, the CENI oversees electoral operations and has the obligation to mention any irregularity within the electoral process. The Constitutional Court declares the legitimacy of all elections and referenda, proclaims the results and responds to legal complaints. The 1992 Electoral Law assigns the responsibility for supervising elections to the CENI constituted 90 days prior to each election, whose members are government representatives, including members from the National Assembly, as well as civil society and political party representatives.  Prefets are in charge of developing electoral lists and voter identity cards; the CENI has the responsibility to supervise these operations and provide, fifteen (15) days after the announcement of final results, a general report of activities to all institutions involved in elections. 

F Level Indicator:  Number of Domestic Election Observers Trained with USG Assistance

b)	Program Element:  Political Parties

Expected Result: Increased Participation of Political Parties in Elections  

Support will be given to advance dialogue between the ruling coalition and opposition parties to discuss electoral issues.  Technical assistance and training will also strengthen the capacity of political parties in Djibouti through developing campaigns, communicating with constituents, and increasing participation of women and marginalized groups.       

F Level Indicator:  Number of Individuals Who Receive USG-Assisted Political Party Training 

3.	Anticipated Level of Effort

Completion of the above-described tasks will take an estimated 24 months from on or about September 2009 to September 2011.  $1.825 million is reserved for this two year program.

USAID will also review the quarterly financial reports and semi-annual technical reports that track progress against the work plan.    

SECTION D – REPRESENTATIONS/Certifications required for Cooperative Agreement TO U.S. NGO
_______________________________________________
CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT (MAY 2006)
 
NOTE: When these Certifications, Assurances, and Other Statements of Recipient are used for cooperative agreements, the term "Grant" means "Cooperative Agreement". 

PART I - CERTIFICATIONS AND ASSURANCES
  
1.	ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS

Note: This certification applies to Non-U.S. organizations if any part of the program will be undertaken in the United States.
  
     (a)   The recipient hereby assures that no person in the United States shall, on the bases set forth below, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under, any program or activity receiving financial assistance from USAID, and that with respect to the Cooperative Agreement for which application is being made, it will comply with the requirements of:
  
       (1)  Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C. 2000-d), which prohibits discrimination on the basis of race, color or national origin, in programs and activities receiving Federal financial assistance;
  
       (2)  Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which prohibits discrimination on the basis of handicap in programs and activities receiving Federal financial assistance;
  
       (3)  The Age Discrimination Act of 1975, as amended (Pub. L. 95-478), which prohibits discrimination based on age in the delivery of services and benefits supported with Federal funds;
  
       (4)  Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et seq.), which prohibits discrimination on the basis of sex in education programs and activities receiving Federal financial assistance (whether or not the programs or activities are offered or sponsored by an educational institution); and
  
       (5)  USAID regulations implementing the above nondiscrimination laws, set forth in Chapter II of Title 22 of the Code of Federal Regulations.
  
     (b)  If the recipient is an institution of higher education, the Assurances given herein extend to admission practices and to all other practices relating to the treatment of students or clients of the institution, or relating to the opportunity to participate in the provision of services or other benefits to such individuals, and shall be applicable to the entire institution unless the recipient establishes to the satisfaction of the USAID Administrator that the institution's practices in designated parts or programs of the institution will in no way affect its practices in the program of the institution for which financial assistance is sought, or the beneficiaries of, or participants in, such programs.
  
     (c)  This assurance is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts, or other Federal financial assistance extended after the date hereof to the recipient by the Agency, including installment payments after such date on account of applications for Federal financial assistance which was approved before such date.  The recipient recognizes and agrees that such Federal financial assistance will be extended in reliance on the representations and agreements made in this Assurance, and that the United States shall have the right to seek judicial enforcement of this Assurance.  This Assurance is binding on the recipient, its successors, transferees, and assignees, and the person or persons whose signatures appear below are authorized to sign this Assurance on behalf of the recipient.
    
2.  CERTIFICATION REGARDING LOBBYING
  
 The undersigned certifies, to the best of his or her knowledge and belief, that:
  
   (1)  No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal Cooperative Agreement, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan, or cooperative agreement.
  
   (2)  If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure of Lobbying Activities,"  in accordance with its instructions.
  
   (3)  The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
  
 This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, United States Code.  Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

 Statement for Loan Guarantees and Loan Insurance
  
 The undersigned states, to the best of his or her knowledge and  belief, that:  If any funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this commitment providing for the United States to insure or guarantee a loan, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions. Submission of this statement is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
 
 3.  Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206)
  
 USAID reserves the right to terminate this Agreement, to demand a refund or take other appropriate measures if the Grantee is found to have been  convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. The undersigned shall review USAID ADS 206 to determine if any certifications are required for Key Individuals or Covered Participants.
  
 If there are COVERED PARTICIPANTS: USAID reserves the right to terminate assistance to or take other appropriate measures with respect to, any participant approved by USAID who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as  defined in 22 CFR Part 140.

4.  CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING EXECUTIVE ORDER 13224
  
By signing and submitting this application, the prospective recipient provides the
certification set out below:

1. The Recipient, to the best of its current knowledge, did not provide, within the
previous ten years, and will take all reasonable steps to ensure that it does not and will not knowingly provide, material support or resources to any individual or entity that commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated, or participated in terrorist acts, as that term is defined in paragraph 3.

2. The following steps may enable the Recipient to comply with its obligations under paragraph 1:

a. Before providing any material support or resources to an individual or entity, the Recipient will verify that the individual or entity does not (i) appear on the master list of Specially Designated Nationals and Blocked Persons, which list is maintained by the U.S. Treasury’s Office of Foreign Assets Control (OFAC) and is available online at OFAC’s website : http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, or (ii) is not included in any supplementary information concerning prohibited individuals or entities that may be provided by USAID to the Recipient.

b. Before providing any material support or resources to an individual or entity, the Recipient also will verify that the individual or entity has not been designated by the United Nations Security (UNSC) sanctions committee established under UNSC Resolution 1267 (1999) (the “1267 Committee”) [individuals and entities linked to the Taliban, Usama bin Laden, or the Al Qaida Organization]. To determine whether there has been a published designation of an individual or entity by the 1267 Committee, the Recipient should refer to the consolidated list available online at the Committee’s website: http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

c. Before providing any material support or resources to an individual or entity, the Recipient will consider all information about that individual or entity of which it is aware and all public information that is reasonably available to it or of which it should be aware.

d. The Recipient also will implement reasonable monitoring and oversight
procedures to safeguard against assistance being diverted to support terrorist activity.

3. For purposes of this Certification-

a. “Material support and resources” means currency or monetary instruments or
financial securities, financial services, lodging, training, expert advice or assistance, safehouses, false documentation or identification, communications equipment, facilities, weapons, lethal substances, explosives, personnel, transportation, and other physical assets, except medicine or religious materials.”

b. “Terrorist act” means-

(i) an act prohibited pursuant to one of the 12 United Nations Conventions and Protocols related to terrorism (see UN terrorism conventions Internet site: http://untreaty.un.org/English/Terrorism.asp); or

(ii) an act of premeditated, politically motivated violence perpetrated against noncombatant targets by subnational groups or clandestine agents; or

(iii) any other act intended to cause death or serious bodily injury to a civilian, or to any other person not taking an active part in hostilities in a situation of armed conflict, when the purpose of such act, by its nature or context, is to intimidate a population, or to compel a government or an international organization to do or to abstain from doing any act.

c. “Entity” means a partnership, association, corporation, or other organization, group or subgroup.

d. References in this Certification to the provision of material support and resources shall not be deemed to include the furnishing of USAID funds or USAID-financed commodities to the ultimate beneficiaries of USAID assistance, such as recipients of food, medical care, micro-enterprise loans, shelter, etc., unless the Recipient has reason to believe that one or more of these beneficiaries commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

e. The Recipient’s obligations under paragraph 1 are not applicable to the
procurement of goods and/or services by the Recipient that are acquired in the ordinary course of business through contract or purchase, e.g., utilities, rents, office supplies, gasoline, etc., unless the Recipient has reason to believe that a vendor or supplier of such goods and services commits, attempts to commit, advocates, facilitates, or participates in terrorist acts, or has committed, attempted to commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement issued as a result of this application, and any violation of it shall be grounds for unilateral termination of the agreement by USAID prior to the end of its term.

5.  CERTIFICATION OF RECIPIENT
  
By signing below the recipient provides certifications and assurances for (1) the Assurance of Compliance with Laws and Regulations Governing Non-Discrimination in Federally Assisted Programs, (2) the Certification Regarding Lobbying, (3) the Prohibition on Assistance to Drug Traffickers for Covered Countries and Individuals (ADS 206) and (4) the Certification Regarding Terrorist Financing Implementing Executive Order 13224 above.

 RFA/APS No. ________________________________
  
 Application No.     ______________________________
  
 Date of Application ______________________________
  
 Name of Recipient            _______________________________
  
 Typed Name and Title         __________________________________
 
  Signature              _____________________________________

 Date                   _______________

   
PART II - KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING
  
 I hereby certify that within the last ten years:
  
   1. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances.
  
   2. I am not and have not been an illicit trafficker in any such drug or controlled substance.
  
   3. I am not and have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit trafficking in any such drug or substance.
  
 Signature: 		____________________________
  
 Date: 			____________________________
  
 Name: 			____________________________
  
 Title/Position: 	____________________________
  
 Organization: 	____________________________

 Address: 		____________________________
  
          			____________________________
  
 Date of Birth: 	____________________________
  
 NOTICE:
  
   1. You are required to sign this Certification under the provisions of 22 CFR Part 140, Prohibition on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that certain key individuals of organizations must sign this Certification.
  
   2. If you make a false Certification you are subject to U.S. criminal prosecution under 18 U.S.C. 1001.

PART III - PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

   1. I hereby certify that within the last ten years:
  
     a. I have not been convicted of a violation of, or a conspiracy to violate, any law or regulation of the United States or any other country concerning narcotic or psychotropic drugs or other controlled substances.
  
     b. I am not and have not been an illicit trafficker in any such drug or controlled substance.
  
     c. I am not or have not been a knowing assistor, abettor, conspirator, or colluder with others in the illicit trafficking in any such drug or substance.
  
   2. I understand that USAID may terminate my training if it is determined that I engaged in the above conduct during the last ten years or during my USAID training.
  
 Signature: 		___________________________________
  
 Name: 			___________________________________
  
 Date: 			___________________________________
  
 Address: 		___________________________________
  
				___________________________________
  
 Date of Birth: 	___________________________________
  
 NOTICE:
  
   1. You are required to sign this Certification under the provisions of 22 CFR Part 140,Prohibition on Assistance to Drug Traffickers. These regulations were issued by the Department of State and require that certain participants must sign this Certification.
  
   2. If you make a false Certification you are subject to U.S. criminal prosecution under 18 U.S.C. 1001.

PART IV -  CERTIFICATION OF COMPLIANCE WITH THE STANDARD PROVISIONS ENTITLED “CONDOMS” AND “PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX TRAFFICKING.”

Applicability: This certification requirement only applies to the prime recipient. Before a U.S. or non-U.S. non-governmental organization receives FY04-FY08 HIV/AIDS funds under a grant or cooperative agreement, such recipient must provide to the Agreement Officer a certification substantially as follows:

“[Recipient's name] certifies compliance as applicable with the standard
provisions entitled “Condoms” and “Prohibition on the Promotion or Advocacy
of the Legalization or Practice of Prostitution or Sex Trafficking” included in
the referenced agreement.”

RFA/APS No.		_______________________________
  
Application No.	 	_______________________________
  
Date of Application	_______________________________
  
Name of Applicant/Subgrantee	_______________________________
  
Typed Name and Title	_______________________________

  					_______________________________

Signature 			_______________________________

PART V - SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS

Applicability:  All RFA’s must include the attached Survey on Ensuring Equal Opportunity for Applicants as an attachment to the RFA package. Applicants under unsolicited applications are also to be provided the survey. ( While inclusion of the survey by Agreement Officers in RFA packages is required, the applicant’s completion of the survey is voluntary, and must not be a requirement of the RFA. The absence of a completed survey in an application may not be a basis upon which the application is determined incomplete or non-responsive. Applicants who volunteer to complete and submit the survey under a competitive or non-competitive action are instructed within the text of the survey to submit it as part of the application process.)

PART VI - OTHER STATEMENTS OF RECIPIENT
  
	1.  AUTHORIZED INDIVIDUALS
  
 The recipient represents that the following persons are authorized to negotiate on its behalf with the Government and to bind the recipient in connection with this application or grant:
  
          Name               Title               Telephone No.      Facsimile No.
  
   ________________________________________________________________
  
   ________________________________________________________________
  
   ________________________________________________________________

	2.  TAXPAYER IDENTIFICATION NUMBER (TIN)
  
 If the recipient is a U.S. organization, or a foreign organization which has income effectively connected with the conduct of activities in the U.S. or has an office or a place of business or a fiscal paying agent in the U.S., please indicate the recipient's TIN:
  
 TIN: ________________________________

3.  DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER
  
     (a)  In the space provided at the end of this provision, the recipient should supply the Data Universal Numbering System (DUNS) number applicable to that name and address.  Recipients should take care to report the number that identifies the recipient's name and address exactly as stated in the proposal.
  
     (b)  The DUNS is a 9-digit number assigned by Dun and Bradstreet Information Services.  If the recipient does not have a DUNS number, the recipient should call Dun and Bradstreet directly at 1-800-333-0505. A DUNS number will be provided immediately by telephone at no charge to the recipient.  The recipient  should be prepared to provide the following information:
  
       (1) Recipient's name.
       (2) Recipient's address.
       (3) Recipient's telephone number.
       (4) Line of business.
       (5) Chief executive officer/key manager.
       (6) Date the organization was started.
       (7) Number of people employed by the recipient.
       (8) Company affiliation.
  
     (c)  Recipients located outside the United States may obtain the location and phone number of the local Dun and Bradstreet Information Services office from the Internet Home Page at http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is unable to locate a local service center, it may send an e-mail to Dun and Bradstreet at globalinfo@dbisma.com.
  
 The  DUNS system is distinct from the Federal Taxpayer Identification Number (TIN) system.
  
 DUNS: ________________________________________

	4.  LETTER OF CREDIT (LOC) NUMBER
  
 If the recipient has an existing Letter of Credit (LOC) with USAID, please indicate the LOC number:
  
 LOC:  _________________________________________

	5.  PROCUREMENT INFORMATION
  
     (a)  Applicability.  This applies to the procurement of goods and services planned by the recipient (i.e., contracts, purchase orders, etc.) from a supplier of goods or services for the direct use or benefit of the recipient in conducting the program supported by the grant, and not to assistance provided by the recipient (i.e., a subgrant or subagreement) to a subgrantee or subrecipient in support of the subgrantee's or subrecipient's program.  Provision by the recipient of the requested information does not, in and of itself, constitute USAID approval.
  
     (b)  Amount of Procurement.  Please indicate the total estimated dollar amount of goods and services which the recipient plans to purchase under the grant:
  
      $__________________________
  
     (c) Nonexpendable Property.  If the recipient plans to purchase nonexpendable equipment which would require the approval of the Agreement Officer, please indicate below (using a continuation page, as necessary) the types, quantities of each, and estimated unit costs. Nonexpendable equipment for which the Agreement Officer's approval to purchase is required is any article of nonexpendable tangible personal property charged directly to the grant, having a useful life of more than one year and an acquisition cost of $5,000 or more per unit.
 
 TYPE/DESCRIPTION(Generic)             QUANTITY       ESTIMATED UNIT COST

     (d)  Source, Origin, and Componentry of Goods.  If the recipient plans to purchase any goods/commodities which are not of U.S. source and/or U.S. origin, and/or does not contain at least 50% componentry, which are not at least 50% U.S. source and origin, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, and probable source and/or origin, to include the probable source and/or origin of the components if less than 50% U.S. components will be contained in the commodity.  "Source" means the country from which a commodity is shipped to the cooperating country or the cooperating country itself if the commodity is located therein at the time of purchase.  However, where a commodity is shipped from a free port or bonded warehouse in the form in which received therein, "source" means the country from which the commodity was shipped to the free port or bonded warehouse.  Any commodity whose source is a non-Free World country is ineligible for USAID financing.  The "origin" of a commodity is the country or area in which a commodity is mined, grown, or produced.  A commodity is produced when, through manufacturing, processing, or substantial and major assembling of components, a commercially recognized new commodity results, which is substantially different in basic characteristics or in purpose or utility from its components.  Merely packaging various items together for a particular procurement or relabeling items do not constitute production of a commodity.  Any commodity whose origin is a non-Free World country is ineligible for USAID financing.  "Components" are the goods, which go directly into the production of a produced commodity. Any component from a non-Free World country makes the commodity ineligible for USAID financing.
  
 TYPE/DESCRIPTION   QUANTITY   ESTIMATED   GOODS        PROBABLE  GOODS        PROBABLE
   (Generic)                   UNIT COST   COMPONENTS   SOURCE    COMPONENTS   ORIGIN

  
     (e)  Restricted Goods.  If the recipient plans to purchase any restricted goods, please indicate below (using a continuation page, as necessary) the types and quantities of each, estimated unit costs of each, intended use, and probable source and/or origin.  Restricted goods are Agricultural Commodities, Motor Vehicles, Pharmaceuticals, Pesticides, Rubber Compounding Chemicals and Plasticizers, Used Equipment, U.S. Government-Owned Excess Property, and Fertilizer.
  
 TYPE/DESCRIPTION  QUANTITY  ESTIMATED  PROBABLE  INTENDED USE
    (Generic)                UNIT COST   SOURCE    ORIGIN

  
     (f)  Supplier Nationality.  If the recipient plans to purchase any goods or services from suppliers of goods and services whose nationality is not in the U.S., please indicate below (using a continuation page, as necessary) the types and quantities of each good or service, estimated costs of each, probable nationality of each non-U.S. supplier of each good or service, and the rationale for purchasing from a non-U.S. supplier.  Any supplier whose nationality is a non-Free World country is ineligible for USAID financing.
  
 TYPE/DESCRIPTION   QUANTITY   ESTIMATED   PROBABLE SLUPPIER   NATIONALITY   RATIONALE
   (Generic)                   UNIT COST   (Non-US Only)                   for NON-US

  
  
     (g)  Proposed Disposition.  If the recipient plans to purchase any nonexpendable equipment with a unit acquisition cost of $5,000 or more, please indicate below (using a continuation page, as necessary) the proposed disposition of each such item.  Generally, the recipient may either retain the property for other uses and make compensation to USAID (computed by applying the percentage of federal participation in the cost of the original program to the current fair market value of the property), or sell the property and reimburse USAID an amount computed by applying to the sales proceeds the percentage of federal participation in the cost of the original program (except that the recipient may deduct from the federal share $500 or 10% of the proceeds, whichever is greater, for selling and handling expenses), or donate the property to a host country institution, or otherwise dispose of the property as instructed by USAID.
  
 TYPE/DESCRIPTION(Generic)   QUANTITY   ESTIMATED UNIT COST   PROPOSED   DISPOSITION

	6.  PAST PERFORMANCE REFERENCES
  
 On a continuation page, please provide past performance information requested in the RFA.

	7.  TYPE OF ORGANIZATION
  
 The recipient, by checking the applicable box, represents that -
  
     (a)  If the recipient is a U.S. entity, it operates as [  ] a corporation incorporated under the laws of the State of, [ ] an individual, [  ] a partnership, [  ] a nongovernmental nonprofit organization, [  ] a state or loc al governmental organization, [  ] a private college or university, [  ] a public college or university, [  ] an international organization, or [  ] a joint venture; or
  
     (b)  If the recipient is a non-U.S. entity, it operates as [  ] a corporation organized under the laws of _____________________________ (country), [  ] an individual, [  ] a partnership, [  ] a nongovernmental nonprofit organization, [  ] a nongovernmental educational institution, [ ] a governmental organization, [ ] an international organization, or [ ] a joint venture.

	8.  ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS
  
 The following are the estimate(s) of the cost of each separate communications product (i.e., any printed material [other than non- color photocopy material], photographic services, or video production services) which is anticipated under the grant.  Each estimate must include all the costs associated with preparation and execution of the product.  Use a continuation page as necessary.

(END OF CERTIFICATIONS AND ASSURANCES)

SECTION E - STANDARD PROVISIONS

Mandatory Standard Provisions for U.S., Nongovernmental Recipients
A Mandatory Reference for ADS Chapter 303

I. MANDATORY STANDARD PROVISIONS FOR U.S. NONGOVERNMENTAL RECIPIENTS

1. APPLICABILITY OF 22 CFR PART 226 (May 2005)
a. All provisions of 22 CFR Part 226 and all Standard Provisions attached to this agreement are applicable to the recipient and to subrecipients which meet the definition of "Recipient" in Part 226, unless a section specifically excludes a subrecipient from coverage. The recipient shall assure that subrecipients have copies of all the attached standard provisions.
b. For any subawards made with Non-US subrecipients the Recipient shall include the applicable "Standard Provisions for Non-US Nongovernmental Recipients." Recipients are required to ensure compliance with monitoring procedures in accordance with OMB Circular A-133.
[END OF PROVISION]

2. INELIGIBLE COUNTRIES (MAY 1986)
Unless otherwise approved by the USAID Agreement Officer, funds will only be expended for assistance to countries eligible for assistance under the Foreign Assistance Act of 1961, as amended, or under acts appropriating funds for foreign assistance.
[END OF PROVISION]

3. NONDISCRIMINATION (MAY 1986)
No U.S. citizen or legal resident shall be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity funded by this award on the basis of race, color, national origin, age, handicap, or sex.
[END OF PROVISION]

4. NONLIABILITY (NOVEMBER 1985)
USAID does not assume liability for any third party claims for damages arising out of this award.
[END OF PROVISION]

5. AMENDMENT (NOVEMBER 1985)
The award may be amended by formal modifications to the basic award document or by means of an exchange of letters between the Agreement Officer and an appropriate official of the recipient.
[END OF PROVISION]

6. NOTICES (NOVEMBER 1985)
Any notice given by USAID or the recipient shall be sufficient only if in writing and delivered in person, mailed, or cabled as follows:
To the USAID Agreement Officer, at the address specified in the award.
To recipient, at recipient's address shown in the award or to such other address designated within the award
Notices shall be effective when delivered in accordance with this provision, or on the effective date of the notice, whichever is later.
[END OF PROVISION]

7. SUBAGREEMENTS (June 1999)
Subrecipients, subawardees, and contractors have no relationship with USAID under the terms of this agreement. All required USAID approvals must be directed through the recipient to USAID.
[END OF PROVISION]

8. OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT (December 2003)
Information collection requirements imposed by this grant are covered by OMB approval number 0412-0510; the current expiration date is 04/30/2005. The Standard Provisions containing the requirement and an estimate of the public reporting burden (including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information) are
Standard Provision Burden Estimate
Air Travel and Transportation 1 (hour)
Ocean Shipment of Goods .5
Patent Rights .5
Publications .5
Negotiated Indirect Cost Rates -
(Predetermined and Provisional) 1
Voluntary Population Planning .5
Protection of the Individual as a 1
Research Subject
22 CFR 226 Burden Estimate
22 CFR 226.40-.49 Procurement
of Goods and Services 1
22 CFR 226.30 - .36
Property Standards 1.5
Comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, may be sent to the Office of Procurement, Policy Division (M/OP/P) U.S. Agency for International Development, Washington, DC 20523-7801 and to the Office of Management and Budget, Paperwork Reduction Project (0412-0510), Washington, D.C 20503.
[END OF PROVISION]

9. USAID ELIGIBILITY RULES FOR GOODS AND SERVICES (April 1998)
a. Ineligible and Restricted Goods and Services: USAID's policy on ineligible and restricted goods and services is contained in ADS Chapter 312.
(1) Ineligible Goods and Services. Under no circumstances shall the recipient procure any of the following under this award:
(i) Military equipment,
(ii) Surveillance equipment,
(iii) Commodities and services for support of police or other law enforcement activities,
(iv) Abortion equipment and services,
(v) Luxury goods and gambling equipment, or
(vi) Weather modification equipment.
(2) Ineligible Suppliers. Funds provided under this award shall not be used to procure any goods or services furnished by any firms or individuals whose name appears on the "Lists of Parties Excluded from Federal Procurement and Nonprocurement Programs." USAID will provide the recipient with a copy of these lists upon request.
(3) Restricted Goods. The recipient shall not procure any of the following goods and services without the prior approval of the Agreement Officer:
(i) Agricultural commodities,
(ii) Motor vehicles,
(iii) Pharmaceuticals,
(iv) Pesticides,
(v) Used equipment,
(vi) U.S. Government-owned excess property, or
(vii) Fertilizer.
Prior approval will be deemed to have been met when:
(i) the item is of U.S. source/origin;
(ii) the item has been identified and incorporated in the program description or schedule of the award (initial or revisions), or amendments to the award; and
(iii) the costs related to the item are incorporated in the approved budget of the award.
Where the item has not been incorporated into the award as described above, a separate written authorization from the Agreement Officer must be provided before the item is procured.

b. Source and Nationality: The eligibility rules for goods and services based on source and nationality are divided into two categories. One applies when the total procurement element during the life of the award is over $250,000, and the other applies when the total procurement element during the life of the award is not over $250,000, or the award is funded under the Development Fund for Africa (DFA) regardless of the amount. The total procurement element includes procurement of all goods (e.g., equipment, materials, supplies) and services. Guidance on the eligibility of specific goods or services may be obtained from the Agreement Officer. USAID policies and definitions on source, origin and nationality are contained in 22 CFR Part 228, Rules on Source, Origin and Nationality for Commodities and Services Financed by the Agency for International Development, which is incorporated into this Award in its entirety.
(1) For DFA funded awards or when the total procurement element during the life of this award is valued at $250,000 or less, the following rules apply:
(i) The authorized source for procurement of all goods and services to be reimbursed under the award is USAID Geographic Code 935, "Special Free World," and such goods and services must meet the source, origin and nationality requirements set forth in 22 CFR Part 228 in accordance with the following order of preference:
(A) The United States (USAID Geographic Code 000),
(B) The Cooperating Country,
(C) USAID Geographic Code 941, and
(D) USAID Geographic Code 935.
(ii) Application of order of preference: When the recipient procures goods and services from other than U.S. sources, under the order of preference in paragraph (b)(1)(i) above, the recipient shall document its files to justify each such instance. The documentation shall set forth the circumstances surrounding the procurement and shall be based on one or more of the following reasons, which will be set forth in the Recipient's documentation:
(A) The procurement was of an emergency nature, which would not allow for the delay attendant to soliciting U.S. sources,
(B) The price differential for procurement from U.S. sources exceeded by 50% or more the delivered price from the non-U.S. source,
(C) Compelling local political considerations precluded consideration of U.S. sources,

(D) The goods or services were not available from U.S. sources, or
(E) Procurement of locally available goods and services, as opposed to procurement of U.S. goods and services, would best promote the objectives of the Foreign Assistance program under the award.
(2) When the total procurement element exceeds $250,000 (unless funded by DFA), the following applies: Except as may be specifically approved or directed in advance by the Agreement Officer, all goods and services financed with U.S. dollars, which will be reimbursed under this award must meet the source, origin and nationality requirements set forth in 22 CFR Part 228 for the authorized geographic code specified in the schedule of this award. If none is specified, the authorized source is Code 000, the United States.
c. Printed or Audio-Visual Teaching Materials: If the effective use of printed or audio-visual teaching materials depends upon their being in the local language and if such materials are intended for technical assistance projects or activities financed by USAID in whole or in part and if other funds including U.S.-owned or U.S.-controlled local currencies are not readily available to finance the procurement of such materials, local language versions may be procured from the following sources, in order of preference:
(1) The United States (USAID Geographic Code 000),
(2) The Cooperating Country,
(3) "Selected Free World" countries (USAID Geographic
Code 941), and
(4) "Special Free World" countries (USAID Geographic
Code 899).
d. If USAID determines that the recipient has procured any of these goods or services under this award contrary to the requirements of this provision, and has received payment for such purposes, the Agreement Officer may require the recipient to refund the entire amount of the purchase.
This provision must be included in all subagreements which include procurement of goods or services which total over $5,000.
[END OF PROVISION]

10. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (January 2004)
a. The recipient agrees to notify the Agreement Officer immediately upon learning that it or any of its principals:
(1) Are presently excluded or disqualified from covered transactions by any Federal department or agency;
(2) Have been convicted within the preceding three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, tax evasion, receiving stolen property, making false claims, or obstruction of justice; commission of any other offense indicating a lack of business integrity or business honesty that seriously and directly affects your present responsibility;
(3) Are presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(b); and
(4) Have had one or more public transactions (Federal, State, or local) terminated for cause or default within the preceding three years.
b. The recipient agrees that, unless authorized by the Agreement Officer, it will not knowingly enter into any subagreements or contracts under this grant with a person or entity that is included on the Excluded Parties List System (http://epls.arnet.gov). The recipient further agrees to include the following provision in any subagreements or contracts entered into under this award:
DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY EXCLUSION (DECEMBER 2003)
The recipient/contractor certifies that neither it nor its principals is presently excluded or disqualified from participation in this transaction by any Federal department or agency.
c. The policies and procedures applicable to debarment, suspension, and ineligibility under USAID-financed transactions are set forth in 22 CFR Part 208.
[END OF PROVISION]

11. DRUG-FREE WORKPLACE (January 2004)
a. The recipient agrees that it will publish a drug-free workplace statement and provide a copy to each employee who will be engaged in the performance of any Federal award. The statement must
(1) Tell the employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in its workplace;
(2) Specify the actions the recipient will take against employees for violating that prohibition; and
(3) Let each employee know that, as a condition of employment under any award, he or she
(i) Must abide by the terms of the statement, and
(ii) Must notify you in writing if he or she is convicted for a violation of a criminal drug statute occurring in the workplace, and must do so no more than five calendar days after the conviction.
b. The recipient agrees that it will establish an ongoing drug-free awareness program to inform employees about
(i) The dangers of drug abuse in the workplace;
(ii) Your policy of maintaining a drug-free workplace;
(iii) Any available drug counseling, rehabilitation and employee assistance programs; and
(iv) The penalties that you may impose upon them for drug abuse violations occurring in the workplace.
c. Without the Agreement Officer’s expressed written approval, the policy statement and program must be in place as soon as possible, no later than the 30 days after the effective date of this award or the completion date of this award, whichever occurs first.
d. The recipient agrees to immediately notify the Agreement Officer if an employee is convicted of a drug violation in the workplace. The notification must be in writing, identify the employee’s position title, the number of each award on which the employee worked. The notification must be sent to the Agreement Officer within ten calendar days after the recipient learns of the conviction.
e. Within 30 calendar days of learning about an employee’s conviction, the recipient must either
(1) Take appropriate personnel action against the employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973 (29 USC 794), as amended, or
(2) Require the employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for these purposes by a Federal, State or local health, law enforcement, or other appropriate agency.
f. The policies and procedures applicable to violations of these requirements are set forth in 22 CFR Part 210.
[END OF PROVISION]
a. The recipient may not discriminate against any beneficiary or potential beneficiary under this award on the basis of religion or religious belief. Accordingly, in providing services supported in whole or in part by this agreement or in its outreach activities related to such services, the recipient may not discriminate against current or prospective program beneficiaries on the basis of religion, a religious belief, a refusal to hold a religious belief, or a refusal to actively participate in a religious practice;
b. The Federal Government must implement Federal programs in accordance with the Establishment Clause and the Free Exercise Clause of the First Amendment to the Constitution. Therefore, if the recipient engages in inherently religious activities, such as worship, religious instruction, and proselytization, it must offer those services at a different time or location from any programs or services directly funded by this award, and participation by beneficiaries in any such inherently religious activities must be voluntary.
c. If the recipient makes subawards under this agreement, faith-based organizations should be eligible to participate on the same basis as other organizations, and should not be discriminated against on the basis of their religious character or affiliation.
[END OF PROVISION]

13. IMPLEMENTATION OF E.O. 13224 -- EXECUTIVE ORDER ON TERRORIST FINANCING (March 2002)
The Recipient is reminded that U.S. Executive Orders and U.S. law prohibits transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. It is the legal responsibility of the recipient to ensure compliance with these Executive Orders and laws. This provision must be included in all contracts/subawards issued under this agreement.
[END OF PROVISION]

14. MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December 2005)
(a) Definitions
Commodities mean any material, article, supply, goods or equipment, excluding recipient offices, vehicles, and non-deliverable items for recipient’s internal use, in administration of the USAID funded grant, cooperative agreement, or other agreement or subagreement.
Principal Officer means the most senior officer in a USAID Operating Unit in the field, e.g., USAID Mission Director or USAID Representative. For global programs managed from Washington but executed across many countries, such as disaster relief and assistance to internally displaced persons, humanitarian emergencies or immediate post conflict and political crisis response, the cognizant Principal Officer may be an Office Director, for example, the Directors of USAID/W/Office of Foreign Disaster Assistance and Office of Transition Initiatives. For non-presence countries, the cognizant Principal Officer is the Senior USAID officer in a regional USAID Operating Unit responsible for the non-presence country, or in the absence of such a responsible operating unit, the Principal U.S Diplomatic Officer in the non-presence country exercising delegated authority from USAID.
Programs mean an organized set of activities and allocation of resources directed toward a common purpose, objective, or goal undertaken or proposed by an organization to carry out the responsibilities assigned to it.
Projects include all the marginal costs of inputs (including the proposed investment) technically required to produce a discrete marketable output or a desired result (for example, services from a fully functional water/sewage treatment facility).
*An asterisk indicates that the adjacent information is new or substantively revised. 13
Public communications are documents and messages intended for distribution to audiences external to the recipient’s organization. They include, but are not limited to, correspondence, publications, studies, reports, audio visual productions, and other informational products; applications, forms, press and promotional materials used in connection with USAID funded programs, projects or activities, including signage and plaques; Web sites/Internet activities; and events such as training courses, conferences, seminars, press conferences and so forth.
Subrecipient means any person or government (including cooperating country government) department, agency, establishment, or for profit or nonprofit organization that receives a USAID subaward, as defined in 22 C.F.R. 226.2.
Technical Assistance means the provision of funds, goods, services, or other foreign assistance, such as loan guarantees or food for work, to developing countries and other USAID recipients, and through such recipients to subrecipients, in direct support of a development objective – as opposed to the internal management of the foreign assistance program.
USAID Identity (Identity) means the official marking for the United States Agency for International Development (USAID), comprised of the USAID logo or seal and new brandmark, with the tagline that clearly communicates that our assistance is “from the American people.” The USAID Identity is available on the USAID website at www.usaid.gov/branding and USAID provides it without royalty, license, or other fee to recipients of USAID-funded grants, or cooperative agreements, or other assistance awards
(b) Marking of Program Deliverables
(1) All recipients must mark appropriately all overseas programs, projects, activities, public communications, and commodities partially or fully funded by a USAID grant or cooperative agreement or other assistance award or subaward with the USAID Identity, of a size and prominence equivalent to or greater than the recipient’s, other donor’s, or any other third party’s identity or logo.
(2) The Recipient will mark all program, project, or activity sites funded by USAID, including visible infrastructure projects (for example, roads, bridges, buildings) or other programs, projects, or activities that are physical in nature (for example, agriculture, forestry, water management) with the USAID Identity. The Recipient should erect temporary signs or plaques early in the construction or implementation phase. When construction or implementation is complete, the Recipient must install a permanent, durable sign, plaque or other marking.
(3) The Recipient will mark technical assistance, studies, reports, papers, publications, audio-visual productions, public service announcements, Web sites/Internet activities and other promotional, informational, media, or communications products funded by USAID with the USAID Identity.
(4) The Recipient will appropriately mark events financed by USAID, such as training courses, conferences, seminars, exhibitions, fairs, workshops, press conferences and other public activities, with the USAID Identity. Unless directly prohibited and as appropriate to the surroundings, recipients should display additional materials, such as signs and banners, with the USAID Identity. In circumstances in which the USAID Identity cannot be displayed visually, the recipient is encouraged otherwise to acknowledge USAID and the American people’s support.
(5) The Recipient will mark all commodities financed by USAID, including commodities or equipment provided under humanitarian assistance or disaster relief programs, and all other equipment, supplies, and other materials funded by USAID, and their export packaging with the USAID Identity.
(6) The Agreement Officer may require the USAID Identity to be larger and more prominent if it is the majority donor, or to require that a cooperating country government’s identity be larger and more prominent if circumstances warrant, and as appropriate depending on the audience, program goals, and materials produced.
(7) The Agreement Officer may require marking with the USAID Identity in the event that the recipient does not choose to mark with its own identity or logo.
(8) The Agreement Officer may require a pre-production review of USAID-funded public communications and program materials for compliance with the approved Marking Plan.
(9) Subrecipients. To ensure that the marking requirements “flow down'' to subrecipients of subawards, recipients of USAID funded grants and cooperative agreements or other assistance awards will include the USAID-approved marking provision in any USAID funded subaward, as follows:
“As a condition of receipt of this subaward, marking with the USAID Identity of a size and prominence equivalent to or greater than the recipient’s, subrecipient’s, other donor’s or third party’s is required. In the event the recipient chooses not to require marking with its own identity or logo by the subrecipient, USAID may, at its discretion, require marking by the subrecipient with the USAID Identity.”
(10) Any ‘public communications’, as defined in 22 C.F.R. 226.2, funded by USAID, in which the content has not been approved by USAID, must contain the following disclaimer:
“This study/report/audio/visual/other information/media product (specify) is made possible by the generous support of the American people through the United States Agency for International Development (USAID). The contents are the responsibility of [insert recipient name] and do not necessarily reflect the views of USAID or the United States Government.”
(11) The recipient will provide the Cognizant Technical Officer (CTO) or other USAID personnel designated in the grant or cooperative agreement with two copies of all program and communications materials produced under the award. In addition, the recipient will submit one electronic or one hard copy of all final documents to USAID’s Development Experience Clearinghouse.
(c) Implementation of marking requirements.
(1) When the grant or cooperative agreement contains an approved Marking Plan, the recipient will implement the requirements of this provision following the approved Marking Plan.
(2) When the grant or cooperative agreement does not contain an approved Marking Plan, the recipient will propose and submit a plan for implementing the requirements of this provision within [60 days] days after the effective date of this provision. The plan will include:
(i) A description of the program deliverables specified in paragraph (b) of this provision that the recipient will produce as a part of the grant or cooperative agreement and which will visibly bear the USAID Identity.
(ii) the type of marking and what materials the applicant uses to mark the program deliverables with the USAID Identity,
(iii) when in the performance period the applicant will mark the program deliverables, and where the applicant will place the marking,
(3) The recipient may request program deliverables not be marked with the USAID Identity by identifying the program deliverables and providing a rationale for not marking these program deliverables. Program deliverables may be exempted from USAID marking requirements when:
(i) USAID marking requirements would compromise the intrinsic independence or neutrality of a program or materials where independence or neutrality is an inherent aspect of the program and materials;
(ii) USAID marking requirements would diminish the credibility of audits, reports, analyses, studies, or policy recommendations whose data or findings must be seen as independent;
(iii) USAID marking requirements would undercut host-country government “ownership” of constitutions, laws, regulations, policies, studies, assessments, reports, publications, surveys or audits, public service announcements, or other communications better positioned as “by” or “from” a cooperating country ministry or government official;
(iv) USAID marking requirements would impair the functionality of an item;
(v) USAID marking requirements would incur substantial costs or be impractical;
(vi) USAID marking requirements would offend local cultural or social norms, or be considered inappropriate;
(vii) USAID marking requirements would conflict with international law.
(4) The proposed plan for implementing the requirements of this provision, including any proposed exemptions, will be negotiated within the time specified by the Agreement Officer after receipt of the proposed plan. Failure to negotiate an approved plan with the time specified by the Agreement Officer may be considered as noncompliance with the requirements is provision.
(d) Waivers.
(1) The recipient may request a waiver of the Marking Plan or of the marking requirements of this provision, in whole or in part, for each program, project, activity, public communication or commodity, or, in exceptional circumstances, for a region or country, when USAID required marking would pose compelling political, safety, or security concerns, or when marking would have an adverse impact in the cooperating country. The recipient will submit the request through the Cognizant Technical Officer. The Principal Officer is responsible for approvals or disapprovals of waiver requests.
(2) The request will describe the compelling political, safety, security concerns, or adverse impact that require a waiver, detail the circumstances and rationale for the waiver, detail the specific requirements to be waived, the specific portion of the Marking Plan to be waived, or specific marking to be waived, and include a description of how program materials will be marked (if at all) if the USAID Identity is removed. The request should also provide a rationale for any use of recipient’s own identity/logo or that of a third party on materials that will be subject to the waiver.
(3) Approved waivers are not limited in duration but are subject to Principal Officer review at any time, due to changed circumstances.
(4) Approved waivers “flow down” to recipients of subawards unless specified otherwise. The waiver may also include the removal of USAID markings already affixed, if circumstances warrant.
(5) Determinations regarding waiver requests are subject to appeal to the Principal Officer’s cognizant Assistant Administrator. The recipient may appeal by submitting a written request to reconsider the Principal Officer’s waiver determination to the cognizant Assistant Administrator.
(e) Non-retroactivity. The requirements of this provision do not apply to any materials, events, or commodities produced prior to January 2, 2006. The requirements of this provision do not apply to program, project, or activity sites funded by USAID, including visible infrastructure projects (for example, roads, bridges, buildings) or other programs, projects, or activities that are physical in nature (for example, agriculture, forestry, water management) where the construction and implementation of these are complete prior to January 2, 2006 and the period of the grant does not extend past January 2, 2006.
[END OF PROVISION]

15. REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)
(The following applies to the recipient's employees working in the cooperating country under the agreement who are not citizens of the cooperating country.)
a. The recipient's employees shall maintain private status and may not rely on local U.S. Government offices or facilities for support while under this grant.
b. The sale of personal property or automobiles by recipient employees and their dependents in the foreign country to which they are assigned shall be subject to the same limitations and prohibitions which apply to direct-hire USAID personnel employed by the Mission, including the rules contained in 22 CFR Part 136, except as this may conflict with host government regulations.
c. Other than work to be performed under this award for which an employee is assigned by the recipient, no employee of the recipient shall engage directly or indirectly, either in the individual's own name or in the name or through an agency of another person, in any business, profession, or occupation in the foreign countries to which the individual is assigned, nor shall the individual make loans or investments to or in any business, profession or occupation in the foreign countries to which the individual is assigned.
d. The recipient's employees, while in a foreign country, are expected to show respect for its conventions, customs, and institutions, to abide by its applicable laws and regulations, and not to interfere in its internal political affairs.
e. In the event the conduct of any recipient employee is not in accordance with the preceding paragraphs, the recipient's chief of party shall consult with the USAID Mission Director and the employee involved and shall recommend to the recipient a course of action with regard to such employee.
f. The parties recognize the rights of the U.S. Ambassador to direct the removal from a country of any U.S. citizen or the discharge from this grant award of any third country national when, in the discretion of the Ambassador, the interests of the United States so require.
g. If it is determined, either under (e) or (f) above, that the services of such employee should be terminated, the recipient shall use its best efforts to cause the return of such employee to the United States, or point of origin, as appropriate.
[END OF PROVISION]

16. CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY (NOVEMBER 1985)
Upon arrival in the Cooperating Country, and from time to time as appropriate, the recipient's chief of party shall consult with the Mission Director who shall provide, in writing, the procedure the recipient and its employees shall follow in the conversion of United States dollars to local currency. This may include, but is not limited to, the conversion of currency through the cognizant United States Disbursing Officer or Mission Controller, as appropriate.
[END OF PROVISION]

17. USE OF POUCH FACILITIES (AUGUST 1992)
a. Use of diplomatic pouch is controlled by the Department of State. The Department of State has authorized the use of pouch facilities for USAID recipients and their employees as a general policy, as detailed in items (1) through (6) below. However, the final decision regarding use of pouch facilities rest with the Embassy or USAID Mission. In consideration of the use of pouch facilities, the recipient and its employees agree to indemnify and hold harmless, the Department of State and USAID for loss or damage occurring in pouch transmission:
(1) Recipients and their employees are authorized use of the pouch for transmission and receipt of up to a maximum of .9 kgs per shipment of correspondence and documents needed in the administration of assistance programs.
(2) U.S. citizen employees are authorized use of the pouch for personal mail up to a maximum of .45 kgs per shipment (but see (a)(3) below).
(3) Merchandise, parcels, magazines, or newspapers are not considered to be personal mail for purposes of this standard provision and are not authorized to be sent or received by pouch.
(4) Official and personal mail pursuant to a.1. and 2. above sent by pouch should be addressed as follows:
Name of individual or organization (followed by
letter symbol "G")
City Name of post (USAID/______)
Agency for International Development
Washington, D.C. 20523-0001
(5) Mail sent via the diplomatic pouch may not be in violation of U.S. Postal laws and may not contain material ineligible for pouch transmission.
(6) Recipient personnel are NOT authorized use of military postal facilities (APO/FPO). This is an Adjutant General's decision based on existing laws and regulations governing military postal facilities and is being enforced worldwide.
b. The recipient shall be responsible for advising its employees of this authorization, these guidelines, and limitations on use of pouch facilities.
c. Specific additional guidance on Recipient use of pouch facilities in accordance with this standard provision is available from the Post Communication Center at the Embassy or USAID Mission.
[END OF PROVISION]

18. INTERNATIONAL AIR TRAVEL AND TRANSPORTATION (JUNE 1999)
a. PRIOR BUDGET APPROVAL
In accordance with OMB Cost Principles, direct charges for foreign travel costs are allowable only when each foreign trip has received prior budget approval. Such approval will be deemed to have been met when:
(1) the trip is identified. Identification is accomplished by providing the following information: the number of trips, the number of individuals per trip, and the destination country(s).
(2) the information noted at (a)(1) above is incorporated in: the proposal, the program description or schedule of the award, the implementation plan (initial or revisions), or amendments to the award; and
(3) the costs related to the travel are incorporated in the approved budget of the award.
The Agreement Officer may approve travel which has not been incorporated in writing as required by paragraph (a)(2). In such case, a copy of the Agreement Officer's approval must be included in the agreement file.
b. NOTIFICATION
(1) As long as prior budget approval has been met in accordance with paragraph (a) above, a separate Notification will not be necessary unless:
(i) the primary purpose of the trip is to work with USAID Mission personnel, or
(ii) the recipient expects significant administrative or substantive programmatic support from the Mission.
Neither the USAID Mission nor the Embassy will require Country Clearance of employees or contractors of USAID Recipients.
(2) Where notification is required in accordance with paragraph (1)(i) or (ii) above, the recipient will observe the following standards:
(i) Send a written notice to the cognizant USAID Technical Office in the Mission. If the recipient's primary point of contact is a Technical Officer in USAID/W, the recipient may send the notice to that person. It will be the responsibility of the USAID/W Technical Officer to forward the notice to the field.
(ii) The notice should be sent as far in advance as possible, but at least 14 calendar days in advance of the proposed travel. This notice may be sent by fax or e-mail. The recipient should retain proof that notification was made.
(iii) The notification shall contain the following information: the award number, the cognizant Technical Officer, the traveler's name (if known), date of arrival, and the purpose of the trip.
(iv) The USAID Mission will respond only if travel has been denied. It will be the responsibility of the Technical Officer in the Mission to contact the recipient within 5 working days of having received the notice if the travel is denied. If the recipient has not received a response within the time frame, the recipient will be considered to have met these standards for notification, and may travel.
(v) If a subrecipient is required to issue a Notification, as per this section, the subrecipient may contact the USAID Technical Officer directly, or the prime may contact USAID on the subrecipient's behalf.
c. SECURITY ISSUES
Recipients are encouraged to obtain the latest Department of State Travel Advisory Notices before travelling. These Notices are available to the general public and may be obtained directly from the State Department, or via Internet.
Where security is a concern in a specific region, recipients may choose to notify the US Embassy of their presence when they have entered the country. This may be especially important for long-term posting.
d. USE OF U.S.-OWNED LOCAL CURRENCY
Travel to certain countries shall, at USAID's option, be funded from U.S.-owned local currency. When USAID intends to exercise this option, USAID will either issue a U.S. Government S.F. 1169, Transportation Request (GTR) which the Recipient may exchange for tickets, or issue the tickets directly. Use of such U.S.-owned currencies will constitute a dollar charge to this grant.
e. THE FLY AMERICA ACT
The Fly America Act (49 U.S.C. 40118) requires that all air travel and shipments under this award must be made on U.S. flag air carriers to the extent service by such carriers is available. The Administrator of General Services Administration (GSA) is authorized to issue regulations for purposes of implementation. Those regulations may be found at 41 CFR part 301, and are hereby incorporated by reference into this award.
f. COST PRINCIPLES
The recipient will be reimbursed for travel and the reasonable cost of subsistence, post differentials and other allowances paid to employees in international travel status in accordance with the recipient's applicable cost principles and established policies and practices which are uniformly applied to federally financed and other activities of the Recipient.
If the recipient does not have written established policies regarding travel costs, the standard for determining the reasonableness of reimbursement for overseas allowance will be the Standardized Regulations (Government Civilians, Foreign Areas), published by the U.S. Department of State, as from time to time amended. The most current subsistence, post differentials, and other allowances may be obtained from the Agreement Officer.
g. SUBAWARDS.
This provision will be included in all subawards and contracts which require international air travel and transportation under this award.
[END OF PROVISION]

19. OCEAN SHIPMENT OF GOODS (JUNE 1999)
a. At least 50% of the gross tonnage of all goods purchased under this agreement and transported to the cooperating countries shall be made on privately owned U.S. flag commercial ocean vessels, to the extent such vessels are available at fair and reasonable rates for such vessels.
b. At least 50% of the gross freight revenue generated by shipments of goods purchased under this agreement and transported to the cooperating countries on dry cargo liners shall be paid to or for the benefit of privately owned U.S. flag commercial ocean vessels to the extent such vessels are available at fair and reasonable rates for such vessels.
c. When U.S. flag vessels are not available, or their use would result in a significant delay, the Recipient may request a determination of non-availability from the USAID Transportation Division, Office of Procurement, Washington, D.C. 20523, giving the basis for the request which will relieve the grantee of the requirement to use U.S. flag vessels for the amount of tonnage included in the determination. Shipments made on non-free world ocean vessels are not reimbursable under this grant.
d. The recipient shall send a copy of each ocean bill of lading, stating all of the carrier's charges including the basis for calculation such as weight or cubic measurement, covering a shipment under this agreement to:
U.S. Department of Transportation,
Maritime Administration, Division of National Cargo,
400 7th Street, S.W.,
Washington, DC 20590, and
U.S. Agency for International Development,
Office of Procurement, Transportation Division
1300 Pennsylvania Avenue, N.W.
Washington, DC 20523-7900
e. Shipments by voluntary nonprofit relief agencies (i.e., PVOs) shall be governed by this standard provision and by USAID Regulation 2, "Overseas Shipments of Supplies by Voluntary Nonprofit Relief Agencies" (22 CFR Part 202).
f. Shipments financed under this grant must meet applicable eligibility requirements set out in 22 CFR 228.21.
[END OF PROVISION]

20. LOCAL PROCUREMENT (April 1998)
a. Financing local procurement involves the use of appropriated funds to finance the procurement of goods and services supplied by local businesses, dealers or producers, with payment normally being in the currency of the cooperating country.
b. Locally financed procurements must be covered by source and nationality waivers as set forth in 22 CFR 228, Subpart F, except as provided for in mandatory standard provision, "USAID Eligibility Rules for Goods and Services," or when one of the following exceptions applies:
(1) Locally available commodities of U.S. origin, which are otherwise eligible for financing, if the value of the transaction is estimated not to exceed $100,000 exclusive of transportation costs.
(2) Commodities of geographic code 935 origin if the value of the transaction does not exceed the local currency equivalent of $5,000.
(3) Professional Services Contracts estimated not to exceed $250,000.
(4) Construction Services Contracts estimated not to exceed $5,000,000.
(5) Commodities and services available only in the local economy (no specific per transaction value applies to this category). This category includes the following items:
(i) Utilities including fuel for heating and cooking, waste disposal and trash collection;
(ii) Communications - telephone, telex, fax, postal and courier services;
(iii) Rental costs for housing and office space;
(iv) Petroleum, oils and lubricants for operating vehicles and equipment;
(v) Newspapers, periodicals and books published in the cooperating country;
(vi) Other commodities and services and related expenses that, by their
nature or as a practical matter, can only be acquired, performed, or incurred in the cooperating country, e.g., vehicle maintenance, hotel accommodations, etc.
c. The coverage on ineligible and restricted goods and services in the mandatory standard provision entitled, "USAID Eligibility Rules for Goods and Services," also apply to local procurement.
d. This provision will be included in all subagreements where local procurement of goods or services is a supported element.
[END OF PROVISION]

 [END OF MANDATORY PROVISIONS]

II. REQUIRED AS APPLICABLE STANDARD PROVISIONS FOR U.S., NONGOVERNMENTAL RECIPIENTS

1. NEGOTIATED INDIRECT COST RATES - PREDETERMINED (April 1998)
a. The allowable indirect costs shall be determined by applying the predetermined indirect cost rates to the bases specified in the schedule of this award.
b. Within the earlier of 30 days after receipt of the A-133 audit report or nine months after the end of the audit period, the recipient shall submit to the cognizant agency for audit the required OMB Circular A-133 audit report, proposed predetermined indirect cost rates, and supporting cost data. If USAID is the cognizant agency or no cognizant agency has been designated, the recipient shall submit four copies of the audit report, the proposed predetermined indirect cost rates, and supporting cost data to the Overhead, Special Costs, and Closeout Branch, Office of Procurement, USAID, Washington DC 20523-7802. The proposed rates shall be based on the recipient's actual cost experience during that fiscal year. Negotiations of predetermined indirect cost rates shall begin soon after receipt of the recipient's proposal.
c. Allowability of costs and acceptability of cost allocation methods shall be determined in accordance with the applicable cost principles.
d. The results of each negotiation shall be set forth in an indirect cost rate agreement signed by both parties. Such agreement is automatically incorporated into this award and shall specify (1) the agreed upon predetermined rates, (2) the bases to which the rates apply, (3) the fiscal year for which the rates apply, and (4) the specific items treated as direct costs. The indirect cost rate agreement shall not change any monetary ceiling, award obligation, or specific cost allowance or disallowance provided for in this award.
e. Pending establishment of predetermined indirect costs rates for any fiscal year, the recipient shall be reimbursed either at the rates fixed for the previous fiscal year or at billing rates acceptable to the USAID Agreement Officer, subject to appropriate adjustment when the final rates for the fiscal year or other period are established.
[END OF PROVISION]

2. PUBLICATIONS AND MEDIA RELEASES (MARCH 2006)
a. The recipient shall provide the USAID Cognizant Technical Officer one copy of all published works developed under the award with lists of other written work produced under the award. In addition, the recipient shall submit final documents in electronic format unless no electronic version exists at the following address:
Online (preferred)
http://www.dec.org/submit.cfm
Mailing address:
Document Acquisitions
USAID Development Experience Clearinghouse (DEC)
8403 Colesville Road Suite 210
Silver Spring, MD 20910-6368
Contract Information
Telephone (301) 562-0641
Fax (301) 588-7787
E-mail: docsubmit@dec.cdie.org
Electronic documents must consist of only one electronic file that comprises the complete and final equivalent of a hard copy. They may be submitted online (preferred); on 3.5” diskettes, a Zip disk, CD-R, or by e-mail. Electronic documents should be in PDF (Portable Document Format). Submission in other formats is acceptable but discouraged.
Each document submitted should contain essential bibliographic elements, such as 1) descriptive title; 2) author(s) name; 3) award number; 4) sponsoring USAID office; 5) strategic objective; and 6) date of publication;:
b. In the event award funds are used to underwrite the cost of publishing, in lieu of the publisher assuming this cost as is the normal practice, any profits or royalties up to the amount of such cost shall be credited to the award unless the schedule of the award has identified the profits or royalties as program income.
c. Except as otherwise provided in the terms and conditions of the award, the author or the recipient is free to copyright any books, publications, or other copyrightable materials developed in the course of or under this award, but USAID reserves a royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use the work for Government purposes.
 [END OF PROVISION]

3. PARTICIPANT TRAINING (April 1998)
a. Definition: A participant is any non-U.S. individual being trained under this award outside of that individual's home country.
b. Application of ADS Chapter 253: Participant training under this award shall comply with the policies established in ADS Chapter 253, Participant Training, except to the extent that specific exceptions to ADS 253 have been provided in this award with the concurrence of the Office of International Training.
c. Orientation: In addition to the mandatory requirements in ADS 253, recipients are strongly encouraged to provide, in collaboration with the Mission training officer, predeparture orientation and orientation in Washington at the Washington International Center. The latter orientation program also provides the opportunity to arrange for home hospitality in Washington and elsewhere in the United States through liaison with the National Council for International Visitors (NCIV). If the Washington orientation is determined not to be feasible, home hospitality can be arranged in most U.S. cities if a request for such is directed to the Agreement Officer, who will transmit the request to NCIV through EGAT/ED/PT.
[END OF PROVISION]

4. PUBLIC NOTICES (MARCH 2004)
It is USAID's policy to inform the public as fully as possible of its programs and activities. The recipient is encouraged to give public notice of the receipt of this award and, from time to time, to announce progress and accomplishments. Press releases or other public notices should include a statement substantially as follows:
"The U.S. Agency for International Development administers the U.S. foreign assistance program providing economic and humanitarian assistance in more than 120 countries worldwide."
The recipient may call on USAID's Bureau for Legislative and Public Affairs for advice regarding public notices. The recipient is requested to provide copies of notices or announcements to the cognizant technical officer and to USAID's Bureau for Legislative and Public Affairs as far in advance of release as possible.
[END OF PROVISION]

5. COST SHARING (MATCHING) (July 2002)
a. If at the end of any funding period, the recipient has expended an amount of non-Federal funds less than the agreed upon amount or percentage of total expenditures, the Agreement Officer may apply the difference to reduce the amount of USAID incremental funding in the following funding period. If the award has expired or has been terminated, the Agreement Officer may require the recipient to refund the difference to USAID.
b. The source, origin and nationality requirements and the restricted goods provision established in the Standard Provision entitled "USAID Eligibility Rules for Goods and Services" do not apply to cost sharing (matching) expenditures.
[END OF PROVISION]

6. PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS (JUNE 1999)
a. USAID reserves the right to terminate assistance to, or take other appropriate measures with respect to, any participant approved by USAID who is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140.
b. (1) For any loan over $1000 made under this agreement, the recipient shall insert a clause in the loan agreement stating that the loan is subject to immediate cancellation, acceleration, recall or refund by the recipient if the borrower or a key individual of a borrower is found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140.
(2) Upon notice by USAID of a determination under section (1) and at USAID's option, the recipient agrees to immediately cancel, accelerate or recall the loan, including refund in full of the outstanding balance. USAID reserves the right to have the loan refund returned to USAID.
c. (1) The recipient agrees not to disburse, or sign documents committing the recipient to disburse, funds to a subrecipient designated by USAID ("Designated Subrecipient") until advised by USAID that: (i) any United States Government review of the Designated Subrecipient and its key individuals has been completed; (ii) any related certifications have been obtained; and (iii) the assistance to the Designated Subrecipient has been approved. Designation means that the subrecipient has been unilaterally selected by USAID as the subrecipient. USAID approval of a subrecipient, selected by another party, or joint selection by USAID and another party is not designation.
(2) The recipient shall insert the following clause, or its substance, in its agreement with the Designated Subrecipient:
“The recipient reserves the right to terminate this [Agreement/Contract] or take other appropriate measures if the [Subrecipient] or a key individual of the [Subrecipient] is found to have been convicted of a narcotic offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140.”
[END OF PROVISION]

7. INVESTMENT PROMOTION (NOVEMBER 2003)
a. Except as specifically set forth in this award or otherwise authorized by USAID in writing, no funds or other support provided hereunder may be used for any activity that involves investment promotion in a foreign country.
b. In the event the recipient is requested or wishes to provide assistance in the above area or requires clarification from USAID as to whether the activity would be consistent with the limitation set forth above, the recipient must notify the Agreement Officer and provide a detailed description of the proposed activity. The recipient must not proceed with the activity until advised by USAID that it may do so.
c. The recipient must ensure that its employees and sub-recipients and contractors providing investment promotion services hereunder are made aware of the restrictions set forth in this clause and must include this clause in all contracts and other sub-agreements entered into hereunder.
[END OF PROVISION]

8. REPORTING OF FOREIGN TAXES (March 2006)
a. The recipient must annually submit a report by April 16 of the next year.
b. Contents of Report. The report must contain:
(i) Contractor/recipient name.
(ii) Contact name with phone, fax and email.
(iii) Agreement number(s).
(iv) Amount of foreign taxes assessed by a foreign government [each foreign government must be listed separately] on commodity purchase transactions valued at $500 or more financed with U.S. foreign assistance funds under this agreement during the prior U.S. fiscal year.
(v) Only foreign taxes assessed by the foreign government in the country receiving U.S. assistance is to be reported. Foreign taxes by a third party foreign government are not to be reported. For example, if an assistance program for Lesotho involves the purchase of commodities in South Africa using foreign assistance funds, any taxes imposed by South Africa would not be reported in the report for Lesotho (or South Africa).
(vi) Any reimbursements received by the Recipient during the period in (iv) regardless of when the foreign tax was assessed and any reimbursements on the taxes reported in (iv) received through March 31.
(vii) Report is required even if the recipient did not pay any taxes during the report period.
(viii) Cumulative reports may be provided if the recipient is implementing more than one program in a foreign country.
c. Definitions. For purposes of this clause:
(i) “Agreement” includes USAID direct and country contracts, grants, cooperative agreements and interagency agreements.
(ii) “Commodity” means any material, article, supply, goods, or equipment.
(iii) “Foreign government” includes any foreign governmental entity.
(iv) “Foreign taxes” means value-added taxes and custom duties assessed by a foreign government on a commodity. It does not include foreign sales taxes.
d. Where. Submit the reports to: [insert address and point of contact at the Embassy, Mission or FM/CMP as appropriate. see b. below] [optional with a copy to ]
e. Subagreements. The recipient must include this reporting requirement in all applicable subcontracts, subgrants and other subagreements.
f. For further information see http://www.state.gov/m/rm/c10443.htm.
[END OF PROVISION]

9. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (January 2002)
• Development Assistance, including assistance for sub-Saharan Africa,
• Child Survival and Disease Programs Fund, and
• Micro and Small Enterprise Development Program Account.
FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (January 2002)
Funds in this agreement may not be used to finance the travel, per diem, hotel expenses, meals, conference fees or other conference costs for any member of a foreign government’s delegation to an international conference sponsored by a public international organization, except as provided in ADS Mandatory Reference “Guidance
on Funding Foreign Government Delegations to International Conferences or as approved by the Agreement Officer.
These provisions also must be included in the Standard Provisions of any new grant or cooperative agreement to a public international organization or a U.S. or non-U.S. non-governmental organization financed with FY04 HIV/AIDS funds or modification to an existing grant or cooperative agreement that adds FY04 HIV/AIDS.
[END OF PROVISION]

10. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JULY 2004)
The U.S. Government is opposed to prostitution and related activities, which are inherently harmful and dehumanizing, and contribute to the phenomenon of trafficking in persons. None of the funds made available under this agreement may be used to promote, support or advocate the legalization or practice of prostitution. Nothing in the preceding sentence shall be construed to preclude assistance designed to ameliorate the suffering of, or health risks to, victims while they are being trafficked or after they are out of the situation that resulted from such victims being trafficked. Foreign organizations, whether prime or subrecipients, that receive U.S. Government funds to fight trafficking in persons cannot promote, support or advocate the legalization or practice of prostitution when they are engaged in overseas activities. The preceding sentence shall not apply to organizations that provide services to individuals solely after they are no longer engaged in activities that resulted from such victims being trafficked.
[END OF PROVISION]

11. PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR ADVOCATE FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE (JULY 2004)
a. The U.S. Government is opposed to prostitution and related activities, which are inherently harmful and dehumanizing, and contribute to the phenomenon of trafficking in persons. None of the funds made available under this agreement may be used to promote, support, or advocate the legalization or practice of prostitution. Nothing in the preceding sentence shall be construed to preclude assistance designed to ameliorate the suffering of, or health risks to, victims while they are being trafficked or after they are out of the situation that resulted from such victims being trafficked.
b. [This subsection (b) only applies to foreign non-governmental organizations and PIOs receiving U.S. Government funds to carry out programs that target victims of severe forms of trafficking as either prime awardees or subawardees.]
(1) For programs that target victims of severe forms of trafficking, as a condition of entering into this agreement or subagreement, the recipient/subrecipient agrees that in its activities outside of the United States and its possessions it does not promote, support, or advocate the legalization or practice of prostitution. The preceding sentence shall not apply to organizations that provide services to individuals solely after they are no longer engaged in activities that resulted from such victims being trafficked.
(2) The following definitions apply for purposes of this clause:
FOREIGN NON-GOVERNMENTAL ORGANIZATION – The term “foreign non-governmental organization” means an entity that is not organized under the laws of any State of the United States, the District of Columbia or the Commonwealth of Puerto Rico.
SEVERE FORMS OF TRAFFICKING IN PERSONS. -- The term ‘‘severe forms of trafficking in persons’’ means—
(A) sex trafficking in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such act has not attained 18 years of age; or
(B) the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.
(C) The recipient shall insert this provision in all sub-agreements under this award.
(D) This provision includes express terms and conditions of the agreement and any violation of it shall be grounds for unilateral termination, in whole or in part, of the agreement by USAID prior to the end of its term.
[END OF STANDARD PROVISION]

12. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JUNE 2005)
An organization that is otherwise eligible to receive funds under this agreement to prevent, treat, or monitor HIV/AIDS shall not be required to endorse or utilize a multisectoral approach to combating HIV/AIDS, or to endorse, utilize, or participate in a prevention method or treatment program to which the organization has a religious or moral objection.
[END OF PROVISION]

13. USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)
a. The objectives of the USAID Disability Policy are (1) to enhance the attainment of United States foreign assistance program goals by promoting the participation and equalization of opportunities of individuals with disabilities in USAID policy, country and sector strategies, activity designs and implementation; (2) to increase awareness of issues of people with disabilities both within USAID programs and in host countries; (3) to engage other U.S. government agencies, host country counterparts, governments, implementing organizations and other donors in fostering a climate of nondiscrimination against people with disabilities; and (4) to support international advocacy for people with disabilities. The full text of the policy paper can be found at the following website:
http://pdf.dec.org/pdf_docs/PDABQ631.pdf
b. USAID therefore requires that the recipient not discriminate against people with disabilities in the implementation of USAID funded programs and that it make every effort to comply with the objectives of the USAID Disability Policy in performing the program under this grant or cooperative agreement. To that end and to the extent it can accomplish this goal within the scope of the program objectives, the recipient should demonstrate a comprehensive and consistent approach for including men, women and children with disabilities.
[END OF PROVISION]

14. STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN USAID ASSISTANCE AWARDS INVOLVING CONSTRUCTION (September 2004)

a. One of the objectives of the USAID Disability Policy is to engage other U.S. government agencies, host country counterparts, governments, implementing organizations and other donors in fostering a climate of nondiscrimination against people with disabilities. As part of this policy USAID has established standards for any
new or renovation construction project funded by USAID to allow access by people with disabilities (PWDs). The full text of the policy paper can be found at the following website: http://pdf.dec.org/pdf_docs/PDABQ631.pdf.
b. USAID requires the recipient to comply with standards of accessibility for people with disabilities in all structures, buildings or facilities resulting from new or renovation construction or alterations of an existing structure.
c. The recipient will comply with the host country or regional standards for accessibility in construction when such standards result in at least substantially equivalent accessibility and usability as the standard provided in the Americans with Disabilities Act (ADA) of 1990 and the Architectural Barriers Act (ABA) Accessibility Guidelines of July 2004. Where there are no host country or regional standards for universal access
or where the host country or regional standards fail to meet the ADA/ABA threshold, the standard prescribed in the ADA and the ABA will be used.
d. New Construction. All new construction will comply with the above standards for accessibility.
e. Alterations. Changes to an existing structure that affect, the usability of the structure will comply with the above standards for accessibility unless the recipient obtains the Agreement Officer’s advance approval that compliance is technically infeasible or constitutes an undue burden or both. Compliance is technically infeasible where structural conditions would require removing or altering a load-bearing member that is an essential part of the structural frame or because other existing physical or site constraints prohibit modification or addition of elements, spaces, or features that are in full and strict compliance with the minimum requirements of the standard. Compliance is an undue burden where it entails either a significant difficulty or expense or both.
f. Exceptions. The following construction related activities are excepted from the requirements of paragraphs (a) through (d) above:
(1) Normal maintenance, re-roofing, painting or wall papering, or changes to mechanical or electrical systems are not alterations and the above standards do not apply unless they affect the accessibility of the building or facility; and
(2) Emergency construction (which may entail the provision of plastic sheeting or tents, minor repair and upgrading of existing structures, rebuilding of part of existing structures, or provision of temporary structures) intended to be temporary in nature. A portion of emergency construction assistance may be provided to people with disabilities as part of the process of identifying disaster- and crisis-affected people as “most vulnerable.”
[END OF PROVISION]

15.	HOMELAND SECURITY PRESIDENTIAL DIRECTIVE-12 (HSPD-12) (SEPTEMBER 2006)
In response to the general threat of unauthorized access to federal facilities and information systems, the President issued Homeland Security Presidential Directive-12. HSPD-12 requires all Federal agencies to use a common Personal Identity Verification (PIV) standard when identifying and issuing access rights to users of Federally-controlled facilities and/or Federal Information Systems.  USAID is applying the requirements of HSPD-12 to applicable assistance awards. USAID will begin issuing HSPD-12 “smart card” IDs to applicable recipients (and recipient employees), using a phased approach. Effective October 27, 2006, USAID will begin issuing new “smart card” IDs to new recipients (and recipient employees) requiring routine access to USAID controlled facilities and/or access to USAID’s information systems. USAID will begin issuance of the new smart card IDs to existing recipients (and existing recipient employees) on October 27, 2007. (Exceptions would include those situations where an existing recipient (or recipient employee) loses or damages his/her existing ID and would need a replacement ID prior to Oct 27, 2007. In those situations, the existing recipient (or recipient employee) would need to follow the PIV processes described below, and be issued one of the new smart cards.)

Accordingly, before a recipient (including a recipient employee) may obtain a USAID ID (new or replacement) authorizing him/her routine access to USAID facilities, or logical access to USAID’s information systems, the individual must provide two forms of identity source documents in original form and a passport size photo. One identity source document must be a valid Federal or state government-issued picture ID. (Overseas foreign nationals must comply with the requirements of the Regional Security Office.) USAID/W recipients (and recipient employee) must contact the USAID Security Office to obtain the list of acceptable forms of documentation, and recipients working in overseas Missions must obtain the acceptable documentation list from the Regional Security Officer. Submission of these documents, and related background checks, are mandatory in order for the recipient (or employee) to receive a building access ID, and before access will be granted to any of USAID’s information systems. All recipients (or employees) must physically present these two source documents for identity proofing at their USAID/W or Mission Security Briefing. The recipient (or employee) must return any issued building access ID and remote authentication token to USAID custody upon termination of the individual’s employment with the recipient or completion of the award, whichever occurs first. 

The recipient must comply with all applicable HSPD-12 and PIV procedures, as described above, as well as any subsequent USAID or government-wide HSPD-12 and PIV procedures/policies, including any subsequent applicable USAID General Notices, Office of Security Directives and/or Automated Directives System (ADS) policy directives and required procedures. This includes HSPD-12 procedures established in USAID/Washington and those procedures established by the overseas Regional Security Office. In the event of inconsistencies between this clause and later issued Agency or government-wide HSPD-12 guidance, the most recent issued guidance should take precedence, unless otherwise instructed by the Agreement Officer.

The recipient is required to include this clause in any subawards (including subcontracts) that require the subawardee or subawardee employee to have routine physical access to USAID space or logical access to USAID’s information systems.

[END OF STANDARD PROVISIONS]

ATTACHMENT D (COMMUNICATIONS PRODUCTS (OCT 1994)

STANDARDS FOR USAID-FUNDED VIDEO PRODUCTIONS
 
The following standards are intended as general guidelines for USAID-funded video productions that require LPA approval.
 
The purpose of establishing these basic standards is to enable LPA to work in cooperation with agency bureaus and field missions to produce informative, professional and cost-effective programs that meet the needs of the designated audience. The audience and distribution plans must be clearly defined. The purpose and production plans must be justified and must support a real need.
 
We are aware that USAID video productions generally fall into two categories--those produced for information/education of U.S. audiences, and those produced with program funds for largely foreign audiences. These guidelines will help missions decide which programs warrant video productions and how these should be produced. 
 
We are also aware that certain situations will justify exceptions to these standards. Exceptions will be made by LPA on a case-by-case basis.
 
I.          Basic Guidelines
 
A.     Content: Videos intended for U.S. audiences, including Congress, should portray concrete results or chronicle a USAID success story. The video should not be a "promo" for a contractor or a specialized technical report aimed at a narrow audience of experts. Videos produced with program funds for foreign audiences would usually be training tapes or other instructional material.
 
Also, LPA will not approve video recordings of conference proceedings that can more appropriately be shared as written transcripts or audiocassette recordings.
 
B.     Format: The program should be shot in a professional television format: BETA, BETA-SP, or 3/4". Only viewing copies should be made in VHS. Programs may be shot in American TV standard (NTSC) or in PAL or SECAM TV standard.
 
C.     Producers: Direct contracts must comply with OFPP Letter No. 79-4 which establish a "Government-Wide Contracting System for Motion Picture and Videotape Productions" (as required by OFPP by OFPP letter 79-4.) The designated production team must have a track record producing information/education programs or other professional broadcast products. A brief list of previously produced programs should be included.
 
D.     Length: The video should be no more than 15 minutes, unless there is a strong justification.
 
E.      Copies: The number should be determined by the bureau/mission and reflected in the production budget. Viewing copies for NGOs, PVOs and local officials should be in VHS. Copies for local TV placement must be in 3/4" or BETA. A copy of the master of the finished program must be sent to the LPA video archive.
 
II.         Approval Form
 
To simplify the approval process, LPA is developing a macro for the "request-for-approval" form that will be put on the agency wide computer network. The following information will be required.
 
A.   A general description of the subject of the video.
B.   The intended audience and a detailed distribution plan.
C.   Whether OE or program funds will be used.
D.   Budget breakdown to include costs for the following items:
·   Pre-production: research, script, shooting schedule (where the video will be shot);
·   Production: how many shooting days (include travel days), how much per day for the crew plus equipment.  Please note:  where possible, a local crew should be used; and Editing: how many hours, how much per hour, how much for graphics and titles.
E.   Discussion of plans to evaluate the script and the "rough cut" for
     the effectiveness of the product.
 
III.       Videos produced through USAID-funded grants and contracts are subject to these standards.
 
Note:    All videos produced with USAID funds must be deposited in the LPA video archive.  This includes all "source" tapes, plus a copy of the completed master program.