Issuance Date:    						05/24/2011
RFA Clarification Questions Due: 				06/06/2011 at 14H00 Local Benin Time
Closing Date and Time for Application Submission:      	06/30/2011 at 14H00 Local Benin Time

Subject:  	Annual Program Statement (APS) Number: APS-680-11-000001
APS Title:  Support Education for Children with Disabilities and Strengthen the Capacities of Disabled People’s Organizations (DPOs) in Benin.

Ladies and Gentlemen:
 
The United States Agency for International Development (USAID) is seeking applications for Assistance Agreements from public or private local, Non U.S and U.S. Non-Profit organizations for funding to support a program entitled “Support Education for Children with Disabilities and Strengthen the Capacities of Disabled People’s Organizations (DPOs) in Benin.” The authority for the APS is found in the Foreign Assistance Act of 1961, as amended.  Please refer to the Program Description in Annex A below for a complete statement of goals and expected results.

While for-profit firms may participate, pursuant to 22 CFR 226.81, it is USAID policy not to award profit under assistance instruments such as cooperative agreements and grants.  However, 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 organization, OMB Circular A-21 for universities, and the Federal Acquisition Regulation (FAR) Part 31 for-profit organizations), may be paid under the LWA.

Applicants under consideration for an award that have never received funding from USAID will be subject to a pre-award audit to determine fiscal responsibility, ensure adequacy of financial controls and establish an indirect cost rate.

Subject to the availability of funds, USAID intends to provide approximate range of $100,000 to $300,000 in total USAID funding to be allocated over the one year period. USAID reserves the right to fund any or none of the applications submitted.

Award will be made to that responsible applicant(s) whose application(s) best meets the requirements of this APS and the selection criteria contained herein. Issuance of this APS 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.  

This APS and any future amendments can be downloaded from http://www.grants.gov/. Select “Find Grant Opportunities,” then click on “Browse by Agency,” and select the “U.S. Agency for International Development” and search for the APS.  In the event of an inconsistency between the documents comprising this APS, it shall be resolved at the discretion of the Agreement Officer.  

 All guidance included in this APS takes precedence over any reference documents referred to in the APS. Any clarification questions concerning this APS should be submitted in writing to Cosmas Apedo, and Anne Busaka via email at capedo@usaid.gov, and abusaka@usaid.gov copy to oaadocs@usaid.gov, by the date listed above.  If there are problems in downloading the APS from the Internet, please contact the Grants.gov help desk at 1.800.518.4726 or support@grants.gov for technical assistance.  

For the purposes of this APS, the term "Grant" is synonymous with "Cooperative Agreement"; "Grantee" is synonymous with "Recipient"; and "Grant Officer" is synonymous with "Agreement Officer". The applicant shall submit applications in electronic copy format as described in Section IV. 

Applications must be received by the closing date and time indicated at the top of this cover letter.  Late applications will not be considered for award.  Applications must be directly responsive to the terms and conditions of this APS. Telegraphic or fax applications (entire proposal) are not authorized for this APS and will not be accepted. 

Sincerely,

Lawrence Bogus
Regional Agreement Officer
Regional Acquisition and Assistance Office (RAAO)
USAID/West Africa

TABLE OF CONTENTS								PAGE

SECTION I - FUNDING OPPORTUNITY DESCRIPTION

SECTION II - AWARD INFORMATION

SECTION III - ELIGIBILITY INFORMATION

SECTION IV - APPLICATION AND SUBMISSION INFORMATION

SECTION V - APPLICATION REVIEW INFORMATION

SECTION VI - AWARD ADMINISTRATION INFORMATION

SECTION VII - AGENCY CONTACTS

SECTION VIII - OTHER INFORMATION

SECTION I - FUNDING OPPORTUNITY DESCRIPTION 

This program is to implement activities to promote the education of children living with disabilities and assist more disabled children in Benin to attend school within a supportive learning environment as described in the Program Description. (See Annex A).

[END OF SECTION I]

SECTION II - AWARD INFORMATION 

USAID expects to award one grant as a result of this APS. The anticipated total federal funding amount is ranging from $100,000 to $300,000 and the period of performance is one year from the date of award. 

The Government may issue one award resulting from this APS to the responsible applicant whose application conforming to this APS is the most responsive to the objectives set forth in this APS. The Government may (a) reject any or all applications, (b) accept other than the lowest cost application, (c) accept more than one application, (d) accept alternate applications, and (e) waive informalities and minor irregularities in applications received.
 
Neither financial data submitted with an application nor representations concerning facilities or financing, will form a part of the resulting agreement.
 
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 award may be incurred before receipt of either a fully executed cooperative agreement or a specific, written authorization from the Agreement Officer.

[END OF SECTION II]

SECTION III - ELIGIBILITY INFORMATION 

1. ELIGIBLE APPLICANTS

USAID will not accept applications from individuals. All applicants must be legally recognized organizational entities under applicable law. Applicants must have completed all required steps (if any) with the host government to legally operate their program. At the time any award is made to a recipient, they must be registered with the host government (if required by local laws) where they propose conducting their program. ALL applicants must also be currently registered in the Central Contractor Registration (CCR) database and must provide the date of their CCR expiration. For registration go to http://www.bpn.gov/ccr/default/aspx.

2.  	PROGRAM INCOME

	NGOs	

If the successful applicant is a non-profit organization, any program income generated under the award will be added to USAID funding (and cost-sharing that may be provided) and used for program purposes. Program income will be subject to 22 CFR 226.24 (U.S. NGOs) or the standard provision entitled “Program Income” for non-U.S. NGOs.

3.  	AUTHORIZED GEOGRAPHIC CODE

	NGOs

USAID’s rules for the source, origin, and componentry of goods (other than “restricted goods,” as described in ADS 312 [http://www.usaid.gov/policy/ads/300/312.pdf/]) , and the nationality of suppliers of goods and services (other than delivery services, as described in ADS 314 [http://www.usaid.gov/policy/ads/300/314.pdf]), which are financed by USAID and procured by the recipient under the award(s) resulting from this APS, are set forth in 22 CFR 228 (http://www.access.gpo.gov/nara/cfr/waisidx_08/22cfr228_08.html). These rules do not apply to procurement by the recipient with cost-sharing or program income funds. Except as authorized under USAID’s “Local Procurement” rules (see 22 CFR 228.40), subject to the recipient’s compliance with the order of preference and file documentation requirements set forth in paragraph (b)(1) of the standard provision entitled “USAID Eligibility Rules for Goods and Services”.

4. 	TITLE OF PROPERTY  

	NGOs

Title to property financed by USAID under the award will vest in the recipient, and will be subject to 22 CFR 226.30-37 (U.S. NGOs) or the standard provision entitled “Title To and Use of Property (Recipient Title: Over $50,000) for NGOs.

[END OF SECTION III]

SECTION IV - APPLICATION AND SUBMISSION INFORMATION 

1.   Applicants that have never received a cooperative agreement, grant 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. Local applicants with no previous experience with USAID Programs will be requested to submit evidence of financial capacity which shall consist of financial audits for the past three years; personnel, travel purchasing, and property management policies; and past performance references (at least three).

2. Other Submission Requirements
In order to promote consistency, and for ease of review, all applicants must present a concept paper using the attached established standard application form (See Annex B).  Submissions made using other formats will not be considered.  
It is recognized that, in some programs, identification of specific teaming partners and sub-recipients cannot occur until after award and, hence, specific delineation of responsibilities and costs cannot be provided in the concept paper and/or application. Nevertheless, such information is, in fact, often known at the time the concept paper and/or application is being prepared. In order to reduce the post-award administrative burden of obtaining post-award approval for such sub-awards, and thereby, facilitate program implementation and the achievement of results in the timeframe of the award, applicants are strongly encouraged to identify such teaming arrangements and sub-recipients in the technical/programmatic and cost/budget/management sections of their concept paper and/or application, if any, to the maximum practicable extent. When such organizations are identified, Letters of Intent, Letters of Agreement, or Memoranda of Understanding should be included in the concept paper and/or application.

It is the responsibility of applicants to ensure that local partners do not appear on the Excluded Parties List (which includes the U.S. Department of Treasury’s Office of Foreign Assets Control “Specially Designated Nationals and Blocked Persons List”), which can be found at: http://www.epls.gov. Applicants working through local partners must ensure that local organizations have the capacity to carry-out expanded programs, and should consider a capacity-building component which will leave a lasting impact on local organizations.

The apparently successful applicant must provide a Data Universal Numbering System (DUNS) Number. Hence, applicants should ensure that local partners have their DUNS numbers ready to provide when requested. It is a FREE service for all vendors who can provide their DUNS and complete information (name, address, etc) to USAID using CCR (https://www.bpn.gov/ccr/international.aspx). They can follow a step-by-step process on this link: https://www.bpn.gov/ccr/doc/CCR_Screens_new_only.pdf . This registration request will be sent to the user at the same time they're receiving their New DUNS email.

A.  Unnecessarily Elaborate Applications – Unnecessarily elaborate brochures or other presentations beyond those sufficient to present a complete and effective application in response to this APS are not desired and may be construed as an indication of the applicant's lack of cost consciousness.  Elaborate art work, expensive paper and bindings, and expensive visual and other presentation aids are neither necessary nor wanted.
 
B. Proprietary Information – Applicants which 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:

1.	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 cooperative agreement 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 agreement.  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 pages ___; and”
 
2.	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."
 
C.  Explanation to Prospective Applicants – Any prospective applicant desiring an explanation or interpretation of this APS must request it in writing. Oral explanations or instructions given before award of an Agreement will not be binding.  Any information given to a prospective applicant concerning this APS will be furnished promptly to all other prospective applicants as an amendment of this APS, if that information is necessary in submitting applications or if the lack of it would be prejudicial to any other prospective applicants.

D. Telegraphic or Faxed Applications – Telegraphic or faxed applications will not be considered; however, applications may be modified by written or telegraphic notice, if that notice is received by the time specified for receipt of applications.

E. Language – All applications must be in English. Documentation in other languages may be included as long as there is an English translation.

3. Submission Dates and Times 

Applications are due to USAID by June 30, 2011 at 14:00 Local Benin Time. (Applications which are submitted late or are incomplete run the risk of not being considered in the review process.  "Late applications will not be considered for award" or "Late applications will be considered for award if the Agreement Officer determines it is in the Government's interest.")

4.  The following types of organizations may apply for USAID funding under this APS:

1.	Non-Governmental Organizations ( NGOs)

(a)	Types and Nationalities of NGOs

(1)	U.S. and Non-U.S. Non-Profit Organizations
	
Qualified U.S. and non-U.S. private non-profit organizations may apply for USAID funding under this APS. Foreign government-owned parastatal organizations from countries that are ineligible for assistance under the FAA or related appropriations acts are ineligible.

(2)	U.S. and Non-U.S. Colleges and Universities

Qualified U.S. and non-U.S. colleges and universities may apply for USAID funding under this APS. USG and USAID regulations generally treat colleges and universities as NGOs, rather than governmental organizations; hence, both public and private colleges and universities are eligible. Non-U.S. colleges and universities in countries that are ineligible for assistance under the FAA or related appropriations acts are ineligible.

(b)	Registration as a Private Voluntary Organization (PVO)

Pursuant to ADS E251.5.3.(a)6, applicants do not need to be registered with USAID as a PVO to be eligible for funding under this APS.

(c)	New Partners

Partners new to USAID may submit applications. However, resultant award to these organizations may be significantly delayed if USAID must undertake necessary pre-award reviews of these organizations to determine their “responsibility”. These organizations should take this into account and plan their implementation dates and activities accordingly.

2.	Other USG Agencies

USG departments and agencies may not apply for USAID funding under this APS.

3.	Public International Organizations (PIOs)

PIOs are not eligible to apply for funding under this program.

4.	Foreign Governmental Organization

Foreign governmental organizations are organizations that function as a governing body, such as foreign ministries and local governments. Foreign governmental organizations [may not apply for USAID funding under this APS. Note: USAID policy makes foreign governmental organizations ineligible as sub-recipients under awards to NGOs unless special approval is provided. Even if special approval is provided, potential applicants must consider the impact of foreign governmental organizations’ sovereignty on issues such as audits, cost disallowances, disputes, etc. (see http://www.usaid.gov/policy/ads/300/updates/iu3-1.pdf). In addition, USAID policies do not permit the payment of “salary supplements” to employees of a host government except in exceptional circumstances and with special approval. Additional guidance on salary supplements may found at: http://www.usaid.gov/policy/ads/200/119780.pdf. 

5.	Code of Conduct

As a condition for any award resulting from this APS, applicants must have adopted a code of conduct that addresses the protection of beneficiaries of assistance from sexual exploitation and abuse in humanitarian relief operations.

[END OF SECTION IV]

SECTION V - APPLICATION REVIEW INFORMATION 

1. Evaluation Criteria 
All application using the standardized application form will be reviewed and evaluated by USAID/Benin. The selected application will be sent to USAID/Washington, where it will be reviewed for a final funding determination within 3-4 weeks of submission. 

The following USAID/Washington criteria will be used to evaluate the application:

Information about the applicant (20 points)

To receive a full score of 20 points the organization will have:

1.  Extensive involvement in disability or be a Disabled People’s Organization.
2. Previous experience in project management or managing activities related to those proposed in the concept paper.

3.  A mission, objectives and orientation that is in line with proposed activities.

Project description (60 points)

To receive a full score of 60 points the project must:

1. Show a clear link between the described need and the proposed activities.
2. Describe the impact on existing USAID programs, activities or strategies.
3. Define who will benefit from the project (able-bodied, persons with disability, sex).
4. Provide an activity schedule that is well-defined and realistic.
5. Specify what indicators will be used to show the project was a success.

Integration of persons with disability (20 points)

To receive a full score of 20 points the organization will:

a.  Show evidence of linkages with existing disability programs or organizations.
b. Illustrate how people with disabilities have been/will be involved in the design, implementation and evaluation of the program.
c.  Ensure that girls with disability will participate in and benefit from activities.

2.  Cost Sharing or Matching

NGOs are not required to include counterpart funding. However, applications that include additional in-kind and/or cash contributions from non-USG sources will be more competitive, since cost sharing demonstrates a strong commitment to the planned activities and will be rewarded during the evaluation as “cost-effectiveness”. Cost-sharing will be subject to 22 CFR 226.23 and the standard provision entitled “Cost Sharing (Matching)” (U.S. NGOs) or the standard provision entitled “Cost-Sharing (Matching)” for non-U.S. NGOs.

[END OF SECTION V]

SECTION VI - AWARD ADMINISTRATION INFORMATION 

1.	U.S. Non-Governmental Organizations

Awards to U.S. NGOs resulting from this APS will be administered in accordance with the following:

▪	Chapter 303 of USAID’s Automated Directives System (ADS-303), which is available at http://www.usaid.gov/policy/ads/3000/303.pdf. 

▪	22 CFR 226 which is available at http://www.access.gpo.gov/nara/cfr/waisidx_03/22cfr226_03.html. 

▪	2 CFR 220 for universities (formerly OMB Circular A-21); or
▪	2 CFR 230 for non-profit organizations (formerly OMB Circular A-122); and
▪	OMB Circular A-133 for both universities and non-profit organizations, all of which are available at http://www.whitehouse.gov/omb/circulars/index.hml. 

▪	USAID Standard Provisions for U.S. Non-Governmental Organizations, which are available at: http://www.usaid.gov/pubs/ads/300/303maa.pdf. 

2.	Non-U.S. Non-Governmental Organizations

Awards to non-U.S. NGOs resulting from this APS will be administered in accordance with the following:

▪	Chapter 303 of USAID’s Automated Directives System (ADS-303), which is available at http://www.usaid.gov/policy/ads/3000/303.pdf.	
▪	2 CFR 220 for universities (formerly OMB Circular A-21); or
▪	2 CFR 230 for non-profit organizations (formerly OMB Circular A-122); both of which are available at http://www.whitehouse.gov/omb/circulars/index.hml.
▪	USAID Standard Provisions for Non-U.S. Non-Governmental Organizations, which are available at: http://www.usaid.gov/policy/ads/300/303mab.pdf. 
▪	22 CFR 226 which is available at http://www.access.gpo.gov/nara/cfr/waisidx_03/22cfr226_03.html. Note that, while 22 CFR 226 does not directly apply to non-U.S. NGOs, USAID policy is to apply this regulation to non-U.S. NGOs to the extent practicable.

3. Reporting

(a)	Performance and Final Reporting

NGOs

Quarterly program performance reports are required. A final report will also be required which should provide lessons learned, and challenges to implementation.

(b)	Financial Reporting and Payment

Financial reporting will depend on the payment provisions of the award, which cannot be determined until after the successful applicant is selected. Advance payments will generally be made if he applicant’s systems, policies, and procedures meet USG and USAID requirements. 

[END OF SECTION VI]

SECTION VII. AGENCY CONTACTS 

Cosmas Apedo
Acquisition & Assistance Specialist
USAID/Benin
Rue Caporal Bernard Anani
01 BP 2012
Cotonou, Benin

Email: capedo@usaid.gov and oaadocs@usaid.gov

Any questions concerning this APS must be submitted in writing to Cosmas Apedo via internet at capedo@usaid.gov and copy to Ms. Anne L. Busaka, Sr. Acquisition and Assistance Specialist via email at  abusaka@usaid.gov, and oaadocs@usaid.gov and to be submitted no later than 14:00 Cotonou, Benin local time on June 6, 2011.  Oral explanations or instructions given before award will not be binding.  Any information given to a prospective applicant concerning this APS will be furnished promptly to all other prospective applicants as an amendment of this APS.

[END OF SECTION VII]

SECTION VIII - OTHER INFORMATION 

BRANDING STRATEGY - ASSISTANCE (December 2005)

(a) Definitions

Branding Strategy means a strategy that is submitted at the specific request of a USAID Agreement Officer by an Apparently Successful Applicant after evaluation of an application for USAID funding, describing how the program, program, or activity is named and positioned, and how it is promoted and communicated to beneficiaries and host country citizens. It identifies all donors and explains how they will be acknowledged.

Apparently Successful Applicant(s) means the applicant(s) for USAID funding recommended for an award after evaluation, but who has not yet been awarded a grant, cooperative agreement or other assistance award by the Agreement Officer.  The Agreement Officer will request that the Apparently Successful Applicants submit a Branding Strategy and Marking Plan. Apparently Successful Applicant status confers no right and constitutes no USAID commitment to an award.

USAID Identity (Identity) means the official marking for the Agency, comprised of the USAID logo and new brandmark, which clearly communicates that our assistance is from the American people. The USAID Identity is available on the USAID website and is provided without royalty, license, or other fee to recipients of USAID-funded grants or cooperative agreements or other assistance awards or sub awards. 

(b) Submission. The Apparently Successful Applicant, upon request of the Agreement Officer, will submit and negotiate a Branding Strategy. The Branding Strategy will be included in and made a part of the resulting grant. The Branding Strategy will be negotiated within the time that the Agreement Officer specifies. Failure to submit and negotiate a Branding Strategy will make the applicant ineligible for award of a grant or cooperative agreement. The Apparently Successful Applicant must include all estimated costs associated with branding and marking USAID programs, such as plaques, stickers, banners, press events and materials, and the like.

(c) Submission Requirements

At a minimum, the Apparently Successful Applicant’s Branding Strategy will address the following: 

(1) Positioning

What is the intended name of this program, project, or activity? 

Guidelines: USAID prefers to have the USAID Identity included as part of the program or project name, such as a "title sponsor," if possible and appropriate.  It is acceptable to "co-brand" the title with USAID’s and the Apparently Successful Applicant’s identities. For example: "The USAID and [Apparently Successful Applicant] Health Center."

If it would be inappropriate or is not possible to "brand" the project this way, such as when rehabilitating a structure that already exists or if there are multiple donors, please explain and indicate how you intend to showcase USAID's involvement in publicizing the program or project. For example: School #123, rehabilitated by USAID and [Apparently Successful Applicant]/ [other donors].  Note: the Agency 
prefers "made possible by (or with) the generous support of the American People" next to the USAID Identity in acknowledging our contribution, instead of the phrase "funded by." USAID prefers local language translations.

Will a program logo be developed and used consistently to identify this program? If yes, please attach a copy of the proposed program logo.

Note: USAID prefers to fund projects that do NOT have a separate logo or identity
that competes with the USAID Identity.

(2) Program Communications and Publicity

Who are the primary and secondary audiences for this project or program?

Guidelines: Please include direct beneficiaries and any special target segments or influencers. For Example: Primary audience: schoolgirls age 8-12, Secondary audience: teachers and parents–specifically mothers.

What communications or program materials will be used to explain or market the program to beneficiaries?

Guidelines: These include training materials, posters, pamphlets, Public Service Announcements, billboards, websites, and so forth.

What is the main program message(s)?

Guidelines: For example: "Be tested for HIV-AIDS" or "Have your child inoculated." Please indicate if you also plan to incorporate USAID’s primary message – this aid is "from the American people" – into the narrative of program materials. This is optional; however, marking with the USAID Identity is required.

Will the recipient announce and promote publicly this program or project to host country citizens? If yes, what press and promotional activities are planned?

Guidelines: These may include media releases, press conferences, public events, and so forth. Note: incorporating the message, “USAID from the American People”, and the USAID Identity is required.

Please provide any additional ideas about how to increase awareness that the American people support this project or program.

Guidelines: One of our goals is to ensure that both beneficiaries and host-country citizens know that the aid the Agency is providing is "from the American people." Please provide any initial ideas on how to further this goal.

(3) Acknowledgements

Will there be any direct involvement from a host-country government ministry? If yes, please indicate which one or ones. Will the recipient acknowledge the ministry as an additional co-sponsor?
Note: it is perfectly acceptable and often encouraged for USAID to "co-brand" programs with government ministries.

Please indicate if there are any other groups whose logo or identity the recipient will use on program materials and related communications.

Guidelines: Please indicate if they are also a donor or why they will be visibly acknowledged, and if they will receive the same prominence as USAID.

(d) Award Criteria. The Agreement Officer will review the Branding Strategy for adequacy, ensuring that it contains the required information on naming and positioning the USAID-funded program, project, or activity, and promoting and communicating it to cooperating country beneficiaries and citizens. The 
Agreement Officer also will evaluate this information to ensure that it is consistent with the stated objectives of the award; with the Apparently Successful Applicant’s cost data submissions; with the Apparently Successful Applicant’s project, activity, or program performance plan; and with the regulatory requirements set out in 22 CFR 226.91. The Agreement Officer may obtain advice and recommendations from technical experts while performing the evaluation.

MARKING PLAN – ASSISTANCE (December 2005) 

(a)Definitions

Marking Plan means a plan that the Apparently Successful Applicant submits at the specific request of a USAID Agreement Officer after evaluation of an application for USAID funding, detailing the public communications, commodities, and program materials and other items that will visibly bear the USAID 
identity. Recipients may request approval of Presumptive Exceptions to marking requirements in the Marking Plan.

Apparently Successful Applicant(s) means the applicant(s) for USAID funding recommended for an award after evaluation, but who has not yet been awarded a grant, cooperative agreement or other assistance award by the Agreement Officer. The Agreement Officer will request that Apparently Successful Applicants submit a Branding Strategy and Marking Plan. Apparently Successful Applicant status confers no right and constitutes no USAID commitment to an award, which the Agreement Officer must still obligate.

USAID Identity (Identity) means the official marking for the Agency, comprised of the USAID logo and new brandmark, which clearly communicates that our assistance is from the American people. The USAID Identity is available on the USAID website and USAID provides it without royalty, license, or other fee to recipients of USAID funded grants, cooperative agreements, or other assistance awards or sub awards.

A Presumptive Exception exempts the applicant from the general marking requirements for a particular USAID-funded public communication, commodity, program material or other deliverable, or a category of USAID-funded public communications, commodities, program materials or other deliverables that would otherwise be required to visibly bear the USAID Identity. The Presumptive Exceptions are:

Presumptive Exception (i). USAID marking requirements may not apply if they 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, such as election monitoring or ballots, and voter information literature; political party support or public policy advocacy or reform; independent media, such as television and radio broadcasts, newspaper articles and editorials; and public service announcements or public opinion polls and surveys (22 C.F.R. 226.91(h)(1)).

Presumptive Exception (ii). USAID marking requirements may not apply if they would diminish the credibility of audits, reports, analyses, studies, or policy recommendations whose data or findings must be seen as independent (22 C.F.R. 226.91(h)(2)).

Presumptive Exception (iii). USAID marking requirements may not apply if they 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 (22 C.F.R. 226.91(h)(3)).

Presumptive Exception (iv). USAID marking requirements may not apply if they would impair the functionality of an item, such as sterilized equipment or spare parts (22 C.F.R. 226.91(h)(4)).

Presumptive Exception (v). USAID marking requirements may not apply if they would incur substantial costs or be impractical, such as items too small or otherwise unsuited for individual marking, such as food in bulk (22 C.F.R. 226.91(h)(5)).

Presumptive Exception (vi). USAID marking requirements may not apply if they would offend local cultural or social norms, or be considered inappropriate on such items as condoms, toilets, bed pans, or similar commodities (22 C.F.R. 226.91(h)(6)).

Presumptive Exception (vii). USAID marking requirements may not apply if they would conflict with international law (22 C.F.R. 226.91(h)(7)).  

(b) Submission. The Apparently Successful Applicant, upon the request of the Agreement Officer, will submit and negotiate a Marking Plan that addresses the details of the public communications, commodities, program materials that will visibly bear the USAID Identity. The marking plan will be customized for the particular program, project, or activity under the resultant grant or cooperative agreement. The plan will be included in and made a part of the resulting grant or cooperative agreement. USAID and the Apparently Successful Applicant will negotiate the Marking Plan within the time specified by the Agreement Officer. Failure to submit and negotiate a Marking Plan will make the applicant ineligible for award of a grant or cooperative agreement. The applicant must include an estimate of all costs associated with branding and marking USAID programs, such as plaques, labels, banners, press events, promotional materials, and so forth in the budget portion of its application. These costs are subject to revision and negotiation with the Agreement Officer upon submission of the Marking Plan and will be incorporated into the Total Estimated Amount of the grant, cooperative agreement or other assistance instrument.

(c) Submission Requirements. The Marking Plan will include the following:

(1) A description of the public communications, commodities, and program materials that the recipient will be produced as a part of the grant or cooperative agreement and which will visibly bear the USAID Identity. These include:

(i) program, project, or activity sites funded by USAID, including visible infrastructure projects or other programs, projects, or activities that are physical in nature;

(ii) 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;

(iii) events financed by USAID, such as training courses, conferences, seminars, exhibitions, fairs, workshops, press conferences, and other public activities; and (iv) 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. 

(2) A table specifying:

(i) the program deliverables that the recipient will mark with the USAID Identity,

(ii) the type of marking and what materials the applicant will be used to mark the program deliverables with the USAID Identity, and 

(iii) when in the performance period the applicant will mark the program deliverables, and where the applicant will place the marking.

(3) A table specifying:

(i) what program deliverables will not be marked with the USAID Identity, and

(ii) the rationale for not marking these program deliverables.

(d) Presumptive Exceptions.

(1) The Apparently Successful Applicant may request a Presumptive Exception as part of the overall Marking Plan submission. To request a Presumptive Exception, the Apparently Successful Applicant must identify which Presumptive Exception applies, and state why, in light of the Apparently Successful Applicant’s technical proposal and in the context of the program description or program statement in the USAID Request For Application or Annual Program Statement, marking requirements should not be required.

(2) Specific guidelines for addressing each Presumptive Exception are:

(i) For Presumptive Exception (i), identify the USAID Strategic Objective, Interim Result, or program goal furthered by an appearance of neutrality, or state why the program, project, activity, commodity, or communication is ‘intrinsically neutral.’  Identify, by category or deliverable item, examples of program materials funded under the award for which you are seeking exception 1.

(ii) For Presumptive Exception (ii), state what data, studies, or other deliverables will be produced under the USAID funded award, and explain why the data, studies, or deliverables must be seen as credible.

(iii) For Presumptive Exception (iii), identify the item or media product produced under the USAID funded award, and explain why each item or product, or category of item and product, is better positioned as an item or product produced by the cooperating country government.

(iv) For Presumptive Exception (iv), identify the item or commodity to be marked, or categories of items or commodities, and explain how marking would impair the item’s or commodity’s functionality.

(v) For Presumptive Exception (v), explain why marking would not be cost-beneficial or practical.

(vi) For Presumptive Exception (vi), identify the relevant cultural or social norm, and explain why marking would violate that norm or otherwise be inappropriate.
(vii) For Presumptive Exception (vii), identify the applicable international law violated by marking.

(3) The Agreement Officer will review the request for adequacy and reasonableness.  In consultation with the Cognizant Technical Officer and other agency personnel as necessary, the Agreement Officer will approve or disapprove the requested Presumptive Exception. Approved exceptions will be made part of the approved Marking Plan, and will apply for the term of the award, unless provided otherwise.

(e) Award Criteria: The Agreement Officer will review the Marking Plan for adequacy and reasonableness, ensuring that it contains sufficient detail and information concerning public communications, commodities, and program materials that will visibly bear the USAID Identity. The Agreement Officer will evaluate the plan to ensure that it is consistent with the stated objectives of the award; with the applicant’s cost data submissions; with the applicant’s actual project, activity, or program performance plan; and with the regulatory requirements of 22 C.F.R. 226.91. The Agreement Officer will approve or disapprove any requested Presumptive Exceptions (see paragraph (d)) on the basis of adequacy and reasonableness. The Agreement Officer may obtain advice and recommendations from technical experts while performing the evaluation.

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 sub agreement.

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 Ccognizant 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).

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 sub award, 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 sub-recipients, 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 sub-award 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.

(1)	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) Sub-recipients. To ensure that the marking requirements “flow down'' to sub-recipients of sub-awards, recipients of USAID funded grants and cooperative agreements or other assistance awards will include the USAID-approved marking provision in any USAID funded sub-award, as follows:

“As a condition of receipt of this sub-award, marking with the USAID Identity of a size and prominence equivalent to or greater than the recipient’s, sub-recipient’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 sub-recipient, USAID may, at its discretion, require marking by the sub-recipient 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 [Agreement Officer fill-in] 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 Contracting Officer Technical Representative. 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’s review at any time, due to changed circumstances.
(4) Approved waivers “flow down” to recipients of sub-awards 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.

(a)	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 SECTION VIII]