Issuance Date:    						June  6, 2011
Clarification Questions Due: 					June 13, 2011, 1000 Yerevan
Closing Date and Time for Application Submission:      	July 15, 2011, 1000 Yerevan 

Subject:  	Request for Applications, RFA-111-11-000002

Program:	USAID/Armenia Labor Market Integration of People with Disabilities 

Ladies and Gentlemen:

The United States Agency for International Development (USAID) is seeking applications for Assistance Agreements from U.S. organizations for funding to support a program entitled “Labor Market Integration of People with Disabilities” project. The authority for the RFA is found in the Foreign Assistance Act of 1961, as amended. Please refer to the Program Description 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.  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 Cooperative Agreement.

Applicants under consideration for an award that have never received funding from USAID will be subject to a pre-award review 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 approximately $3,000,000 in total USAID funding to be allocated over a 3 years period. USAID reserves the right to fund any or none of the applications submitted.

Awards will be made to the responsible applicants whose applications offer the greatest impact in Armenia and best value to the U.S. Government.  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.  

This RFA 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 RFA.  In the event of an inconsistency among the documents comprising this RFA, it shall be resolved by the Agreement Officer.  

Applicants should also note that the documents listed in this RFA under “Useful References” are intended only as sources for background information that may be helpful to applicants, but are not a part of this RFA.  All guidance included in this RFA takes precedence over any reference documents referred to in the RFA. Any clarification questions concerning this RFA should be submitted in writing to Armen Yeghiazarian, USAID/Armenia Acquisition Specialist via email at ayeghiazarian@usaid.gov by the date listed above.  If there are problems in downloading the RFA 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 RFA, the term "Grant" is synonymous with "Cooperative Agreement"; "Grantee" is synonymous with "Recipient"; and "Grant Officer" is synonymous with "Agreement Officer".

Applications must be submitted in electronic form in addition or instead of the hard copies to the attention of Armen Yeghiazarian, Acquisition Specialist, USAID/Armenia at: ayeghiazarian@usaid.gov. The receipt of Applications will be confirmed within two days.  If not, please contact Armen Yeghiazarian. The total size of each e-mail attachment should not exceed 3 MBs. Every page of the application must be numbered. The application must have a table of contents. Large graphics files are discouraged.  Attached file format must be Microsoft Word, Excel or PDF.  Attached files should be printable on standard letter or A4 paper.  

Applicants must submit technical and cost portions of their applications in separate volumes. Budgets must be submitted in unlocked Excel format with all formulas to demonstrate calculations.  

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 RFA. Telegraphic or fax applications (entire proposal) are not authorized for this RFA and will not be accepted. 

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 an agreement, all preparation and submission costs are at the applicant's expense.
 
The preferred method of distribution is via Grants.gov on the internet. This RFA and any future amendments can be downloaded from http://www.grants.gov.  If you have difficulty accessing the RFA, please contact Armen Yeghiazarian at ayeghiazarian@usaid.gov . 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.

Sincerely,

John F. Lord
Agreement Officer

Funding Opportunity Description

A.1	Award Information 

USAID expects to award one Cooperative Agreement to the responsible applicant whose application, conforming to this RFA, offers the best prospects for success and value.  The anticipated total federal funding amount is $3,000,000.  The period of performance is three years with an anticipated start date of September, 2011.

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.

The Government may make award on the basis of initial applications received, without discussions or negotiations.  Therefore, each initial application should contain the applicant's best terms from a cost and technical standpoint. The Government reserves the right (but is not under obligation to do so), however, to enter into discussions with one or more applicants in order to obtain clarifications, additional detail, or to suggest refinements in the program description, budget, or other aspects of an application.  
 
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.

A.2	Eligibility Information 

1. Eligible Applicants

USAID entertains applications from qualified U.S. and non-U.S. entities, such as private, non-profit organizations (or for-profit companies willing to forego profits), including private voluntary organizations, universities, research organizations, professional associations, and relevant special interest associations.
 
2. Cost Sharing or Matching

Cost sharing of an amount equal to 25 % of the USAID contribution is required from applicants, with the exception that no cost share is required for an organization that would meet USAID’s “New Entrant” definition (organizations that have received USAID direct assistance of less than $500,000 during the past five years)

The amount and nature of the offered cost share will be considered in evaluating the applications.  

A.3	Application and Submission Information 

1. Address to Request Application Package 

This application is found on the internet at www.grants.gov . Potential applicants who cannot download application materials electronically may request paper copies of the RFA by contacting:
Armen Yeghiazarian
Acquisition Specialist
Office of Acquisition and Assistance 
USAID/Armenia
1-st American Avenue
Yerevan 0082 Armenia
Tel: 37410 494466
Email: ayeghiazarian@usaid.gov 

2. Content and Form of Application Submission

Applications shall be submitted in two separate parts: (a) technical application or management plan, and (b) cost or business application.

PREPARATION GUIDELINES
 
All applications received by the deadline will be reviewed for responsiveness to the specifications outlined in these guidelines and the application format. Section B addresses the technical evaluation procedures for the applications. 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 unless the Agreement Officer determines it is in the Government's interest.
 
Applications shall be submitted in two separate parts: (a) technical and (b) cost or business application. Electronic submission is required. If an applicant chooses to submit a hard copy in addition to the electronic copy, only one original of each part should be submitted.
 
The application should be prepared according to the structural format set forth below.  Applications must be submitted no later than the date and time indicated on the cover page of this RFA.  Applications and modifications thereof shall be submitted in envelopes with the name and address of the applicant and RFA # (referenced above) inscribed thereon, to:

Armen Yeghiazarian
Acquisition Specialist
Office of Acquisition and Assistance 
USAID/Armenia
1-st American Avenue 
Yerevan, 0082 Armenia

Applicants should retain for their records one copy of the application and all enclosures which accompany their application. To facilitate the competitive review of the applications, USAID will consider only applications conforming to the format prescribed below.

TECHNICAL APPLICATION FORMAT 

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. Technical applications should take into account requirements of the program and evaluation criteria found in this RFA.

The Technical Application shall include:

a.	Cover Page - A single page with the names of the organizations/institutions involved in the proposed application and the lead or primary Applicant clearly identified.  Any proposed sub grantees (hereafter referred to as the “subs”) should be listed separately; including a brief narrative describing the unique capacities/skills brought to the program by each sub. In addition, the Cover Page should provide a contact person for the prime Applicant, including this individual’s name (both typed and his/her signature), title or position with the organization/institution, address telephone and fax numbers.  State whether the contact person is the person with authority to contract for the Applicant, and if not, that person should also be listed.  
b.	Executive Summary (maximum two (2) pages):  This section should summarize the key elements of the Applicant’s strategy, approach, and implementation plan.  
c.	Program Description (maximum 25 pages): This section should include a description of the types of activities that will be undertaken to achieve the proposed objectives, a general timeline, and how the proposed activities are expected to achieve the objectives outlined in the purpose section of this RFA. The narrative should be brief, concise and provide a clear description of what the Applicant proposes to do, where, why, when, how and by whom. The applications should take into account the technical evaluation criteria found in Section B. 
d.	Expected Impact (maximum four (4) pages): Applicants will be expected to establish a monitoring and evaluation plan, outlining the mechanisms proposed to monitor and measure progress and achievement of expected results. 
e.	Technical/Administrative Capabilities in Proposed Work Area (maximum three (3) pages): Describe your organization's technical and administrative experience and capabilities in conducting programs similar to the project being proposed. Describe any teaming arrangement, partnership, consortium or coalition arrangements between applicant and partner organizations.
f.	Past Performance (maximum 3 pages): Applicants are requested to list all contracts, grants, and cooperative agreements involving relevant (similar or related) programs conducted by the applicant (or consortium partners) over the past three years. Reference information shall include the location, current telephone numbers, points of contact, overall dollar value of the program, and award numbers if available. A brief description of work performed by the applicant is also required. Newer organizations, or Applicants with no related prior grant awards, remain eligible for consideration and are encouraged to apply.
g.	Program Management and Key Personnel (maximum 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.

Applications shall be written in English, font no smaller than Times New Roman 12, with each page numbered consecutively. Items such as graphs, charts, cover pages, dividers, table of contents, and attachments (i.e. key personnel resumes, case studies, table summarizing qualifications of proposed personnel, past performance summary table and past performance report forms) will not be counted against the page limitation.

Environmental Considerations: 

In April 2011, USAID approved a categorical exclusion pursuant to 22 CFR 216.2(c)(2)(i) for education, technical assistance, or training programs except to the extent such programs include activities directly affecting the environment (such as construction of facilities, etc) for activities under Components 1, 2 and 3.  

Any activities with potential for adverse environmental impact, including – 

Sanitation and sewage activities; Construction, renovation or refurbishment; 
Support to extractive industries (e.g. mining and quarrying); 
Support for activities that promote timber harvesting; 
Assistance for the procurement (including payment in kind, donations, guarantees of credit) or use (including handling, transport, fuel for transport, storage, mixing, loading, application, clean up of spray equipment, and disposal) of pesticides or activities involving procurement, transport, use, storage, or disposal of toxic materials. Pesticides cover all insecticides, fungicides, rodenticides, etc. covered under FIFRA – ‘Federal Insecticide, Fungicide, and Rodenticide Act;’ Potential activity components dealing with privatization of industrial facilities or infrastructure with heavily polluted property. In such cases, an amendment to the IEE will be required to conduct Environmental Liability Assessment (ELA) as part of the privatization process. 
Procurement or use of genetically modified organisms (GMOs);
Project preparation, project feasibility studies, and infrastructure investments for projects that
may have a potentially significant impact on the environment;
Activities involving support to agro-processing, industrial enterprises, and regulatory
Permitting; 
DCA or GDA programs —

will require an amendment to the IEE approved by the E&E Bureau Environmental Officer (EE/BEO).

COST APPLICATION FORMAT

The Cost or Business Application shall be submitted separately from the technical application. Certain documents are required to be submitted by an applicant in order for the Agreement Officer to make a determination of responsibility.  

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.	Include a budget in Excel format with an accompanying budget narrative which provides in detail the total costs for implementation of the program your organization is proposing. Detailed budget notes and supporting justification of all proposed budget line items should be included. In addition, a summary of the budget must be submitted using Standard Form 424 and 424A. Budgets must be in U.S. dollars.  Budgets to be submitted in unlocked Excel format with all formulas to demonstrate calculations.
The budget shall include:
1.	The breakdown of all costs associated with the program according to costs of, if applicable, headquarters, regional and/or country offices;
2.	The breakdown of all costs according to each partner organization or subcontractor/subgrantee involved in the program;
3.	The costs associated with external, expatriate technical assistance and those associated with local in-country technical assistance;
4.	The breakdown of the financial and in-kind contributions of all organizations involved in implementing this Cooperative Agreement;
5.	Potential contributions of non-USAID or private commercial donors to this Cooperative Agreement;
6.	A procurement plan for commodities.
 
B.  A copy of the latest Negotiated Indirect Cost Rate Agreement if your organization has such an agreement with the US Government;

C.  Applicants which 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; and
3.	A copy of the organization's accounting manual.
 
D.  Applicants should submit additional evidence of responsibility they deem necessary for the Agreement Officer to make a determination of responsibility.  The information submitted should substantiate that the Applicant:
1.	Has adequate financial resources or the ability to obtain such resources as required during the performance of the award.
2.	Has the ability to comply with the award conditions, taking into account all existing and currently prospective commitments of the applicant, nongovernmental and governmental.
3.	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.
4.	Has a satisfactory record of integrity and business ethics; and
5.	Is otherwise qualified and eligible to receive a cooperative agreement under applicable laws and regulations (e.g., EEO).

E.	Required certifications, assurances, and other statements.  These forms include:

-	Assurance of Compliance with Laws and Regulations Governing – 
    Nondiscrimination in Federally Assisted Programs
-	Certification Regarding Lobbying
-	Certification on Terrorist Financing 
-	Certification of Recipient
- 	Survey On Ensuring Equal Opportunity For Applicants
-	Applicant Information
-	Procurement Information
These forms are provided in Section D.

F.  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.

3. Submission Dates and Times 

Applications are due to USAID/Armenia by July 15, 2011 at 10:00 AM Yerevan Time.  (Applications which are submitted late or are incomplete run the risk of not being considered in the review process.  

4. Other Submission Requirements

A.	Unnecessarily Elaborate Applications – 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 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 RFA must request it in writing.  Questions should be sent before the deadline.  Oral explanations or instructions given before award of a Cooperative Agreement will not be binding.  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.

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.

Application Review Information

B.1	Criteria 

The criteria presented below have been tailored to the requirements of this particular RFA.  Applicants should note that these criteria 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. To facilitate the review of applications, applicants should consider organizing the narrative sections of their applications in the same order as the selection criteria.
 
The Government will award a cooperative agreement on the basis of: A) Technical Merit and B) Cost. The technical applications will be evaluated in accordance with the Technical Evaluation Criteria set forth below. The cost application will be evaluated for general reasonableness, allowability, and allocation of resources.  

Awards will be made based on the ranking of proposals according to the technical selection criteria identified below.
 
The number of points assigned indicates the relative importance of each factor. To make the selection process as objective as possible, each applicant must clearly demonstrate how their proposed application meet the following criteria with a total possible score of 100 points.

Proposals will be judged on the ability of the applicant to propose a comprehensive and integrated strategy for achieving program objectives and expected outcomes listed in Section C. Program Description at a reasonable cost.  

A.        Technical Application (Total 100 points)
                                                                                                
I.          Technical Approach             (40 points)

a.	Extent to which the proposed approach is well-conceived, clear, detailed, technically sound and ambitious; feasible to achieve all the objectives and special considerations identified in the USAID Program Description; and demonstrating the applicant's understanding of the objectives and People with Disabilities (PWD) labor market integration issues facing Armenia. Particular attention will be given to a discussion of the issues and the appropriateness of the suggested approach(es).
b.	Extent to which innovative approaches and lessons learned from programs elsewhere are identified and effectively included in the proposed approach.
c.	Extent to which gender and gender issues are meaningfully identified and addressed, including plans to ensure attention to such issues during implementation. Completeness of the proposed plan for addressing gender concerns, including but not limited to disaggregated data collection and the appropriateness of the approach to the Armenian context.  

II.        Illustrative Monitoring and Evaluation Plan          (10 points)
Clarity, appropriateness, soundness and cost-effectiveness of an illustrative Performance Monitoring and Evaluation Plan for identification of expected intermediate and final results of the program, including, but not necessarily limited to,  a plan for collecting base-line and follow-on data and suggested indicators of program impact and success.  
III.       Project Team             (20 points)

a.	Experience and past performance of key personnel in managing complex international development programs, particularly in disability and social integration oriented programs in transitional countries; their experience in building and effectively supervising a diverse team of employees; demonstrated effective interpersonal skills, creative problem-solving and ethical management; and prior experience in working with international donors, indigenous NGOs and government institutions, Armenia, and/or the former Soviet republics.  

b.	Appropriateness of the composition and organizational structure of the project team (including home office support, if applicable). That is, the extent to which the proposal provides a clear, sound, appropriate and cost-effective staffing pattern with responsibilities and authorities among different staff positions adequately and clearly delineated. 

c.	Extent to which Armenian citizens, normally resident in Armenia, have substantive leadership roles in program implementation.

IV.	Institutional Capacity        (10 points)   

a.	Demonstrated organizational capacity of the applicant in managing the proposed activities under the cooperative agreement, including transparent personnel, procurement and financial management systems in complex field operations.

b.	Demonstrated organizational knowledge and capability of the applicant in quickly yet effectively staffing a project and launching program activities.

V.	Past Performance 	(20 points)   

Past performance will be evaluated for demonstrated successful track record in implementing and monitoring Labor Market Integration of People with Disabilities programs, with substantial success and achievement of results based on the following evaluation criteria: 
-	How well the applicant performed under relevant programs, 
-	Instances of good (poor) performance in the most critical areas,
-	Significant achievements (problems).

B. 	Cost Application	

Effectiveness and reasonableness of total estimated cost		

Demonstrated ability to minimize recurrent costs and maximize cost-effectiveness.  Maximizing the percentage of the costs allocated to program delivery as compared to administrative costs will also be a factor in evaluating applications.  The cost realism analysis is intended to:
a)	verify the Applicant's understanding of the requirements and regulations;
b)	assess the degree to which the cost proposal reflects the approaches in the technical application; and;
c)	assess the degree to which the cost included in the cost proposal accurately represents the work effort included in the technical application.
d)	assess the real value and potential impact of any proposed cost share contribution

B.2	Review and Selection Process

All applications which meet the eligibility and program requirements, and conform to the application preparation and submission instructions, will be reviewed and scored by a panel of USAID reviewers strictly in accordance with the evaluation criteria set forth in this section.

The budget narrative of all applications under consideration for award will be reviewed for cost realism and reasonableness.  After initial review of applications, USAID may conduct written and/or oral discussions with those applicants whose applications remain under consideration for award.  The decision to conduct such discussions should not be considered a final decision about which organizations will receive an award, but rather would be part of the evaluation process.

B.3	Award Considerations

USAID/Armenia will evaluate applications and make an award based on that application which best would achieve the expected outcomes of the program and offers the greatest overall benefit in response to the requirement.

Although technical evaluation factors are more important than cost, the closer the various technical applications are to one another, the more important cost considerations become. The Agreement Officer may determine that a highly ranked application based on the technical evaluation factors is unreasonable or unrealistic in terms of cost.  Award will be made to the applicant whose application offers the best value to the Government. Favorable consideration will be given to applications that include meaningful cost sharing by the applicant.  Best value is defined as the expected outcome that, in the Government’s estimation, provides the greatest overall benefit in response to the requirement and available funds. 

B.4	Award Administration Information 

Reporting

The Recipient will comply with the financial reporting requirements in accordance with 22 CFR 226. In addition, the Recipient will submit to the USAID AOTR, a quarterly financial report that specifically includes line item budgets, expenditures and accruals, and a pipeline (balance remaining). A table with expenditures and accruals will be submitted to the AOTR no less than 15 days before the end of each (USAID) fiscal year quarter through the life of the project. The Recipient shall submit these forms in the following manner:
 
(1) The recipient must submit the Federal Financial Form (SF-425) on a quarterly basis via electronic format to the U.S. Department of Health and Human Services (http://www.dpm.psc.gov). The recipient must submit a copy of the FFR at the same time to the Agreement Officer and the Agreement Officer’s Technical Representative (AOTR).
 
(2) The recipient must submit the original and two copies of all final financial reports to USAID/Washington, M/CFO/CMPLOC Unit, the Agreement Officer, and the AOTR. The recipient must submit an electronic version of the final Federal Financial Form (SF-425) to U.S. Department of Health and Human Services in accordance with paragraph (1) above.

1.	Program Reporting 

The Recipient shall deliver quarterly progress reports to USAID/Armenia within 15 days from the end of each three month period.  These reports shall collectively discuss the work of the program, highlighting: (1) achievements during the quarter; (2) timeline of events; (3) summary of obstacles and issues and how they are being addressed; (4) project activities planned for the next quarter.
    
2.  Final Report
 
The Recipient shall submit the original and one copy to USAID/Armenia and one copy to USAID Development Experience Clearinghouse at the following address:
a)	Online:  http://www.dec.org/submit.cfm/ 
b)	Via mail: Development Experience Clearinghouse, M/CIO/KM, RRB M.01, U.S. Agency for International Development, Washington, DC 20523
c)	Or e-mail: docsubmit@dec.cdie.org.

The final performance report shall contain the following information: (1) project objectives; (2) strategies and activities undertaken and their corresponding results; (3) a summary of problems/obstacles encountered during the implementation and how the obstacles were addressed; (4) an executive summary of the accomplishments and results achieved
 
3.  USAID Branding and Marking 

Branding and Marking Requirements for Labor Market Integration of People with Disabilities Program will conform to ADS 320.3.3 (effective 01/08/2007 and revised 05/05/2009).

It is a federal statutory and regulatory requirement that all USAID programs, projects, activities, public communications, and commodities that USAID partially or fully funds under a USAID grant or cooperative agreement or other assistance award or subaward, must be marked appropriately overseas with the USAID Identity. USAID will require the submission of a Branding Strategy and a Marking Plan by the apparent successful applicant under this RFA.  For more information, see:  http://www.usaid.gov/branding/assistance.html

PROGRAM DESCRIPTION

Labor Market Integration of People with Disabilities (DAW)

Overall Program Objectives:

The goal of the USAID Labor Market Integration of People with Disabilities project, also known as “Disability and Work (DAW)” is to promote equal employment opportunities and access to employment as a basic human right for people with disabilities.  The project will ensure that no decisions concerning disabled people are made without their active participation.  

This Program places great emphasis on supporting the Government of Armenia (GOA) to develop an effective model for provision of employment services to PWDs.   It relies on using a social model of disability, identifying problems of persons with disabilities that are outside of the individual person or their social context.  These barriers are subsequently targeted and removed.  Historically, the Government of Armenia has used an individual (medical) model for supporting PWDs, placing undue emphasis on the disability itself and viewing that disability as a social constraint.  Consequently, barriers persons with disabilities face are the result of society neglecting their needs, rather than exploring other constraints.  Disability can thus be seen as a human difference and consequently is subject to non-discrimination activities and regulations. This has led to a paradigm shift from a charity-based to a rights-based disability policy.  It is the duty of the government to provide appropriate structures which enable individuals with disabilities to fully participate in all areas of public life, including employment.

To achieve this goal, the DAW program will provide technical assistance, services to beneficiaries and institutional capacity building with three main components: 

1)	 Creation and /or further development of a coherent set of services related to 
vocational skills assessment, professional skills development, and professional rehabilitation of persons with disabilities;
(2) Provision of recommendations and assistance to GOA in implementing relevant    
 policy/administrative changes or reforms where necessary.
(3) Increase public awareness on access and employment rights of PWDs.

The proposed program will reduce the barriers that limit participation and integration of PWDs in labor market and society.  It will create opportunities for hundreds of PWDs to obtain competitive professional skills and knowledge to secure their jobs, as well as to get jobs and internship opportunities within the private sector.

The proposed DAW program will impact disabled people in Armenia, their families, and disability-focused organizations.  A society, in which disabled people are fully included, is a productive society that attempts to include everyone. This shift will contribute to poverty reduction since people with disabilities often have the lowest revenues, using their capacity as a macroeconomic resource for the labor force. Furthermore, this project will in turn contribute to the sustainable economic growth of the country.

The Implementing Partner’s performance will be measured by the achievements of the expected results articulated for the three components of DAW program.

Background Information:

In Armenia, historically, people with disabilities (PWD) have been marginalized from traditional development cooperation activities due to inadvertent barriers or discrimination, which has resulted in further disparity in their access to education, employment, health care services and civil society integration.  While over the past few years the situation with PWDs has started to progress, becoming possible for people with disabilities to exercise some of their rights, there are still a multitude of problems – ranging from societal intolerance to negligence by authorities – that need to be resolved before the lives of people with disabilities gets better in Armenia.

Despite the large number of people with disabilities living in Armenia (179,257 officially registered people), the disabled are rarely seen outdoors or in the workplace as they have traditionally been stigmatized and isolated from society.  The Ministry of Labor and Social Issues estimates that the real number of disabled in Armenia is likely twice the official figure. Marginalized funding for governmental programs to provide incentives to organizations that hire people with disabilities also limits available opportunities.

For decades, disability was approached from a medical perspective and was regarded as a disease. People with disabilities received pensions in accordance with the grade of their disability, and they had the right – as all other citizens – to receive free health care. The rehabilitation system focused primarily on medical rehabilitation, overlooking many aspects of social and vocational rehabilitation that could reintegrate a person with a disability back into a professional and economically productive life.

The right to employment was denied to thousands of disabled people willing to work in Armenia.  At present, about 90 percent of PWD are totally excluded from the workforce. Most of them are obligated to depend on meager welfare benefits to survive, and as a result, their income is considerably lower than that of non-disabled people.

Meaningful employment is vital for ensuring full integration of persons with disabilities into society. Within Armenia, there is a need to explore opportunities to promote the inclusion of persons with disabilities into the labor market through vocational trainings, professional skills development and work placement.

Data on PWDs in Armenia and their characteristics:
As of January 1, 2010, there were 179,257 officially registered people with disabilities in Armenia, of which 64% (114,700) are of employment age 16-63, and only 8% (14,340) of employment aged disabled were employed.  

Analyzing the data on employed PWDs by types of economic activity, the majority of PWDs work in the agriculture sector mainly in rural areas (7,400). Other sectors include motor vehicles repair, hotels and restaurants, trade, transport, communication and other services. 

According to information provided by the State Employment Services Agency (SESA, year 2009), 8,800 employed PWDs (registered within SESA offices) have completed secondary (general) education; 6,200 PWDs have graduated from a university or other higher educational institutions; and only 900 PWDs have had some vocational education.

Information about the employment situation of PWDs in Armenia and major barriers to increased employment:

Today in Armenia, persons with disabilities (PWD) face exclusion from the labor market and many of them are forced to live in poverty. A person with a disability in Armenia is more than ten times likely to be unemployed than a person without a disability.  Due to this exclusion from the labor market, people with disabilities are obligated to depend on inadequate disability pension payments to survive and, as a result, their income is considerably lower than that of non-disabled people. 

There are numerous barriers that make it difficult for PWDs to gain employment, many of which are relatively well-known among key stakeholders. The barriers that are most frequently mentioned include: 
•	Lack of awareness among PWDs of their rights and resources that may be available to assist them to increase their vocational skills and find jobs; 
•	Stigmatizing attitudes toward PWDs amongst the general population and employers leading to misconceptions about and lack of familiarity with laws and regulations related to employing people with disabilities and with government programs designed to assist PWDs to find jobs such as the wage subsidy program;
•	Inadequate funding for the Government of Armenia (GOA) programs designed to assist PWDs so that few employees and employers are able to benefit from these services;
•	A pervasive lack of physical accessibility at State Employment Centers and other service centers, including other venues coupled with the fact that few public transportation options exist for people with mobility impediments;
•	A disability classification system that defines many people with disabilities as unable to work and disallows PWDs from obtaining unemployment benefits.  This discourages PWDs from registering with State employment services;
•	Low levels of education, vocational and soft skills training among many PWDs due to an inclusive educational system which is only in its early stages of development;
•	The belief that putting in place workplace accommodations for employees with disabilities will be prohibitively expensive and something that smaller enterprises cannot afford to do;
•	A lack of effective coordination and cooperation among the various stakeholders who are interested in this issue including the GOA, donors, the private sector, and NGOs, and a lack of sound institutional mechanisms for employment of people with disabilities.

Given the attitudes towards PWDs in Armenian society, even those PWD that are employed are more likely to lose their jobs and more exposed to the dangers of long-term unemployment when compared to persons without disabilities. Most of the PWDs who are employed have disabilities that do not require special accommodation in the workplace, or are employed through the assistance of Disabled People Organizations (DPOs) and non-governmental organizations (NGOs) working with the disabled.  Most receive very low wages and have little long-term job security.

The current economic climate in Armenia presents an especially difficult time for people with disabilities, both for those who are already in and those who are trying to enter in the labor market.  Competition for existing jobs is fierce. Thus, it is important to ensure that the rights of persons with disabilities are well protected in this climate.

Information on current status of legislation related to PWDs:

There are several domestic laws including “RA Law on Social Protection of Persons with Disabilities”, “RA Law on Social Assistance”, “RA Law on Healthcare and Service Provision to Population” and some international conventions such as the UN Convention on the Rights of Persons with Disabilities and its Optional Protocol (adopted, signed and ratified on December 13, 2006 by Armenia), and the European Social Charter (a Council of Europe treaty which guarantees social and economic human rights) regulating this sphere. 

The Government Decree # 996 of July 13, 2006 provided the first incentive for employers to hire PWDs as employees. According to that Decree, the state budget compensates up to 50% of the salary for each PWD employee through regional SESA offices. Furthermore, some amendments were made in the tax legislation, providing some exemptions for such employers.

Some draft laws are in the process of development including the draft law on accommodations in the workplace which is under review, and the draft law stipulating practical steps that Armenia will take to implement requirements of the UN Convention.  The main problems with current legislations are their poor enforcement and implementation.  There is a critical need to further develop the domestic legislation to stipulate international best practices.

Information on current GOA and local NGOs/DPOs programs related to the employment of PWDs:

The issues faced by the disabled in seeking employment are among the top priorities in the social policy of the GOA. Currently the Government of Armenia is trying to provide solutions to the problem of disabled people’s employment through a national program where employers who hire “uncompetitive groups” can get wage subsidies from the state. The program is implemented through the State Employment Services Agency (SESA).  Under this program, 195 disabled persons received jobs in 2006-2009, of which 81 (41.5%) were employed in 2009 (compared to 63 in 2008). Currently, this program is funded for only two years and it is unclear on what level (how much resources will be devoted to the program) it will be continued or whether PWDs who obtained jobs under this program will be able to retain them. Targeted advocacy is sorely needed to ensure sustained commitment from the GOAM.

SESA also organizes vocational training services for PWDs; however, the scope of these services is not nearly adequate to meet the need. In 2009 only 79 people with disabilities received professional (vocational) trainings that were organized by SESA regional offices; 41 persons with disabilities received such trainings in the first half of 2010.  This number is far from being satisfactory.

With USAID and other donors’ support, the Ministry of Labor and Social Issues (MLSI) funded a few social enterprises, but because of the poor funding the sustainability is a real issue for them. To solve the problem, the MLSI plans to require the establishment and support of social enterprises and workplace accommodations for employees with disabilities in the upcoming draft legislation.

There are several local NGOs/DPOs which are performing activities aimed to integrate PWDs into the society and to create jobs for them. For example, Echmiadzin Union of the Blind is running a sheltered employment program and 35 blind people have been trained and are employed. Unison DPO with the support of Paros foundation created a database of PWDs who are seeking jobs and is doing job matching to help PWDs find jobs; with their support Viva Cell currently hired and is employing 30 PWDs in an integrated setting. Astghatsolk and Bridge of Hope DPOs are also implementing similar programs. Unfortunately, the scale of the programs implemented by local NGOs/DPOs is small and those organizations need more resources to advance their activities and need more support to build their capacity. 

Prior and current USAID technical assistance in this and related areas:

From 2006 to 2009, the USAID Armenia Social Protection System Strengthening (SPSS) Program promoted social protection and proactive labor market policies through reforming social insurance, creating employment programs, introducing occupational safety standards, and promoting services to reduce vulnerable citizens’ dependence on public support. SPSS, jointly with the Ministry of Labor and Social Issues’ State Employment Services Agency, launched the Social Enterprise Development Competition to create jobs for people with disabilities. The Echmiadzin Union of the Blind is one of the grant recipients, employing 35 blind people. This successful program between the USAID Armenia SPSS Program and SESA provided a grant for the Blind Union to renew and modernize its production and create new jobs for workers who are blind, in addition to providing funding for technical training for eight blind employees. 

USAID Armenia SPSS Program also awarded a small grant to “Astghatsolk” public organization located in Chambarak (a small border town) working with the local government and businesses to improve employment for disabled individuals in the region. 

The USAID/SPSS Program built outsourcing capacity within the State Employment Services Agency which includes a transparent procedure manual to sustain the outsourcing of service programs.

Other donor and DPOs assistance in this area:

Even though many donor organizations in Armenia have programs that deal with persons with disabilities (e.g. OSI, UNDP, DANIDA, European Commission, UNICEF), among those there are just a few small activities with scarce funding that offer vocational trainings or deal with the issue of job placement of persons with disabilities.

The UN is implementing “Food for Training” project to address the issue of temporary employment of disabled persons and mitigate social tension by engaging persons with disabilities in paid social work through the State Employment Centers.

In response to the challenges which disabled persons face in the labor market, SESA requested the establishment of a “Work Rehabilitation Center” in Gyumri, and in 2008 a building was constructed with the support of the World Bank, but unfortunately it was not functioning until last month. It currently houses SESA on the second floor and the Rehabilitation Center (which is under the direct control of the MLSI) on the ground floor. The main objective of creating the Rehabilitation Center was to integrate disabled persons into society through their professional rehabilitation. However, current staff at the Center does not have the required expertise to provide vocational rehabilitation services and are focusing on home visits to PWDs in Gyumri, establishment of an updated database on PWDs in the area, and some provision of counseling and other social services.

The Dutch government is currently investing in a 3-year program--Equitable Job Opportunities for Persons with Disabilities (2010-2012) aimed at integration of people with disabilities into the labor market. The target group of the project is 50 people with disabilities and the main partners of the project are the State Employment Service Agency and its two territorial centers in targeted communities (Hrazdan and Erebuni). The program is being implemented by three Dutch organizations – Activa Foundation, Bartimeus and Workability Europe, and HDP Armenian Foundation is their local partner coordinating activities in Armenia. The key results of the program so far are as follows: 1) the training of 8 SESA staff members from the two SESA local offices on using an instrument evaluating employment skills of PWDs; 2) the purchase and delivery of two evaluation instruments to the above mentioned two SESA offices; and 3) organization of a study tour to Holland for 8 SESA employees and 4 staff members from the MLSI to study the services provided to PWDs for their labor market integration and to observe some social enterprises in action. In general the program is very useful and it’s a good step towards the creation of a model of provision of social services to PWDs for integrating them into the labor market, but the level of efforts and the resources devoted to the program are not sufficient and much more resources are required and the need of further technical support is obvious.

Remaining gaps in vocational rehabilitation/employment of PWDs and the rationale for the current activity:

PWDs are not well-integrated into the vocational training system in Armenia.  Many vocational schools continue to present outdated curriculum that is not a good match to employers’ needs, and numerous vocational schools and employment centers are not accessible to PWDs.

Furthermore, there are no effective mechanisms/models or centers for vocational rehabilitation of PWDs, or the means to assess the vocational skills and capacities of PWDs. The newly established Gyumri Center needs a lot of technical assistance (capacity building, trainings, knowledge of the international best practices, etc.) in order to be more effective.

There is insufficient collaboration across key players, systems, and donors in the area of vocational rehabilitation and employment for PWDs. And awareness among the general public about the rights and employability of PWDs, and awareness among employers of programs designed to assist in the employment of PWDs are low.

The capacity of the local NGOs/DPOs is limited and they need more support and resources to expand their activities and to develop new programs by using the best international experience in this field.
 
As sign of its good will, in 2007 Armenia signed the UN Convention on the Protection and Promotion of Rights and Dignity of Persons with Disabilities and it is in the process of restructuring the legal basis of the National Council (a coordinating body) that will help implement the Convention.  

The GOA is very strong in political will and is making great strides; however, the funding is inadequate, consequently all existing programs reach only a very small number of people and the most important problem is that an effective model on provision of employment services to PWDs is missing. 

For the last two years, the GOA’s annual programs have included also vocational training and employment (job placement).  But despite the will of the government to implement such programs, in reality the capacity and resources of the GOA are too weak, and as a result only about 200 individuals with disabilities received such training. Therefore, donor intervention into the issue is very timely, given the seriousness and the scale of the problem, and at the same time the good political will of the government.  

The proposed project was developed in a close cooperation with the Ministry of Labor and Social Issues of Armenia (MLSI) and USAID will cooperate with MLSI in setting up and implementation of a newly designed program (please see the attached letter from the Minister of MLSI of RA). 

This project will not only help persons with disabilities, but will also increase the capacity of GOA agencies, as well as promote the development of DPOs with the main goal of development of an effective model on provision of employment services to PWDs. A team of national and international experts in cooperation with all stakeholders will analyze the existing system of employment services for PWDs; and based on international experience design a model of employment services to PWDs applicable in the Armenian environment. The designed model would include but not be limited to improving existing employment services in Armenia; developing appropriate description of functions and institutional relations; and improved interagency collaboration between MLSI, SESA, DPOs/NGOs, PWDs, employers/businesses, employers’ associations, trade unions, vocational schools, rehabilitation centers, etc. 

Proposed Activity: Labor Market Integration of People with Disabilities (DAW)

The goal of the USAID Disability and Work (DAW) project is to promote equal employment opportunities and access to employment as a basic human right for people with disabilities.

The implementing partner shall provide technical assistance and services to beneficiaries with three main components: (1) creation and /or further development of a coherent set of services related to vocational skills assessment, professional skills development, and professional rehabilitation of persons with disabilities, (2) provide recommendations and assist GOA to implement relevant policy/administrative changes or reforms where necessary; and (3) increase public awareness on access and employment rights of PWDs. 

The implementing partner must coordinate its activities with the Dutch government’s Equitable Job Opportunities for Persons with Disabilities program (ending in 2012) to use the model/instruments provided by them to SESA and to build on the successes.  The implementing partner should also be prepared to provide subgrants to local NGO/DPOs to ensure link beneficiaries to available jobs.
•	Component One: Creation and /or further development of a coherent set of services related to vocational skills assessment, professional skills development, and professional rehabilitation of persons with disabilities in several marzes (regions) of Armenia and successful job placement for these individuals. The focus should be on employment in the competitive job market or supported paid employment in a variety of integrated settings which allow PWDs to work successfully alongside non-disabled colleagues. 
Supported employment can have a wider impact on the attitudes of employers, employees and society in general as compared to more traditional sheltered employment models. These services should be provided in a coordinated manner and at a minimum, should involve the relevant SESA regional centers, other GOA entities that are tasked with the provision of work-related services for PWDs, DPOs/NGOs with experience in the area of employment of PWDs, also Armenian and international experts in vocational skills development and rehabilitation of PWDs.
Illustrative activities under this component may include:
Development of an effective model on provision of employment services to PWDs: A team of national and international experts in cooperation with all stakeholders will conduct gap analyses of the existing employment services; impediments to private sector demand for employment of PWDs and review the status of programs and projects developed by other donors and NGOs. Based on international experience and information gathered from the analyses, the team will design a model of employment services to PWDs applicable in the Armenian environment. The designed model would include but not be limited to improving existing employment services in Armenia; developing appropriate description of functions and institutional relations; and improved interagency collaboration between Ministry of Labor and Social Issues, State Employment Service, DPOs/NGOs, PWDs, employers/businesses, employers associations, trade unions, vocational schools, rehabilitation centers, etc. 
Development of an Individual Employment Plan for target PWDs: This plan should document the individual’s prior training and work history, interactions with SESA centers, if applicable, the results of vocational assessments and trainings, the types of jobs that will be sought, any training that is supplied, the outcomes of job searches, workplace supports and accommodations that are needed, and employment plan based on his capacities, at a minimum.
Vocational assessment of PWDs: Many PWDs in Armenia have never worked or have not worked in many years and the job preparation process will accordingly need to begin with an assessment of his/her work abilities, physical capacities, psychological factors, etc.  Under this activity, implementers will rely on international best practices and available assessment instruments to develop vocational assessment tests and tools which can be adapted to the Armenian context. 
Skills training: If skills gaps are identified, PWDs will be provided with relevant skills training. Such training may come from any number of sources (DPOs/NGOs, businesses, vocational schools, Employment Centers, government organizations, etc.) and the implementer is expected to cooperate and partner with GoA entities, DPOs/NGOs, and vocational skills providers who are already delivering such services to avoid duplication. As much as possible, the provision of training to PWDs should be done in inclusive settings rather than in the form of segregated training opportunities for PWDs.  
Job matching: The implementer should work closely with private and public sector organizations in Armenia to identify the job skills needed and actively assist parties in developing the skills of PWDs to meet the demand. Matching PWDs with suitable jobs is a key step to insure that these individuals not only locate appropriate jobs but also retain them. Proper job matching requires not only an assessment of skills and capacities of the prospective employee but also an understanding of jobs that are available in the local economy, the types of jobs that are best suited to individuals with various disabilities, good contacts and relationships with employers and employer associations. The implementer will assess existing services in target locations and those that need to be developed. 
Post-placement support: Many PWDs will need mentoring and support after they are placed and have jobs. The Individual Employment Plan will need to incorporate provisions on mentoring and supporting PWDs with clear roles and responsibilities of involved personnel. The Implementer may also develop a priority system for individuals who are employed for the first time, those with more severe disabilities, and those needing extensive training, etc.
Capacity development of DPOs and other organizations working with PWDs: There are very few individuals in Armenia, in government, private or public sectors, who master vocational assessment or rehabilitation skills: a small number of people have received some training related to job placement for PWDs. Accordingly, the implementer should assess the capacities of government agencies and NGOs/DPOs dealing with PWDs, and project staff across implementing partners in relation to each of the services described above and develop a training program designed to increase capacity. Such trainings will likely require international expertise in the area of vocational rehabilitation. Staff who will be trained to apply vocational assessment and rehabilitation techniques may include personnel within Employment centers, local partners, social workers, etc. The implementer should provide grants to local NGOs/DPOs which are performing activities aimed to integrate PWDs into the society, labor market and placing PWDs in jobs. We envisioned provision of grants to the local NGOs/DPOs in the amount of $750,000 during the lifetime of the project, and targeted collaboration with the private sector to link job seekers to the job market.
Piloting models on the creation of suitable jobs for PWDs: Supported employment or paid work in a variety of integrated settings. Such a scheme allows people, often with severe disabilities, to work successfully alongside non-disabled colleagues. It can have a wider impact on the attitude of employers, employees and society in general. Supported employment programs traditionally have job coaches who provide initial training and adaptation to the job setting for a period of a few weeks to several months, usually until the person with a disability can function virtually independently. 

•	Component Two: Provision of recommendations and assistance to GOA in implementing relevant policy/administrative changes or reforms where necessary.
Illustrative activities to be developed under this component may include:
Assisting GOA in developing and fostering the implementation of integrated disability employment policies, strategies and models throughout the workforce development system in workplaces and in employment-related support programs and services. 
Improved monitoring of employment services for PWDs. A team of international and national experts will analyze the existing practice of monitoring of employment of PWDs; and based on international experience and the developed model will make recommendations for improved monitoring system. 
Technical and legal expertise will be provided for the further development of the policies and legal acts regulating employment of PWDs to bring them into the compliance with the international best practices (of EU and OECD countries). 
As the core legislation is mainly in place, the technical assistance primarily should be directed toward the development of the necessary sub-legislative acts, guidelines, instruction manual, procedures, etc. with input from DPOs/NGOs working in this area.

•	Component Three: Increase public awareness on access to employment and employment rights of PWDs:  
Illustrative activities to be developed under this component may include:
Placing emphasis on using publications, TV, web sites, advocacy campaigns, job fairs, and other multimedia to consistently work with employers/private sector actors and raise public awareness of employment issues of PWDs in target locations.
Designing of an outreach strategy to reach PWDs to involve them in the program.
Increase of public and private entities’ capacity on hiring and accommodating PWD in the work place. 
Production, publication and distribution of relevant training guides and information sheets on employment procedures, Vocational Education Training,  employment opportunities, career development, hiring and accommodating PWDs to serve as practical guides and awareness raising for PWDs and other stakeholders in their search for jobs or trainings. 
Organizing a national conference on employment of PWD, to share lessons learned during project implementation, and provide insights to the GOA on future steps or actions needed to further equal employment opportunities for the PWDs.

Gender analysis: The proposed program will encourage participation of males and females with disabilities to the extent possible by reducing possible barriers that may discriminate against PWDs. The project will collect, analyze gender disaggregated data, and undertake actions that will address any gender-related issues identified.   

Plan for Monitoring Performance: USAID/Armenia and the implementer will jointly develop a performance monitoring plan to track progress. The expected results presented in this Program Description provide an illustration of acceptable, quantitative and qualitative measures of program outputs and outcomes. The implementer will be expected to conduct comprehensive needs assessments and establish baselines and benchmarks during the first three months of the program. 

Applicants are encouraged to propose the use of surveys and public opinion polls as part of their monitoring and evaluation plans. For example, polls could be used to measure PWDs satisfaction with service delivery under this program. Such surveys should include baseline measures prior to assistance being delivered in addition to post-assistance measures.  
A final evaluation shall be performed immediately prior to the end of the project.

Required Partners for this Activity: The USAID program implementing partner must cooperate with the Government of Armenia, through the Ministry of Labor and Social Affairs and the State Employment Services Agency, DPOs/NGOs, vocational schools, private sector-business and business associations, and others in setting up the new design and throughout the implementation. The project places great emphasis on supporting the GOA in developing an effective model for provision of employment services to PWDs. As the discussions with the main stakeholders (GOA agencies, DPOs/NGOs, employers and employers’ associations and international organizations) have shown, in order to achieve the expected results, the GOA should use (and its willing to) the resources of non-governmental organizations since their own resources are insufficient. The program objectives will be best met by having an independent partner organization --since we expect to use their expertise and experience in combination with international expertise in working with PWDs.

The proposed project must work primarily through local NGOs/DPOs to implement activities. Targeted technical assistance can be provided for management, technical, and/or administrative support from an international organization, to ensure that best international practices are being applied to achieve success and to establish a reliable and effective mechanism for employment for PWDs.

One of the most important objectives of the project is the sustainability and continuity of the developed model for provision of employment services to PWDs, which can be achieved only through the active involvement of local organizations in the program. Provisions of grants to the local NGOs/DPOs will built their institutional capacity and contribute to the development of a model on provision of employment services to PWDs. Our observation indicates that there are approximately twenty local non-governmental organizations having expertise and performing activities in the sphere of disability, out of which at least three well known organizations have successful experience in labor market integration of PWDs. 

The proposed activity will strengthen the capacity of Government entities (for example-Gyumri Rehabilitation Center), DPOs and NGOs, as well as private sector actors (businesses and their related associations) by establishing a stronger collaboration between the civil society actors and government agencies in promoting equal employment opportunities and access to employment for PWDs. The inclusion of vocational schools is also a plus to provide ongoing short or long term vocational skills training for PWDs.

Expected Results: The proposed activities will reduce the barriers that limit participation and integration of PWDs in labor market and society. It will create opportunities for hundreds of PWDs to obtain competitive professional skills and knowledge to secure their jobs. 
Key results include:
•	Policies developed, targeted laws amended, and programs implemented that empower PWDs and promote equal employment opportunities.
•	GOA’s resources, geared towards employment of PWDs (including vocational rehabilitation services leading to supported or inclusive employment, workplace accommodations, wage subsidies for employment, social enterprises and others) increased up to 40% by the end of Year 3.
•	A sustainable and effective model for vocational rehabilitation and job placement of PWDs developed and implemented with GOA’s support.      
•	Improved monitoring system on employment of PWDs developed and implemented in cooperation with SESA.                                                                
•	A minimum of 40 people trained as job matchers and coaches. 
•	At least 400 PWDs (with gender balance between males and females) trained, consulted and assisted to enter the labor market, of which at least 200 PWDs offered internship or employment opportunities. 
•	The capacity of local DPOs/NGOs was strengthened to provide more quality services to PWDs for their integration into the society in general and to the labor market specifically. 
•	A minimum of 20 social grants-under-agreement distributed to local organizations (NGOs/DPOs), with SESA and MLSI involvement to address the employment needs of PWDs by the end of Year 3.  Where feasible, emphasis will be placed on leveraging resources within and outside of the local organization.
•	At least two public opinion polls (or facts based studies) conducted -- one at the beginning and one at the end of the project -- to evaluate changes in public perception of relevant actors and stakeholders and the necessity for reforms to promote equal employment opportunities for PWDs. 
•	Target PWDs have increased knowledge and awareness of on their employment rights and abilities to exercise them.
•	Number of employers that successfully recruited PWDs in target location by 20% by the end of Year 3 increased (baseline TBD at beginning of project).

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.  	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.

4.  	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 No. 			______________________________
 Application No.     	______________________________
 Date of Application 	______________________________
 Name of Recipient   	______________________________
 Typed Name and Title   	______________________________
 Signature              	______________________________
 Date                   	_______________

PART IV - 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.)

See Survey on Ensuring Equal Opportunity for Applicants at the below internet link:
http://www.ed.gov/fund/grant/apply/appforms/surveyeo.pdf

	                 		

PART V - 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 (Generic)	_____________________________ 

QUANTITY 		        	_____________________________ 

ESTIMATED UNIT COST        	_____________________________

GOODS COMPONENTS         	_____________________________

PROBABLE SOURCE 		_____________________________ 

GOODS COMPONENTS         	_____________________________

PROBABLE	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 (Generic)	______________________________ 

QUANTITY 				______________________________ 

ESTIMATED UNIT COST		______________________________

PROBABLE SOURCE		______________________________ 

PROBABLE ORIGIN	              __________________________

INTENDED USE                    _____________________________  

     (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 (Generic)  	_____________________________ 

QUANTITY 				_____________________________ 

ESTIMATED UNIT COST 		_____________________________ 

PROBABLE SUPPLIER (Non-US Only) _________________________

NATIONALITY 	        	_____________________________ 

RATIONALE	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. 

E.1	MANDATORY STANDARD PROVISIONS FOR U.S. NON-GOVERNMENTAL RECIPIENTS

Please refer to the following website to access the above mentioned Provisions:
http://www.usaid.gov/policy/ads/300/303maa.pdf

E.2	STANDARD FORMS 424, 424A AND 424B, APPLICATION FOR FEDERAL ASSISTANCE, BUDGET INFORMATION-NON-CONSTRUCTION PROGRAMS AND ASSURANCES-NON-CONSTRUCTION PROGRAMS

The SF 424, SF 424A and SF 424B documents are not included but can be found at the
following website: http://www.grants.gov

E.3	MARKING UNDER ASSISTANCE-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, project, 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 subawards.

(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 or cooperative agreement. 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 cosponsor?

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.

E.4	MARKING UNDER ASSISTANCE -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 subawards.

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.

E.5	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 nonpresence 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 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, audiovisual 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 [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 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 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.

E.6	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 Grantees." Recipients are required to ensure compliance with monitoring procedures in accordance with OMB Circular A-133.

E.7	NONDISCRIMINATION - MAY 1986 

(This provision is applicable when work under the grant is performed in the U.S. or when employees are recruited in the U.S.) 

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.

E.8	INELIGIBLE COUNTRIES 

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.

E.9	NONLIABILITY - NOV 1985 

USAID does not assume liability for any third party claims for damages arising out of this award.

E.10	AMENDMENT - NOV 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.

E.11	NOTICES - NOV 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.

E.12	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.

E.13	OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT –
DEC 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.

E.14	USAID ELIGIBILITY RULES FOR GOODS AND SERVICES – 
APRIL 1998 

(This provision is not applicable to goods or services which the recipient provides with private funds as part of a cost-sharing requirement, or with Program Income generated under the award.)

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 grantee'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.

E.15	DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS - JAN 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.

E.16	DRUG FREE WORKPLACE - JAN 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.

E.17	EQUAL PROTECTION OF THE LAWS FOR FAITH-BASED AND COMMUNITY ORGANIZATIONS - DEC 2009 

a.   All the requirements of 22 CFR Part 205, Participation By Religious Organizations In USAID Programs, are applicable to the recipient and to subrecipients which meet the definition of "Recipient" in 22 CFR Part 226. The requirements of 22 CFR Part 205 apply to both religious and secular organizations. 

b.   If the recipient makes subawards under this agreement, faith-based organizations must be eligible to participate on the same basis as other organizations, and must not be discriminated for or against on the basis of their religious character or affiliation. 

c.   The recipient must not engage in inherently religious activities, such as worship, religious instruction, or proselytization, as part of the programs or services directly funded with financial assistance from USAID. 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. These restrictions do not apply to programs where USAID funds are provided to chaplains to work with inmates in prisons, detention facilities, or community correction centers, or where USAID funds are provided to religious or other organizations for programs in prisons, detention facilities, or community correction centers, in which such organizations assist chaplains in carrying out their duties.

d.   The recipient must not use USAID funds for the acquisition, construction, or rehabilitation of structures to the extent that those structures are used for inherently religious activities. Where a structure is used for both eligible and inherently religious activities, USAID funds may not exceed the cost of those portions of the acquisition, construction, or rehabilitation that are attributable to eligible activities in accordance with applicable cost accounting principles. Sanctuaries, chapels, or other rooms that the recipient uses as its principal place of worship are ineligible for acquisition, construction, rehabilitation, or improvements using USAID funds. 

e.   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. 

f.   When the recipient is a religious organization, the recipient 
(1) Retains its independence and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that it does not use direct financial assistance from USAID to support any inherently religious activities, such as worship, religious instruction, or proselytization. 
(2) Retains its authority over its internal governance and may retain religious terms in its organization's name, select its board members on a religious basis, and include religious references in its organization's mission statements and other governing documents. 
(3) Retains its exemption from the Federal prohibition on employment discrimination on the basis of religion, set forth in Sec. 702(a) of the Civil Rights Act of 1964, 42 U.S.C. 2000e–1. 
(4) May use space in its facilities, without removing religious art, icons, scriptures, or other religious symbols. 
g.   The Secretary of State may waive the requirements of this provision in whole or in part, on a case-by-case basis, where the Secretary determines that such waiver is necessary to further the national security or foreign policy interests of the United States.

E.18	IMPLEMENTATION OF E.O. 13224 - EXECUTIVE ORDER ON TERRORIST FINANCING - MAR 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.

E.19	REGULATIONS GOVERNING EMPLOYEES - AUG 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.

E.20	CONVERSIONS OF US DOLLARS TO LOCAL CURRENCY - NOV 1985 

(This provision applies when activities are undertaken outside the United States.) 

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.

E.21	USE OF POUCH FACILITIES - AUG 1992 

(This provision applies when activities are undertaken outside the United States.) 

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 grantee use of pouch facilities in accordance with this standard provision is available from the Post Communication Center at the Embassy or USAID Mission.

E.22	INTERNATIONAL AIR TRAVEL AND TRANSPORTATION - JUN 1999 

(This provision is applicable when costs for international travel or transportation will be paid for with USAID funds. This provision is not applicable if the recipient is providing for travel with private funds as part of a cost-sharing requirement, or with Program Income generated under the award.) 

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 grantee 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 grantee. 

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.

E.23	OCEAN SHIPMENT OF GOODS - JUN 1999 

(This provision is applicable for awards and subawards for $100,000 or more and when goods purchased with funds provided under this award are transported to cooperating countries on ocean vessels whether or not award funds are used for the transportation.)

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 grantee 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.

E.24	LOCAL PROCUREMENT - APRIL 1998 

(This provision applies when activities are undertaken outside the United States.) 

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.

E.25	VOLUNTARY POPULATION PLANNING ACTIVITIES - MANDATORY REQUIREMENTS - MAY 2006 

Requirements for Voluntary Sterilization Programs 

(1) None of the funds made available under this award shall be used to pay for the performance of involuntary sterilization as a method of family planning or to coerce or provide any financial incentive to any individual to practice sterilization. 

Prohibition on Abortion-Related Activities: 

(1) No funds made available under this award will be used to finance, support, or be attributed to the following activities: (i) procurement or distribution of equipment intended to be used for the purpose of inducing abortions as a method of family planning; (ii) special fees or incentives to any person to coerce or motivate them to have abortions; (iii) payments to persons to perform abortions or to solicit persons to undergo abortions; (iv) information, education, training, or communication programs that seek to promote abortion as a method of family planning; and (v) lobbying for or against abortion. The term “motivate”, as it relates to family planning assistance, shall not be construed to prohibit the provision, consistent with local law, of information or counseling about all pregnancy options. 

(2) No funds made available under this award will be used to pay for any biomedical research which relates, in whole or in part, to methods of, or the performance of, abortions or involuntary sterilizations as a means of family planning. Epidemiologic or descriptive research to assess the incidence, extent or consequences of abortions is not precluded.

E.26 	CENTRAL CONTRACTOR REGISTRATION AND UNIVERSAL IDENTIFIER (OCTOBER 2010)

a. Requirement for Central Contractor Registration (CCR). Unless you are exempted from this requirement under 2 CFR 25.110, you as the recipient must maintain the currency of your information in the CCR until you submit the final financial report required under this award or receive the final payment, whichever is later. This requires that you review and update the information at least annually after the initial registration, and more frequently if required by changes in your information or another award term. 

b. Requirement for Data Universal Numbering System (DUNS) numbers. If you are authorized to make subawards under this award, you: 

(1) Must notify potential subrecipients that no entity (see definition in paragraph C of this award term) may receive a subaward from you unless the entity has provided its DUNS number to you. 
(2) May not make a subaward to an entity unless the entity has provided its DUNS number to you. 

c. Definitions. For purposes of this award term: 

(1) Central Contractor Registration (CCR) means the Federal repository into which an entity must provide information required for the conduct of business as a recipient. Additional information about registration procedures may be found at the CCR Internet site (currently at http://www.ccr.gov). 

(2) Data Universal Numbering System (DUNS) number means the nine-digit number established and assigned by Dun and Bradstreet, Inc. (D&B) to uniquely identify business entities. A DUNS number may be obtained from D&B by telephone (currently 866-705-5711) or the Internet (currently at http://fedgov.dnb.com/webform). 

(3) Entity, as it is used in this award term, means all of the following, as defined at 2 CFR part 25, subpart C: 

(i) A Governmental organization, which is a State, local government, or Indian tribe; 
(ii) A foreign public entity; 
(iii) A domestic or foreign nonprofit organization; 
(iv) A domestic or foreign for-profit organization; and 
(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity. 

(4) Subaward: 

(i) This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. 
(ii) The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular A-133, ―Audits of States, Local Governments, and Non-Profit Organizations‖). 
(iii) A subaward may be provided through any legal agreement, including an agreement that you consider a contract. 

(5) Subrecipient means an entity that: 

(i) Receives a subaward from you under this award; and 
(ii) Is accountable to you for the use of the Federal funds provided by the subaward. 

E.27	REPORTING SUBAWARDS AND EXECUTIVE COMPENSATION (OCTOBER 2010)
 
a. Reporting of first-tier subawards. 

(1) Applicability. Unless you are exempt as provided in paragraph d. of this award term, you must report each action that obligates $25,000 or more in Federal funds that does not include Recovery funds (as defined in section 1512(a)(2) of the American Recovery and Reinvestment Act of 2009, Pub. L. 111-5) for a subaward to an entity (see definitions in paragraph e of this award term). 

(2) Where and when to report. 

(i) You must report each obligating action described in paragraph a.1. of this award term to www.fsrs.gov. 
(ii) For subaward information, report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2010, the obligation must be reported by no later than December 31, 2010.) 

(3) What to report. You must report the information about each obligating action that the submission instructions posted at www.fsrs.gov specify. 

b. Reporting Total Compensation of Recipient Executives. 

(1) Applicability and what to report. You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year, if – 

(i) the total Federal funding authorized to date under this award is $25,000 or more; 
(ii) in the preceding fiscal year, you received— 
(A) 80 percent or more of your annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and 
(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and
(iii) The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 

(2) Where and when to report. You must report executive total compensation described in paragraph b.(1) of this award term: 

(i) As part of your registration profile at www.ccr.gov. 
(ii) By the end of the month following the month in which this award is made, and annually thereafter. 

c. Reporting of Total Compensation of Subrecipient Executives. 

(1) Applicability and what to report. Unless you are exempt as provided in paragraph d. of this award term, for each first-tier subrecipient under this award, you shall report the names and total compensation of each of the subrecipient‘s five most highly compensated executives for the subrecipient‘s preceding completed fiscal year, if – 

(i) in the subrecipient's preceding fiscal year, the subrecipient received— 

(A) 80 percent or more of its annual gross revenues from Federal procurement contracts (and subcontracts) and Federal financial assistance subject to the Transparency Act, as defined at 2 CFR 170.320 (and subawards); and 

(B) $25,000,000 or more in annual gross revenues from Federal procurement contracts (and subcontracts), and Federal financial assistance subject to the Transparency Act (and subawards); and ii. The public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m(a), 78o(d)) or section 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information, see the U.S. Security and Exchange Commission total compensation filings at http://www.sec.gov/answers/execomp.htm.) 

(2) Where and when to report. You must report subrecipient executive total compensation described in paragraph c.(1) of this award term: 

(i) To the recipient. 
(ii) By the end of the month following the month during which you make the subaward. For example, if a subaward is obligated on any date during the month of October of a given year (i.e., between October 1 and 31), you must report any required compensation information of the subrecipient by November 30 of that year. 

d. Exemptions 

If, in the previous tax year, you had gross income, from all sources, under $300,000, you are exempt from the requirements to report: 
(1) subawards, and 

(2) the total compensation of the five most highly compensated executives of any subrecipient. 

e. Definitions. For purposes of this award term: 

(1) Entity means all of the following, as defined in 2 CFR part 25: 

(i) A Governmental organization, which is a State, local government, or Indian tribe; 
(ii) A foreign public entity; 
(iii) A domestic or foreign nonprofit organization; 
(iv) A domestic or foreign for-profit organization; 
(v) A Federal agency, but only as a subrecipient under an award or subaward to a non-Federal entity. 

(2) Executive means officers, managing partners, or any other employees in management positions. 

(3) Subaward: 

(i) This term means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. 
(ii) The term does not include your procurement of property and services needed to carry out the project or program (for further explanation, see Sec. --.210 of the attachment to OMB Circular A- 133, ―Audits of States, Local Governments, and Non- Profit Organizations). 
(iii) A subaward may be provided through any legal agreement, including an agreement that you or a subrecipient considers a contract. 

(4) Subrecipient means an entity that: 

(i) Receives a subaward from you (the recipient) under this award; and 
(ii) Is accountable to you for the use of the Federal funds provided by the subaward. 

(5) Total compensation means the cash and noncash dollar value earned by the executive during the recipient‘s or subrecipient‘s preceding fiscal year and includes the following (for more information see 17 CFR 229.402(c)(2)): 

(i) Salary and bonus. 
(ii) Awards of stock, stock options, and stock appreciation rights. Use the dollar amount recognized for financial statement reporting purposes with respect to the fiscal year in accordance with the Statement of Financial Accounting Standards No. 123 (Revised 2004) (FAS 123R), Shared Based Payments. 
(iii) Earnings for services under nonequity incentive plans. This does not include group life, health, hospitalization or medical reimbursement plans that do not discriminate in favor of executives, and are available generally to all salaried employees. 
(iv) Change in pension value. This is the change in present value of defined benefit and actuarial pension plans. 
(v) Above-market earnings on deferred compensation which is not tax-qualified. 
(vi) Other compensation, if the aggregate value of all such other compensation (e.g. severance, termination payments, value of life insurance paid on behalf of the employee, perquisites or property) for the executive exceeds $10,000. 

E.28	TRAFFICKING IN PERSONS (OCTOBER 2010)

a.       Provisions applicable to a recipient that is a private entity.

(1)    You as the recipient, your employees, subrecipients under this award, and subrecipients' employees may not —

(i)	Engage in severe forms of trafficking in persons during the period of time that the award is in effect;
(ii)	Procure a commercial sex act during the period of time that the award is in effect; or
(iii)	Use forced labor in the performance of the award or subawards under the award.

(2)    We as the Federal awarding agency may unilaterally terminate this award, without penalty, if you or a subrecipient that is a private entity —
(i)     Is determined to have violated a prohibition in paragraph a. (1) of this award term; or
(ii)     Has an employee who is determined by the agency official authorized to terminate the award to have violated a prohibition in paragraph a. (1) of this award term through conduct that is either —
(A)    Associated with performance under this award; or
(B)    Imputed to you or the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 22 CFR 208 or its superseding Part in 2 CFR.

b.       Provisions applicable to a recipient other than a private entity.

(1)    We as the Federal awarding agency may unilaterally terminate this award, without penalty, if a subrecipient that is a private entity —

(i)	Is determined to have violated an applicable prohibition in paragraph a. (1) of this award term; or
(ii)	Has an employee who is determined by the agency official authorized to terminate the award to have violated an applicable prohibition in paragraph a. (1) of this award term through conduct that is either —
(A)     Associated with performance under this award; or
(B)    Imputed to the subrecipient using the standards and due process for imputing the conduct of an individual to an organization that are provided in 2 CFR part 180, "OMB Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement)," as implemented by our agency at 22 CFR 208 or its superseding Part in 2 CFR.

b.       Provisions applicable to any recipient.

(1)    You must inform us immediately of any information you receive from any source alleging a violation of a prohibition in paragraph a. (1) of this award term.

(2)    Our right to terminate unilaterally that is described in paragraph a. (2) or b of this section:
(i)	Implements section 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended (22 U.S.C. 7104(g)), and
(ii)	Is in addition to all other remedies for noncompliance that are available to us under this award.

(3)    You must include the requirements of paragraph a. (1) of this award term in any subaward you make to a private entity.

d.       Definitions. For purposes of this provision: 

(1) "Employee" means either:
(i)	An individual employed by you or a subrecipient who is engaged in the performance of the project or program under this award; or
(ii)	Another person engaged in the performance of the project or                 program under this award and not compensated by you including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements.

(2)    "Forced labor" means labor obtained by any of the following methods: 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.

(3)      "Private entity":

(i)  Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25(b).
(ii)  Includes:
(A)    	A nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 CFR 175.25(b).
(B)    	A for-profit organization.

(4)    	"Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at section 103 of the TVPA, as amended (22 U.S.C. 7102).