USAID Gift To Kenya Counties $50M

Solicitation# SOL61513000012
RFP Issuance Date: May Pre-Proposal Registration May Questions due date and time: Kenya) Pre-Proposal Conference: May RFP Amendment Issuance Date: RFP Closing date and time: Kenya)
16, 2013 24, 2013 May 28, 2013, 08:00 AM, Local Time (Nairobi, 30, 2013 June 8, 2013 July 3, 2013, 05:00 PM, Local Time (Nairobi,
SUBJECT: Request for Proposal (RFP) No. SOL61513000012 The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project) Project Dear Potential Offerors: The United States Government, represented by U.S. Agency for International Development (USAID), East Africa Regional Mission, is soliciting proposals from qualified organizations for the performance of services detailed in the attached RFP to support a contract that will be administered by USAIDs Kenya Democracy, Rights and Governance Office in Nairobi, Kenya. This procurement is being conducted through full and open competition, for which the procedures for contracting by negotiation, tradeoff process method of procurement, as described in Part 15 of the Federal Acquisition Regulation (FAR), and AIDAR, will apply. Proposals will be accepted from Kenya and international, U.S. business and U.S. small business, for-profit and non-profit organizations, nongovernmental organizations (NGOs) including universities, research organizations, professional associations, and other relevant special interest associations. Faith-Based and community organizations are also eligible to participate. In support of USAIDs interest in expanding the number and sustainability of development partners, USAID encourages proposals from potential new local partners. Subject to availability of funds, USAID contemplates award of a Cost-Plus-Fixed-Fee (CPFF) completion type contract. The maximum estimated cost of the contract (costs and fee) is US$ 45-50 million covering a performance period of five years. Offerors should not necessarily strive to meet the maximum amount. However, Offerors must propose costs that they believe are appropriate, realistic and reasonable for the work. Cost proposals will be evaluated as part of the Best-Value procedure in determining contract award, including cost effectiveness of approaches to achieve the desired results. A minimum of 60% of project funding shall be allocated over the five-year program for local organizations (with even higher percentages encouraged). 30% of project funding shall be used for the Grants under Contracts program. 30% shall be used as subcontracts and purchase orders for management responsibilities and to implement activities as required. The Grants under Contract portion of the funding shall consist of a minimum of $15,000,000 (with greater amounts encouraged, if feasible). USAID discourages the use of exclusive agreements with international or regional organizations as this limits USAIDs ability to receive the best services. Exclusivity contracts or teaming agreements with
The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 1 of 182
local organizations in Kenya are prohibited given the limited pool of partner organizations fitting the criteria for a locally-controlled organization. It is the responsibility of the recipient of this solicitation document to ensure that it has been received in its entirety, including subsequent solicitation amendments, if any. USAID bears no responsibility for data errors resulting from transmission or conversion processes. In addition to regularly checking the Federal Business Opportunity (FBO) website for important new information, potential Offerors are encouraged to register to receive email notifications by going to the FBO page for Agile and Harmonized Assistance for Devolved Institutions (AHADI) project in Kenya, click on the "Watch This Opportunity" link, registering for an account to login, and following the instructions. Questions, comments and requests for clarifications must be sent to csigner@usaid.gov and copy to jkibabu@usaid.gov no later than the date and time mentioned above. USAID will hold a Pre-Proposal Conference to discuss t he USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project)RFP. The purpose of the Pre-Proposal Conference is to ensure an understanding of the RFPs technical objectives and to review the application process. The Conference agenda will include a short presentation of the RFP and a question/answer session based on participants review of the RFP. All interested potential Offerors are welcome to attend, but it will be limited to 2 representatives per Offeror and all attendees must register. Registration instructions: If you are interested in attending the Pre-Proposal Conference on May 30, 2013 in Nairobi, Kenya, please send an email to Charles Signer, Contracting Officer, via e-mail at csigner@usaid.gov with a copy to Justine Kibabu, Acquisition and Assistance Specialist, at jkibabu@usaid.gov by close of business May 24, 2013. Include the name of your organization and the name(s) of the person(s) who will attend. USAID will respond with an email confirming registration, details of the location of the meeting, and a confirmation of the date and time. You must have a registration confirmation in order to be guaranteed entrance. Thank you for your interest in working with USAID. Sincerely, /s/ Sunil Xavier Supervisory Contracting Officer
SOLICITATION, OFFER AND AWARD
2. CONTRACT NUMBER 1. THIS CONTRACT IS A RATED ORDER UNDER DPAS (15 CFR 700) 4. TYPE OF SOLICITATION SEALED BID (IFB) RATING 5. DATE ISSUED PAGE OF PAGES
N/A
3 REQ-615-13-000089
161
SOL-615-13-000012
3. SOLICITATION NUMBER
6. REQUISITION/PURCHASE NUMBER
05/15/2013
(If other than Item 7)
X
7. ISSUED BY CODE
NEGOTIATED (RFP) 8. ADDRESS OFFER TO
USAID/East Africa Regional Acquisition and Assistance Office 8900 Nairobi Place Washington D.C., 20521-8900
NOTE: In sealed bid solicitations "offer" and "offeror" mean "bid" and "bidder".
SOLICITATION
9. Sealed offers in original and ___________________ copies for furnishing the supplies or services in the Schedule will be received at the place specified in Item 8, or if handcarried, in the depository located in
05-XX-2013 local time _______________________ (Hour) (Date) CAUTION - LATE Submissions, Modifications, and Withdrawals: See Section L, Provision No. 52.214-7 or 52.215-1. All Offers are subject to all terms and conditions contained in this solicitation.
until 10. FOR INFORMATION CALL: A. NAME B. TELEPHONE (NO COLLECT CALLS) AREA CODE NUMBER EXT. C. E-MAIL ADDRESS
See Section L
1700 hours
Sunil Xavier
+254-20-862-2297
11. TABLE OF CONTENTS
sxavier@usaid.gov See Attached Table of Contents

DESCRIPTION PART II - CONTRACT CLAUSES PAGE(S)
(X)
SEC.
DESCRIPTION PART I - THE SCHEDULE
PAGE(S)
(X)
SEC.
X X X X X X X X
A B C D E F G H
SOLICITATION/CONTRACT FORM SUPPLIES OR SERVICES AND PRICES/COSTS DESCRIPTION/SPECS./WORK STATEMENT PACKAGING AND MARKING INSPECTION AND ACCEPTANCE DELIVERIES OR PERFORMANCE CONTRACT ADMINISTRATION DATA SPECIAL CONTRACT REQUIREMENTS
X X
CONTRACT CLAUSES PART III - LIST OF DOCUMENTS, EXHIBITS AND OTHER ATTACH.
LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS
X X X
K L M
REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS INSTR., CONDS., AND NOTICES TO OFFERORS EVALUATION FACTORS FOR AWARD
OFFER (Must be fully completed by Offeror)

NOTE: Item 12 does not apply if the solicitation includes the provisions at 52.214-16, Minimum Bid Acceptance Period. 12. In compliance with the above, the undersigned agrees, if this offer is accepted within ________ calendar days (60 calendar days unless a different period is inserted by the offeror) from the date for receipt of offers specified above, to furnish any or all items upon which prices are offered at the price set opposite each item, delivered at the designated point(s), within the time specified in the schedule. 13. DISCOUNT FOR PROMPT PAYMENT (See Section I, Clause No. 52-232-8) 14. ACKNOWLEDGEMENT OF AMENDMENTS (The offeror acknowledges receipt of amendments to the SOLICITATION for offerors and related documents numbered and dated: 15A. NAME AND ADDRESS OF OFFEROR CODE FACILITY 16. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN OFFER (Type or print) AMENDMENT NO. DATE AMENDMENT NO. DATE 10 CALENDAR DAYS (%) 20 CALENDAR DAYS (%) 30 CALENDAR DAYS (%) CALENDAR DAYS (%)
15B. TELEPHONE NUMBER AREA CODE NUMBER EXT. 15C. CHECK IF REMITTANCE ADDRESS IS DIFFERENT FROM ABOVE - ENTER SUCH ADDRESS IN SCHEDULE
17. SIGNATURE
18. OFFER DATE
AWARD (To be completed by Government)

19. ACCEPTED AS TO ITEMS NUMBERED 20. AMOUNT 21. ACCOUNTING AND APPROPRIATION
See Section G.9: Accounting and Appropriation Data

22. AUTHORITY FOR USING OTHER THAN FULL AND OPEN COMPETITION: 10 U.S.C. 2304(a) (_ ) 41 U.S.C. 253(c) (_ CODE ) 23. SUBMIT INVOICES TO ADDRESS SHOWN IN (4 copies unless otherwise specified) 25. PAYMENT WILL BE MADE BY ITEM
24. ADMINISTERED BY (If other than Item 7)
The Controller, Regional Financial Management Services USAID/East Africa 8900 Nairobi Place Washington D.C, 20521-8900
27. UNITED STATES OF AMERICA 28. AWARD DATE
CODE
26. NAME OF CONTRACTING OFFICER (Type or print)
Sunil Xavier
IMPORTANT - Award will be made on this Form, or on Standard Form 26, or by other authorized official written notice.
(Signature of Contracting Officer)
STANDARD FORM 33
(REV. 9-97)
[THIS PAGE IS INTENTIONALLY LEFT BLANK]
Solicitation # SOL61513000012 TABLE OF CONTENTS COVER LETTER................................................................................................................. 1 PART I THE SCHEDULE.................................................................................................... 3 SECTION A SF 33 SOLICITATION, OFFER AND AWARD FORM.................................................... 3 Solicitation # SOL61513000012 ......................................................................................................... 9 SECTION B SUPPLIES OR SERVICES AND PRICE/COSTS..........................................................................9 B.1 PURPOSE .......................................................................................................................................... 9 B.2 CONTRACT TYPE............................................................................................................................... 9 B.3 ESTIMATED COST, FIXED FEE AND OBLIGATED AMOUNT..................................................................9 B.4 CONTRACT LINE ITEMS..................................................................................................................... 9 B.5 CONTRACT BUDGET AND CEILINGS.................................................................................................10 B.6 COST REIMBURSABLE...................................................................................................................... 10 B.7 INDIRECT COST............................................................................................................................... 10 B.8 CEILING ON INDIRECT COST RATES AND FINAL REIMBURSEMENT FOR INDIRECT COSTS................11 B.9 SUBCONTRACTORS......................................................................................................................... 11 SECTION C DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK......................................................13 Solicitation # SOL61513000012 ..................................................................................................... 13 C.1 PURPOSE AND SCOPE .................................................................................................................... 13 C.2 PROJECT CONTEXT/BACKGROUND.................................................................................................. 14 C.3 PROJECT MANAGEMENT APPROACH ............................................................................................... 17 C.3.1 USAID/KENYAS INVOLVEMENT IN DECISION-MAKING..................................................................17 C.3.2 AGILE, ADAPTIVE PROGRAMMING................................................................................................18 C.3.3 USAID FORWARD AND LOCAL CAPACITY......................................................................................19 C.3.4 GEOGRAPHIC FOCUS.................................................................................................................... 20 C.4 PROGRAMMATIC LINKAGES............................................................................................................. 21 C.4.1. CROSS-SECTOR FUNDING........................................................................................................... 21 C.4.2 LINKAGES TO OTHER USAID/KENYA PROJECTS.............................................................................23 C.4.3 LINKAGES TO OTHER USAID/KENYA DRG PROJECTS ....................................................................26 C.4.4 LINKAGES TO THE WORK OF OTHER DONORS .............................................................................27 C.5 TECHNICAL APPROACH................................................................................................................... 28 C.5.1 OBJECTIVE #1: TARGETED COUNTIES PROVIDE HIGHER QUALITY SERVICES THROUGH IMPROVED GOVERNANCE........................................................................................................................................ 29 C.5.2 OBJECTIVE #2: IMPROVED REPRESENTATION OF CITIZEN INTERESTS AND OVERSIGHT OF TARGETED COUNTY GOVERNMENT PERFORMANCE...............................................................................42 C.5.3 OBJECTIVE #3: FUNCTIONALITY AND EFFECTIVENESS OF THE DEVOLVED SYSTEM INCREASED THROUGH IMPROVED INTRA-GOVERNMENT ENGAGEMENT AND COOPERATION....................................49 C.5.4 Program Modifier/Rapid Response Mechanism (USD$ 5,000,000)................................................54 C.6 RISKS/ASSUMPTIONS/CONSTRAINTS .............................................................................................. 55 C.7 MONITORING, EVALUATION, REPORTING, LEARNING AND ADAPTING.............................................55 C.7.1 IMPACT EVALUATION .................................................................................................................. 57 C.8 GRANTS UNDER CONTRACT ........................................................................................................... 58 SECTION D PACKAGING AND MARKING................................................................................................ 60 D.1 AIDAR 752.7009 MARKING (JAN 1993)............................................................................................ 60 D.2 BRANDING POLICY AND STRATEGY................................................................................................. 60 D.3 APPROVAL OF CONTRACTOR BRANDING IMPLEMENTATION AND MARKING PLAN...........................61 SECTION E INSPECTION AND ACCEPTANCE.......................................................................................... 62 Solicitation # SOL61513000012 ..................................................................................................... 62 E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE..........................................62 E.2 INSPECTION AND ACCEPTANCE....................................................................................................... 62 E.3 MONITORING AND EVALUATION PLAN ............................................................................................62 SECTION F DELIVERIES OR PERFORMANCE.......................................................................................... 63 Solicitation # SOL61513000012 ..................................................................................................... 64 F.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE..........................................63 F.2 PERIOD OF PERFORMANCE.............................................................................................................. 63 F.3 PLACE OF PERFORMANCE................................................................................................................ 63 F.3 PERFORMANCE STANDARDS........................................................................................................... 63
Solicitation # SOL61513000012 F.5 KEY PERSONNEL............................................................................................................................... 64 F.6 MANAGEMENT OF CONTRACT........................................................................................................... 66 F.7 REPORTS AND OTHER DELIVERABLES.............................................................................................66 F.8 REPORTING FORMAT....................................................................................................................... 73 F.9 LANGUAGE OF REPORTS AND OTHER OUTPUTS..............................................................................74 F.10 EVALUATIONS................................................................................................................................ 74 F.11 QUARTERLY AND ANNUAL PERFORMANCE REPORTING................................................................74 SECTION G CONTRACT ADMINISTRATION DATA...................................................................................75 Solicitation # SOL61513000012 ..................................................................................................... 75 G.1 ADMINISTRATIVE CONTRACTING OFFICE........................................................................................75 G.2 CONTRACTING OFFICER AND TECHNICAL DIRECTION AND DESIGNATION OF RESPONSIBLE USAID OFFICIALS............................................................................................................................................... 75 G.3 CONTRACTING OFFICERS REPRESENTATIVE..................................................................................75 G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID.....................................................................75 G.5 ACCEPTANCE AND APPROVAL......................................................................................................... 77 G.6 PAYING OFFICE............................................................................................................................... 77 G.7 CONTRACTOR PAYMENT ADDRESS.................................................................................................78 G.8 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)......................................................78 G.9 ACCOUNTING AND APPROPRIATION DATA......................................................................................79 G.10 CONTRACTORS PRIMARY POINT OF CONTACT..............................................................................79 SECTION H SPECIAL CONTRACT REQUIREMENTS.................................................................................80 Solicitation # SOL61513000012 ...................................................................................................... 80 H.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE...........................................80 H.2 AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012)(CLASS DEVIATION NO. OAA-DEV-12-01C)................................................................................................................................... 80 H.3 GOVERNMENT OF KENYA LABOR MARKET POLICY...........................................................................81 H.4 PERSONNEL REQUIREMENTS........................................................................................................... 81 H.5 AIDAR 752.7007 PERSONNEL COMPENSATION (JULY 2007).............................................................82 H.6 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION....................................................82 H.7 752.23171 SALARY SUPPLEMENTS FOR HG EMPLOYEES (OCT 1998).............................................84 H.8 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JULY 2007)............................84 H.9 HOMELAND SECURITY PRESIDENTIAL DIRECTIVE -12.......................................................................85 H.10 AIDAR 722.170 EMPLOYMENT OF THIRD COUNTRY NATIONALS (TCNS) AND COOPERATING COUNTRY NATIONALS (CCNS)....................................................................................................... 86 H.11 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997)...............................................87 H.12. AIDAR 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS (JAN 2004) 87 H.13 INSURANCE AND SERVICES............................................................................................................ 89 H.14 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JULY 2007) .............................90 H.15 AUTHORIZED GEOGRAPHIC CODE.................................................................................................. 90 H.16 LANGUAGE REQUIREMENTS........................................................................................................... 91 H.17 CONTRACTORS STAFF SUPPORT AND ADMINISTRATIVE AND LOGISTICAL ARRANGEMENTS.........91 H.18 AUTHORIZED WORK DAY/WEEK..................................................................................................... 91 H.19 AIDAR 752.7025 APPROVALS (APR 1984).....................................................................................91 H.20 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS (JAN 1990) 91 H.21 BUSINESS CLASS TRAVEL.............................................................................................................. 92 H.22 CONTRACTORS USE OF PROJECT VEHICLES AND LIABILITY INSURANCE REQUIREMENTS FOR PRIVATELY OWNED VEHICLES................................................................................................................ 92 H.23 GOVERNMENT FURNISHED FACILITIES OR PROPERTY...................................................................92 H.24 AIDAR 752.24571 TITLE TO AND CARE OF PROPERTY (APR 1984)...............................................92 H.25 APPROVALS FOR NONEXPENDABLE PROPERTY PURCHASES.........................................................93 H.26 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JAN 2002)...............93 H.27 VALUE ADDED TAX (VAT) AND CUSTOM DUTIES...........................................................................94 H.28 REPORTING ON FOREIGN TAXES (JULY 2007)................................................................................94 H.29 CONFLICTS OF INTEREST............................................................................................................. 95
Solicitation # SOL61513000012 H.30 AIDAR 752.7034 ACKNOWLEDGMENT AND DISCLAIMER (DEC 1991) ............................................96 H.31 EXECUTIVE ORDER ON TERRORISM FINANCING ............................................................................97 H.32 SECURITY CONDITIONS................................................................................................................. 97 H.33 SECURITY REPORTING................................................................................................................... 97 H.34 LIFE SUPPORT AND SECURITY SERVICES.......................................................................................98 H.35 USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004).........................................................98 H.36 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008)...........................98 H.37 ORGANIZATIONAL CONFLICT OF INTEREST....................................................................................99 H.38 ENVIRONMENTAL COMPLIANCE ..................................................................................................... 99 H.39 NONDISCRIMINATION (JUN 2012).................................................................................................. 99 H.40 DISCLOSURE OF INFORMATION.................................................................................................... 100 H.41 REQUESTS FOR CONSENT TO SUBCONTRACT.............................................................................100 H.42 AIDAR 752.22714 RIGHTS IN DATA GENERAL (OCT 2007).......................................................101 H.43 TRANSITION OF KNOWLEDGE, SKILLS AND ABILITIES.................................................................101 H.44 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973 AND FEDERAL ACQUISITION CIRCULAR (FAC) 97-27 "ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY101 H.45 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY RESOURCES........102 H.46 SUBCONTRACTING PLAN AND THE SF 294 SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS AND SF 295 SUMMARY CONTRACTING REPORT.............................................................102 H.47 PUBLICATIONS AND MEDIA RELEASES (JAN 2004).......................................................................103 H.48 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS...............................................................104 H.49 PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR ADVOCATE THE LEGALIZATION OR PRACTICE OF PROSTITUTION TIP ACQUISITION (MAY 2007).................................104 H.50 GENDER CONSIDERATION............................................................................................................ 105 H.51 STANDARDS OF CONDUCT -- IMPROPER BUSINESS PRACTICES..................................................105 H.52 SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT (FEB 2006)....................................106 H.53 752.219-70 USAID MENTOR- PROTG PROGRAM (JUL 2007)......................................................106 H.54 PRESS RELATIONS....................................................................................................................... 106 PART II CONTRACT CLAUSES.............................................................................................................. 108 SECTION I CONTRACT CLAUSES......................................................................................................... 108 I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE.........................................108 I.2 52.2522 CLAUSES INCORPORATED BY REFERENCE (FEB 1998)....................................................112 I.3 52.22723 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987)..................................................112 I.4 52.204-1 APPROVAL OF CONTRACT (DEC 1989)..............................................................................112 I.5 52.20313 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (APR 2010)........................112 I.6 52.2099 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB 2012)........................................................................................................................................... 116 I.7 52.232-99 PROVIDING ACCELARATED PAYMENT TO SMALL BUSINESS - SUBCONTRACTORS (DEVIATION) (AUG 2012)...................................................................................................................... 117 I.8 52.232-22 LIMITATION OF FUNDS.................................................................................................... 117 PART III LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS..............................................120 SECTION J LIST OF DOCUMENTS EXHIBITS AND OTHER ATTACHMENTS.............................................120 PART III REPRESENTATIONS AND INSTRUCTIONS...............................................................................121 SECTION K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS OR RESPONDENTS..................................................................................................................................... 121 SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS............................................127 L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE................................127 L.2 52.2151 INSTRUCTIONS TO OFFERORSCOMPETITIVE ACQUISITION (JAN 2004)...........................127 L.3 52.2332 SERVICE OF PROTEST (SEP 2006)...................................................................................131 L.4 GOVERNMENT OBLIGATION........................................................................................................... 132 L.5 INSTRUCTIONS TO OFFERORS....................................................................................................... 132 L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL.........................................133 L.7 COST PROPOSALS.......................................................................................................................... 139 L.9 OFFER VALIDITY............................................................................................................................. 144 L.10 INSTRUCTIONS FOR THE PREPARATION OF BRANDING IMPLEMENTATION AND MARKING PLANS 144 SECTION M EVALUATION FACTORS FOR AWARD...............................................................................147
Solicitation # SOL61513000012 M.1 GENERAL INFORMATION............................................................................................................... 147 M.2 EVALUATION FACTORS ................................................................................................................ 147 M.3 TECHNICAL PROPOSAL EVALUATION CRITERIA..............................................................................148 M.4 COST PROPOSAL EVALUATION...................................................................................................... 150 M.5 SOURCE SELECTION..................................................................................................................... 151 M.6 DETERMINATION OF THE COMPETITIVE RANGE............................................................................151 M.7 AWARD......................................................................................................................................... 152 ATTACHMENTS..................................................................................................................................... 153
Solicitation # SOL61513000012
PART I THE SCHEDULE SECTION B SUPPLIES OR SERVICES AND PRICE/COSTS B.1 PURPOSE
The proposed AHADI (Agile and Harmonized Assistance for Devolved Institutions) project will help make it possible for Kenyas devolution process to uphold its promise, instead of further inflaming longstanding issues within the country. AHADI, which means promise in Kiswahili, will strengthen the governance systems of Counties making them more competent, transparent, accountable and inclusive in their governance and service delivery. It will also build the capacity of civil society to more effectively represent citizen interests and aspirations to County governments. Finally, the project will support the development of institutions and structures that will help Counties cooperate and advance their interests with the National government. B.2 CONTRACT TYPE
The U.S. Government contemplates award of a Cost-Plus-Fixed-Fee (CPFF) completion type contract resulting from this solicitation. The Statement of Work (SOW) for this contract is laid out in Section C of this document. Offerors are expected to design and propose a program that will meet the requirements therein. The period of performance for this CPFF contract is five years. For the consideration set forth below, the Contractor shall achieve the performance objectives and deliverables or outputs described in Sections, C, D and F and otherwise comply with all contract requirements. B.3 ESTIMATED COST, FIXED FEE AND OBLIGATED AMOUNT
(a) The Total Estimated Cost for a period of five year is $______________. The Fixed Fee (if any) is $____________. The Total Estimated Cost plus Fixed Fee (if any) is $____________. (b) Within the estimated cost plus fixed fee (if any) specified in paragraph (a) above, the amount currently obligated and available for reimbursement of allowable costs incurred by the Contractor (and payment of fee, if any) for performance of the contract period hereunder is $_________________. The Contractor shall not exceed the aforesaid obligated amount unless authorized by the Contracting Officer pursuant to the clause of this contract entitled Limitation of Funds (FAR 52.23222). See Section I of this contract. (c) Funds obligated hereunder are anticipated to be sufficient through ________________. (d). Because the clauses entitled "Allowable Cost and Payment" (FAR 52.216-7) and "Fixed Fee" (FAR 52.216-8)are incorporated into this contract, the terms and conditions of these clauses apply after total payments of fixed fee reach eighty-five percent (85%) of the total fixed fee. B.4 CONTRACT LINE ITEMS Totals
Contract Line Item Numbers (CLINs)
CLIN 0001 CLIN 0002 CLIN 0003 CLIN 0004 NOTES:
Program Implementation TBD Program Modifier Fixed Fee Grants under Contract $5,000,000 TBD TBD
Contract Line item Number CLIN 0001, CLIN 0002, CLIN 0003, and CLIN 0004 are the prime Contractors estimated direct and indirect cost for project management performance plus fees. Grants under Contract CLIN 0004 will not include fees. Payment for these CLINs shall be handled on an actual cost reimbursement, plus fees payment basis. The Ceiling Price is the total of all CLINs and represents the total maximum value of the contract. This contract does not cover (and will not reimburse) host country taxes, customs liens and other fees pursuant to the USAID/Kenya agreement. B.5 CONTRACT BUDGET AND CEILINGS
(a) The contract budget found in the Section B.4 contract line items is based on the contractors original proposal and/or final proposal revision, which was accepted by USAID through award of this contract. (b) Without the prior written approval of the Contracting Officer, the contractor may not exceed the total estimated cost set forth in the budget or the obligated amount. B.6 COST REIMBURSABLE
The U.S. dollar costs allowable shall be limited to necessary reasonable, allowable and allocable costs determined in accordance with FAR 31 (Contract Cost Principles), OMB A21 (Cost Principles for Educational Institutions), 2 CFR 230 (Cost Principles for NonProfit Organizations), FAR 52.2167 (Allowable Cost and Payment), Allowable Cost and Payment (DEC 2002),FAR 52.2168 (Fixed Fee), if applicable, and AIDAR 752.7003 (Documentation for Payment), in order to be reimbursable under this contract. B.7 INDIRECT COST
The contract clause entitled FAR 52.2167, Allowable Cost and Payment (JUN 2011), specifies that the indirect cost rates shall be established for each of the contractors accounting periods that apply to this contract. Pending establishment of revised provisional or final indirect cost rates, allowable indirect costs shall be reimbursed on the basis of the following negotiated provisional or predetermined rates and the appropriate bases: Description TBD TBD 1/Base of Application: Type of Rate: Period: Source: 2/Base of Application: Rate TBD TBD Base 1/ 2/ Type 1/ 2/ Period 1/ 2/
Type of Rate: Period: Source: [To be determined] Note: The Contractor is allowed to recover applicable indirect costs (i.e., overhead, G&A, etc.) on other direct costs (ODCs), if it is part of the Contractors usual accounting procedures, consistent with FAR Part 31, and Negotiated Indirect Cost Rate Agreement (NICRA). Indirect costs shall not be allowed for local organizations. All costs for local organizations shall be budgeted and billed as direct costs. B.8 CEILING ON INDIRECT COST RATES AND FINAL REIMBURSEMENT FOR INDIRECT COSTS
(a) Reimbursement for allowable indirect costs shall be at final negotiated rates but not in excess of the following ceiling rates: Description TBD TBD Rate TBD TBD Base 1/ 2/ [To be completed by the Offeror] (b) The contractor shall make no changes in its established method of classifying or allocating indirect costs without the prior written approval of the Contracting Officer. (c) USAID is not obligated to pay any additional amount on account of indirect costs above the ceiling rates established in the contract. (d) This understanding will not change any monetary ceiling, obligation or cost limitation established in the contract. B.9 SUBCONTRACTORS Type 1/ 2/ Period 1/ 2/
Pursuant to FAR Clause 52.244-4, the following subcontractors were identified and agreed to during negotiations to provide the services covered by this contract. TBD B. 10 MULTI-YEAR CONTRACT CLIN 001, 002, and 003 are considered non-severable, and is therefore a multi-year contract as defined in FAR 17.103. Therefore, this contract is subject to the requirements of FAR 17.106. Cancellation Dates: Contract Year 2: September Contract Year 3: September Contract Year 4: September Contract Year 5: September Cancellation Ceiling:
1, 1, 1, 1,
2014 2015 2016 2017
This is a CPFF type contract where the contractor is authorized to be reimbursed for all costs which are allowable in accordance with FAR 52.216-7, Allowable Costs and Payment. Therefore, the contractor will not incur any costs which would have been amortized over the life of the contract should the contract be cancelled in accordance with FAR 52.217-2. Therefore, the cancellation ceiling for each cancellation date is [negotiated amount].
B.11 PAYMENT OF FIXED FEE The Contractors fixed fee is tied to the accomplishment of the deliverables outlined in Section F. Upon successful achievement of the deliverable, the Contractor shall provide evidence of the achievement to the Contracting Officers Representative and the Contracting Officer. Upon acceptance by USAID and receipt of approval from the Contracting Officer, the Contractor shall submit an invoice for the amount of the fee associated with the deliverable.
[To be completed at Award] END OF SECTION B
SECTION C DESCRIPTION/SPECIFICATIONS/STATEMENT OF WORK C.1 PURPOSE AND SCOPE With the adoption of the 2010 Constitution, Kenya has set itself inexorably on a path towards devolution. While many questions remain as to the extent and quality of that process, devolution is expected to move forward following the March 2013 elections with 47 Counties formed, led by newly elected officials wielding new powers that will have to navigate an uncharted course in governance and service delivery. Yet there is great concern that the country has not adequately prepared for this transition. And, without the proper strategies, capacities, resources, and structures in place, devolution will not succeed as hoped. The lesson of decentralization from around the world is that it can be successful in creating more responsive, open, and pluralistic government. But it also runs the risk of systemic failure that further exacerbates the problems that it was intended to alleviate often leading to a frustrated populace and a re-centralization of power. This is nowhere more true than in the Kenyan context. While devolution holds the promise of potentially alleviating conflict, delivering more responsive services, and empowering citizens, it could just as easily exacerbate ethnic tension, worsen service delivery, and reinforce corruption and unaccountable governance. In addition to completely remaking Kenyas governance structure, devolution will impact every facet of life in Kenya and every service delivered by the Government of Kenya (GOK). Consequently, it will affect every sector that USAID/Kenya engages in, including democracy and governance, health, agriculture and natural resources, economic growth, opportunities for youth engagement, and eventually education. It is arguably the single most significant governance process that Kenya faces over the next decade. Improving democracy and governance systems within a County contributes significantly to the legitimacy of local governments and their ability to provide improved services across multiple sectors, thus better meeting citizen needs, and forging a stronger link between citizens and their government. The purpose of the AHADI project is to help Kenya achieve the promise of devolution: a governance system that is more transparent, accountable, effective in service delivery, and responsive to empowered citizens. While at the same time, the project seeks to help Kenya minimize the potential dangers of devolution: diffusion of corruption, increased marginalization, exacerbated conflict, and disruptions in service delivery. Activities to support successful devolution fall squarely within one of USAIDs Core Development Objectives: Expand and sustain the ranks of stable, prosperous, and democratic states: supporting the next generation of democratic transitions, as detailed in the USAID Policy Framework 20112015. There are three objectives under AHADI that are further elaborated below: Objective #1: Targeted Counties provide higher quality services through improved governance. Objective #2: Improved representation of citizen interests and oversight of targeted County government performance.
Objective #3: Functionality and effectiveness of the devolved system increased through improved intragovernment engagement and cooperation.
The Contractor shall improve targeted County governance by making sure that it is more informed, capable, transparent, accountable and open to the participation of its citizens especially historically marginalized groups. The Contractor shall also assist Counties to work more effectively with each other and the National government to ease the transition process, jointly manage services, learn from each others efforts, and give County concerns a platform at the National level. At the same time, the Contractor shall support civil society to mobilize citizens to action, as well as to engage with County governments to effectively represent citizen interests and hold those governments to account. Thus, the Contractor shall work on both the supply side of good governance through support to targeted Counties, and the demand side through support to civil society. It is at this intersection of supply and demand where Counties have the tools and capacity to govern well and provide quality services, and citizens are able to incentivize good governance and quality service by effectively monitoring it and advocating for it that AHADI will achieve results that enhance citizens lives, address long-standing development challenges, and help fulfill the promise of devolution. This proposed 5 year activity is expected to commence in the fourth quarter of Fiscal Year 2013. The Contractor shall work both at the National level benefiting the governance of all Counties to an extent and at the County level, where it shall concentrate on improving governance in 15-20 targeted Counties. In line with USAID Forward objectives, it shall be implemented to strengthen the capacity of local organizations to incrementally take over project leadership. It shall also maximize cross-sector programming opportunities to enhance developmental impact and make use of a diversity of funding sources to affect both general governance and sector-specific issues including health, agriculture and natural resources, education and youth. Multi-sector programming is complex and shall require close interaction across USAID technical teams at the Mission and with the implementing partner(s). This type of activity shall also require the Contractor to have strong financial management tracking systems and strong monitoring and evaluation systems so that each dollar invested can be traced to its impact in the respective sector at county level (i.e. health, agriculture and natural resources, education and youth, and democracy, rights and governance). C.2 PROJECT CONTEXT/BACKGROUND
Kenyan governance has historically been plagued by the twin challenges of a lack of inclusion and accountability. Most elections in the countrys history have not been free and fair, and leaders have often been more interested in perpetuating their own rule and capturing government resources than in serving the populace and being responsive to its needs. When elections were held, they were seen as winner take all affairs an outlook that dramatically raised the stakes (often leading to violence) and led to the winning group seeing it as their turn to eat (as the Kenyan phrase goes; or in other words, taking advantage of the victory spoils to the detriment of the losing group). Devolution was intended to address inclusion by creating more opportunities for different groups to win at the County level (even if they lose at the National level). It was intended to address issues of accountability by giving people electoral power over local politicians the decision-makers theoretically closest to the grassroots and most responsible for meeting citizen needs. However, while there are indeed opportunities for devolution to address these historic challenges, there are many potential pitfalls along the way that can undermine the intentions of reform. Those concerns are described below, and the Contractor shall ensure the AHADI project addresses those
concerns, and therefore increases the likelihood that devolution will fulfill its promise. RESPONSIBILITY FOR SERVICES Though the Constitution gives a broad framework dividing responsibility between the National government and the Counties, there are still many questions regarding the details of who does what, how that is decided, when the transfer takes place, and how effectively services will be delivered when the transfer is complete. Ministries will have to work closely with the Transition Authority (TA) to divide responsibilities clearly and to transfer them to the Counties at a reasonable pace. Kenyas devolution process could fail if it precedes either too slowly or too rapidly. For example, the former could mean the central government dragging its feet on the transfer of power, while the latter could occur through delegation of responsibility before capacity is in place. In addition, hopes amongst the Kenyan populace for devolution are extremely high and rapid improvements are expected. However, given the very real possibility that service delivery will decline for a period as Counties learn how to manage their new responsibilities, those expectations will have to be managed carefully as concurrent efforts are made to rapidly ramp up service delivery. A final challenge is the possibility of the National Government seeking to keep intact the Provincial Administration to maintain executive power at the local level. These efforts could result in a parallel system to County government that would require Counties to coordinate closely with the perpetuated Provincial Administration to avoid duplication and conflict over responsibility. COUNTY CAPACITY It will be important for Counties to develop capacity of both high-level decision-makers and on-the-ground staff so that they will be prepared to take on their new responsibilities. However, there are many questions left unanswered as to which civil servants will be transferred to Counties and how long they will be retained there. Additional concerns are that the hiring process will be based on cronyism instead of merit, and that remote Counties will not be able to attract sufficient talent. Though the TA is tasked with building up the capacity of Counties, it is unclear if it will have sufficient resources to do so in a timely manner. Moreover, at the highest levels of the Counties, there will be numerous elected and appointed leaders who have never held office and will not arrive with the knowledge they need to effectively lead the County. Given the requirement that no more than 2/3 of all elected and appointed bodies be represented by a single gender, many of the new leaders that need additional capacity will be women who may not have had the opportunities their male colleagues have had to develop their leadership capacity. FUNDING One of the biggest potential pitfalls with devolution is the possibility that there wont be sufficient funding provided/created at the County level to pay for all of the services devolved. County financial requirements will likely not be fully met by the planned National revenue transfers to the Counties (a minimum of 15% of National revenues, according to the Constitution). Many of the poorest Counties will be challenged to raise their own revenues through taxes and fees that do not put an undue burden on their constituents (e.g., through high health service fees, property taxes, etc.) This potential gap between County revenues and responsibilities could have a dramatic negative impact on service delivery across sectors, and create a further disincentive against Counties taking ownership of services (especially health services) that are heavily supported by outside donors. It is also not clear if the entire process is affordable for the country as a whole without taking on untenable levels of debt at the National and County levels.
CORRUPTION AND ACCOUNTABILITY While devolution is intended to bring government closer to citizens, and hence make it more transparent and accountable, it also provides new entry points and opportunities for corruption, and could easily replicate old National patterns of obfuscation, unresponsiveness and unaccountability at the local level. The recent discovery of large oil resources in Kenya could potentially result in even greater corruption issues with regards to land and extractive industries transparency. Ensuring that County governments are open and engaged with citizenry will be an enormous challenge going forward. While the new Constitution and legislation include principles of transparency and inclusive governance, there are few if any specific mechanisms described therein to guarantee it. And while the Public Financial Management (PFM) Law largely seems to balance National policy with local control while creating a degree of accountability, it will still require diligent application by the Counties. Much will need to be done to assist Counties to set up the structures and opportunities that give life to these overall principles, and that will allow for an engaged citizenry that can participate in governance and hold representatives to account. Without this transparency and accountability, the entire purpose of devolution will be undermined, and funding for needed services will be lost to corruption. MARGINALIZED ETHNIC GROUPS Devolution will help to address the National-level winner take all problem by creating more opportunities for different ethnic groups to achieve power at the County level. However, in so doing, it will also create new minorities within County borders that could potentially fall victim to a replication of the National our turn to eat mentality. More than half of Kenyas 47 Counties will have a sizeable ethnic minority who are likely to be under-represented at the County level. It is easy to imagine a scenario where a minority is shut out of equitable services either through capture by the majority or simple neglect. Though the new Constitution and subsequent legislation enshrines protections for marginalized groups and supports their inclusion, these documents are short on details for how this will happen, which could lead to County governments either ignoring those principles or falling back on tokenism without actually addressing minority concerns. Two examples in the legislation help to illustrate this. First, though County officials are elected, all officials below that level are appointed. These appointed positions could quite easily be abused by those in power appointing managers that are not responsive to the needs of minorities in the areas they oversee, and thus further marginalizing those who are already disenfranchised. Another example lies in the fact that six representatives of marginalized groups will be appointed to the County assembly, but the legislation is silent on how those seats will be equitably divided, or how the appointees will be chosen. A single group could be rewarded for supporting the majority while another is shut out completely, or the majority could appoint safe minority representatives that they know will not actively stand up for the groups they are meant to represent. GOVERNMENT COMMITMENT National administrative commitment to devolution could change dramatically over time based on elections and/or the changing priorities of those in power. Moreover, it is likely that commitment to devolution will vary within an administration depending on the Ministry or other body in question. In addition to elected and appointed officials in the executive, legislators will also have considerable say over the extent, pace, and implementation of decentralization. At the County level, newly elected local politicians may be willing to engage with their constituents, civil society, and donor-funded projects in a way that enhances their
Countys transparency and accountability. However, some County leaders may turn aside such efforts. This variability among Counties will provide both a challenge and opportunity for meaningful engagement. It also provides a brand-new prospect for demonstrating differing outcomes between Counties that embrace participatory governance and those that reject it. CIVIL SOCIETY In many Counties, especially those further from major population centers, civil society is disjointed, underdeveloped and lacks sustainability, institutional capacity and the skills required to carry out its advocacy and watchdog roles. In many cases, Civil Society Organizations (CSOs) lack a true constituency of supporters that would give weight and grassroots validity to their advocacy, and they often do not work effectively with citizens to help them engage in the governance process. This can lead to a passive and apathetic citizenry that has high hopes for the success of devolution, but that does not fully realize that success is predicated on greater citizen involvement. LAND AND BOUNDARIES Land issues are among the most contentious faced by Kenya, and although the new Constitution, the subsequent laws that have been passed, and the coming County structure offer some opportunities for grappling with these long standing land issues, there are also numerous challenges ahead. First there is the possibility that without proper oversight, elites will continue the historic practice of capture of public lands at the County level; or put in place policies that allow their constituents to benefit from resources to the exclusion of marginalized groups further exacerbating existing tensions. The legal framework on land is also less than clear on National versus County responsibility. Recent legislation has called for the establishment of a National Registrar, County Registrars, a National Land Commission, County-level offices of the National Land Commission, County Land Boards, and Community Land Boards while failing to clearly delineate who has responsibility for what. Confusion over these structures can lead to mismanagement and conflict. There is also potential for conflict as sub-County boundaries are drawn. Groups may find themselves marginalized within wards or constituencies that are dominated by other ethnicities, and may protest vociferously. C.3 PROJECT MANAGEMENT APPROACH
C.3.1 USAID/KENYAS INVOLVEMENT IN DECISION-MAKING This USAID/Kenya project is an integral element of the US Governments assistance in Kenya. USAID/Kenya and the AHADI Contractor shall work in close consultation throughout the implementation of the project. USAID/Kenya and the Contractor shall function as an integrated, operational team with shared program vision and equal commitment to success of the program. Generally, the Contractor is responsible for implementation of the program strategy (and recommending changes in that strategy) as approved by USAID/Kenya to achieve the desired impact. The Contractor shall bring to bear its best corporate capacities and strengths, through its field and headquarters staff (as well as that of its partners), to effectively design and implement program activities towards achieving the programs objectives as well as contribute to the on-going development of responsive, informed program direction. Based upon continuing context analysis, USAID/Kenya, through the assigned Contracting Officers Representative (COR), is responsible for identifying changes in overall program strategy and programmatic focus. The COR will consult with the Contractor and Contractor
staff on a day-to-day basis, share analysis and communicate program strategy to the program team. Under the direction of the CO, the COR will provide technical direction for any changes in the types and/or range of organizations and grantees to be supported or funded, as well as any proposed changes to the geographic or issue-specific focus areas of assistance. If necessary, the COR will be responsible for invoking CLIN 0002 with the approval of the Contracting Officer. While the COR has primary responsibility for on-going strategic, political context analysis, this strategic analysis is also directly informed by the local analysis of Contractor staff and the evaluation of recent activities. This operational approach affords maximum flexibility a definitive asset in such a fluid environment, but also requires very close communication, cooperation and coordination between USAID/Kenya and the Contractor. Such an integrated, collaborative approach is essential for managing the stress of rapid implementation of a complex and politically delicate program in a fluid environment while maintaining programmatic adaptability. C.3.2 AGILE, ADAPTIVE PROGRAMMING The Contractor shall respond quickly to changing realities and priorities. As elaborated throughout this solicitation, this shall require the Contractor to adapt to changes in the project and operating environment that include: The relative strengths and expressed preferences of NGO partners, The relative strengths and demonstrated commitment of County governments, Complimentary projects (whether they are USG or funded by other donors), Shifts in USG priorities for project activities and geographic focus based on funding sources or other requirements, and Shifts in the operating environment that affects the identified risks/assumptions of the project.
The tasks and activities described below in section C.5 are extensive, but not exhaustive. With the approval of USAID/Kenya, the Contractor will have the flexibility to focus on different activities for differing Counties within the parameters of the SOW. No matter which activities are chosen for a particular context, Objectives 1 and 2 shall be met for each County. A flexible approach that allows the Contractor to adapt and respond to the work of other donors, USG entities, CSOs and County governments shall be required. The Contractor shall work with USAID to put mechanisms in place to gauge which activities are relevant in which context, and how they should be sequenced. (For example, work with the TA and the baseline study will obviously come early in the project, while assisting Counties to raise revenues may come later.) In responding to the Statement of Work, the Contractor shall propose the full palate of activities and achievable results that it feels will be necessary to meet the objectives described, and budget accordingly for each activity. After completion of the baseline study and MOUs described in Task #1.1, the Contractor shall then refine this workplan to match the new understanding of what results can be achieved, as
well as further detail interventions proposed at the National level and for each County. This revised plan shall be presented to USAID for discussion and approval. Then, throughout the implementation of AHADI, the Contractor shall periodically participate in and/or facilitate in-country Strategy Review Sessions. The purpose of these sessions is to provide a collective platform for sharing information on overall progress with regards to devolution, updating the projects situation or problem analysis, and determining how best to adapt to evolving local dynamics and new knowledge gained from real-time monitoring and evaluation. The participants, nature, structure, location and frequency of these periodic sessions will depend on the context, the needs of the project and the staff at the time (to be established by mutual agreement between the AHADI COR and the Contractor). The appropriate emphasis among learning, coordinating, planning and adapting will be determined in advance in consultation with the COR. In general, these shall be no more than quarterly and no less than annual events, and shall take place at both the National-level and, periodically, at the County-level as well. A likely schedule would include County sessions in the first half of the year to evaluate County-level strategies, and a National session in the second half of the year to evaluate the overall project strategy. As feasible and relevant, these sessions shall include representatives from partner CSOs and Counties that can provide local perspectives, as well as representatives from projects funded by other USAID/Kenya offices and donors to enhance cross-sector learning and coordination. Contractor field staff shall be available to participate in all sessions, which may include presentations and facilitation based on a collaborative agenda design process. The Contractor may also be asked to provide logistical support as necessary. This may include: finding and booking location; paying for travel, lodging, meals, and transportation of non-USG staff; note-taking; and equipment provision. During relevant sessions, the Contractor shall recommend changes in project emphasis for discussion (as identified through research, analysis, ongoing monitoring and evaluation, and project implementation). The COR will consider these recommendations, identify other changes for discussion, and provide guidance on program emphasis going forward. Outcomes of these sessions shall be documented by the Contractor through a brief summary report outlining proceedings/agenda, proposed adaptations, conclusions or outcomes and future action items. Any adaptations and refinements proposed through these ongoing interactions with the COR must be within the approved SOW and budget, or approved via the invocation of the CLIN 0002 Program Modifier/Rapid Response Mechanism. In cases where changes cannot be covered by the existing scope or through the program modifier, prior CO approval will be necessary to approve those changes. C.3.3 USAID FORWARD AND LOCAL CAPACITY This effort shall capitalize on strategies articulated in the USAID Forward reform effort seeking to encourage and catalyze innovative approaches while building the capacity of local organizations. The prime Contractor for AHADI shall develop the capacity of the SubContractors and Grantees so that the Sub-Recipients shall be eligible to receive a direct award from USAID or other donors in the future. While most local organizations shall have a traditionally Sub-Contractor or Grantee relationship with the prime Contractor, the Contractor shall identify a minimum of one local organization that shall be able to take on additional project management responsibilities in essence to become a local prime. The Contractor may wish to identify its potential local partner(s) in its proposal; however that is not a requirement. And the Contractor shall ensure
that it is not picking winners in advance of project implementation that will demonstrate actual capacity and commitment of its local partner(s). The Contractor shall provide opportunities and incentive structures that place the onus on the local partner(s) to truly commit to changes that shall allow them to grow into their leadership role. It is understood that partners may be identified and added over the life of the project, and that some who were identified early on may drop out if they have not demonstrated sufficient commitment or progress. However, it is expected that the prime Contractor shall ensure that at least one local partner emerges in a primary leadership/management role during the life of the project. The local partner(s) shall increasingly have authority over functions such as Grants under Contract management, financial management, capacity building of other recipients, project planning, donor coordination and communication, etc. While the prime Contractor shall take the lead on the project at the start, it shall build the capacity of local partners that selfidentify as wanting to take on more funding and management responsibility. The prime shall put in place a capacity building plan and incentive structure that shall guide these organizations to increase their capacity in the necessary areas. As the project progresses and as the local organizations meet benchmarks demonstrating their readiness, the balance of funding and activity shall shift from the prime to the local partner(s). By the midpoint of the project, the responsibilities and budgets for the prime and local partner(s) shall be shared equally. In the latter stages of the project, the local partner(s) shall take over the lead role with the prime Contractor simply passing-through the bulk of funding and providing a reduced amount of technical support. Budgets shall closely track the changes in relative responsibility between the partners. It is estimated that the prime Contractor shall be funded at a higher level in the first year, declining in the final years of the project, while the budget passed through the prime Contractor to the co-managing local organization(s) shall increase over time. Given this arrangement, the Contractor shall ensure that a minimum of 60% of funding is provided to local organizations (either through management subcontracts or Grants under Contract). Further details on USAID/Kenya expectations for partnering with local organizations is described below in section L.7. C.3.4 GEOGRAPHIC FOCUS There shall be instances where the Contractor shall provide opportunities for participation in the project to all Counties (e.g. a National-level training for head County auditors, support to associations of County sector experts, providing technical input into national standards and policies, etc.). However, given its limited resources, the Contractor shall be selective, and focus the majority of its efforts on strengthening key targeted Counties. The initial baseline study described under Task #1.1 below may help inform the choice of Counties for project focus, which shall include but not be limited to the following considerations in approximate order of descending importance: The potential to maximize synergy (while minimizing redundancy) with other existing efforts funded by the USG and other donors. (E.g., Feed the Future is targeting areas with dense populations, areas with high poverty and malnourishment, as well as semiarid areas. USAID/Kenyas Education and Youth Office (EDY) is targeting conflictchallenged areas such as the Coast Province, Northeastern Province and the poverty stricken areas in Nairobi. USAID/Kenyas Democracy Rights and Governance office (DRG) has a strong historical presence on the Coast, in the Rift and in Nairobis informal settlements. The European Union is targeting Kilifi, Makueni, Kisumu, Uasin Gishu and Isiolo.);
The demonstrated commitment of County officials to the goals of the AHADI project. The advantages of working in urban areas and reaching large populations for greater impact, as well as the possibility of early success to create momentum (balanced with the following bullet); The need of a County for assistance relative to others; The ability to concentrate resources and achieve economies of scale in particular regions, (balanced with the following bullet); The desire to work in several different areas throughout Kenya to ensure a diversity of geographies, ethnicities and political constituencies. (This consideration would rise in importance if the other considerations lead the project to be insufficiently diverse. E.g., if the vast majority of targeted counties voted primarily for only one of the two main political factions in the March 2013 elections); The risk for conflict in target Counties and the potential for mitigation; and The overall strategic relevance of the County.
The second bullet (County commitment) is important, as AHADI requires political will. The Contractor shall put in place conditions, incentives and opportunities for Counties to opt-in, in order to encourage robust commitment (e.g., matching funds for positive initiatives, awards for innovative practices, etc.) If commitment is clear, capacity is sufficiently built, and if the right programming opportunities arise, Government-to-Government support from USAID/Kenya to champion Counties may even be possible. In total, the project shall target 15 to 20 Counties over the life of the project, utilizing a structure of up to 3 main offices (with the possibility of smaller, satellite offices in counties if deemed necessary and financially reasonable). Five of the target counties shall be the Arid Counties targeted by the REGAL project: Turkana, Marsabit, Wajir, Isiolo and Garissa, but beyond those 5, the targets are not set in stone. Should the Contractor wish to propose alternate target Counties beyond those listed above, either at the proposal stage, after the initial baseline study has been completed, or throughout the life of project, these suggestions would be considered. Given the differing and evolving capacities of Counties, the crosssector nature of the funding for this project, the rapidly changing context in Kenya, and the demands of a rigorous impact study, the Contractor may have to periodically adjust its geographic focus in consultation with USAID/Kenya. C.4 C.4.1. PROGRAMMATIC LINKAGES CROSS-SECTOR FUNDING
Though AHADI is primarily a DRG project focused on improving the governance of Kenyas new decentralized system, it also designed to have substantial impact on other sectors, as well. The devolution process will have a dramatic effect on every sector in which USAID/Kenya works, whether it be the Population and Health sector (OPH); the Agriculture, Environment and Business sector (ABEO) or EDY.
Under the new Constitution, County governments will be responsible for the majority of Health service delivery. And while much of the education responsibilities reside with the National government (excepting a few areas such as pre-primary education), Counties have responsibility over many services that affect youth: cultural activities, public entertainment and public amenities (including sports and recreation facilities); County development; cooperatives; housing; village polytechnics; and drug control. Counties will especially have a wide range of responsibilities directly or indirectly related to addressing Climate Change/Food Security issues: agriculture (including crop and animal husbandry, livestock sale yards and disease control); veterinary services; County transport and roads; trade development and regulation (including markets); County planning and development (including land survey and mapping, boundaries and fencing, and electricity and gas); implementation of National policies on natural resources and environmental conservation (including soil, water and forestry) and County public works and services (including water and sanitation services). Although open questions remain, such as the speed at which these functions will be transferred and whether or not the National government will be able to find a way to retain parts of these functions, all of these areas are very specifically delineated for County responsibility in the Fourth Schedule of the new Kenya Constitution. 1 All of which means that each USAID office has a tremendous opportunity to greatly impact Agriculture, Business, the Environment, Population and Health, Education and Youth as it assists Kenya to completely remake its governance structure from the ground up. By supporting and enhancing these new devolved structures, USAID can enhance accountable governance and improve service delivery. Because it will have impact both within the DRG sector, as well as beyond, the AHADI project has been specifically designed to accommodate all three of USAID/Kenyas other target sectors (OPH, ABEO and EDY) and will include funding from several different sources at its inception. Additional sources (including, potentially, even other donors) may provide funding as the project grows and demonstrates impact in target sectors. The Contractor shall be prepared to meet the requirements that accompany these funds (e.g., additional reporting requirements and indicators, coordination with multiple offices, complex accounting, etc.) as well as the programming needs of the offices that manage these resources (e.g., adding geographic targets, revising workplans, etc.) The Contractor shall adapt to the complex needs of working in multiple sectors with multiple funding sources. AHADIs greatest impact in the eyes of many Kenyans will be providing tangible enhancements in service delivery, since that is what most concerns citizens. Depending on funding provided by various offices, and specific direction provided to the contractor by the COR, sector-specific coordination efforts may shift over time (either in focus or intensity), requiring ongoing and robust coordination and planning with the relevant USAID offices. Depending on the sector and the requirements of a specific USAID/Kenya office, efforts may range from general coordination to more specific sector-related service delivery interventions. Additional guidance on collaboration with existing programs is described below, but general direction is as follows: AHADIs work with ABEO shall touch on a broad range of interconnected issues including food security, land management, low-emissions development and climate change adaptation.
http://kenyaembassy.com/pdfs/The%20Constitution%20of%20Kenya.pdf#page=176 The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 22 of 182
AHADIs efforts with regards to Education and Youth shall focus on supporting Counties to identify creative solutions for enhancing early grade reading within their borders, to support structures that allow youth to have more voice in how their government operates, and to advocate to the National government for improved service delivery. Youth empowerment shall be mainstreamed throughout the project, but there shall be a special focus on building the capacity of Youth Bunges (local youth groups) to formalize their operations and advocate on behalf of their constituents. The Contractor shall seek to strengthen local Parent Teacher Associations (PTAs and similar organizations) and to bring them together at the County and National levels so that their voice can have a greater impact. With regards to Health, the Contractor shall work closely with the OPH offices existing regional integrated health projects, which are supporting National and County-level health structures. The Contractor shall ensure complementarity and synergy (while avoiding duplication) between the overall County governance provided by this project, and the health services and health governance interventions supported by USAID/Kenyas OPH.
C.4.2 LINKAGES TO OTHER USAID/KENYA PROJECTS The Contractor shall ensure that AHADI works closely with other existing and future USAID/Kenya/DRG projects, as well as the relevant DRG projects of other donors. In addition, given the cross-sector nature of the project, the Contractor shall coordinate closely with the relevant non-DRG projects of USAID and other donors. Potentially, this collaboration could even entail funding from multiple sources and donors. Regardless, the Contractor shall compliment and coordinate with efforts currently funded or planned by the USG and other donors. Moreover, AHADI must be able to adapt over time to match with the changing realities of other projects. Climate Change and Food Security Given how closely the project shall coordinate with USAID/Kenyas planned Resilience and Economic Growth in the Arid Lands (REGAL) effort, a few key aspects of complementarity should be highlighted: With the potential danger of increased marginalization, exacerbated conflict and disruption of service delivery in arid and semi-arid areas, gains from the REGAL project could be lost. The Contractor shall ensure that the AHADI project helps to consolidate those gains and diffuse potential conflict between the communities. County-led linkages between communities shall help to scale up of technologies and methods developed by REGAL and/or other development projects. While REGAL will have a greater focus on local-level efforts, the Contractor shall ensure that AHADI works more at the County level increasing County abilities in budgeting, development planning, agricultural and natural resources management and disaster preparedness. (Though the Contractor shall ensure that AHADI has a strong grassroots focus, as well, especially outside of the arid lands). While REGAL will focus on strengthening businesses in the arid lands, the Contractor shall ensure that AHADI focuses more on helping government to be a better partner for business.
And while REGAL will work more on the civil society demand side of the good governance equation, the Contractor shall ensure that AHADI focuses more on the supply side increasing County receptivity to civil society engagement and establishing mechanisms for cooperation and input. (Outside of the arid lands, the Contractor shall have greater responsibility for both the demand and supply sides of the equation).
Health With regards to health, the devolving system has enormous implications on leadership and governance, health workforce, procurement of drugs and other health commodities, financing, information systems, and service provision. These concerns continue to inform and guide USAID/Kenya strategic investments in Health. In particular, USAID/Kenya is currently supporting the formulation and implementation planning of essential foundational health policies, laws, and guidelines stemming from the 2010 Constitution; and assisting current Ministries of Health to both plan for the transition to County health systems and ensure sustained coverage and impact of essential health services. As such, it is not anticipated that AHADI will directly undertake such work in the health sector, but that it the Contractor shall collaborate with USAID/Kenya existing health partners to identify areas of program synergy that are value-added and non-duplicative. These partners shall include inter alia: Health Policy and Planning (HPP) Which is assisting with: the finalization of Foundational Policies (KNHSSP III, Health Bill); dissemination of National policies to County teams; support Ministry of Health and Transitional Authority to finalize outstanding issues on devolution; the preparation of County health fact sheets; the preparation of County health Investment profiles; estimation of county health expenditure & utilization; the reorganization of MoH and County governments; and review of planning guidelines. Leadership, Management and Sustainability program (LMS), which is developing an induction manual with other partners for County Health Management teams; aligning health services management curriculum to county systems; developing a scheme of service for health managers; and supporting an institutional framework for autonomy of national referral hospitals. FUNZO and Capacity Kenya projects, which are providing training and development of human resources for health, and may consider locating health technical advisors in high need counties. AfyaInfo, which is planning to support county level health information systems to be used for county planning and monitoring. APHIA+ programs, which support integrated service delivery, planning processes, and health systems in a majority of Counties; exact plans will be finalized through communications with interim county coordinators for health, and subsequent County Health Officers.
While Health Sector devolution is best undertaken by health experts versed in the technical considerations for ensuring a functioning health system in all its complexities and at all levels of delivery, the Contractor shall help uplink Health Sector considerations to broader planning and implementation processes at the National and County levels of government. In essence, AHADIs role vis--vis the Health Sector shall be to help existing and future Health projects coordinate with the broader devolution reform process, and to ensure that that broader process and its cross-cutting actions benefit the Health sector (as they will all sectors). For example, while the APHIA+ project strengthens health policy and budgeting, the Contractor shall ensure that these efforts fit within the broader policy frameworks and budgeting processes of Counties. Furthermore, as AHADI helps to implement overall County budget policies (e.g., citizen participation mechanisms), the contractor shall work with OPH partners to ensure their priorities are included in the roll-out of these mechanisms. Another potential example of collaboration would be AHADI assisting Counties in establishing an overall meritbased hiring process that also includes Health-specific job descriptions and hiring processes that were designed by OPH partners.
Education and Youth
The Contractor shall coordinate closely with EDYs ongoing projects to ensure that AHADI leverages the existing technical expertise of those efforts as it seeks to support PTAs, as well as to advance cross-County learning and advocacy with regards to Education. Programs with which to coordinate include but are not limited to: Education for Marginalized Children of Kenya (EMACK II), which increases opportunities for quality education for primary and lower secondary school children historically marginalized by cultural practices and poverty (such as those living in informal settlement areas). Kenya Primary Math and Reading (PRIMR) Initiative, which is working to dramatically improve the language and mathematics skills of 3 million Kenyan children in 500 primary schools by 2015.
With regards to Youth, the Contractor shall work closely with and (once it is complete) build off of the success of the Yes You Can (YYC) effort. Yes Youth Can is a three-year, $45 million program to support the empowerment of Kenyan youth as envisioned in the 2010 Constitution. The program aims to develop peaceful leaders among 18-35 year-olds, with the complementary objective of improving their socioeconomic status. Through Yes Youth Can, young people organize themselves in youth-run and youth-led bunges (parliaments), through which members democratically elect their own leaders at the village, County, and National level. The bunges provide a structure and a forum for young women and men to mobilize and take action to improve their own lives and those of their neighbors, develop new leadership skills, promote transparent decision-making about their priorities, engage their collective voice on decisions that affect them and revive the true spirit of harambee (a Kenyan tradition of community self-help events) as they serve in developing their communities. The Contractor shall work to build the capacity of Youth Bunges at all levels, but especially in their efforts to further professionalize and sustain themselves, as well as to engage in advocacy at the County level.
C.4.3 LINKAGES TO OTHER USAID/KENYA DRG PROJECTS The Contractor shall ensure that AHADI integrates closely with other existing and future USAID/Kenya/DRG projects, and to adapt over time to match with the changing realities of these projects. Much of USAID/Kenyas recent support for the devolution process has been through the Kenya Civil Society Strengthening Program (KCSSP). Given the mandate of the program, the focus has been on supporting the demand side of the governance equation (civil society) to advocate for effective devolution and to support the engagement of the public in the process. Civil society efforts that have been and continue to be supported include: Educating citizens on devolution, how it will affect them, and the importance of their engagement to make it work; Providing forums and other opportunities for citizens to make input on the legislative process and implementation; Helping citizens work together to identify development priorities for the new Counties once they come on line; Increasing the accountability of the decentralized Constituency Development Fund through better civil society oversight efforts; Building up the capacity of women to become leaders in the new County governments; Assisting in the drafting and revision of devolution legislation; Advocating for passage of key pieces of legislation with strong provisions for participation; and Monitoring and advocating for rapid implementation of the legislation (e.g. for sufficient budget and qualified appointees for the Transitional Authority). Developing county conflict profiles to assist with conflict mitigation efforts.
Although KCSSP is scheduled to conclude its activities in late 2013, this new devolution program shall collaborate with the project while it is ongoing, and then build off of its successes and lessons learned after it closes. In addition, any subsequent civil society activity funded by the mission shall also be closely coordinated with AHADI. The Parliamentary Strengthening Program (PSP), implemented by the State University of New York (SUNY) through March 2014, is improving the Kenyan Parliament's effectiveness in producing legislation, acting as an oversight institution, and carrying out its representation functions in a more democratic, transparent, and effective manner. In recent months, SUNY has also provided support to the TA to assist with its planning, monitoring and evaluation, communications, e-government strategy, and capacity-building plans. In addition to building off the support that has already been provided to the TA, the Contractor shall work with SUNY to stand-up the newly created Senate after the 2013 elections and ensure that it effectively engages with and represents County interests. The Contractor shall also work with PSP to ensure that Parliament effectively and equitably oversee the devolution process, as well as to create opportunities for civil society and County governments to engage with Parliament and
advocate for their interests. Finally, the Contractor shall coordinate with PSP on SUNYs support to capacity building of County Assemblies. In addition to the activities described above, USAID/Kenya is currently designing a series of bridge activities for targeted counties to pave the way for AHADI and to fill gaps while the main devolution program comes online. These activities may include the initial County Baseline Study described in Task 1.1 (obviating the need for that study under this contract); initial engagement with key County leaders; small grants support to Counties and civil society; continued civic education; strengthening key entities such as the Transition Authority; and an international conference on devolution best practices. As with the other efforts described herein, the Contractor coordinate closely with the implementers of these bridge activities and ensure a seamless transition to the full AHADI project. C.4.4 LINKAGES TO THE WORK OF OTHER DONORS The Contractor shall coordinate extensively with any and all relevant efforts funded by other donors (both those specifically focused on devolution, and those that touch on it tangentially), and shall adapt AHADI over time to match with the changing realities of these projects. The depth of coordination shall depend on the relevancy of the project in question. However, the Contractor shall conduct a broad range of coordination efforts, from joining coordination bodies, to one-on-one engagement, to joint planning, up to and including being prepared to accept buy-in funding from other donors. There are a large number of projects funded by other donors to tackle the issue of devolution that are either operating or planned (with more likely to be developed). These complimentary efforts are likely to include, but are not limited to, the following: The European Union is currently supporting the Bridging the Divide through Accountable Governance program through 2014 to provide civic education to citizens and newly elected County officials. Sometime in 2014, it is expected to follow this effort with a new project called Instruments for Devolution Advice and Support that will fund local economic development projects in 5 Counties (Kilifi, Makueni, Kisumu, Uasin Gishu and Isiolo). This will be accompanied by capacity building to those target Countys to manage these projects in a participatory fashion; support to civil society to monitor these projects; and finally national-level support for improved public financial management. UNDP is supporting the Transition Authority and other key institutions involved in devolution through technical assistance and a basket funding instrument. It is currently finalizing the design of a new integrated service delivery program that will focus on public financial management, capacity development for new leaders, and enhancing public participation. UNOPS will seek to support the development of devolved procurement systems. UN-Habitat will focus on urban social accountability. The World Bank, Australia Agency for International Development (AusAID) and the United Kingdoms Department for International Development (DFID) have already started jointly funding the Accountable Governance program. Given its strong complementarities with AHADI, it is described in detail below.
Since 2010, with support from AusAID, the World Bank has provided thought leadership and assistance on devolution to a range of Kenyan stakeholders through the Fiscal Decentralization Knowledge Program (FDKP). Linked to this effort, the Bank's social development team has provided assistance on how decentralization reforms can incorporate mechanisms that encourage government responsiveness and accountability to citizens. The World Bank also supports Kenya's Open Data Initiative, including applications that support development and evidence-based policy making. With support from DFID and AusAID, the World Bank will now extend and scale up this assistance through a new $5 million Accountable Devolution initiative that integrates support for internal "supply-side" systems of devolved government with support for "citizen-facing" mechanisms that enable County governments to be responsive and accountable. This technical assistance will support policy and regulatory reforms, development of institutional systems and capacity, and inter-governmental coordination. Efforts will be focused on key devolution challenges: Managing key aspects of the transition to devolved government (e.g., costing of function assignments, inter-governmental coordination, human resources); Establishing effective, participatory and accountable County planning and PFM systems; and Establishing effective County performance monitoring system to benchmark County performance, including a public-facing open data component.
The three main components of the project are: 1. Devolution and service delivery; 2. Citizen engagement in devolved service delivery and open data; and 3. Public financial management and public sector reform. While there would initially appear to be considerable overlap with AHADI, there is in actuality a great deal of complementarity between the programs. The Accountable Devolution program will be more focused on National-level systems, mechanisms, standards and regulations. And while the Contractor shall work with the Accountable Devolution program to contribute to the development of these standards, overall the Contractor shall ensure that AHADI is more focused on implementation and rolling these out at the County level. For example, when the Accountable Devolution Program leads an effort to set National standards for citizen participation in the budgetary process, the Contractor shall help Counties buy into these standards, commit to them, and adapt them for their realities. The Contractor shall then provide daily advice and mentoring to Counties to help roll these systems out, ensure that they are implemented, help citizen groups to engage with them, and finally assist Counties actually use the citizen input they glean from these systems.
C.5
TECHNICAL APPROACH
Under each Task identified below, the Contractor shall be held to the minimum requirements stated therein. The illustrative tasks and performance indicators below shall guide the Contractor to meet the objectives of the project.
C.5.1 OBJECTIVE #1: TARGETED COUNTIES PROVIDE HIGHER QUALITY SERVICES THROUGH IMPROVED GOVERNANCE C.5.1.1 TASK #1.1: FACILITATE COUNTY PLANNING AND INFORMED DECISIONMAKING To inform decision-making for the project, for County governments, and for other decisionmakers involved in oversight and devolution policy-setting, the Contractor shall support research into the challenges and opportunities posed by each unique County context. The Contractor shall then assist County governments to make effective use of the information resources generated. All research, analysis, evaluation, studies, polls, etc. shall be agreed upon with the AHADI COR, shall be widely publicized and distributed, and shall be used as the basis for briefings, trainings, planning efforts, and technical assistance for key stakeholders in County government, civil society and with relevant National bodies. The first activity carried out under this project may be a County Preparedness Study that would act as a baseline for County preparedness, a way to gather baseline indicator data, a guide for targeting the project, and a resource for County decision-making. Building on work started by the World Bank, the TA, USAID/Kenyas implementing partners, and others, the study would make full use of existing research. Either through information provided in other efforts, or through AHADIs direct efforts, the baseline study could include a more detailed County asset and liability audit than has been done by the TA (both infrastructure and human resources), surveys and polling, public participation (e.g. focus groups and town hall meetings), targeted sector-needs assessments, economic baseline and investment climate analysis, civil society mapping, conflict mapping, and an assessment of County capacity and commitment to good governance. This initial study may be carried out through other mechanisms, prior to the awarding of AHADI. If so, the Contractor shall use the information already provided, and shall redirect the research funds that would have gone to this task to other information-gathering efforts as approved by the COR. These efforts shall inform, support and lead into inclusive planning efforts such as the development and/or revision of budgets and Integrated County Development Plans that seek to integrate National level planning processes with the concerns and aspirations of civil society and County governments. The baseline study may also inform the creation of MOUs and/or County Capacity Strengthening Plans that will be designed and agreed to with County officials, AHADI staff, USAID/Kenya and other relevant stakeholders such as bilateral donors and USAID implementing partners working in the County (which shall be reviewed and updated as necessary on a yearly basis). As new research and information comes to light, and as the operating environment and county needs change, the Contractor shall continue to facilitate integrated, transparent and strategic planning on the part of County governments. All efforts under this task shall both make use of local expertise, and help to build local expertise by using participatory methods and mentoring County facilitators. Further details on inclusive practices (for planning efforts or otherwise) are described in Task #1.4 below. Sector integration Many subsequent studies and planning efforts shall focus on and/or integrate key sectoral and governance issues so that service delivery is informed and improved through facts, analysis and integrated planning that involves all relevant stakeholders. See below for specific examples. Sub-tasks may include:
Baseline County study. Periodic studies into the following illustrative topics: Desktop review and synthesis of existing research and relevant National strategies/policies (e.g., National Climate Change Response Strategy, County Conflict Profiles, etc.) County effectiveness studies that capture demonstrable and replicable successes in County Governance. Climate change vulnerability assessments. Research into opportunities for low-emissions development and alternative energy production. Surveys of youth concerns. Comparative studies of education outcomes across Counties. Citizen satisfaction surveys that contrast the results of different levels of citizen input. Analysis of distribution of service delivery within the County (to gauge if marginalized groups such as women and ethnic minorities are receiving equitable levels of service).
Wide distribution of research and studies, and incorporation into planning processes. Briefings and trainings to key stakeholders. Diagnostics of County administrative and decision-making structures and business processes. Support for strategic and development planning initiatives that are transparent and inclusive, such as Integrated County Development Planning Efforts. Yearly Cross-Sector planning and engagement design workshops that lead to MOUs between AHADI, other implementers, key stakeholders and County Governments.
Illustrative Indicators Number of instances where policies were informed by knowledge produced with the support of the USG. Number of planning mechanisms created or enhanced to increase inclusivity of key knowledge and a diversity of viewpoints. Feed the Future Indicator Handbook Indicator 4.5.1-21: Number of climate vulnerability assessments conducted as a result of USG assistance.
Feed the Future Indicator Handbook Indicator 4.5.2-32: Number of stakeholders using climate information in the decision making as a result of USG assistance.
C.5.1.2 TASK #1.2: ENHANCE LEADERSHIP KNOWLEDGE AND SKILLS OF NEW TARGETED COUNTY OFFICIALS (ESPECIALLY OFFICIALS FROM MARGINALIZED GROUPS) With a large number of new positions created by the Constitution, and the requirement that no gender constitute more than 2/3 of all elected and appointed bodies, there will be an unparalleled opportunity for new female leadership to emerge at the County and sub-County levels. The Contractor shall seek to capitalize on the opportunity to change the face of leadership. It shall encourage Counties to meet or exceed their responsibilities to appoint qualified female candidates, along with other marginalized groups, at all levels of government. It shall also strengthen marginalized group caucuses and associations so they can lobby for the needs of those they represent. While women and other disadvantaged populations shall be of particular focus, all decisionmakers elected to office will require capacity building around their new roles and responsibilities so that they can understand and fulfill those duties. In addition to elected leaders, the Contractor shall also seek to train and mentor important appointed County staff and civil servants in leadership positions this will have the dual benefit of expanding County capacity, and also increasing sustainability of this capacity within the governance structure, since many County staff will remain in position even after elected officials have served their terms and departed. Since the project will not be able to train every elected and appointed official in a County, the Contractor shall have to be selective based on responsibility, training provided by other efforts, need for empowerment, and demonstrated commitment of the targeted officials to the principles and activities of the AHADI effort. In concert with other projects doing similar work, the Contractor shall ensure that AHADI assists in the provision of a comprehensive series of capacity building interventions that shall cover the most important aspects of governance for these new officials. Though National-level trainings may sometimes be necessary, the projects capacity-building activities shall take place within a target County or County cluster whenever feasible. The Kenya School of Government (KSG) and the Centre for Parliamentary Studies and Training (CPST) have been identified by the Transition Authority for development of curricula and training of high-level County staff, with KSG focusing on County Administrations and CPST focusing on County Assemblies. The Contractor shall coordinate and build on the efforts of these organizations enhancing their sustainability and capacity wherever possible. However, these groups will likely have funding limitations, and so the Contractor shall expand and deepen the training these groups can do reaching out to a wider number of staff and officials, conducting more ongoing mentoring at the County level, ensuring implementation of learning, and filling gaps not covered in the curriculum. Illustrative topics for training and mentoring include principles of leadership, inclusive governance and minority rights, conflict prevention, transparency and accountability, financial planning and budgeting, procurement and budget execution, strategy development, drafting County policies/regulations, communication, and strengthening civil society outreach. Given the vast scope and depth of the tasks inherent in successful devolution, a key aspect of this capacity building shall be sensitizing leaders and stakeholders to the magnitude of the challenges ahead, so that they can be strategic and realistic in addressing them. The Contractor shall use innovative strategies for capacity building above and beyond traditional
trainings and workshops. This could include embedding project staff in County governments, establishing mentoring relationships, facilitating sister-municipality arrangements, developing peer-learning networks, etc. Sector Integration The enhanced leadership and capacity skills described in this task shall be directed towards a broad array of officials and staff, including those that have some responsibility over sectorspecific monitoring and/or implementation. Sub-tasks may include: A series of targeted capacity-building interventions for County officials. Facilitating the creation of mentoring relationships with more experienced leaders (potentially with retired and/or international officials via sister-County relationships). Distribution of a Toolkit or Reference Library for new officials. Establishment and facilitation of peer learning networks for sharing best practices.
Development of mutual support caucuses and associations (e.g., Public Officials with Disabilities Association, County Womens Caucus).Illustrative Indicators Standard Foreign Assistance Indicator (DRG) 2.2-2: Government Effectiveness Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.2-6: Number of training days provided to executive branch personnel with USG assistance. Standard Foreign Assistance Indicator (DRG) 2.2.3-5: Number of sub-National entities receiving USG assistance that improve their performance. Number of officials successfully completing 75% of offered courses.
C.5.1.3 TASK #1.3: ASSIST IMPLEMENTATION OF TARGETED COUNTY MECHANISMS TO PROTECT AND EMPOWER MARGINALIZED GROUPS The Contractor shall work to educate County officials on their Constitutional responsibility to include marginalized groups (such as women, youth, persons with disabilities and especially ethnic minorities), as well as the positive advantages and moral basis for such inclusion. Technical and financial support shall then help Counties put these principles into practice through the establishment of an appointment and hiring system that equitably balances the needs of various groups, provides new opportunities for minorities, and assists appointed officials (up to and including the six marginalized appointees to the County assembly) to advocate on behalf of the groups they represent. Additional activities may include assistance to set-up bodies dedicated to addressing the needs of marginalized groups, and support for forums that bring together government, civil
society and the private sector to find ways to reduce conflict and empower marginalized groups. CSOs may be supported to reach out to marginalized groups to mobilize and educate them on how to engage in the new County system using legal precedent and a rights-based approach to effectively seek equitable representation. Another potential avenue of early intervention is through the TA. Given Constitution protections of marginalized groups, the Contractor shall, if the TA is open to the idea, work with the TA to establish inclusion guidelines and criteria that must be met before transfer of responsibility can take place. Sector Integration An important aspect of sector-specific integration under this result shall be monitoring of equitable service delivery and advocacy to encourage inclusion of marginalized groups in service delivery decision-making. In addition, many of the groups targeted by sector-specific services are themselves marginalized (PLHIV, youth, etc.) and will benefit by governance systems that allow them to better advocate for their interests. Sub-tasks may include: Promote CSO advocacy campaigns that pressure the government to respect the rights of marginalized groups and to include them at all levels of governance. Institute public/private forums and dialogues that prominently discuss the issues faced by marginalized groups and how to address them in a way that reduces potential conflict. Assist the TA to define specific requirements, strategies and M&E systems for inclusion of marginalized groups. Build government officials understanding of laws protecting minority rights. Assist Counties to set-up bodies for redress of issues facing marginalized groups. Assist Counties to put in place monitoring and evaluation systems to track inclusion of marginalized groups over time. Assist Counties to institute hiring and appointment policies that empower marginalized groups. Support NGOs seeking to defend minority rights in court.
Illustrative Indicators Percentage of appointees representing marginalized groups. Number of complaints lodged by minority groups adequately addressed. Percentage deviation of service delivery expenditures in marginalized areas from County average.
Standard Foreign Assistance Indicator (DRG) 2.4.1-11: Number of USG-funded organizations representing marginalized constituencies trying to affect government policy or conducting government oversight.
C.5.1.4 TASK #1.4: ASSIST IMPLEMENTATION OF TARGETED COUNTY MECHANISMS TO ENHANCE TRANSPARENCY, ACCOUNTABILITY AND PARTICIPATION In order to protect against corruption and encourage responsive governance, Counties will have to put in place measures that provide citizens access to information on County actions, and the opportunities to use that information to affect what their government decides. It is hoped that the leadership training described in Task #1.2 will garner support for the implementation of these measures and identify champions that can be targeted by the project. In cases where raising awareness is not sufficient, the project shall engage through civil society, the TA and/or the justice system. Once there is sufficient buy-in, the Contractor shall build on any National standards (ideally developed with AHADI and County government input) to assist Counties and sub-County entities to develop and implement openness policies, as well as to develop participation and feedback mechanisms for beneficiaries (and/or to adapt these policies and mechanisms from National standards). Examples of relevant policies and mechanisms are listed under illustrative activities, below, and include efforts such as facilitating Integrated County Development Planning in a way that is transparent and participatory. Eventually, the project may even assist certain interested Counties to revise their entire sub-County and ward structure to make it more participatory and democratic helping them to design a governance structure that includes elected positions below the County that are allowed but not instituted under current legislation. In addition, the need for overall transparency and accountability is also mirrored and expanded in Task #1.5, which deals with financial matters. And along with the participatory creation of these mechanisms that will provide openings for engagement on the part of civil society, the project shall support CSOs to take advantage of these new opportunities as detailed in Objective #3. Sector integration These mechanisms will directly benefit sector-specific service delivery by reducing leakage from corruption and making those services more responsive to citizen needs. Sub-tasks may include: Promote civil society advocacy for increased transparency, accountability and participation. Assist the TA to define and implement specific County requirements and strategies for transparency, accountability and participation. Train County officials on accountability and anti-corruption (including sector-specific training such as issues regarding extractive industries transparency). Support creation of Freedom of Information policies and mechanisms to respond to citizen requests.
Facilitate the use of e-government and innovative technological solutions for increased openness. Examples include assisting Counties to develop and populate web sites to publicize County activities and policies, create publically accessible digital records, and institute e-mail addresses for representatives, along with other on-line feedback and engagement mechanisms. Assist County assemblies and other bodies to broadcast proceedings. Support government to create participation mechanisms such as community planning forums, public hearings on legislation, town halls, and citizen advisory boards especially with regards to Integrated County Development Planning efforts. Assist County governments to enact transparent procurement policies that allow for civil society oversight. Assist County governments to revise their sub-County structure to allow for greater participation (e.g. via local elections at the sub-County and/or ward level).
Illustrative Indicators Number of major local government decisions made with input from participation mechanisms. Percentage of legislation and proceedings made public. Percentage of service delivery data made public. Standard Foreign Assistance Indicator (DRG) 2.2.4-2: Number of government officials receiving USG-supported anti-corruption training. Standard Foreign Assistance Indicator (DRG) 2.2.4-8: Corruption Perception Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.4-7: Number of USG-supported anticorruption measures implemented.
C.5.1.5 TASK #1.5: ASSIST TARGETED COUNTIES TO RAISE AND EFFECTIVELY MANAGE SUFFICIENT RESOURCES With the multitude of new services for which Counties will be responsible, it will be important for them to garner enough resources to fund their new responsibilities. Indeed, it may be that the TA will require Counties to have a revenue plan in place to fund each service before it is devolved. This will require a combination of equitable National government transfers, reasonable local revenue collection, public-private partnerships, co-ordination with donors, loans, and effective public financial management to reduce leakages in the system. The Contractor shall assist targeted counties on all these fronts as needed, as well as to contribute to any National standards developed for roll out to the Counties. Counties must be able to effectively advocate to the central government for equitable funding that compensates them for transferred services. The Contractor shall ensure that AHADI
assists them to advocate both for a fair determination of the level of funding, as well as for the actual transfer of money (which can often be less in reality then was budgeted). In order for Counties to maximize their own revenue in a way that is just and that doesnt place an undue burden on the poor, the project shall help County assemblies consult with civil society as it legislates fair revenue collection polices. Once those polices are in place, the project shall assist with instituting and building the capacity of the County body responsible for revenue collection. An important aspect of this capacity shall be the creation of systems that enhance transparent and accountable handling of funds (e.g., the ability of payees to make transfers directly to the bank, publicly available records, etc.) The project shall create a virtuous circle with regards to revenue in which communities and businesses are involved in determining reasonable levels of taxation and in the planning for how those revenues will be spent. Once projects funded by County taxes are complete, the project shall highlight these successes so that citizens see the benefits of their taxes, and therefore are more likely to fulfill their responsibilities increasing the ability of the Counties to deliver valuable services. Furthermore, the Contractor may help certain Counties analyze and improve their investment climate in the hopes of designing interventions that attract more business and hence more tax revenue. In addition to central transfers and local revenues, Counties will likely require assistance in setting up alternative means of securing funding for necessary services. Therefore, the Contractor shall assist in the facilitation of public/private partnerships, and ensuring that any debt burdens taken on by Counties are reasonable, repayable, and managed responsibly. To more effectively manage all finances, The Contractor shall coordinate with other efforts to fill the gaps and deepen PFM training and strengthening County PFM systems. It shall also work with Counties to institute audit and transparency systems that make data on budgets and expenditures readily available for civil society to carry out its watchdog role. Sector Integration This result will be essential to the delivery of sector-specific services. Unless they can raise the revenue they need, Counties will be forced to reduce service delivery in key sectors, or rely overly on donor support thus reducing local ownership. Conversely, by involving communities in deciding how to use revenues and by reducing leakages through anticorruption measures the project can increase the level of ownership and the amount of funding that goes to these essential services. Moreover, given the increased USAID focus on Government-to-Government support, it will be useful for County financial systems to be sufficiently transparent and accountable to receive and manage USG and other donor funding. Sub-tasks may include: Support the Council of County Governors and other groups to advocate for equitable central government funding. Support Counties to advocate for and negotiate with regards to equitable distribution of revenues from shared resources (e.g., parks and extractive industries)Assist with the creation and/or capacity building of County revenue authorities. Create transparent systems for revenue collection to reduce the potential for abuses.
Facilitate community and business forums to develop plans for the use of locally generated revenue. Help Counties highlight projects funded by County revenue. Conduct PFM training/mentoring for staff that has not been trained by other donors and/or refresher, follow-up training/mentoring to deepen understanding of those that have been trained. Assist Counties to establish robust, transparent expenditure reporting systems. Support for the development and capacity-building of an independent audit authority. Support for County audits with public presentation of findings in understandable and actionable formats. Support civil society to analyze and publicize budgets vs. expenditures. Catalyze public-private partnerships between Counties and businesses (e.g., in alternative energy production, water services delivery, etc.) Provide debt financing expertise so that Counties who feel that they need to resort to loans can do so in as responsible a way as possible.
Illustrative Indicators Amount of revenue collected. Increase in transfers from central government to County governments. Number of targeted budgeted items brought to completion with full expenditure. Number of people passing PFM skills test. TASK #1.6: ENHANCE TARGETED COUNTY MANAGEMENT OF SERVICE
C.5.1.6 DELIVERY
Given County governments new Constitutional responsibilities, they can and should create a positive enabling environment and offer a variety of sector specific services that can be extremely technical and complex. To do this, Counties will need to budget and plan for these services, enact policy, and successfully carry out their management and oversight responsibilities. Therefore, the Contractor shall first engage with decision-makers to help them appropriately value the importance of these issues (and balance that value against competing service needs). Once champions are identified and supported, and overall County commitment is strengthened, Counties will be better able to focus attention and resources on the problem. In addition to creating a better understanding of sector specific needs, in-depth capacity building of targeted office-holders and staff and the County level (and possibly below) shall be carried in order to achieve a sufficient level of technical knowledge needed for decisionThe USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 37 of 182
makers to carry out their roles effectively. A key focus of the initial assessment and planning described in Task #1.1 will be to determine exactly what additional knowledge, capacity and structures are needed to address these issues, beyond what already exists or is planned. Once needs are assessed, the Contractor shall work to strengthen County governments to better fulfill their role with regards to these issues. The Contractor shall work with sectorknowledgeable partners to facilitate training and mentoring for decision-makers and implementing staff, as well as assisting Counties to define what additional technical positions they need, and to fill those positions with qualified staff. An important part of building up County capacity shall be citizen and expert involvement in all aspects of the process, so that AHADI ensures that those most knowledgeable and/or most affected are involved in budgeting, planning, legislative drafting and implementation. Sector Integration This task represents perhaps the most important area for sector integration under the AHADI project. There are a large number of sector-related activities that can be undertaken, and the Contractor shall be prepared to do so at the direction of the COR. However, these efforts must be carefully calibrated to sector-specific funding provided (which could change over time), and the Contractor shall make every effort to leverage the knowledge and skills residing in existing sector-specific projects. Moreover, the Contractor shall ensure that it is complimenting and supporting existing sector-specific efforts, rather than potentially duplicating effort (see especially section C.4.2 for further guidance on this matter). Climate Change and Food Security: Many activities described in this contract contribute to strengthening services that deal with these challenges. For example: climate change vulnerability studies inform decision-making under Task #1.1.; or community forums that allow citizens to provide input into climate change adaptation and development plans under Task #1.4. In addition, under this task, Climate Change/Food Security concerns shall be brought into County government planning so they can better meet those needs through improved service delivery. Though this shall be important in all Counties in which the project works, it shall be especially important in arid and semi-arid Counties where the need for comprehensive policy and action to address drought resiliency is the most acute. Education and Youth: Many activities described in this contract contribute to strengthening services in the Education and Youth sector; for example: ensuring Counties can advocate effectively to the National government for better education service delivery under Task #3.2; or building the capacity and sustainability of Youth Bunges under Task #2.1. This particular task, however, shall also focus on integrating Education and Youth concerns into County government planning; as well as increasing the capacity of County governments so that they both better understand the particular needs of the sector, and can better meet those needs through improved service delivery. Addressing the needs of youth will be an important concern for County governments. But given that education will be one of the least devolved sectors, Counties will be especially challenged to find creative ways to improve education services for their constituents (e.g. by coordinating with PTA networks). Health and Other: Though the areas of sector integration listed above shall be major foci for the project, it is anticipated that opportunities to work in other sectors and in other areas of service delivery are not only possible, but likely to be identified over time. For example, the project could find opportunities to work closely with Counties in areas such as infrastructure development, economic growth, energy provision, information and communications, health etc. Indeed, there is a strong possibility that by the time of award of this contract, AHADI may have funding to focus on extractive industry transparency efforts; and if that is the case, the
Contractor shall be required to integrate relevant activities to address those issues (as described in several illustrative activities throughout the document). The Contractor shall be able to identify these additional opportunities for engagement with County governments, consult with USAID on the feasibility of incorporating them into the project, ensure that AHADIs work is complimentary with any existing programs supported by USAID/Kenya, and work collaboratively with USAID/Kenya to determine relevant activities that could impact service delivery in these areas. With regards to Health efforts, any activities AHADI undertakes shall involve coordinating with and helping to link existing Health programming to broader planning and implementation processes at the County-level. Sub-tasks may include the following with regards to overall service delivery (and potential coordination with OPH-funded efforts): Build capacity of relevant County bodies for improved internal organization, financial management, planning and human resources management (in cases where existing USAID/Kenya programs such as Aphia+ are not already focused on building the capacity of sector-specific County bodies). This could take place both at the County, and in structures developed for service delivery below the County level. Assist relevant County bodies to improve service delivery planning, management, oversight and quality control including the establishment of mechanisms for the involvement of CSOs/citizens in the process and internal government metrics to measure performance improvements over time. Facilitate the building of capacity of relevant County assembly committees to enhance their monitoring role, and to take into consideration sector-specific priorities in budgeting and policy setting. This could include study tours, expert briefings, training, etc. and must cooperate with existing USAID/Kenya programs to bring sector-specific knowledge into the broader context of County governance. Improve quality of legislation through assistance in legislative drafting, review via public forums, and vetting of draft policies with research institutions and a diverse array interest groups. Facilitate the transition of civil servants from National government oversight to County oversight, and the hiring of any additional necessary staff members, while also coordinating and not duplicating efforts of sector-specific programs working on this issue. Assist in the development of well-defined job descriptions and establishing merit-based hiring processes, while also coordinating with sector-specific programs working on this issue (for example, OPH partners developing health-specific job descriptions, while AHADI works on the job descriptions of other staff and the County hiring system as a whole). Assist Counties to incorporate and balance health service delivery planning and budgeting into the broader County budgeting and planning framework to optimize use of limited devolved resources for delivering essential health services.
Sub-tasks may include the following with regards to Food Security and Climate Change:
Help establish intra-governmental coordinating mechanisms with sufficient authority to work across various committees and departments to address complex and crossfunctional issues such as Climate Change and Food Security. Build capacity of County governments to understand potential impacts from climate change and devise appropriate local adaptation plans; including those that integrate climate change adaptation and disaster risk reduction activities. Build capacity of County governments to work with civil society and customary institutions to mitigate and resolve conflict over resources. Increase the capacity of Counties to analyze and integrate a wide range of data into County decision-making processes, including weather and seasonal forecasting, water availability, population vulnerability, economic development and early warning information such as the Famine Early Warning Systems Network (FEWSNET). Work with Counties to clarify land tenure and property rights, including access to resources and traditional rights of pastoral communities. Support improved land titling and land tenure polices, rationalizing of administrative procedures, computerizing land records, etc. Support joint community and County strategic planning and implementation of investment in drought resiliency, disaster preparedness, economic development, and Community-Based Natural Resource Management (CBNRM). Assist Counties to develop Low-Emissions Development Strategies (LEDS). Assist Counties to develop comprehensive water resource management strategies.
Sub-tasks may include the following with regards to Youth and Education: Provide training and support for youth mainstreaming in all County planning and services. Establish and build the capacity of a youth advisory board and other mechanisms for engagement with Youth Bunges and similar youth empowerment CSOs. Build the capacity of committees and agencies focused on youth-related services such as vocational training, peace-building, and sports and recreational activities. Assist Counties to plan and budget for vocational education programs. Support County government facilitation of public/private partnership strategies that create new employment opportunities for youth. Assist Counties to pilot test and replicate efforts that can help them impact the quality of education. (For example, a recent study found that supplementing Kenyan civilservice teachers with locally hired contract teachers who are beholden to empowered Parent Teacher Associations (PTAs) improved educational outcomes 2).
School Governance, Teacher Incentives, And Pupil-Teacher Ratios: Experimental Evidence From Kenyan Primary Schools , National Bureau of Economic Research, March 2012, http://www.nber.org/papers/w17939.pdf
Support County government engagement in early childhood education, which is planned to be one of the few educational responsibilities devolved to Counties. In particular, identify linkages with USAID's education projects that are strengthening early grade reading. Support Counties and communities that decide to use their own funds to respond to lack of schools/teachers in their area. Assist Counties to engage and coordinate with PTAs to devise strategies for school improvement.
Illustrative Indicators Standard Foreign Assistance Indicator (DRG) 2.2.3-5: Number of sub-National entities receiving USG assistance that improve their performance. Standard Foreign Assistance Indicator (DRG) 2.2-2: Government Effectiveness Index Score. Standard Foreign Assistance Indicator (DRG) 2.2.2-6: Number of training days provided to executive branch personnel with USG assistance. Number of government bodies engaging constituents in service delivery planning and implementation. Number of individuals who have received USG-supported sector-specific training. Local government service delivery perception score. Feed the Future Indicator Handbook Indicator 4.5.1-9: Number of polices/regulations/administrative procedures in each stage of development as a result of USG assistance. Feed the Future Indicator Handbook Indicator 4.5.2-34: Number of stakeholders implementing risk-reducing practices/actions to improve resilience to climate change as a result of USG assistance. Number of stakeholders with increased capacity to adapt to the impacts of climate variability and change as a result of USG assistance. Number of people receiving training in global climate change as a result of USG assistance. Number of institutions with improved capacity to address climate change issues as a result of USG assistance. Kenya 2011-2015 Feed the Future Kenya Strategy Indicator: Number of policies, regulations and administrative procedures [that improve the agriculture enabling environment].
Number of individuals receiving training in disaster preparedness, mitigation and response. Amount of budgeted and expended investment in market infrastructure and drought resiliency efforts. Amount of budgeted and expended County investment in youth services. Number of local government entities engaging youth in service delivery planning and implementation. Number of public/private youth empowerment activities supported. Number of Education service improvement pilots tested. Number of Education service improvement practices replicated.
C.5.2 OBJECTIVE #2: IMPROVED REPRESENTATION OF CITIZEN INTERESTS AND OVERSIGHT OF TARGETED COUNTY GOVERNMENT PERFORMANCE C.5.2.1 TASK #2.1: ENHANCE INSTITUTIONAL FUNCTIONALITY OF TARGETED CSOS Without basic institutional capacity, CSOs will be unable to effectively represent public interests to those in power, as detailed in Task #2.2. While traditional capacity building will be important for the relatively weak CSOs at the County level and even for some of the more experienced CSOs at the National level, the Contractor shall seek to make civil society strengthening more directed than many past efforts. Organizational development shall be linked closely to performance standards, with CSOs going through a step-by-step graduation, so that by the end of five years, numerous partners shall be eligible for direct USAID funding with some of them taking on additional management responsibility for the project along the way. Both positive and negative incentives shall be incorporated into the project. CSOs that meet targets shall be eligible for increased funding and responsibility, while those that consistently fail to meet performance standards may be dropped from the project. Sustainability will also be an important concern, and the Contractor shall work to ensure that local organizations do not become donor driven or dependent on USAID funding for their existence. Sector Integration The Contractor shall target specific types of organizations for capacity building in each sector. Under Ag/NRM, community development associations, unions, professional associations, chambers of commerce, resource user groups, and producer organizations shall be the main targets. In the area of Education and Youth, the project shall target PTAs, and especially Youth Bunges that may have graduated from the Yes Youth Can project and seek to professionalize their operations, enhance sustainability and broaden impact. Sub-tasks may include: CSO capacity assessment and strengthening planning. Creation of graduated reward, acknowledgement and incentive systems. Training and follow-up mentoring.
Staff embeds for substantial periods. Creation of a peer-learning network. Establishment of County capacity development marketplaces. Development of CSO incubator institutions.
Illustrative Indicators CSO capacity index score. Percentage of targeted CSOs funding that comes from domestic sources. Number of CSOs that successfully pass USAID pre-award assessment. Feed the Future Indicator Handbook Indicator 4.5.1: Average percent change in score on key areas of organization capacity amongst USAID direct and indirect local implementing partners. Feed the Future Indicator Handbook Indicator 4.5.2-11: Number of food security private enterprises (for profit), produces organizations, water users associations, womens groups, trade and business associations and community-based organizations (CBOs) receiving USG assistance. Number of Local Mechanisms Supported with USG Assistance for Citizens to Engage their Sub-National Government
C.5.2.2 TASK #2.2: ASSIST CSOS TO CONDUCT MORE EFFECTIVE ADVOCACY, NETWORKING & WATCHDOG FUNCTIONS IN TARGETED COUNTIES For truly successful devolution, government must not only deliver services, but be responsive to the needs of its constituents in that delivery. The Contractor shall build the capacity of a diverse range of CSOs to activate and represent citizens, as well as to hold government accountable. Though traditional advocacy NGOs will be important partners, the Contractor shall also reach out and link in other organizations such as unions, chambers of commerce, professional associations, CBOs, Youth Bunges, etc. to achieve maximum impact. The Contractor shall strengthen a cadre of organizations able to: 1) constructively collaborate with each other and with the devolved government structures, 2) engage citizens to build their understanding of devolution, as well as to catalyze and facilitate their participation in the process, 3) aggregate citizen concerns up to the County and National levels, and 4) monitor County service delivery. While the Contractor shall focus on traditional advocacy training and mentoring (e.g. analyzing power dynamics, strategic planning, media engagement, etc.), it shall also focus on the networking and constituency-building capacities that CSOs need in order to effectively represent citizens and engage with government. CSOs shall be assisted to increase their engagement and support amongst the general populace, so that when they speak, their voice carries the weight of voters who care about the issue being advocated and who are willing to take action so that their stance on the issue is heard. CSOs shall also be encouraged and
supported to give added weight to their positions by networking with other local organizations conducting advocacy to County governments, and then aggregating their voice with others across Kenya to build country-wide grassroots movements that reach all the way up to the National government. In turn, National-level organizations shall be assisted to mentor local organizations and partner with them to reach down to the grassroots. The project shall help educate citizens as to the magnitude of the devolution process, and inculcate realistic expectations for the effort and time required to roll it out. It shall also inform citizens of their rights and responsibilities under County governance, as well as the need for citizen participation in the process, and then work with CSOs to help citizens find ways to engage with their County and sub-County governments. Funding shall be made available to CSOs to conduct activities that work on the demand side of the equation so that they can make their devolved governments more effective and accountable. This task shall aim to ensure that there is sufficient citizen input and oversight as part of devolved governance, and targeted organizations shall work hand-in-hand with local government to set up mechanisms to make this possible. The Contractor shall also work with CSOs to develop strategies and practical tools for engagement and oversight of government. Sector Integration No matter what sector CSOs work in, the engagement described in this task will be necessary to develop local government that is accountable and responsive to the needs of its constituents. Climate Change and Food Security: USAID/Kenyas REGAL project will work on diversified livelihood promotion through District Livestock Marketing Committees, District Environmental Committees, Elder Councils, Livestock Associations, group ranches, conservancies, etc. It will strengthen the organizational capacity of local producer groups, Community Based Animal Health Workers Associations, Livestock Marketing Committees and other groups involved in the livestock value chain. It will also support CSO advocacy on pastoralism, water and rangeland resources, and climate change adaptation; and it will promote Community-Based Natural Resource Management. Given that extensive support for civil society organizational development and advocacy, the Contractor shall coordinate closely with REGAL to ensure that it is building on what REGAL has done with civil society, rather than duplicating effort. Once AHADI comes online, its initial assessment (described in Task #1.1) shall help determine what REGAL has accomplished with which organizations, and what gaps remain. In non-REGAL areas in which AHADI works, the project shall provide more comprehensive capacity building of CSOs interested in climate change and food security issues, and shall adapt and replicate successful REGAL strategies, such as CBNRM to other locales. Education and Youth: With regards to education, the civil society focus for AHADI under this task shall be to support PTAs and other education-focused CSOs to advocate for increased budgets and better service provision from the National government. This shall require a comprehensive network enhancement effort that helps these groups work together to build effectively from the grassroots and impact proactively at the National level. With regards to youth, the Contractor shall focus on mentoring Youth Bunges and other youth groups to advocate for their interests at the County level, as well as to mainstream their involvement in County planning processes. Since there is already a National network structure in place for the Youth Bunges, the project shall work to assess the networks strengths and weaknesses in order to identify strategies for improvement.
Health and Other: If additional target sectors and service delivery functions are identified during project implementation, the Contractor shall work to ensure that these sectors are complimented by robust civil society advocacy to demand better governance and improved service delivery. With regards to Health, OPH is already supporting the Health NGOs Network (HENNET) and other CSOs to conduct health-related advocacy, and is supporting Community Unit structures to engage citizens on health committees at all levels. Therefore, any AHADI effort that could be approved with regards to Health advocacy shall coordinate closely with these projects and ensure that it is not duplicating effort, but rather linking Health CSOs into broader, cross-sector advocacy efforts at the County level. Subtasks may include the following: The Contractor may build the capacity of CSOs and networks through: Advocacy training and mentoring for CSOs and the communities with theyre engaged. Advocacy clinics that facilitate meetings with decision-makers in which CSOs put their new advocacy skills into practice with the guidance and oversight of more experienced CSOs. Training and mentoring in network and constituency building for CSOs. Network capacity assessments and information flow diagnostics that analyze network strengths and weaknesses and lead to plans for network enhancement. Network strengthening and capacity building, including incubation and facilitation of new networks (those that work within Counties, and those that work beyond County borders to impact National issues such the formation of an Arid Lands Community Association). Linking Health CSOs into broader advocacy networks focusing on cross-cutting topics such as transparency and budgeting.
Support may also be provided to CSOs so that they can conduct the following activities: Advocacy and watchdog efforts that make use of new and innovative technology. Advocacy campaigns to County governments on key sector-specific issues such as policy reform, service delivery improvements and County budget expenditures (e.g., by community development associations). Advocacy campaigns and public interest lawsuits to address issues of participation, transparency, and protecting the rights of marginalized groups (including women, youth, persons with disabilities and ethnic minorities). Service delivery monitoring especially through work with beneficiaries on the development and promotion of scorecards that evaluate service delivery performance. Monitoring of public financial management practices such as revenue collection, procurement, and budgets versus actual expenditures.
Investigations into corrupt practices and campaigns to demand the prosecution of perpetrators. Engagement in government created participation mechanisms and/or support for CSOs to take initiative on the facilitation of such mechanisms when Counties have not done so. Activities would include community planning forums, public hearings on legislation, town halls, and citizen advisory boards. Civic education and sensitization on devolution that leads to civic action. Membership and local fundraising drives that educate citizens on the importance of a CSOs mission and seek to garner increased support from a broader group of constituents, including marginalized groups. Harambee self-help efforts that focus on public/private/civil society partnerships for better development outcomes and increased sustainability.
Depending on identified gaps, AHADI shall build on REGAL efforts through the following subtasks: Targeting CSOs that have not yet been reached with capacity building (depending on how REGAL is implemented, this may be entire groupings of CSOs such as water users associations, or it may be individual organizations that are worth focusing on). Providing capacity building in areas that REGAL may not be focusing on (e.g., constituency building). Applying new techniques that further enhance REGALs efforts (e.g. advocacy clinics, network diagnostics, bringing together groups from across Counties to link with National-level NGOs to create a Kenya-wide effort). Supporting advocacy in areas that REGAL has not yet worked in (e.g., monitoring, scorecards and investigations).
With regards to Education and Youth, AHADI sub-tasks could include: Establishment of a National advocacy network of PTAs and civil society organizations (or enhancement of the existing network if it is deemed to have sufficient leadership potential). Capacity-building of Youth Bunges to engage effectively with County governments. Support Youth Bunges to develop sector-specific subgroups that allow them to engage on broad range of issues of interest to youth at both the County and National levels. National Youth Bunge strengthening plan. network assessment and development of a network
With regards to Extractive Industry Transparency and Accountability, AHADI sub-tasks could include Providing training and support to deepen and widen public knowledge and understanding of the extractive industry as well as the need for accountability and transparency in this sector. Support efforts to increase transparency and accountability in extractive industries by strengthening CSO monitoring of the sector. Support CSO advocacy on the adoption of Extractive Industry Transparency Initiative standards, as well as other relevant laws and policies, to help Kenya avoid the resource curse with regards to its newly launched extractive industries.
Illustrative Indicators Standard Foreign Assistance Indicator (DRG) 2.4.1-9: Number of Civil Society Organizations (CSOs) receiving USG assistance engaged in advocacy interventions. Number of policies affected by USG-supported advocacy campaigns. Number of services improved via civil society scorecards. Number of instances of corruption prosecuted. Number of active members of targeted CSOs over time. Networking capacity index score. Number of County-level CSOs that engage on National policy issues through networks. Feed the Future Indicator Handbook Indicator 4.5.1: Average percent change in score on key areas of organization capacity amongst USAID direct and indirect local implementing partners. Feed the Future Indicator Handbook Indicator 4.5.2-11: Number of food security private enterprises (for profit), producer organizations, water users associations, womens groups, trade and business associations and community-based organizations (CBOs) receiving USG assistance. Standard Climate Change Indicator 4.8.2-10: Amount of investment leveraged in U.S. dollars, from private and public sources, for climate change as a result of USG assistance Number of institutions with improved capacity to address climate change issues as a result of USG assistance Standard Foreign Assistance Indicator (Basic Education) 3.2.1-18: Number of PTAs or similar school governance structures supported.
Number of mechanisms created to allow for constructive engagement of youth (and other marginalized groups) in County governance.
C.5.2.3 TASK# 2.3: STRENGTHEN TARGETED COUNTY MEDIA ENTITIES Integral to civil society being able to hold local government to account will be an effective media that ensures citizens are accurately informed of County government performance, and can provide a platform for civil society advocating change when it is needed. In some targeted Counties, media outlets have received a large amount of training and have significantly increased their capacity. While in other Counties, local media entities are sparse and/or under-capacitated. The Contractor shall devote a small portion of its programming efforts (relative to the size of support for Counties or CSOs) to enhancing the professionalism of local media, its knowledge of local governance systems, its ability to investigate issues of corruption and accountability, and most importantly, its ongoing linkages and relationships with civil society. The Contractor shall target a variety of media outlets, with special attention to vernacular and community radio. Sub-tasks may include: Training for journalists and editors to enhance professionalism and investigative skills. Training for both traditional journalists and, increasingly, influential social media users in conflict sensitivity. Training for traditional and electronic media in sector-specific issues as they emerge in importance. This would include especially the promotion of transparency and accountability of expenditures and revenues related to the extraction of natural resources. Small stipends to conduct investigative journalism. Workshops that help to both identify stories for immediate production, as well as to build long-term connections between CSOs and the Media.
Sector Integration A capacitated local media that is more professional and better able to engage with CSOs will be able to benefit a wide range of public interests from investigating potential corruption in food security service delivery to reporting on successful health service delivery strategies. Illustrative Indicators: Standard Foreign Assistance Indicator 2.4.2-8 Number of training days provided to journalists with USG assistance, measured by person-days of training. Standard Foreign Assistance Indicator 2.4.2-5 assisted by USG Number of non-state news outlets
Number of investigative media stories produced with USG assistance
Number of media stories produced with CSO input/cooperation and with USG assistance
C.5.3 OBJECTIVE #3: FUNCTIONALITY AND EFFECTIVENESS OF THE DEVOLVED SYSTEM INCREASED THROUGH IMPROVED INTRA-GOVERNMENT ENGAGEMENT AND COOPERATION. C.5.3.1 TASK #3.1: ASSIST AND STRENGTHEN GOK ENTITIES RESPONSIBLE FOR THE TRANSITION TO DEVOLVED GOVERNANCE By the time this project is awarded, the activities of the Transitional Authority (TA) will be well underway and deep into its Phase II efforts (focusing on post-election devolution roll-out). It is expected that the body will be fully staffed and funded, but if not, both direct assistance and support for advocacy for additional resources will likely be needed. Given the importance of the TA, the Contractor shall provide guidance, lessons learned, technical assistance, etc. in nearly every aspect of its responsibilities, but especially with regards to its planning, communications and political engagement processes. But perhaps the most important tasks for the TA are setting the criteria for service transfer, and building the capacity of Counties to successfully meet those criteria. With regards to the transfer criteria, this could be a contentious process, and the Contractor shall provide the TA with needed assistance to facilitate a dialogue with Ministries, Counties and civil society that will set transfer requirements that are achievable within a relatively short timeframe, but stringent enough so that service delivery does not degrade. The Contractor shall further assist the TA to develop strategies for engaging the parliament and relevant Ministries internally, as well as engaging civil society to be involved in the process externally. It shall also assist the TA to clearly and publicly articulate when Counties have not sufficiently met criteria, and what they must do to meet those criteria. With regards to capacity building, the TA is unlikely to have sufficient resources to cover Counties capacity building needs, and so the Contractor shall play an important support role. The entirety of Objective #1 is devoted to this task.Beyond these three areas, other important TA responsibilities for which it will need technical assistance include: Auditing existing infrastructure and assets held within Counties. Planning for the transfer of those assets along with existing human resources. Planning and implementation of the transfer of central government functions and responsibilities. Development of each Countys first budget. The creation and implementation of each Countys public financial management system.
There are also other national entities that shall require technical support and guidance to fully realize the objectives of AHADI. As responsibilities and administrations change, these may shift over time, but shall initially include the Ministry of Planning (or its successor), Ministry of Finance, KSG and the CPST. Given that numerous donors and projects are working with the TA and these other national-level entities, the Contractor shall carefully calibrate its technical assistance to compliment the work of others and avoid duplication.
Sector Integration There are several important aspects of sector integration that shall be addressed under this task. The first is that the project shall help facilitate any outstanding and clarifying negotiations between Ministries, Counties and the TA that will lay out a detailed and specific delineation of responsibilities. Once these different responsibilities are agreed to, the project shall help codify them into policy and legislation, and help the TA to facilitate the delivery of training and capacity building so that those transferred services are managed and delivered effectively. The project shall ensure that key sector-specific skills, tools, methodologies and considerations are included in a suite of capacity building interventions and resource materials provided to new County governments. Sub-tasks may include: Assist with the creation of County-level models for understanding, strategizing, planning and developing policies for: climate change adaptation, enhancement of food security, low-emissions development, and youth engagement. Creation of a County in a Box packet of resources and tools for new County officers that would include, for example, models for County assembly standing orders, recommended staffing structure, transparent hiring policies, transparent financial management and procurement policies, etc. Assist the TA to engage with Ministries, Counties and technical experts to develop reasonable criteria for determining when services can be transferred (ideally to include criteria that enhance transparency, accountability, participation and diversity requirements). Work with the TA to provide County capacity-building.Provide the TA with lessons learned from international examples and capacity building to effectively plan and manage the actual transfer of responsibilities to Counties. Embed technical staff in the TA (and potentially other GOK entities) to provide advice and support on an ongoing basis. Work with the Ministry of Planning to facilitate participatory County-level planning processes. Strengthen the ability of KSG and the CPST to delivery capacity building to Counties. Assist the Ministry of Finance in developing and rolling out Public Financial Management standards to the Counties.
Illustrative Indicators Number of functions fully devolved to target Counties. Number of Counties implementing more than 75% of total functions to be devolved. Number of County financial systems created and implemented.
Number of initial County budgets with adequate Health, Climate Change/Food Security and Youth funding. Number of service transfer criteria involving transparency/accountability/participatory requirements.
C.5.3.2 TASK #3.2: SUPPORT MECHANISMS FOR INTER-COUNTY LEARNING, COLLABORATION AND ENGAGEMENT WITH THE NATIONAL GOVERNMENT Although Kenya is moving towards a more decentralized system of government, it is important to remember that Counties do not function in a vacuum. The ability to successfully coordinate, negotiate, advocate, and work at all levels both up and down government will be one hallmark of a County's success. Counties must be able to articulate needs to the National government and influence National-level policies that affect them, as well as to engage effectively with other Counties. This will require a set of institutions and forums that support or supplement County government in their efforts and allow them to coordinate with each other, central government Ministries, Parliament, the new Senate, the remnants of the Provincial Administration, County Commissioners, independent agencies, and citizen groups. The Contractor shall assist County governments to set up permanent structures to allow for sharing best practices and coordinated advocacy (including the Council of County Governors envisioned in the Intergovernmental Relations Act). The project shall facilitate cross-county learning through these groups, and it shall build the capacity of those institutions to lobby for County needs to be met both within the government and through external pressure from bodies such as civil society and the media. In addition to formal bodies, the project shall also support as-needed forums and meetings around key issues (e.g., determinations around functional transfer criteria, the pace of devolution, or the authority of Counties versus National government representatives located within the Counties) that need to be worked out. Sector Integration The Contractor shall work to catalyze, support and facilitate two types of inter-County coordination mechanisms that shall support sector-specific goals under this task. 1) Inter-County Learning and Advocacy: The first consists of bodies that exist to share information around issues specific to sectors, so that Counties can learn from each others experiences and share best practices. These groups will also allow Counties to take the lead in influencing the National agenda highlighting local views on sector issues and providing a powerful means to advocate for those interests. A strong and capacitated Arid Lands County Alliance, for example, shall be formed to be a highly visible and effective advocate that would keep food security issues on the National agenda year round, instead of just when an emergency arises. With regards to Youth, the Contractor may help to found a County Youth Alliance that will assist Counties to share best practices in providing opportunities for youth to constructively engage in governance and improve their livelihoods. Such an alliance can serve as a partner to the National Youth Bunge system and the project can facilitate constructive engagement between the two groups for joint activities and advocacy at the National level. Despite some decentralization efforts in the sector, Education will remain, as per the Constitution, a function controlled by the central government. Though this could potentially change, these groups may be one of the few means Counties have for successfully engaging with the centrally controlled administration to effect education services in their
areas. A strong and capacitated County Education Alliance will allow Counties that have found ways to successfully supplement National-level education services and/or coordinate with National government representatives, to share those practices so they can be replicated by other Counties. AHADI may also support a County Education Alliance to join forces with civil society actors such as PTAs to advocate for increased educational budgets and better service delivery in the sector. The group could also work with the central government for ever greater local control, which could potentially be a step in Kenya deciding to adopt a Constitutional amendment to devolve education (which many Kenyans feel should already be in place). 2) Managing Shared Resources: The Contractor shall also focus support on a second set of bodies focused on mechanisms for two or more Counties to jointly manage a shared resource while minimizing conflict. Depending on need, these groups can either be permanent mechanisms for coordination, or ad hoc groups brought together to resolve a specific issue regarding agriculture or NRM. Where feasible, they should also go beyond management of existing resources, to promoting policies and joint activities that enhance or even create resources. Given the cross-County nature of resources (e.g., parks, forests, water, oil resources, rangeland) and the need to promote equitable use, these groups will be especially important in the arid lands, and the Contractor shall work to set them up with strong enforcement tools so that agreed upon policies can be effectively put into practice. The Contractor shall also assist these bodies to integrate conflict concerns into their policymaking, and to include robust input from the communities that use the resources in question. Doing so will help the enacted policies conform to the needs of the local populace, rather than potentially further inflaming existing conflicts. Additional Sectors: If additional target sectors and service delivery functions are identified as described in Task #1.6, The Contractor shall help ensure that these sectors are complimented by relevant inter-County coordination bodies either through direct support or through coordination with existing projects. Sub-tasks may include the following with regards to overall County coordination: Assist in the formation and strengthening of the Council of County Governors and other inter-County bodies. This will include both those envisioned in the Intergovernmental Relations Act, and those that while not specifically legislated, could have a positive effect (e.g., County Auditors Association, County Assembly Member Association, etc.). Assist inter-County bodies to develop and carry-out advocacy strategies. Support for cross-County study tours and other means of diffusing best practices. Support for forums to increase coordination with National bodies (e.g., meetings that bring to together a Countys civil society leaders, Members of Parliament (MPs), Senator, Governor, and County Assembly members to define and strategize a common advocacy agenda) on County issues. Facilitate dispute resolution forums, mechanisms and meetings that help resolve National-to-County and County-to-County conflicts. Support the formalization of linkages between County governments and their Senator Support for the formalization of linkages between Constituency MPs and Sub-County Administrators
Training and mentoring for cross-County bodies on integration of conflict and community concerns. Lessons learned workshops for County leaders participating in AHADI
Sub-tasks may include the following with regards to Climate Change and Food Security: Creation, support and capacity-building of Arid Lands County Alliance for learning and advocacy to the National government on policies for drought resiliency in arid lands. Creation, support and capacity-building of other relevant County sector groups: Agriculture, Water, Energy, etc. Creation, support and capacity-building for bodies to manage shared resources. Support for cross-County bodies to enhance or create resources. Examples include forest and water catchment rehabilitation, animal disease control, developing renewable energy facilities, and supporting research and scale-up of appropriate technologies for improved agricultural management practices. Support for cross-County community forums to resolve conflict and design policy. Examples include policies on cross-border livestock mobility and water resources.
Sub-tasks may include the following with regards to Education and Youth Creation, support and capacity-building of County Government Education and Youth Alliances. Facilitate engagement between County Government Youth Alliance and the National Youth Bunge Association that jointly identifies opportunities for youth empowerment. Facilitate engagement between County Education Alliance and a National PTA network to jointly identify opportunities for advocacy and improvement of educational services. Support County Youth Alliance advocacy on youth issues faced at the National level. Documentation and exchange visits from Counties who have identified creative ways to improve education within their borders in order to replicate the practice elsewhere. Facilitation of joint County government/civil society advocacy on key issues such as increased budgets, more teachers, improved school facilities, better incentive structures and oversight of teachers, improved curricula, and greater local accountability for teachers and school administrators. Help Counties to engage the administration on education coordination efforts such as involvement in the decision-making process for central government block-grants to schools, and joint planning for County hand-off of pre-primary students to primary schools. This may involve the creation of in-County coordination bodies that involve County officials and centrally-employed officials stationed within the County.
Illustrative Indicators Number of National-level decisions affected by County government advocacy. Number of documented cases of best-practices transfer. Number of National-to-County or County-to-County disputes successfully resolved. Number of shared resources with established cross-County governance procedures in place. Foreign Assistance Indicator (Basic Education) 3.2.1-38: Number of laws, policies, regulations, or guidelines developed/modified to improve primary grade reading projects or increase equitable access. Standard Foreign Assistance Indicator (Basic Education) 3.2.1-38: Number of laws, policies, regulations, or guidelines developed/modified to improve primary grade reading programs or increase equitable access.
C.5.4 PROGRAM MODIFIER/RAPID RESPONSE MECHANISM (USD$ 5,000,000) In addition to the activities described above, the Contractor should have the capacity to respond to unanticipated events impacting on achievement of AHADI objectives, upon written request from the USAID COR. This capacity may be required in any of the result areas mentioned in the SOW and should meet the following minimum standards: Program Modifier Result: Contractor has the capacity to respond quickly to unanticipated events including the illustrative indicators identified above. Program Modifier (PM) / Rapid Response Performance Standards, at a minimum: PM 1 The Contractor has the capacity to provide short notice technical assistance (within 21 days) or logistics support (within 30 days) in response to unanticipated events and urgent requests that arise with regards to devolution. The capacity may be required in any of the subject areas covered by the contract and any subsequent amendments. PM 2 The assistance may include technical assistance, training and / or logistics support for or in behalf of devolution stakeholders and partners requiring critical support for achievement of AHADI objectives. Activities may include, but are not limited to: monitoring, planning, analysis and assessments; as well as training or orientation of, and / or promoting dialogue between, devolution stakeholders and partners. Assistance may also include other activities such as preparation of reports; logistical support for time sensitive devolution partner initiatives; integration of additional sectors, geographical locations, and partners; and subgrants to critical program related civil society and County Government activities. Note: If implementation is eventually authorized, this Program Modifier would be implemented through a future contract modification providing additional funding.
C.6
RISKS/ASSUMPTIONS/CONSTRAINTS
In the design of AHADI project, USAID has made the following assumptions about the operating environment: County Government will be given primary responsibility for the delivery of services anticipated in the Constitution under relevant decentralization laws and policies. Any changes to the role and function of County government will not preclude AHADI from working with them. Government will allow AHADI to provide technical support to County governments and technical and grant assistance to civil society organizations. Government will continue its overall commitment to the decentralization process and wont seek to actively undermine it. Other donors will support pieces of decentralization necessary for success. In the design of the AHADI project, USAID has identified the following risks in the operating environment: The TA may lack the skilled personnel to effectively manage the devolution process. The TA may be given too broad or narrow a mandate to effectively manage the devolution process. Services may be devolved either too quickly (before Counties are ready) or too slowly (undermining the process). Central government officials may inadequately empower County level government. The Government may be unwilling to disassemble previous sub-National governing institutions. Skilled Kenyans may be unwilling to work in certain Counties. The Government could impose bureaucratic obstacles that could greatly hinder the devolution process Novice government officials in Counties level may be more prone to graft. County officials may not be interested in creating a better service delivery environment, and/or increasing oversight and accountability. There may not be sufficient civil society infrastructure or capacity in target Counties that can be built rapidly enough to have an impact during the life of the project. Tensions within some targeted Counties could become so severe as to preclude project operation in those Counties. As part of its reporting to USAID (as described in section F.7.), the Contractor shall monitor the status of the above mentioned risks and assumptions, inform USAID whether these risks or assumptions materialize, whether they change in scope or severity, and whether new risks or assumptions are identified. As necessary, the Contractor shall adapt its strategy to handle changes in risks and assumptions over time. C.7 MONITORING, EVALUATION, REPORTING, LEARNING AND ADAPTING
An effective strategy for project monitoring, evaluation, reporting, learning and adapting shall be essential given the scope of this project, the diversity of results it is trying to achieve, the shifting political landscape it will be working within, and the variety of actors it intends to work with. The Contractor shall present a draft Performance Management Plan (PMP) with the proposal, which will be finalized after award in accordance with Section F. The plan shall include the Contractors proposed indicators to monitor the achievement of the Scope of
Work, as well as its strategy for: a) effective oversight; b) staff monitoring and evaluation capacity; c) data management; d) learning and mid-course adjustments that shall keep the project focused on achieving its intended objectives. The Contractor shall link its monitoring to a work plan that shall include specific implementation and budgeting for the initial and subsequent 12 months. In addition, the contractor shall submit quarterly and annual reports, as well as Monthly Progress Reports as described below in section F.7. The PMP shall include the agreed upon framework of goals, outcomes, and outputs with indicators, baselines and targets defined for each, with gender disaggregated where appropriate. Where projects or activities have specific interventions that target or benefit the youth (defined as those within the age range of 10 to 30 years old), people level indicators shall be disaggregated by age. Where projects or activities are implemented in particular locations, the Contractor shall map and track the type of intervention by project objectives. As possible and appropriate, this could be done by county, region and target area. The PMP shall include many of the illustrative indicators contained within this document; however the Contractor is free to propose alternate or additional indicators, as long as they adequately measure project impact on the described objectives and meet agency and crosssector reporting requirements. The contractor must think carefully and strategically about which indicators are appropriate within the proposed program context and adequately reflect programmatic results. The focus of these indicators must be on the quality of measurement capacity and ability to gather requisite information. The Contractor shall be required to collect baseline data for all relevant indicators, in the County Preparedness Study as described in Section F.7, and this baseline shall be used to evaluate program impact and results in each quarterly report. Agreement will be reached between the contractor and the respective COR as to how data for these indicators will be tracked to ensure consistency. Baseline data gathering shall be completed within the first four months of the project. Because assessment and implementation frequently overlap in an iterative feedback process, a certain level of new research, verification, and data collection may be required in order to make informed decisions and to monitor the effectiveness of development interventions. Therefore this project shall collect data that it is (1) necessary in order to implement a development solution (2) aligned with the monitoring and evaluation criteria of USAID Forward. The Performance Monitoring Plan shall contain key evaluation questions that could guide the understanding and interpretation of results in line with USAID Evaluation Policy. Under USAIDs new Evaluation Policy (http://transition.usaid.gov/evaluation/USAIDEvaluationPolicy.pdf), the implementing partner is primarily responsible for monitoring and ongoing evaluations (typically formative and midterm evaluations) that inform management decisions by assessing whether projects are being implemented as planned, reaching targeted groups, and achieving expected outputs and outcomes. However, the primary responsibility for final (summative) evaluations that assess the overall performance and results from the project/activity rests with USAID. While the implementing partner will provide supporting data and analysis, such evaluations will be designed, implemented and separately contracted (where contract support is needed) by the Mission to assure objectivity and rigor. With the opportunities offered by an entirely new governance structure, USAID/Kenya has determined that this project is potentially well positioned to be the subject of an Impact Evaluation (IE). As described in USAIDs Evaluation Policy, Impact evaluations measure the change in development outcome that is attributable to a defined intervention; impact
evaluations are based on models of cause and effect and require a credible and rigorously defined counterfactual to control for factors other than the intervention that might account for the observed change. If the option to conduct an IE is exercised by USAID/Kenya, the success of the rigorous IE shall require close collaboration and effective communication between AHADI and the external IE team throughout the lifespan of the project. In particular, the Contractor shall work closely with the IE team on the following programmatic aspects, which are described further in the section below: County, sub-County and ward site selection, Baseline survey design and sampling scheme, Coordination and harmonization of performance monitoring and IE, and Activity design and implementation for a defined set of activities that may be subject to the rigorous IE.
In addition, USAID/Kenya may choose to institute an external mid-term or performance evaluation (focusing more on descriptive and normative questions regarding the project). Similarly, the Contractor is free to propose internal performance evaluation measures it deems relevant and cost-effective.3 C.7.1 IMPACT EVALUATION Impact evaluation guidance that the Contractor shall adhere to is described in detail below. This Impact Evaluation (IE) will be conducted externally and therefore, the AHADI Contractor will be responsible for full collaboration with the third-party evaluator. The timing for the evaluation will be determined internally at USAID and communicated to the Contractor during the life of the AHADI project. DEFINED INTERVENTIONS AT SUB-COUNTY AND WARD LEVELS IN A SUFFICIENT NUMBER OF SITES In order to conduct a rigorous impact evaluation, it will be critical for the implementer to commit to carrying-out a defined activity (or subset of activities) within a sufficient number sub-Counties or wards. Activities under Tasks 1.3, 1.4 and 2.2 will likely be the best candidates for a rigorous IE. LOWER-LEVEL SITE SELECTION AND PROGRAM ROLL-OUT To ensure the success of the IE, it will be essential to randomize sub-Counties and wards into treatment and control sites. Put differently, it will be necessary to randomly select the set of lower level sites where the activity selected for the IE will be administered. The IE team will be responsible for the development of the randomization plan, in collaboration with the implementing partner. Once the randomization plan is finalized and the treatment districts selected, the implementer will need to carry-out the activity under evaluation in the selected set of treatment sites and not implement the activity in the selected set of control sites. To address ethical concerns that may arise, sites which are initially designated as control
3
See USAID Evaluation Policy (www.usaid.gov/evaluation/USAIDEvaluationPolicy.pdf) and ADS 203 (www.usaid.gov/policy/ads/200/203.pdf) for more detailed guidance.
sites can receive the treatment at a later stage in the program. This is called a phased randomization design. CLOSE COORDINATION WITH IE TEAM ON SUBGRANT DISTRIBUTION TO CSOS Depending on the activity selected for the impact evaluation, it may be critical for the recipient to work closely with the IE team to ensure that the distribution of subgrants to CSOs does not present significant contamination or inference problems for the IE. For example, the IE team and implementing partner can work together to ensure that the proposed CSO activities represent complementary versus competing activities to the planned activities under evaluation. Additionally, depending on the overall implementation plan, the implementer may find it advantageous to work through the sub-grant mechanisms in order to implement the activities designated for the IE. BASELINE SURVEY DESIGN AND IMPLEMENTATION To maximize efficiency, conserve resources and produce the most valuable evaluation, it will be necessary for the recipient and IE team to work in close collaboration on the design and implementation of the baseline survey. In particular, the substantial involvement of the IE team in the survey instrument design and sampling plan is important for two main reasons. First, the IE team will devote resources to conducting a baseline study for the purposes of the impact evaluation. Thus, a single, wide spread, comprehensive baseline survey that combines both the IE team and implementers resources may be the most efficient and affordable method for achieving the overall evaluation objectives. Second, beyond the rigorous IE component, the IE team will also be responsible for producing a broader program evaluation. Given a well-designed survey instrument and sampling design, the baseline survey has the potential to produce more reliable evidence regarding the overall program effect, and the IE team will bring significant experience and expertise to this critical data collection effort. COLLABORATION WITH THE IE TEAM REGARDING ACTIVITY ADJUSTMENTS To ensure a rigorous impact evaluation of the defined set of activities at the local government level, it will be necessary for the recipient to ensure that these activities are implemented as consistently as possible across program sites. Throughout the projects lifespan, there must be effective communication and collaboration with the IE team regarding any possible activity adjustments; any fundamental or undocumented changes will threaten the validity of the evaluation design. COORDINATION AND HARMONIZATION OF PERFORMANCE MONITORING AND IE The performance monitoring plan and impact evaluation should be jointly developed to ensure a coordinated evaluation effort. This will require close collaboration, effective communication and a solid working relationship between the implementers monitoring and evaluation team and the IE team. C.8 GRANTS UNDER CONTRACT
The Contractor shall make grants pursuant to ADS 302.3.4.8 (Grants Under Contract). Use of the GUCs procedure is subject to specific approval by USAID and must meet certain conditions, not all of which are summarized herein. The Contractor shall develop a grants procedure manual, approved by the USAID Contracting Officer, for the administration of
GUCs. USAID must be significantly involved in establishing selection criteria for GUCs and must approve the actual selection of grant recipients. In addition, USAID will retain the right to terminate grants unilaterally A minimum of $15,000,000 of project funding shall be allocated over the five-year program for the Grants under Contract program (with even higher amounts encouraged). The remaining amount of funding to local organizations and institutions shall be used for subcontracts and purchase orders for management responsibilities and to implement activities as required. The grant fund is used specifically to ensure that local organizations and governments have access to funds to carry-out devolution-related efforts, and that the contractor has the flexibility to respond accordingly to needs as these arise. In addition to traditional grants and cooperative agreements, the contractor can propose creative ways to utilize this fund such as fixed obligation grants, in-kind grants of equipment or supplies, micro-grants, and subsidies or matching grants to reduce risk and encourage buy-in. Creativity is expected in the use of this fund to support Kenyan initiatives and institutions (both governmental and non-governmental) in line with the objectives of the project. In cooperation with and to be approved by USAID, the Contractor shall prepare a Grants Manual within 30 calendar days after award which shall be used for the selection process for winning grants. The Grants Manual shall include the establishment transparent, competitive procedures for 1) determining priorities and approaches for grants to be solicited under the AHADI project and 2) making final selection of winning applicants. USAID will be closely working with the Contractor in the management and administration of the grants under AHADI. The AHADI COR will provide oversight and guidance to the Contractor in soliciting and implementing grants in a way that achieves the objectives of the project. END OF SECTION C
SECTION D PACKAGING AND MARKING D.1 AIDAR 752.7009 MARKING (JAN 1993)
(a) It is USAID policy that USAIDfinanced commodities and shipping containers, and project construction sites and other project locations be suitably marked with the USAID emblem. Shipping containers are also to be marked with the last five digits of the USAID financing document number. As a general rule, marking is not required for raw materials shipped in bulk (such as coal, grain, etc.), or for semifinished products which are not packaged. (b) Specific guidance on marking requirements should be obtained prior to procurement of commodities to be shipped, and as early as possible for project construction sites and other project locations. This guidance will be provided through the cognizant technical office, or by the Mission Director in the Cooperating Country to which commodities are being shipped, or in which the project site is located. (c) Authority to waive marking requirements is vested with the Regional Assistant Administrators, and with Mission Directors. (d) A copy of any specific marking instructions or waivers from marking requirements is to be sent to the Contracting Officer; the original should be retained by the Contractor. D.2 BRANDING POLICY AND STRATEGY
Branding strategy implementation and marking under this contract shall comply with the USAID Graphics Standards Manual available at http://www.usaid.gov/branding and any successor branding policy as detailed in the Automated Directive System (ADS) Chapter 320. Objective: To provide potential Offerors with areas to be addressed in the development of the USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Branding Implementation and Marking Plans so as to deliver the message that the assistance is from the American People. Activity name: The name of the activity shall be the USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project. In every public event or document and in discussions with the Government of Kenya and other counterparts, the contractor shall identify the activity as the USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project (which can be abbreviated to AHADI after the initial reference is made in a particular instance). Branding: The branding strategy shall incorporate the message that the assistance is From the American People, and is sponsored by USAID . USAID policy is to require exclusive branding and marking in all its direct contracts. Positioning: Publicity materials and communications shall clearly reflect the notion that this activity is provided by the American People through USAID with the close collaboration and support of the Government of Kenya. No other organizations will be acknowledged publicly in connection with AHADI.
Visibility: USAID seeks a very high level of visibility through USAIDbranded public events, highlevel visits, community awareness and training activities, and media coverage. However, the Contractor may propose activities to be exempted from this requirement to the Contracting Officers Representative (COR) for concurrence and for Contracting Officer approval. Approval Procedures: In carrying out the approved Branding Implementation and Marking Plans, the contractor will seek timely approval from the COR for all public and media documents, speeches, and event preparation forms as per USAID/Kenya outreach and communication procedures at least three (3) weeks prior to the implementation date of the subject activity. Specific waivers of branding implementation and marking require Contracting Officers advanced written approval. Anticipated Elements of Marking Plan: Deliverables to be marked include products, equipment and inputs delivered; places where activities are carried out; external public communications, studies, reports, publications and informative and promotional products; and workshops, conferences, fairs and any such events. Studies, reports, publications, Web sites, and all informational and promotional products not authored, reviewed, or edited by USAID must contain a provision substantially as follows, This study/report/Web site (specify) is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this (specify) are the sole responsibility of (name of organization) and do not necessarily reflect the views of USAID or the United States Government. Graphics Standard Manual: USAIDs webpage contains the electronic version of the Graphic Standards Manual that is compulsory for all contractors to follow. D.3 APPROVAL OF CONTRACTOR BRANDING IMPLEMENTATION AND MARKING PLAN
The Contractors Branding Implementation Plan and Marking Plan, will be finalized and submitted for Contracting Officer approval no later than 15 days after contract award. The Contractor will follow the approved plan during implementation of this contract unless a waiver is requested and approved by the contracting officer. Guidance on applying for waivers can be found in USAID Automated Directives System Chapter 320, Branding and Marking. END OF SECTION D
SECTION E INSPECTION AND ACCEPTANCE E.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.2522 CLAUSES INCORPORATED BY REFERENCE in Section I of this contract. See FAR 52.2522 at http://www.acquisition.gov/far/current/html/52_248_253.html for the full text of the clause. NUMBER TITLE DATE
FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1) 52.2465 52.246-3 E.2 INSPECTION OF SERVICESCOST REIMBURSEMENT APR 1984
INSPECTION OF SUPPLIES COST REIMBURSEMENT MAY 2001
INSPECTION AND ACCEPTANCE
USAID inspection and acceptance of services, reports and other required deliverables or outputs shall take place at: Democracy, Rights and Governance Office USAID/Kenya U.S. Embassy, United Nations Avenue, Gigiri P.O. Box 621, 00629 Village Market Nairobi, Kenya or at any other location where the services are performed and reports and deliverables or outputs are produced or submitted. The Contracting Officer has delegated to the COR authority to inspect and accept all services, reports and required deliverables or outputs. E.3 MONITORING AND EVALUATION PLAN
Monitoring and evaluation plans should be utilized in order to assess the impact of the programs and whether or not objectives are being achieved and if they should be adjusted.
END OF SECTION E
SECTION F DELIVERIES OR PERFORMANCE
F.1
NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE
The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.2522 CLAUSES INCORPORATED BY REFERENCE in Section I of this contract. See FAR 52.2522 at http://www.acquisition.gov/far/current/html/52_248_253.html for the full text of the clause. NUMBER 52.424-15 TITLE STOP WORK ORDER, ALTERNATE 1 DATE AUG 1989
F.2 PERIOD OF PERFORMANCE The period of performance of this contract is TBD, 2013 through TBD, 2018. The estimated period of performance for this contract is 5 years. F.3 PLACE OF PERFORMANCE The primary place of performance is Nairobi, Kenya, where the contractor shall establish a field office. However, regional offices may be established in other parts of Kenya as necessary. The Contractor shall travel throughout Kenya, as necessary to perform the work requirements under this SOW. Potential locations of ongoing operation and engagement include Turkana, Marsabit, Wajir, Isiolo, Garissa, Tana River, Lamu, Kilifi, Kwale, Taita Taveta, Nairobi, Mombasa, Kisumu, Machakos and Kiambu. The final list of target counties will be negotiated with the Contractor and will be subject to the approval of USAID/Kenya. The Contractor should be aware that Garissa is currently a non-permissive area for travel and operations for entities under Chief of Mission Authority. Therefore, the Contractor shall articulate plans for obtaining waivers or otherwise implementing the project in this County. As security situations evolve in Kenya, the Contractor shall continue to adapt the project to fit changing restrictions and security concerns. F.3 PERFORMANCE STANDARDS The contractors overall performance will be evaluated jointly by the COR and the Contracting Officer and will form the basis of the Contractors permanent performance record with regard to this contract as required in FAR 42.15 and AIDAR 742.15. This will form the basis of the Contractors permanent performance with regard to this contract: a) Quality o o o o Quality and effectiveness of the Contractor's long-term key personnel, other non-key long-term professionals, and short-term specialists to meet contract deliverables. Performance of key personnel. Demonstration of a viable, AID-effective approach to program activities and deliverables. Partnership with Kenyan stakeholders and USAID.
Ability to adapt to rapidly changing environmental and programmatic needs.
b) Cost Control/Effectiveness o o o o Actual costs incurred against the contractor's cost proposal. The final budget will be a part of the contract. The contractor must report expenditures to USAID against the budget quarterly. The COR will randomly check expenditures.
c) Timeliness of Performance o o o o o Ability to set and meet timelines for delivery of all agreed tasks included in the contract scope of work. Long-term and Short-term technical assistance are identified and fielded in a timely manner. Grants under contract are identified, developed and deployed in a timely manner. Timeliness of documents or reports submitted to USAID. Responsiveness to identified performance issues.
During the period of the contract, the COR will conduct annual performance reviews, as well as at contract completion, to monitor the contractors performance progress and success including the following: o o o o o o o At least monthly meetings with USAID; Review of contractors scheduled reports (which include updates to the work-plan, fiscal expenditures and accruals, progress reports, consultants reports, etc.); Feedback from Government of Kenya officials and other counterparts; Site visits by the COR and/or other USAID personnel; Periodic impact assessments/evaluations; Regular planning meetings between USAID and the contractor to finalize annual workplans and/or to identify emerging priorities requiring attention, and; Coordinating committee meetings with USAID, the contractor, the Government of Kenya, and other stakeholders, as agreed.
F.5 KEY PERSONNEL The key personnel proposed by the contractor are considered to be essential to the work being performed. Unless otherwise agreed to by the Contracting Officer, the contractor shall be responsible for providing such personnel for performance of this contract. Replacement of key personnel cannot be made by the contractor without the written consent of the contracting officer. The listing of key personnel may, with the consent of the contracting parties, be modified from time to time during the course of the contract to add, change, or delete personnel and positions, as appropriate. The following full-time, Kenya-based positions are designated as Key Personnel which the contractor shall furnish for the performance of this contract:
(To be completed by the Offeror). Title Chief of Party Deputy Chief of Party Finance Manager Grants Manager Monitoring and Evaluation Specialist Name ____________________________ ____________________________ ____________________________ ____________________________ ____________________________
General roles and responsibilities for Key Personnel are as follows: Chief of Party: Responsible for overall program leadership, strategic planning, management and quality assurance. The Chief of Party ensures that impacts are achieved and that deliverables are provided on time. The CoP is also responsible for facilitating communication and close coordination with USAID/Kenya, other donors, the GoK, County leadership, civil society and other relevant stakeholders. Deputy Chief of Party: Responsible for assisting the CoP with regards to program leadership, strategic planning, management and quality assurance. Will deputize for the CoP during absences. Depending on the Offerors proposed staffing structure, may have other designated responsibilities outside assisting the CoP, such as being head of a satellite office, or being responsible for more day-to-day management issues than the CoP. Finance Manager: Responsible for overseeing all aspects of financial management, including financial systems implementation, budgeting, expenditure tracking, and financial reporting and accounting for both the prime Contractor and any sub-Contractors or grantees. Grants Manager: Responsible for overseeing all aspects of the grants management process, including setting up grants management systems, drafting the Grants Under Contract Manual, drafting solicitations, managing proposal review, designing grant templates, drafting grants, ensuring grantee compliance with relevant rules and grant requirements, and timely close-out. M&E Specialist: Responsible for overseeing all aspects of Monitoring, Evaluation, Reporting, Learning and Adapting (MERLA) for the project, including designing and putting in place robust MERLA systems, tracking indicator data for the prime contractor and partners, data quality control, drafting required reports, and facilitating mechanisms for programmatic learning and adapting. Approval of all non-Kenyan Key Personnel is subject to the candidates ability to secure a work permit from the GoK. Key Personnel Requirements are as follows: Chief of Party: 15 years experience in project management, Masters degree in International Affairs, Economic Development, Public Management or related field relevant to the position requirements (5 years of extra work experience can be substituted in lieu of Masters if candidate only has a Bachelors degree), minimum 10 years working in international development with progressively greater responsibility, minimum 5 years working in governance.
Deputy Chief of Party: 8 years experience in project management, Bachelors degree in International Affairs, Economic Development, Public Management or related field relevant to the position requirements, minimum 5 years working in international development with progressively greater responsibility, minimum 2 years working in governance. Finance Manager: 8 years experience in financial management, Bachelors degree in Business, Accounting, Finance or related field relevant to the position requirements, minimum 5 years working in international development. Grants Manager: 5 years experience in managing large grants facilities, Bachelors degree in Business, Management, International Affairs or related field relevant to the position requirements, minimum 3 years working in international development. M&E Specialist: 5 years experience in written communications and M&E, Bachelors degree in International Affairs, Data Management, Journalism, Public Management or related field relevant to the position requirements, minimum 3 years working in international development.
F.6 MANAGEMENT OF CONTRACT The Contractor shall work collaboratively with the AHADI COR to develop the required annual work plans and progress reports. This includes cost and quality controls under this contract. Technical requirements and tasks will be based on the Contractors proposed work plan, as amended during discussions with USAID/Kenya. This contract will be managed by the USAID/Kenya, Democracy, Rights and Governance Office with technical input from Missions Development Objective teams. The Contractor shall provide the management necessary to fulfill all the requirements of this contract. This includes cost and quality control under this contract. It must be noted that the Contractor is required to commence work no later than seven (7) days after the contracts effective date. All work under this contract shall be completed within the period of performance. The following contract management processes and reporting will be required. All reports indicated below will be submitted to USAID in English. The following processes and reporting may be amended or changed as needed by the COR and Contractor. Specifically, the following may be amended by the COR in consultation with the Contractor based on the annual reporting guidance by USAID reporting requirements. F.7 REPORTS AND OTHER DELIVERABLES In addition to the requirements set forth in AIDAR clause 752.24270, Periodic Progress Reports, the Contractor will submit to the COR reports, deliverables or outputs, as further described below. All reports must be submitted electronically to the COR. DELIVERABLE a. Work Plan DUE DATE Draft Y1 work plan - submitted with proposal. Final Y1 work plan - Within 30 calendar days after USAID feedback is given. Amended Y1 work plan (with additional information from County MOUs) due within 120 calendar days after the Final Y1 work
b. Performance Management Plan
plan is approved. Annual work plans - 30 calendar days prior to start of subsequent year of implementation Draft - submitted with proposal Final - Within 30 calendar days after USAID feedback is given Amended Final PMP within 120 calendar days of after the Final PMP is approved. Final within 15 calendar days of contract effective date Draft - Within 30 calendar days of contract effective date Final - Within 15 calendar days after USAID feedback is given Draft - Within 60 calendar days of contract effective date. Final - Within 20 calendar days after USAID feedback is given
c. Final Branding Implementation Plan and Marking Plan d. Grants Under Contract Manual e. County Preparedness Study (to include or be substituted by Baseline Indicator Data as described below). f. Subsequent Studies
g. County MOUs and/or Capacity Strengthening Plans h. Consultants Reports i. Strategy Review Reports
Drafts no later than 15 calendar days after the conclusion of research. Final no later than 15 calendar days after feedback is given. Drafts within 75 calendar days of the effective contract date. Final within 15 calendar days after USAID feedback is given Updated as necessary throughout the life of the project. . No later than 10 calendar days after the completion of services Draft within 10 calendar days of the completion of a strategy review session Final within 15 calendar days of the completion of a strategy review session Within 5 calendar days of the conclusion of the previous month Within 30 calendar days of the end of quarter. The last quarterly report of the reporting year shall be replaced by an annual report that summarizes the entire year's accomplishments. Within 30 calendar days of the end of the annual reporting period. The last annual report of the project shall be replaced by the final program report that summarizes the entire project's accomplishments. Four weeks before the contract completion date 180 calendar days before contract completion date
j. Monthly Progress Reports k. Quarterly Progress Reports l. Annual Report
m. Final Program Report n. Close-out Plan
In summary, the Contractor shall be responsible for producing the following reports (see section H.12 for submission requirements to development experience clearinghouse): a. Annual Work plans. The work plan is a key document for contract performance that will detail the work to be accomplished during the upcoming year. The scope and format of the
annual work plan will be agreed to between the COR and the Contractor. During contract performance, the work plan will be updated, as required, subject to COR approval. Contracting Officers approval of work plan updates will be required if the proposed changes impact on the use of available contract funds. It is anticipated that USAID Mission staff will review the work plan updates in order to provide comments thereon and to recommend changes, if any. Such comments and changes, however, if accepted by the contractor, will not constitute a change from the terms of the contract. Work plans must describe the activities and interventions required to meet the contract results, including: 1. Proposed activities for the given year; 2. Corresponding time frame for implementation of annual activities; 3. Detailed budget for implementation; 4. Information on how activities will be implemented in a collaborative and coordinated manner with implementing partners and other entities, if any. 5. Review of previous years accomplishments, problems, and progress towards achieving contract results; and 6. Proposed annual accomplishments and progress towards achieving results. 7. A Gantt chart As part of its initial work plan, and all annual work plans thereafter, the contractor in collaboration with the COR and the Mission Environmental Officer or Bureau Environmental Officer, as appropriate, will review all planned and ongoing activities under this contract to determine if they are within the scope of the approved Regulation 216 environmental documentation. If the contractor plans any new activities outside the scope of the approved Regulation 216 environmental documentation, it shall prepare an amendment to the documentation for USAID review and approval. No such new activities will be undertaken prior to receiving written USAID approval of environmental documentation amendments. b. Performance Management Plan (See Section C.7). The Contractors performance will be monitored and evaluated based on the completion of specific tasks as outlined in the contract, adherence to the work plan, and reports submitted to the COR. The PMP will be the principal reference in monitoring and evaluating the Contractors performance and in assessing the achievement of objectives, results and deliverables. At the minimum, the PMP must have the following: 1. A description of the Contractors established management system within which the project PMP will operate the management system refers to: o o o Organization-wide policies and procedures for monitoring and their relation to the particular PMP. Organizational staffing/expertise, roles, and responsibilities and how these are to be used in the particular PMP, including the role of subcontractors. Automated and other methods used to gather, store, process, summarize, analyze, and/or report performance data.
o o
Procedures for regular communication with USAID regarding the status of monitoring activities, including early notification of problems. Means of addressing a discovered lack of progress or success. Procedures should focus on learning from mistakes, analyzing them, and ascertaining the reasons for missteps.
2. Information about all activities to be monitored under the PMP; the listing of activities should be provided in a logical framework which: o o o o o Links activities to contract resultsboth those dictated by USAID in the contract and lower level or complementary results contained in the Contractors technical approach. Describes assumptions being made about the relationship of the activity to the contract result. Identifies the indicators against which progress is to be measured (indicators identified in Section C must be included in PMP). Sets the baseline data, and the quarterly/annual target for every indicator. Describes the methods/tools/techniques to be used for monitoring. Methods for monitoring vary according to what it is being monitored. Some activities can be observed easily and costs and outputs can be measured against the original targets and timetable. Other activities are less easy to monitor in terms of quantitative achievements, especially such intangible effects as awareness and empowerment and their direct links to program interventions. Indirect or proxy indicators may have to be identified, even if these cannot be verified. By considering these factors at the planning stage, expected results can be kept realistic and cost-effective and the Contractor can recognize that not all available and useful indicators are objectively verifiable. Provides an illustrative schedule for discrete monitoring activities tied to the overall project work plan.
3. Gender Consideration. To the greatest extent possible, the Contractor will include both men and women in all aspects of this program including participation and leadership in e.g., meetings, training, etc. The contractor will collect, analyze and submit to USAID sexdisaggregated data and proposed actions that will address any identified gender related issues. To ensure that USAID assistance makes the maximum optimal contribution to gender equality, performance management systems and evaluations must include gender sensitive indicators and sex-disaggregated data when the technical analyses supporting the Contract demonstrates that: o o The different roles and status of women and men affect the activities to be undertaken; and The anticipated results of the work would affect women and men differently.
Where projects or activities are implemented in particular locations the PMP must include a discussion on ways to map and track the type of intervention by project component and fund use. As possible and appropriate, this could be done by county. The Contractor is encouraged to collaborate with relevant stakeholders in monitoring efforts to assure that monitoring and evaluation systems are as cost-effective as possible.
c. Final Branding Implementation Plan and Marking Plan : See sections D.2, L.10 and J.3 for further instructions. d. Grants under Contract Manual : The Grants Manual will be the Contractors guide to implementing the Agile and Harmonized Assistance for Devolved Institutions project grant facility. It must cover all aspects of grant making, from solicitation, screening of applications, vetting of qualified grant recipients, monitoring program and financial progress, and closing out grants. e. County Preparedness Study: As described in Task #1.1, the Contractor will conduct and deliver an in-depth study that will act as a baseline for County preparedness, a way to gather baseline indicator data, a guide for targeting the project, and a resource for County decision-making. If this activity is carried through other means prior to the award of AHADI, the contractor will only be required to deliver Baseline Indicator Data. f. Subsequent Studies: As described in Task #1.1, the Contractor will conduct and deliver 1-5 studies per calendar year to guide the project and provide resources for informed County decision-making. Studies will be identified in concert with the COR and other relevant USAID stakeholders. g. County MOUs and/or Capacity Strengthening Plans: As further described in Task #1.1, based on the County Preparedness Study, as well as on stakeholder discussions (especially County government officials, other partners working in the County and civil society), the Contractor will agree to MOUs and/or Capacity Strengthening Plans with the concurrence of key County leaders (most likely the Governor, but potentially the County Assembly, civil society and/or other key decision-makers). These MOUs/plans should give an outline of the interventions expected in the County by the contractor and the results expected to be achieved. They shall be updated yearly as necessary. h. Consultants Reports. Within ten (10) days after completion of the services of all shortterm consultants, the contractor will submit to the COR a report summarizing the activities, accomplishments, and recommendations of the consultant. i. Strategy Review Reports: As described in section C.3.2, the project will periodically undergo Strategy Review Sessions. The Contractor will be responsible for drafting summaries of the minutes of these minutes, high-lightening any conclusions and agreed-up on strategy changes for the program. j. Monthly Progress Reports are brief (1-5 page) summaries of activities and results that took place within the quarter. Alterations from planned activities shall be noted and explained k. Quarterly Progress Reports: The specific form and content will be agreed upon at the work planning stage, but will at least include the following: An Executive Summary. A summary and assessment of project activities and accomplishments during the quarter. A summary of problems, issues, and means of addressing/correcting them. For each corrective action proposed, the Contractor shall designate responsible parties and establish a timeframe for completion of the action.
A detailed work plan for the following quarter A comparison to planned vs. actual activities based on the work plan from the previous quarter (with explanations for any changes) Success stories Updated indicator data from the PMP Financial and Geographic information as further detailed below
Financial Reports. The contractor shall prepare and submit to the COR every quarter a financial report consisting of a pipeline analysis that includes the following: 1. Current contract budget; 2. Actual costs incurred todate; 3. Projected expenditures through the end of the current quarter and the expiration date of the Contract; 4. Remaining funds under the contract; 5. Level of Effort expenditures todate per staff member; 6. Accruals report total amount obligated, total amount invoiced for, total amount expended but not yet invoices for, and remaining unexpended funds. Reports which indicate that expenditures are less or more than anticipated will be supported with a rationale detailing the probable cause(s). Reports which indicate that expenditures are more than anticipated must also include a plan for ensuring that the performance of the result will be met within the estimated grant budget for that result. This section does not obviate requirements elsewhere in the Contract for notifying USAID regarding obligation balances and potential Contract overruns. Geographical Information Systems Reporting Contractor will be expected to provide GIS data for all locations in which the project is implemented. All spatial and geographic information system activities financed by USG federal funds must comply with: OMB Circular A-16, Executive Order 12906; Automated Directives System (ADS) 507 (Freedom of Information Act); ADS 551 (Data Administration); and 4) ADS 557 (Public Information).
Therefore, Contractors are expected to: document digital spatial data according to ISO 19115 Geospatial Metadata Standards deliver to USAID digital copies of spatial data with accompanying metadata at regular intervals to be decided by the COR; and/or make spatial data available to the public and inform USAID of how this requirement will be met (e.g., via website address, CD distributions, etc.)
This report will serve as a tool by which USAID/Kenya monitors the performance of the Contractor. Final details on the format of this report shall be developed in consultation with USAID upon award of the contract. l. Annual Reports. The final Quarterly Progress Report for the year, which is due on October 31 of each year, shall constitute the Annual Progress Report. In addition to the requirements specified above for Quarterly Progress Reports, it must include a comprehensive narrative report summarizing the previous years activities and accomplishments against the respective annual work plan indicators. Other information, includes: Summary of both successes and failures of project interventions, with reasons for shortcomings and recommendations for actions to overcome them. Annual financial status reports. Project bibliography listing reports prepared under the task order List of all technical assistance activities (including those managed under TOPs), including name(s) of the specialist(s), purpose and duration of the activity, outputs, achievements, problems encountered (if any), and how these problems were resolved. List of in-country courses and seminars organized and the number of participants, disaggregated by gender. List of equipment and materials purchased, including items purchased, destination of equipment, and amount expended.
This report will serve as a tool by which USAID/Kenya monitors the performance of the Contractor. Final details on the format of this report shall be developed in consultation with USAID upon award of the contract. m. Final Report. The Contractor shall submit a detailed final report that must include, at a minimum, the following elements: (1) Comprehensive financial report showing, by line item, the amounts expended. (2) Summary of all project inputs, outputs, accomplishments and impacts. (3) Discussion of problems and challenges encountered, including discussion about why (if relevant) certain objectives were not achieved. (4) Lessons learned. (5) Success stories. Inventory under the the COR, electronic of all reports, presentations, and other key documents and deliverables produced Contract. The Contractor shall compile and deliver all such reports and deliverables, to concurrently with the Final Report, in a user-friendly, properly indexed, searchable form (e.g., CD-ROM or equivalent media).
n. Closeout Plan The contractor will develop and submit to the COR & CO for approval a closeout plan (administration, information, finance, procurement and management) that will include, but will not be limited to, the following: 1. Dates for final delivery of all goods and services for subcontracts; 2. A property disposition plan for the contractor and subcontractor(s) in accordance with contract requirements, which must be approved by the contracting officer; 3. Review of contract files for audit purposes and final billing to USAID; 4. A schedule to address office leases, bank accounts, utilities, cell phones, personnel notification, outstanding travel and social payments, household shipments, vehicle; phone subscriptions, etc.; 5. Receipt of all final invoices and contract performance reports; 6. Report on the estimated amount of funds not required for the completion of the contract; 7. Report on compliance with all local labor laws, tax clearances, and other appropriate compliance matters. The format and outline of contents of this closeout plan shall be proposed by the Contractor no later than 180 calendar days prior to the Contract completion date, and approved by the COR no later than 150 calendar days prior to the Contract completion date. F.8 REPORTING FORMAT a. The cover page of all reports required hereunder shall include the USAID identity (U.S. Agency for International Development/Kenya) prominently displayed, the contract number, contractor name, name of the USAID project office (Program Office), the publication or issuance date of the document, document title, author name(s), project number, and project title. Descriptive information is required whether contractorfurnished products are submitted in paper or electronic form. All materials shall include the name, organization, address, and telephone/fax/internet number of the person submitting the materials. The Contractor shall prepare these documents in English using Microsoft Word, Microsoft Excel, and/or Microsoft PowerPoint. The Contractor shall present documents or other deliverables that do not readily conform to the forgoing format in a format to be agreed to by the COR. The Contractor shall submit all written documents electronically to the COR. b. Hard copy reports shall be prepared on nonglossy paper (preferable recycled and white or offwhite) using black prints. Elaborate art work, multicolor printing, and expensive binding are not to be used. Whenever possible, pages shall be printed on both sides. c. Electronic formats shall be submitted with the following descriptive information: (i) Operating system format, e.g. Windows or Macintosh compatible; (ii) Name of application software used to create the files on the diskette; e.g., Word Version 2010; (iii)The format for any graphic and/or image files included, e.g., TIFFcompatible; (iv) Any other necessary information, e.g.; special backup or data compression routines/software used for storing/retrieving submitted data; and (v) All PDF files that are submitted must be unlocked.
F.9 LANGUAGE OF REPORTS AND OTHER OUTPUTS All reports and other outputs shall be in the English language, unless otherwise specified by the COR. See also AIDAR 752.21170, Language and Measurement (June 1992), which is incorporated by reference into this contract. F.10 EVALUATIONS Separately, and in addition to the Contractors ongoing responsibility for monitoring and evaluation, USAID may conduct an external midterm evaluation of the project, depending on the CORs determination of need. In addition, USAID will conduct a final, external, independent evaluation of the project within the final quarter of the final contract performance year. The focus of the evaluation will be to assess the achievements of the project versus the stated objectives and goals, to identify which elements of the project had the most significant impact and which did not, and which aspects of project design need to be considered for continuation under future possible projects. These evaluations will be contracted separately from AHADI, and will not be the responsibility of the Contractor. However, the Contractor shall be prepared to cooperate with the evaluators and provide project information as requested. F.11 QUARTERLY AND ANNUAL PERFORMANCE REPORTING Contractor shall use the attached template in J.9 for USAID Kenya AHADI Quarterly Progress and Annual Performance Reporting. Reporting shall include tracking of budget, expenditures, and indicators at the county level on a quarterly basis.
END OF SECTION F
SECTION G CONTRACT ADMINISTRATION DATA G.1 ADMINISTRATIVE CONTRACTING OFFICE
The Administrative Contracting Office is the USAID/East Africa, Regional Acquisition & Assistance Office, which can be contacted at the following addresses: United States Mailing Address USAID/East Africa Regional Acquisition & Assistance Office Office 8900 Nairobi Place Washington DC, 20521-8900 Nairobi, Kenya address USAID/East Africa Regional Acquisition & Assistance U.S. Embassy Compound United Nations Avenue, Gigiri P.O. Box 629, 00621 Village Market Nairobi, Kenya
G.2
CONTRACTING OFFICER AND TECHNICAL DIRECTION AND DESIGNATION OF RESPONSIBLE USAID OFFICIALS
The Contracting Officer is the only person authorized to make or approve any changes in the requirements of this contract and notwithstanding any provisions contained elsewhere in this Contract, the said authority remains solely in the Contracting Officer. In the event the Contractor makes any changes at the direction of any person other than the Contracting Officer, the change shall be considered to have been made without authority and no adjustment shall be made in the contract terms and conditions, including price. Charles Signer, Administrative Contracting Officer Regional Acquisition and Assistance Office USAID/East Africa 8900 Nairobi Place Washington D.C, 20521-8900 The Contracting Officers Representative (COR) will be designated by way of a separate letter. G.3 CONTRACTING OFFICERS REPRESENTATIVE
The Contracting Officers Representative (COR) will be appointed by the Contracting Officer through a separate COR designation letter, a copy of which will be provided to the contractor. The COR will provide the technical direction under this contract. S/he will be located in the Democracy Rights and Governance Office at the following address: USAID/Kenya 8900 Nairobi Place Washington D.C. 20521-8900 G.4 TECHNICAL DIRECTIONS/RELATIONSHIP WITH USAID
Technical directions are defined to include:

o o o
Written directions to the contractor which fill in details, suggest possible lines of inquiry, or otherwise facilitate completion of work; Provision of written information to the contractor which assists in the interpretation of drawings, specifications, or technical portions of the work statement; Review and, where required, provide written approval of technical reports, drawings, specifications, or technical information to be delivered. Technical directions must be in writing, and must be within the scope of the work as detailed in Section C.
The COR is authorized by designation to take any or all action with respect to the following which could lawfully be taken by the contracting officer, except any action specifically prohibited by the terms of this contract: (1) Assure that the contractor performs the technical requirements of the contract in accordance with the contract terms, conditions, and specifications. (2) Perform or cause to be performed, inspections necessary in connection with a) above and require the Contractor to correct all deficiencies; perform acceptance for the Government. (3) Maintain all liaison and direct communications with the contractor. Written communications with the Contractor and documents shall be signed as "COR" with a copy furnished to the contracting officer. (4) Issue written interpretations of technical requirements of Government drawings, designs, and specifications. (5) Monitor the contractor's production or performance progress and notify the contractor in writing of deficiencies observed during surveillance, and direct appropriate action to effect correction. Record and report to the contracting officer incidents of faulty or nonconforming work, delays or problems. (6) Obtain necessary security clearance and appropriate identification if access to government facilities is required. If to be provided, ensure that government furnished property is available when required. Limitations: The COR is not empowered to award, agree to, or sign any contract (including delivery or purchase orders) or modifications thereto, or in any way to obligate the payment of money by the Government. The COR may not take any action which may impact on the contract schedule, funds, scope or rate of utilization of the level of effort (LOE). All contractual agreements, commitments, or modifications which involve prices, quantities, quality, and schedules shall be made only by the contracting officer. (1) The COR is required to meet annually with the contractor and the contracting officer concerning performance of items delivered under this contract and any other administration or technical issues. Telephonic reports may be made if no problems are being experienced. Problem areas should be brought to the immediate attention of the contracting officer.
(2) In the absence of the designated COR, the contracting officer may designate someone to serve as COR in their place. However, such action to direct an individual to act in the COR's stead shall immediately be communicated to the contractor. (3) Contractual problems, of any nature, that may arise during the life of the contract must be handled in conformance with specific public laws and regulations (i.e., Federal Acquisition Regulation and Agency for International Development Acquisition Regulation). The contractor and the COR shall bring all contracting problems to the immediate attention of the contracting officer. Only the contracting officer is authorized to formally resolve such problems. The contracting officer will be responsible for resolving legal issues, determining contract scope and interpreting contract terms and conditions. The contracting officer is the sole authority authorized to approve changes in any of the requirements under this contract. Notwithstanding any clause contained elsewhere in this contract, the said authority remains solely with the contracting officer. These changes include, but will not be limited to the following areas: scope of work, price, quantity, technical specifications, delivery schedules, and contract terms and conditions. In the event the contractor effects any changes at the direction of any other person other than the contracting officer, the change will be considered to have been made without authority. (4) Failure by the contractor to notify the administrative contracting officer any action by the government considered to a change in writing promptly, within 7 calendar days from the date that the contractor identifies any government conduct (including actions, inactions, and written or oral communications) that the contractor regards as a change to the contract terms and conditions, shall waive the contractors right to any claims for equitable adjustments as found in FAR 52.2437, Notification of Changes, which is a clause of this contract. G.5 ACCEPTANCE AND APPROVAL
In order to receive payment, all deliverables must be accepted and approved by the COR. G.6 PAYING OFFICE
The paying office for this contract is: The Controller USAID/East Africa Regional Financial Management Services P.O. Box 629, 0621 Village Market Nairobi, Kenya Email: nairobirfmcpayments@usaid.gov Electronic submission of invoices complete with banking and payment information is required.
G.7
CONTRACTOR PAYMENT ADDRESS
The contractor should include the payment address in the proposal, if it is different from that shown for the Offeror. G.8 AIDAR 752.7003 DOCUMENTATION FOR PAYMENT (NOV 1998)
(a) Claims for reimbursement or payment under this contract must be submitted to the Paying Office indicated in the schedule of this contract. The COR is the authorized representative of the Government to approve vouchers under this contract. The Contractor must submit either paper or fax versions of the SF1034 Public Voucher for Purchases and Services Other Than Personal. Each voucher shall be identified by the appropriate USAID contract number, in the amount of dollar expenditures made during the period covered. (1) The SF 1034 provides space to report by line item for products or services provided. The form provides for the information to be reported with the following elements:
Line Item 00001
00002 Total
TOTAL EXPENDITURES (DOCUMENT NUMBER:XXX-XXX-X-XX-XXXX) Description Amt. Vouchered Amt. Vouchered To date This Period Product/Service Desc. for Line $XXXX.XX $XXXX.XX Item 0001 Product/Service Desc. $XXXX.XX $XXXX.XX For Line Item 0002 $XXXX.XX $XXXX.XX
(2) The fiscal report shall include a certification, signed by an authorized representative of the Contractor, as follows: The undersigned hereby certifies to the best of my knowledge and belief that the fiscal report and any attachments have been prepared from the books and records of the Contractor in accordance with the terms of this contract and are correct: the sum claimed under this contract is proper and due, and all the costs of contract performance (except as herewith reported in writing) have been paid, or to the extent allowed under the applicable payment clause, will be paid currently by the Contractor when due in the ordinary course of business; the work reflected by these costs has been performed, and the quantities and amounts involved are consistent with the requirements of this Contract; all required Contracting Officer approvals have been obtained; and appropriate refund to USAID will be made promptly upon request in the event of disallowance of costs not reimbursable under the terms of this contract. BY: __________________________________ TITLE: ________________________________
DATE: ________________________________ (b) Local currency payment. The Contractor is fully responsible for the proper expenditure and control of local currency, if any, provided under this contract. Local currency will be provided to the Contractor in accordance with written instruction provided by the Mission Director. The written instructions will also include accounting, vouchering, and reporting procedures. A copy of the instructions shall be provided to the Contractors Chief of Party and to the Contracting Officer. The costs of bonding personnel responsible for local currency are reimbursable under this contract. (c) Upon compliance by the Contractor with all the provisions of this contract, acceptance by the Government of the work and final report, and a satisfactory accounting by the Contractor of all Governmentowned property for which the Contractor had custodial responsibility, the Government shall promptly pay to the Contractor any moneys (dollars or local currency) due under the completion voucher. The Government will make suitable reduction for any disallowance or indebtedness by the Contractor by applying the proceeds of the voucher first to such deductions and next to any un-liquidated balance of advance remaining under this contract. (d) The Contractor agrees that all approvals of the Mission Director and the Contracting Officer which are required by the provisions of this contract shall be preserved and made available as part of the Contractors records which are required to be presented and made available by the clause of this contract entitled Audit and Records Negotiation. G.9 ACCOUNTING AND APPROPRIATION DATA
(To be completed at time of award.) Budget Fiscal Year: Operating Unit: Program Area: Team/Division: Benefiting Geo Area: Object Class (EOCC): Amount Obligated: G.10 CONTRACTORS PRIMARY POINT OF CONTACT TBD END OF SECTION G
SECTION H SPECIAL CONTRACT REQUIREMENTS H.1NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.252-2 CLAUSES INCORPORATED BY REFERENCE" in Section I of this contract. See FAR 52.252-2 for an internet address (if specified) for electronic access to the full text of a clause. NUMBER TITLE FAR (48 CFR Chapter 1) AIDAR (48 CFR Chapter 7) 752.7027 H.2 PERSONNEL DEC 1990 DATE
AIDAR 752.225-70 SOURCE AND NATIONALITY REQUIREMENTS (FEB 2012) (CLASS DEVIATION NO. OAA-DEV-12-01C)
(a) Except as may be specifically approved by the Contracting Officer, the Contractor must procure all commodities (e.g., equipment, materials, vehicles, supplies) and services (including commodity transportation services) in accordance with the requirements at 22 CFR Part 228 Rules on Procurement of Commodities and Services Financed by USAID Federal Program Funds. The authorized source for procurement is Geographic Code 937 unless otherwise specified in the schedule of this contract. Guidance on eligibility of specific goods or services may be obtained from the Contracting Officer. (b) Ineligible goods and services. The Contractor must not procure any of the following goods or services under this contract: (1) (2) (3) (4) (5) (6) Military equipment Surveillance equipment Commodities and services for support of police and other law enforcement activities Abortion equipment and services Luxury goods and gambling equipment, or Weather modification equipment.
(c) Restricted goods. The Contractor must obtain prior written approval of the Contracting Officer or comply with required procedures under an applicable waiver as provided by the Contracting Officer when procuring any of the following goods or services: (1) (2) (3) (4) (5) (6) (7) Agricultural commodities, Motor vehicles, Pharmaceuticals and contraceptive items Pesticides, Fertilizer, Used equipment, or U.S. government-owned excess property.
If USAID determines that the Contractor has procured any of these specific restricted goods under this contract without the prior written authorization of the Contracting Officer or fails to
comply with required procedures under an applicable waiver as provided by the Contracting Officer, and has received payment for such purposes, the Contracting Officer may require the contractor to refund the entire amount of the purchase. H.3GOVERNMENT OF KENYA LABOR MARKET POLICY It is the Government of Kenya policy that the economy of Kenya should be manned by trained and competent citizens. Permits are issued to foreign nationals with skills not available at present on the Kenya Labor Market, only on the understanding that effective training programs are undertaken to produce trained citizens within a specified period. USAID projects are under the USG/ GOK Bilateral Agreement. Therefore, all proposed Key and long term personnel positions must be filled by either Kenyan or US citizens. Third country nationals (TCNs) are only engaged when the required skills are not available at present in Kenya and the US. If that is the case, a Kenyan understudy must be engaged to train and take up the position after a specified period. Regional programs that have offices in Kenya can employ third country nationals. This means that if a project serves Sudan but is based and operates from Kenya, then the project can employ Kenyans, US citizens and Sudanese only. If the project is co-funded by other countries/donors e.g. the UK, then the project can use the UK/GOK agreement to their advantage. Note however that all work permit applications going through USAID will strictly adhere to the GoK requirements as per the USG/GoK agreements. H.4PERSONNEL REQUIREMENTS The Contractor shall recruit, mobilize, manage, and monitor the performance of all personnel fielded under USAID Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project. The Contractor is responsible for providing office space, accommodation, and all logistical support for all institutionally contracted staff as well as consultants contracted for studies. This may include office space and accommodation in locations outside of Nairobi. The Contractor shall provide all necessary logistical support, including but not limited to - travel arrangements (with required USAID clearances), computer support 4, team planning facilitation, and report editing and dissemination. The Contractor shall bear primary responsibility for procurement, personnel, reporting, and other management related requirements of the contract. The Chief of Party shall be an employee of the prime Contractor rather than the subcontractor. Prior to replacing Key Personnel, the Contractor shall notify the Contracting Officer and the COR in advance and must submit written justification (including proposed substitutions) in sufficient detail to permit evaluation of the impact on the project. The Contractor shall not make any replacements without the written consent of the Contracting Officer.
Computer support refers to the Contractor providing computers (laptops), software, printing ability, central processing (statistical analysis), etc., as needed for all core staff and for staff. The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 81 of 182
H.5AIDAR 752.7007 PERSONNEL COMPENSATION (JULY 2007) (a) Direct compensation of the Contractors personnel will be in accordance with the Contractors established policies, procedures, and practices, and the cost principles applicable to this contract. (b) Reimbursement of the employees base annual salary plus overseas recruitment incentive, if any, which exceed the USAID Contractor Salary Threshold (USAID CST) stated in USAID Automated Directives System (ADS) Chapter 302 USAID Direct Contracting, must be approved in writing by the Contracting Officer, as prescribed in 731.2056(b) or 731.371(b), as applicable. H.6 ADDITIONAL REQUIREMENTS FOR PERSONNEL COMPENSATION
(a) Definitions As used in this Contract, the terms "salaries" and "wages" mean the periodic remuneration received for professional or technical personal services rendered. Unless the contract states otherwise, these terms do not include any other elements of personal compensation described in the cost principle in FAR 31.2056 "Compensation for Personal Services," such as (but not limited to) the differentials or allowances defined in the clause of this contract entitled "Differentials and Allowances" (AIDAR 752.7028). The term "compensation" is defined in FAR 31.2056(a) and includes fees and honoraria related to the personal services provided under this contract, but excludes earnings from sources other than the individual's professional or technical work, overhead, or other charges. (b) Limitations: (1) Salaries and wages may not exceed the Contractor's established policy and practice, including the Contractor's established pay scale for equivalent classifications of employees, which shall be certified to by the Contractor. No any individuals salary or wage, without approval of the Cognizant Contracting Officer, may exceed the employee's current salary or wage, or the highest rate of annual salary or wage received during any full year of the immediately preceding three (3) years. (2) In addition, there is a ceiling on the reimbursable base salary or wage paid to personnel under the Contract equivalent to the USAID Contractor Salary Threshold (CST) or the maximum annual salary rate described in AAPD 0603" as amended from time to time, unless the Contracting Officer approves a higher amount in accordance with the Agency policy and procedures in ADS 302 "USAID Direct Contracting. http://www.usaid.gov/business/business_opportunities/cib/pdf/aapd06_03.pdf (3) Employment of third country nationals (TCNs) and cooperating country nationals (CCNS). For this contract, labor costs for TCNs and CCNs above the Mission Local Compensation Plan (LCP) threshold requires the advance written approval of the Contracting Officer. General: It is USAID policy that cooperating country nationals (CCNS) and third country nationals (TCNs), who are hired abroad for work in a cooperating country under USAID direct contracts, generally be extended the same benefits, and be subject to the same restrictions as TCNs and CCNs employed as direct hires by the USAID Mission. Exceptions to this policy
may be granted either by the Mission Director or the Assistant Administrator having program responsibility for the project. (TCNs and CCNs who are hired to work in the United States shall be extended benefits and subject to restrictions on the same basis as U.S. citizens who work in the United States). Compensation, including merit or promotion increases paid to TCNs and CCNs may not, without the approval of the Mission Director or the Assistant Administrator having program responsibility for the project, exceed the prevailing compensation paid to personnel performing comparable work in the cooperating country as determined by the USAID Mission. Unless otherwise authorized by the Mission Director or the Assistant Administrator having program responsibility for the project, the compensation of such TCN and CCN employees shall be paid in the currency of the cooperating country. (c) Initial Salaries The initial starting salaries for all U.S., third country national (TCN) and cooperating country national (CCN) employees or consultants whose salaries will be charged as a direct cost to this contract must be approved in advance and in writing by the contracting officer. Any initial starting salaries included in the final proposal revision and accepted during negotiations, are deemed approved upon contract execution. (d) Consultants (1) U.S. Consultants. No compensation for consultants will be reimbursed unless their use under the Contract has advance written approval of the Contracting Officer; and if such provision has been made or approval given, compensation shall not exceed: (A) the highest rate of annual compensation received by the consultant during any full year of the immediately preceding three years or (B) the maximum daily salary rate as described in AAPD 0603, whichever is less. (2) TCN and CCN Consultants. No compensation for TCN and CCN consultants will be reimbursed unless their use under the contract has advance written approval of the contracting officer. If such provision has been made or approval has been given, compensation shall not exceed the maximum rate of the highest senior FSN position authorized under the Mission Local Compensation Plan. Requests for waiver to this compensation guidance must be fully justified and requires the advanced written approval of the contracting officer. (e)Salaries During Travel: Salaries and wages paid while in travel status will not be reimbursed for a travel period greater than the time required for travel by the most direct and expeditious air route. (f) Annual Salary Increases U.S. Staff: One annual salary increase of not more than 5 percent (includes promotional increase) may be granted after the employees completion of each twelve months of satisfactory services under the contract. Annual salary increases of any kind exceeding these limitations, or exceeding USAID maximum SES established rate (AWCPAS), or the USAID CST, require the advance written approval of the contracting officer. Contractor Employees: For contractor employees, annual increases in accordance with the contractors established policies, procedures, and practices are allowable.
TCN and CCN Staff: One annual salary increase of not more than 5% (includes promotional increase) may be granted after the employees completion of each twelve months of satisfactory services under the contract. Annual salary increases of any kind exceeding these limitations, or exceeding the maximum salary of the highest senior foreign service national (FSN) position authorized under the U.S. Embassy Compensation Plan require the advance written approval of the contracting officer. The salary threshold limits extends to subcontractors. (g) Return of Overseas Employees Salaries and wages paid to an employee serving overseas who is discharged by the Contractor for misconduct, inexcusable non performance, or security reasons will, in no event, be reimbursed for a period which extends beyond the time required to return him promptly to his point of origin by the most direct and expeditious air route. H.7 752.23171 SALARY SUPPLEMENTS FOR HG EMPLOYEES (OCT 1998)
(a) Salary supplements are payments made that augment an employees base salary or premiums, overtime, extra payments, incentive payment and allowances for which the Host Government employee would qualify under Host Government rules or practice for the performance of his/her regular duties or work performed during his/her regular office hours. Per diem, invitational travel, honoraria and payment for work carried out outside of normal working hours are not considered to be salary supplements. (b) Salary supplements to HG Employees are not allowable without the written approval of the contracting officer. (c) This clause should be inserted in all subcontracts/subawards issued under this contract. H.8 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JULY 2007)
(a) Before a contractor (or a contractor employee) may obtain a USAID ID (new or replacement) authorizing him/her routine access to USAID facilities, or logical access to USAIDs information systems, the individual must provide two forms of identity source documents in original form and a passport size photo. One identity source document must be a valid Federal or state government issued picture ID. (Overseas foreign nationals must comply with the requirements of the Regional Security Office.) USAID/Washington contractors must contact the USAID Security Office to obtain the list of acceptable forms of documentation, and contractors working in overseas Missions must obtain the acceptable documentation list from the Regional Security Officer. Submission of these documents, and related background checks, are mandatory in order for the contractor to receive a building access ID, and before access will be granted to any of USAIDs information systems. All contractors must physically present these two source documents for identity proofing at their USAID/Washington or Mission Security Briefing. The contractor or his/her Facilities Security Officer must return any issued building access ID and remote authentication token to USAID custody upon termination of the individuals employment with the contractor or completion of the contract, whichever occurs first. (b) The contractor must comply with all applicable HSPD12 and PIV procedures, as described above, and any subsequent USAID or governmentwide HSPD12 and PIV procedures/policies,
including any subsequent related USAID General Notices, Office of Security Directives and/or Automated Directives System (ADS) policy directives and required procedures. This includes HSPD12 procedures established in USAID/Washington and those procedures established by the overseas Regional Security Office. (c) The contractor is required to include this provision in any subcontracts that require the subcontractor or subcontractor employee to have routine physical access to USAID space or logical access to USAIDs information system. H.9HOMELAND SECURITY PRESIDENTIAL DIRECTIVE -12 Homeland Security Presidential Directive-12 (HSPD-12) (September 2006) In response to the general threat of unauthorized access to federal facilities and information systems, the President issued Homeland Security Presidential Directive-12. HSPD-12 requires all Federal agencies to use a common Personal Identity Verification (PIV) standard when identifying and issuing access rights to users of Federally-controlled facilities and/or Federal Information Systems. USAID will begin issuing HSPD-12 smart card IDs to applicable contracts, using a phased approach. Effective October 27, 2006, USAID will begin issuing new smart card IDs to new Contractors (and new Contractor employees) requiring routine access to USAID controlled facilities and/or access to USAIDs information systems. USAID will begin issuance of the new smart card IDs to existing Contractors (and existing Contractor employees) on October 27, 2007. (Exceptions would include those situations where an existing Contractor (or Contractor employee) loses or damages his/her existing ID and would need a replacement ID prior to Oct 27, 2007. In those situations, the existing Contractor (or Contractor employee) would need to follow the PIV processes described below, and be issued one of the new smart cards.) Accordingly, before a Contractor (including a Personal Services Contractor or a Contractor employee) may obtain a USAID ID (new or replacement) authorizing him/her routine access to USAID facilities, or logical access to USAIDs information systems, the individual must provide two forms of identity source documents in original form and a passport size photo. One identity source document must be a valid Federal or state government-issued picture ID. (Overseas foreign nationals must comply with the requirements of the Regional Security Office.) USAID/W Contractors must contact the USAID Security Office to obtain the list of acceptable forms of documentation, and Contractors working in overseas Missions must obtain the acceptable documentation list from the Regional Security Officer. Submission of these documents, and related background checks, are mandatory in order for the Contractor to receive a building access ID, and before access will be granted to any of USAIDs information systems. All Contractors must physically present these two source documents for identity proofing at their USAID/W or Mission Security Briefing. The Contractor or his/her Facilities Security Officer must return any issued building access ID and remote authentication token to USAID custody upon termination of the individuals employment with the Contractor or completion of the contract, whichever occurs first. The Contractor must comply with all applicable HSPD-12 and PIV procedures, as described above, and any subsequent USAID or government-wide HSPD-12 and PIV procedures/policies, including any subsequent related USAID General Notices, Office of Security Directives and/or Automated Directives System (ADS) policy directives and required procedures. This includes HSPD-12 procedures established in USAID/Washington and those procedures established by the overseas Regional Security Office.
This includes HSPD-12 procedures established in USAID/Washington as well as those procedures established by the overseas Regional Security Office. In the event of inconsistencies between this clause and later issued Agency or government-wide HSPD-12 guidance, the most recent issued guidance should take precedence, unless otherwise instructed by the Contracting Officer. The Contractor is required to include this clause in any subcontracts that require the subcontractor or subcontractor employee to have routine physical access to USAID space or logical access to USAIDs information systems. H.10 AIDAR 722.170 EMPLOYMENT OF THIRD COUNTRY NATIONALS (TCNS) AND COOPERATING COUNTRY NATIONALS (CCNS) (a) General. It is USAID policy that cooperating country nationals (CCNS) and third country nationals (TCNs), who are hired abroad for work in a cooperating country under USAID-direct contracts, generally be extended the same benefits, and be subject to the same restrictions as TCNs and CCNs employed as direct hires by the USAID Mission. Exceptions to this policy may be granted either by the Mission Director or the Assistant Administrator having program responsibility for the project. (TCNs and CCNs who are hired to work in the United States shall be extended benefits and subject to restrictions on the same basis as U.S. citizens who work in the United States.) (b) Compensation. Compensation, including merit or promotion increases paid to TCNs and CCNs may not, without the approval of the Mission Director or the Assistant Administrator having program responsibility for the project, exceed the prevailing compensation paid to personnel performing comparable work in the cooperating country as determined by the USAID Mission. Unless otherwise authorized by the Mission Director or the Assistant Administrator having program responsibility for the project, the compensation of such TCN and CCN employees shall be paid in the currency of the cooperating country. (c) Allowances and differentials. TCNs and CCNs, hired abroad for work in a cooperating country, are not eligible for allowances or differentials under USAID-direct contracts, unless authorized by the Mission Director or the Assistant Administrator having program responsibility for the project. (d) Country and security clearances. The contractor shall insure that the necessary clearances, including security clearances, if required, have been obtained for TCN and CCN employees in accordance with any such requirements set forth in the contract or required by the USAID Mission, prior to the TCN or CCN starting work under the contract. (e) Physical fitness. Contractors are required to insure that prospective TCN and CCN employees are examined prior to employment to determine whether the prospective employee meets the minimum physical requirements of the position and is free from any contagious disease. (f) Workweek, holidays, and leave. The workweek, holidays, and leave for TCN and CCN employees shall be the same as for all other employees of the contractor, under the terms of the contract; however, TCN and CCN employees are not eligible for home leave or military leave unless authorized by the Mission Director or the Assistant Administrator having program responsibility for the project.
(g) Travel and transportation for TCNs and CCNs. Travel and transportation shall be provided TCN and CCN employees on the same basis as for all other employees of the contractor, under the terms of the contract. (h) Household effects and motor vehicles. USAID will not provide household effects to TCN and CCN employees; such employees may ship their household effects and motor vehicles to their place of employment on the same basis as for all other employees of the contractor, under the terms of the contract unless they are residents of the cooperating country. H.11 AIDAR 752.7004 EMERGENCY LOCATOR INFORMATION (JUL 1997) The Contractor agrees to provide the following information to the Mission Administrative Officer on or before the arrival in the host country of every contract employee or dependent: 1. The individual's full name, home address, and telephone number. 2. The name and number of the contract, and whether the individual is an employee or dependent. 3. The Contractor's name, home office address, and telephone number, including any after-hours emergency number(s), and the name of the Contractor's home office staff member having administrative responsibility for the contract. 4. The name, address, and telephone number(s) of each individual's next of kin. 5. Any special instructions pertaining to emergency situations such as power of attorney designees or alternate contact persons. H.12. AIDAR 752.7005 SUBMISSION REQUIREMENTS FOR DEVELOPMENT EXPERIENCE DOCUMENTS (JAN 2004) (a) Contract Reports and Information/Intellectual Products. (1) The Contractor shall submit to USAIDs Development Experience Clearinghouse (DEC) copies of reports and information products which describe, communicate or organize program/project development assistance activities, methods, technologies, management, research, results and experience as outlined in the Agency's ADS Chapter 540. Information may be obtained from the Contracting Officers Representative (COR). These reports include: assessments, evaluations, studies, development experience documents, technical reports and annual reports. The Contractor shall also submit to copies of information products including training materials, publications, databases, computer software programs, videos and other intellectual deliverable materials required under the Contract Schedule. Time-sensitive materials such as newsletters, brochures, bulletins or periodic reports covering periods of less than a year are not to be submitted. (2) Upon contract completion, the Contractor shall submit to the DEC an index of all reports and information/intellectual products referenced in paragraph (a)(1) of this clause. (b) Submission requirements. (1) Distribution.
(i) At the same time submission is made to the COR, the Contractor shall submit, one copy each, of contract reports and information/intellectual products (referenced in paragraph (a)(1) of this clause) in either electronic (preferred) or paper form to one of the following 5: Via email: docsubmit@usaid.gov Via mail: Development Experience Clearinghouse USAID Knowledge Services Center M/CIO/ITSD/KM 1300 Pennsylvania Avenue, NW RRB M.01010 Washington, DC 20523 Via Fax: +12022163515 (telephone: +1 2027120579) Online: https://dec.usaid.gov/dec/home/Default.aspx (ii) The Contractor shall submit the reports index referenced in paragraph (a)(2) of this clause and any reports referenced in paragraph (a)(1) of this clause that have not been previously submitted to DEC, within 30 days after completion of the contract to one of the address cited in paragraph (b)(1)(i) of this clause. (2) Format. (i)Descriptive information is required for all Contractor products submitted. The title page of all reports and information products shall include the contract number(s), Contractor name(s), name of the USAID Cognizant technical office, the publication or issuance date of the document, document title, author name(s), and strategic objective or activity title and associated number. In addition, all materials submitted in accordance with this clause shall have attached on a separate cover sheet the name, organization, address, telephone number, fax number, and Internet address of the submitting party. (ii) The report in paper form shall be prepared using non-glossy paper (preferably recycled and white or off-white) using black ink. Elaborate art work, multicolor printing and expensive bindings are not to be used. Whenever possible, pages shall be printed on both sides. (iii) The electronic document submitted shall consist of only one electronic file which comprises the complete and final equivalent of the paper copy. (iv)Acceptable software formats for electronic documents include WordPerfect, Microsoft Word, and Portable Document Format (PDF). Submission in both Microsoft Word and PDF is encouraged. (v) The electronic document submission shall include the following descriptive information: (A) Name and version of the application software used to create the file, e.g., Microsoft Office 2012 or Acrobat Version 9.0.
5
The contact information has been updated based on information in the DEC website: https://dec.usaid.gov/dec/home/Default.aspx
(B) The format for any graphic and/or image file submitted, e.g., JPEG. (C) Any other necessary information, e.g. special backup or data compression routines, software used for storing/retrieving submitted data or program installation instructions. H.13 INSURANCE AND SERVICES AIDAR 752.228-3 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT) (a) The Contractor agrees to procure Defense Base Act (DBA) insurance pursuant to the terms of the contract between USAID and USAIDs DBA insurance carrier unless the Contractor has a DBA self-insurance program approved by the Department of Labor or has an approved retrospective rating agreement for DBA. (b) If USAID or the Contractor has secured a waiver of DBA coverage (see AIDAR 728.30570(a)) for Contractors employees who are not citizens of, residents of, or hired in the United States, the Contractor agrees to provide such employees with workers compensation benefits as required by the laws of the country in which the employees are working, or by the laws of the employees native country, whichever offers greater benefits. (c) The Contractor further agrees to insert in all subcontracts hereunder to which the DBA is applicable, a clause similar to this clause, including this sentence, imposing on all subcontractors a like requirement to provide overseas workmens compensation insurance coverage and obtain DBA coverage under the USAID requirements contract. (d) USAID's DBA insurance carrier is: AON Risk Insurance Services West, Inc.199 Fremont St., Suite 1400 San Francisco, CA 94105, Aon Risk Insurance Services West, Inc. at: (1) 199 Fremont St., Suite 1400 San Francisco, CA 94105 Primary Contact: Fred Robinson; Phone: (415) 486-7516; Email: Fred.Robinson@aon.com Secondary Contact: Angela Falcone; Angela.Falcone@aon.com OR (2) 1120 20th St., N.W., Suite 600 Washington D.C. 20036 Primary Contact: Ellen Rowan; Phone: (202) 862-5306; Email: Ellen.Rowan@aon.com Secondary Contact: Chris Thompson; Phone: (202) 862-5302; Email: Chris.Thompson@aon.com (e) The Contractor shall be entitled to be reimbursed for the cost of insurance provided to its employees pursuant to the contract clause at FAR 52.228-3, Workers Compensation Insurance (Defense Base Act), at the USAID authorized rate (Please refer to latest AAPD) of employee remuneration. The Contractor is herein notified that DBA insurance coverage is a requirement for all prime Contractor employees and subcontractor employees under this
Phone: (415) 486-7000; Email:
contract pursuant to FAR 52.228-3. DBA-covered employees are also entitled to benefits under the War Hazards Compensation Fund. As this is a U.S. Government established fund and its benefits are provided at no additional cost to the Contractor above the cost of DBA insurance, the Contractor is not entitled to reimbursement for War Hazards Compensation Fund coverage. If the Contractor provides additional accidental death and disability or life insurance to its employees, the cost of the additional insurance will be considered a fringe benefit and will be allowable as provided by FAR 31.205-6(m). In compliance with new Agency guidelines, Contractors will be required to submit a copy of DBA coverage for which contract performance is to occur outside of the U.S. This document is to be provided prior to start of performance overseas. New Rates: There are three different rates depending on the nature of the services to be provided. If a contract contains more than one of the services listed, the premium will be distributed proportionally. PERIOD Life of - XX/XX/13 Contract XX/XX/17 Services $2.00 Construction $4.50 Security Guards $7.50
H.14 AIDAR 752.228-70 MEDICAL EVACUATION (MEDEVAC) SERVICES (JULY 2007) (a) Contractors must provide MEDEVAC service coverage to all U.S. citizen, U.S. resident alien, and Third Country National employees and their authorized dependents (hereinafter individual) while overseas under a USAID-financed direct contract. USAID will reimburse reasonable, allowable, and allocable costs for MEDEVAC service coverage incurred under the contract. The Contracting Officer will determine the reasonableness, allowability, and allocability of the costs based on the applicable cost principles and in accordance with cost accounting standards. (b) Exceptions. (i) The Contractor is not required to provide MEDEVAC insurance to eligible employees and their dependents with a health program that includes sufficient MEDEVAC coverage as approved by the Contracting Officer. (ii) The Mission Director may make a written determination to waive the requirement for such coverage. The determination must be based on findings that the quality of local medical services or other circumstances obviate the need for such coverage for eligible employees and their dependents located at post. (c) Contractor must insert a clause similar to this clause in all subcontracts that require performance by Contractor employees overseas. (d) Contractors are responsible for providing medical evacuation coverage for their employees. Medical evacuation costs are allowable as a direct cost. Medevac services costs are allowable as a direct cost. H.15 AUTHORIZED GEOGRAPHIC CODE The authorized geographic code for procurement of goods and services under this contract is 937, the United States, Kenya, and developing countries other than advanced developing countries, excluding any country that is a prohibited source. 22 CFR 228 is the governing regulation for procurement of commodities and services financed by USAID federal program funds.
H.16 LANGUAGE REQUIREMENTS Contractor key personnel shall have English language S/4 and R/4 proficiency to perform technical services. Fluent English skills in reading and writing are required for all key personnel. All deliverables must be provided in English. H.17 CONTRACTORS STAFF SUPPORT AND ADMINISTRATIVE AND LOGISTICAL ARRANGEMENTS The Contractor shall be responsible for all administrative support and logistics required to fulfill the requirements of this Contract. These shall include all travel arrangements, appointment scheduling, secretarial services, report preparations services, printing, and duplicating. The Contractor shall be responsible for furnishing all logistic support in the United States and overseas unless otherwise stated in the contract. H.18 AUTHORIZED WORK DAY/WEEK (h) Work Week (1) Non-overseas Employees: The length of the contractor's U.S., non-overseas employees workday shall be in accordance with the contractor's established policies and practices and shall not be less than 8 hours per day and 40 hours per week. (2) Overseas Employee: The work week for the Contractor's overseas employees shall not be less than 40 hours and shall be scheduled to coincide with the work week for those employees of the USAID Mission and the Cooperation Country associated with the work of this contract. A five (5) day workweek is approved for this contract. No overtime or premium pay is authorized under this Contract. However, for occasions when there are essential and timesensitive tasks to be performed that cannot be accomplished during a five-day workweek, a six-day workweek is authorized only for consultants and overseas personnel. The Contractor shall document these instances and inform the COR with a copy to the Contracting Officer. ShortTerm Technical Assistance: Any sixday workweek proposed for short term technical assistance (defined as less than 120 days at a time) requires contracting officer approval. No overtime or premium pay is authorized for sixday workweeks. H.19 AIDAR 752.7025 APPROVALS (APR 1984) All approvals required to be given under the contract by the Contracting Officer or the Mission Director shall be in writing and, except when extraordinary circumstances make it impracticable, shall be requested by the Contractor sufficiently in advance of the contemplated action to permit approval, disapproval or other disposition prior to that action. If, because of existing conditions, it is impossible to obtain prior written approval, the approving official may, at his discretion, ratify the action after the fact. H.20 AIDAR 752.7032 INTERNATIONAL TRAVEL APPROVAL AND NOTIFICATION REQUIREMENTS (JAN 1990)
Prior written approval by the Contracting Officer is required for all international travel directly and identifiably funded by USAID under this contract. The contractor shall therefore present to the contracting officer: 1. The itinerary for each planned international trip, 2. The name of the traveler, 3. The purpose of the trip, 4. The origin/destination (and intervening stops), and 5. The dates of travel, as far in advance of the proposed travel as possible, but in no event less than three weeks before travel is planned to commence. The Contracting Officers prior written approval may be in the form of a letter or telegram or similar device or may be specifically incorporated into the schedule of the contract. At least three week prior to commencement of approved international travel, the contractor shall notify the cognizant Mission, with a copy to the Contracting Officer, of planned travel, identifying the travelers and the dates and times of arrival. H.21 BUSINESS CLASS TRAVEL For cost effectiveness, economy class travel must be used on all official travel funded under this contract. Business class travel may only be used under exceptional circumstances and only with prior written approval of the Contracting Officer. H.22 CONTRACTORS USE OF PROJECT VEHICLES AND LIABILITY INSURANCE REQUIREMENTS FOR PRIVATELY OWNED VEHICLES (a) Home to office to home use of project vehicles is not considered official business and is not allowed under the terms of this contract. (b) If the Contractor or any of its employees or their dependents transport or cause to be transported (whether or not at contract expense) privately owned automobiles to the Cooperating Country, or they or any of them purchase an automobile within the Cooperating Country, the Contractor agrees to make certain that all such automobiles during such ownership within the Cooperating Country will be covered by a paidup insurance policy issued by a reliable per the requirements of AIDAR 752.2287 which is referenced clause to this contract. H.23 GOVERNMENT FURNISHED FACILITIES OR PROPERTY The Contractor and any employee or consultant of the Contractor is prohibited from using U.S. Government facilities (such as office space or equipment) or U.S. Government clerical or technical personnel in the performance of the services specified in the Contract unless the use of Government facilities or personnel is specifically authorized in the Contract or is authorized in advance, in writing, by the COR. H.24 AIDAR 752.24571 TITLE TO AND CARE OF PROPERTY (APR 1984)
(a) Title to all nonexpendable property purchased with contract funds under this contract and used in the Cooperating Country, shall at all times be in the name of the Cooperating Government, or such public or private agency as the Cooperating Government may designate, unless title to specific types or classes of nonexpendable property is reserved to USAID under provisions set forth in the schedule of this contract; but all such property shall be under the custody and control of contractor until the owner of title directs otherwise, or completion of work under this contract or its termination, at which time custody and control shall be turned over to the owner of title or disposed of in accordance with its instructions. All performance guaranties and warranties obtained from suppliers shall be taken in the name of the title owner. (Nonexpendable property is property which is complete in itself, does not lose its identity or become a component part of another article when put into use; is durable, with an expected service life of two years or more; and which has a unit cost of $500 or more. (b)Contractor shall prepare and establish a program to be approved by the Mission, for the receipt, use, maintenance, protection, custody, and care of nonexpendable property for which it has custodial responsibility, including the establishment of reasonable controls to enforce such program. (c) (1) For nonexpendable property to which title is reserved to the U.S. Government under provisions set forth in the schedule of this contract, the contractor shall submit an annual report on all nonexpendable property under its custody as required in the clause of this contract entitled Government Property. (2) For nonexpendable property titled to the Cooperating Government, the contractor shall, within 90 days after completion of this contract, or at such other date as may be fixed by the Contracting Officer, submit an inventory schedule covering all items of nonexpendable property under its custody, which have not been consumed in the performance of this contract. The contractor shall also indicate what disposition has been made of such property. Title to property is with USAID with care and custody with the Contractor. H.25 APPROVALS FOR NONEXPENDABLE PROPERTY PURCHASES All purchases of nonexpendable property (i.e., property which is complete in itself, does not lose its identity or become a component part of another article when put into use, is durable with an expected service life of two years or more, and which has a unit cost of more than $500) will require approval of the contracting officer. Any approvals given pursuant to this paragraph must be within the terms of this contract, and shall not serve to change them in any way. The contractor shall retain copies of all such approvals for audit purposes. The Contractor is required to obtain insurance coverage for all nonexpendable property purchased under the contract. The cost of premiums is allowable under the contract. To ensure the lowest cost for insurance, umbrella coverage should be provided to cover all nonexpendable property purchased under the contract. H.26 FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JAN 2002) Funds in this award may not be used to finance the travel, per diem, hotel expenses, meals, conference fees or other conference costs for any member of a foreign government's delegation to an international conference sponsored by a public international organization,
except as provided in ADS Mandatory Reference "Guidance on Funding Foreign Government Delegations to International Conferences http://www.info.usaid.gov/pubs/ads/300/refindx3.htm] or as approved by the CO/COR H.27 VALUE ADDED TAX (VAT) AND CUSTOM DUTIES VAT and custom duties are excluded from the price of this contract. The COR will assist the Contractor in obtaining this exemption from the Government of Kenya. H.28 REPORTING ON FOREIGN TAXES (JULY 2007) (a) The Contractor must annually submit a final report by April 16 of the next year. (b) Contents of Report. The reports must contain: (1) Contractor name. (2) Contact name with phone, fax and email. (3) Agreement number(s). (4) Amount of foreign taxes assessed by a foreign government [each foreign government must be listed separately] on commodity purchase transactions valued at $500 or more financed with U.S. foreign assistance funds under this agreement during the prior U.S. fiscal year. (5) Only foreign taxes assessed by the foreign government in the country receiving U.S. assistance is to be reported. Foreign taxes by a third party foreign government are not to be reported. For example, if a contractor performing in Lesotho using foreign assistance funds should purchase commodities in South Africa, any taxes imposed by South Africa would not be reported in the report for Lesotho (or South Africa). (6) Any reimbursements received by the Contractor during the period in (4) regardless of when the foreign tax was assessed and any reimbursements on the taxes reported in (4) received through March 31. (7) Report is required even if the Contractor did not pay any taxes during the report period. (8) Cumulative reports may be provided if the Contractor is implementing more than one program in a foreign country. (c) Definitions. For purposes of this clause: (1) Agreement includes USAID direct and country contracts, grants, cooperative agreements and interagency agreements. (2) Commodity means any material, article, supply, goods, or equipment. (3) Foreign government includes any foreign governmental entity. (4) Foreign taxes means valueadded taxes and custom duties assessed by a foreign government on a commodity. It does not include foreign sales taxes. (d) Where. Submit the reports to: The Controller USAID/East Africa Regional Financial Management Services P.O. Box 621, Village Market 00621 Nairobi, Kenya Email: nairobirfmspayments@usaid.gov
(Electronic submission of reports is required). (e) Subagreements. The Contractor must include this reporting requirement in all applicable subcontracts and other subagreements. (f) For further information see http://www.state.gov/m/rm/c10443.htm H.29 CONFLICTS OF INTEREST
(a) It is understood and agreed that some of the work required hereunder may place the contractor, or its personnel or its subcontractors or their personnel (hereinafter referred to collectively as "contractor"), in the position of having a potential personal or organizational conflict of interest (OCI), i.e., because of other activities or relationships with other persons, (1) the contractor is unable or potentially unable to render impartial assistance or advice; or (2) the contractor's objectivity in performing the contract is or might be impaired; or (3) the contractor may receive an unfair competitive advantage; or (4) the contractor may have a financial or other personal interest which would or potentially would impair his/her objectivity and/or from which he/she would improperly benefit. Further discussion of OCIs may be found in FAR 9.5, Organizational and Consultant Conflicts of Interest. (b) The performance/actions of personnel under this contract will be imputed to the contractor (or subcontractor(s) by whom they are employed or retained, and the performance/actions of any subcontractor will be imputed to the contractor, unless the contractor, on a casebycase basis, can demonstrate otherwise and satisfy the contracting Officer that such imputation is unreasonable. (c) In accordance with the clause of this contract entitled "Organizational Conflicts of Interest Discovered After Award" (AIDAR 752.20971), the Contractor agrees not to undertake any activity which may involve a personal conflict of interest or an OCI without first notifying the contracting officer of such potential conflict and receiving the contracting officer's authorization to undertake that activity. (d) If the potential conflict relates to performance of the work hereunder (e.g., where the contractor is to evaluate an activity in which the contractor had some previous involvement, thereby rendering the contractor unable or potentially unable to provide impartial assistance or advice, or impairing or potentially impairing the contractor's objectivity), and the contracting officer cannot neutralize, mitigate, or avoid the conflict, the contracting officer may decline to authorize performance of that work by the contractor. (e) If the potential conflict relates to future activities (e.g., where the contractor is to perform a needs assessment, feasibility study, or design/development of a project or activity to be procured under another contract for which the contractor will or might compete or which may be awarded noncompetitively to the contractor, thereby potentially providing an unfair competitive advantage to the contractor, and/or rendering the contractor unable or potentially unable to provide impartial assistance or advice, or impairing or potentially impairing the contractor's objectivity; or where the work under this contract might affect the personal or financial interests of the contractor), the contracting officer may decline to authorize performance of that work by the contractor or, if such work is authorized, the contracting officer may place restrictions on the contractor's future activities, as permitted by FAR 9.5, and as necessary to neutralize, mitigate, or avoid the potential conflict.
(f) The contracting officer's approval to undertake such activities, if given, the contracting officer's determination that a significant potential conflict does not appear to exist, or may be conditioned on the acceptance by restrictions on the contractor's future activities. If restrictions are to be activities, the contractor may decline to perform the work.
may be based on does not exist or the contractor of placed on future
(g) If it is discovered that the contractor engaged in any activities which constitute a potential or actual conflict without having first obtained the contracting officer's approval to undertake such activities; or if it is subsequently discovered that, notwithstanding the contracting officer's authorization to undertake the activity based on his/her initial determination that no significant potential conflict existed or appeared to exist, a conflict did, in fact exist or arise, restrictions, as permitted by FAR 9.5, on the contractor's future activities may be placed unilaterally by the contracting officer for this contract or the contracting officer for such other contract as may be involved in the conflict, and other remedies (including termination of this contract for default, debarment or suspension, and those permitted by the clauses of this contract entitled "Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity" (FAR 52.2038 JAN 1997) and "Price or Fee Adjustment for Illegal or Improper Activity" (FAR 52.20310 JAN 1997), may be taken by USAID. (h) If it is discovered that the contractor engaged in any activities in violation of the restrictions placed by a contracting Officer on the contractor's future activities, other remedies (including termination of this contract for default, debarment or suspension, and those permitted by the clauses of this contract entitled "Cancellation, Rescission, and Recovery of Funds for Illegal or Improper Activity" (FAR 52.2038) and "Price or Fee Adjustment for Illegal or Improper Activity" [FAR 52.20310]), may be taken by USAID. (i) Nothing in this provision precludes the application of any other remedies available to USAID by law, regulation, or other provisions of this contract. H.30 AIDAR 752.7034 ACKNOWLEDGMENT AND DISCLAIMER (DEC 1991) (a) USAID shall be prominently acknowledged in all publications, videos or other information/media products funded or partially funded through this contract, and the product shall state that the views expressed by the author(s) do not necessarily reflect those of USAID. Acknowledgments should identify the sponsoring USAID Office and Bureau or Mission as well as the U.S. Agency for International Development substantially as follows: "This [publication, video or other information/media product (specify) ] was made possible through support provided by the Office of [ ], Bureau for [ ], U.S. Agency for International Development, under the terms of Contract No. [ ]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the U.S. Agency for International Development." (b) Unless the Contractor is instructed otherwise by the cognizant technical office publications, videos or other information/media products funded under this contract and intended for general readership or other general use will be marked with the USAID logo and/or U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT appearing either at the top or at the bottom of the front cover or, if more suitable, on the first inside title page for printed products, and in equivalent/appropriate location in videos or other information/media products. Logos and markings of co-sponsors or authorizing institutions should be similarly located and of similar size and appearance.
H.31 EXECUTIVE ORDER ON TERRORISM FINANCING The Contractor is reminded that U.S. Executive Orders (including E.O. 13224) and U.S. law prohibit transactions with, and the provision of resources and support to, individuals and organizations associated with terrorism. FAR 25.701 prohibits agencies and their Contractors and subcontractors from acquiring any supplies or services from individuals or organizations, if any proclamation, Executive Order, Office of Foreign Assets Control (OFAC) regulations, or statute administered by OFAC would prohibit such a transaction. Accordingly, the Contracting Officer must check the U.S. Department of the Treasurys OFAC List to ensure that the names of the Contractor and proposed subcontractors (and individuals from those organizations who have been made known to them), are not on the list. Mandatory FAR clause 52.225-13 Restrictions on Certain Foreign Purchases is included by reference in Section I.1 of this contract. By accepting this contract, the Contractor acknowledges and agrees that it is aware of the list as part of its compliance with the requirements of that clause. H.32 SECURITY CONDITIONS Contractor must be aware of security conditions in Kenya, and by entering into the contract, assumes full responsibility for the safety of its employees. Prior to commencing work in Kenya, the Contractor shall ensure that it has adequate procedures in place to advise its employees of situations or changed conditions that could adversely affect their security. In order to keep abreast of security conditions in Kenya, but particularly before any employee travels outside of Nairobi, the Contractor shall seek information from all available sources, including the USAID/Kenya, Democracy, Rights and Governance Office, for all areas in which its employees work or travel. Contractor acknowledges that security conditions are subject to change at any moment, that USAID cannot guarantee the accuracy of any information that it may provide to the Contractor and that USAID assumes no responsibility for the reliability of such information. The Contractor has sole responsibility for approving all travel plans for its employees. The Contractor is also responsible for immediately notifying USAID/Kenya and the US Embassy American Citizen Services section in the event a US citizen employee does not return from travel as expected. In the event that USAID requests the Contractor to do so, the Contractor's chief of party shall assume responsibility for contacting all of its employees. The Contractor shall provide to the USAID/Kenya Democracy and Rights Office the name, current address, and current home and/or cellular telephone number of the chief of party and of an alternate designated employee. The Contractor is responsible for ensuring that the information on file in the USAID/Kenya, Democracy, Rights and Governance Office is up-to-date so that in an emergency, the chief of party or alternate representative can be reached immediately and he/she can rapidly contact all other affected employees. H.33 SECURITY REPORTING As part of the overall security requirements, the Contractor and its subcontractors shall report any security threats verbally immediately to the COR and subsequently in writing to the Contracting Officer, in accordance with approved procedures. The contractor shall develop a list of specific steps to track any potential/identified threats, which would be part of an overall security system.
H.34 LIFE SUPPORT AND SECURITY SERVICES The Contractor is responsible for maintaining the security of its personnel, materials and equipment commensurate with the circumstances involved. All employees of the Contractor must meet the requirements of their work-site which may include background checks, security/restricted area clearance, drug-free workplace, safety training and/or other inspections/requirements. H.35 USAID DISABILITY POLICY - ACQUISITION (DECEMBER 2004) (a) The objectives of the USAID Disability Policy are (1) to enhance the attainment of United States foreign assistance program goals by promoting the participation and equalization of opportunities of individuals with disabilities in USAID policy, country and sector strategies, activity designs and implementation; (2) to increase awareness of issues of people with disabilities both within USAID programs and in host countries; (3) to engage other U.S. government agencies, host country counterparts, governments, implementing organizations and other donors in fostering a climate of nondiscrimination against people with disabilities; and (4) to support international advocacy for people with disabilities. The full text of the policy paper can be found at the following website: http://www.usaid.gov/about/disability/DISABPOL.FIN.html. (b) USAID therefore requires that the Contractor not discriminate against people with disabilities in the implementation of USAID programs and that it make every effort to comply with the objectives of the USAID Disability Policy in performing this contract. To that end and within the scope of the contract, the Contractors actions must demonstrate a comprehensive and consistent approach for including men, women and children with disabilities. H.36 AIDAR 752.7101 VOLUNTARY POPULATION PLANNING ACTIVITIES (JUNE 2008) (a) Requirements for Voluntary Sterilization Program. None of the funds made available under this contract 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. (b) Prohibition on AbortionRelated Activities. (1) No funds made available under this contract 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 contract 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.
(3) The contractor shall insert this provision in all subcontracts. H.37 ORGANIZATIONAL CONFLICT OF INTEREST Any concerns/issues related to Organizational Conflict of Interest MUST be brought to the attention of the Cognizant Contracting Officer as soon as it appears. See CIB 99-17: http://www.usaid.gov/business/business_opportunities/cib/pdf/cib9917.pdf H.38 ENVIRONMENTAL COMPLIANCE (a) The Foreign Assistance Act of 1961, as amended, Section 117 requires that the impact of USAIDs activities on the environment be considered and that USAID include environmental sustainability as a central consideration in designing and carrying out its development programs. This mandate is codified in Federal Regulations (22 CFR 216) and in USAIDs Automated Directives System (ADS) Parts 201.5.10g and 204 (http://www.usaid.gov/policy/ads/200/), which, in part, require that the potential environmental impacts of USAIDfinanced activities are identified prior to a final decision to proceed and that appropriate environmental safeguards are adopted for all activities. Contractor environmental compliance obligations under these regulations and procedures are specified in the following paragraphs of this RFP/contract. (b) In addition, the contractor must comply with host country environmental regulations unless otherwise directed in writing by USAID. In case of conflict between host country and USAID regulations, the latter shall govern. (c) No activity funded under this contract will be implemented unless an environmental threshold determination, as defined by 22 CFR 216, has been reached for that activity, as documented in a Request for Categorical Exclusion (RCE), Initial Environmental Examination (IEE), or Environmental Assessment (EA) duly signed by the Bureau Environmental Officer (BEO). (Hereinafter, such documents are described as approved Regulation 216 environmental documentation.) (d) As part of its initial Work Plan, and all Annual Work Plans thereafter, the contractor, in collaboration with the USAID Contracting Officers Representative and Mission Environmental Officer or Bureau Environmental Officer, as appropriate, will review all ongoing and planned activities under this contract to determine if they are within the scope of the approved Regulation 216 environmental documentation. (e) If the contractor plans any new activities outside the scope of the approved Regulation 216 environmental documentation, it will prepare an amendment to the documentation for USAID review and approval. No such new activities will be undertaken prior to receiving written USAID approval of environmental documentation amendments. (f) Any ongoing activities found to be outside the scope of the approved Regulation 216 environmental documentation will be halted until an amendment to the documentation is submitted and written approval is received from USAID. H.39 NONDISCRIMINATION (JUN 2012) FAR Part 27 and the clauses prescribed in that part prohibit contractors performing in or recruiting from the U.S. from engaging in certain discriminatory practices.
USAID is committed to achieving and maintaining a diverse and representative workforce and a workplace free of discrimination. Based on law, Executive Order, and Agency policy, USAID prohibits discrimination in its own workplace on the basis of race, color, religion, sex (including pregnancy and gender identity), national origin, disability, age, veterans status, sexual orientation, genetic information, marital status, parental status, political affiliation, and any other conduct that does not adversely affect the performance of the employee. USAID does not tolerate any type of harassment, either sexual or nonsexual, of any employee or applicant for employment. Contractors are required to comply with the nondiscrimination requirements of the FAR. In addition, the Agency strongly encourages all its contractors (at all tiers) to develop and enforce comprehensive nondiscrimination policies for their workplaces that include protection on these expanded bases, subject to applicable law. H.40 DISCLOSURE OF INFORMATION (a) Contractors are reminded that information furnished under this contract may be subject to disclosure under the Freedom of Information Act (FOIA). Therefore, all items that are confidential to business, or contain trade secrets, proprietary, or personnel information must be clearly marked. Marking of items will not necessarily preclude disclosure when the U.S. Office of Personnel Management (OPM or The Government) determines disclosure is warranted by FOIA. However, if such items are not marked, all information contained within the submitted documents will be deemed to be releasable. (b) Any information made available to the Contractor by the Government must be used only for the purpose of carrying out the provisions of this contract and must not be divulged or made known in any manner to any person except as may be necessary in the performance of the contract. (c) In performance of this contract, the Contractor assumes responsibility for protection of the confidentiality of Government records and must ensure that all work performed by its subcontractors shall be under the supervision of the Contractor or the Contractor's responsible employees. (d) Each officer or employee of the Contractor or any of its subcontractors to whom any Government record may be made available or disclosed must be notified in writing by the Contractor that information disclosed to such officer or employee can be used only for a purpose and to the extent authorized herein, and that further disclosure of any such information, by any means, for a purpose or to an extent unauthorized herein, may subject the offender to criminal sanctions imposed by 19 U.S.C. 641. That section provides, in pertinent part, that whoever knowingly converts to their use or the use of another, or without authority, sells, conveys, or disposes of any record of the United States or whoever receives the same with intent to convert it to their use or gain, knowing it to have been converted, shall be guilty of a crime punishable by a fine of up to $10,000, or imprisoned up to ten years, or both. H.41 REQUESTS FOR CONSENT TO SUBCONTRACT The requirements under FAR Clause 52.2442 do not apply to the following subcontracts which were evaluated during negotiations unless resultant subcontracts exceed those included in Contractors Final Revised Proposal submitted ____________.
(The Offeror will list proposed subcontracts.) H.42 AIDAR 752.22714 RIGHTS IN DATA GENERAL (OCT 2007) The following paragraph (d) replaces paragraph (d) of (48 CFR) FAR 52.22714 Rights in Data General. (d) Release, publication and use of data. (1) For all data first produced or specifically used by the Contractor in the performance of this contract in the United States, its territories, or Puerto Rico, the Contractor shall have the right to use, release to others, reproduce, distribute, or publish such data, except to the extent such data may be subject to the Federal export control or national security laws or regulations, or unless otherwise provided in this paragraph of this clause or expressly set forth in this contract [see paragraph (d)(3) for limitations on contracts performed outside of the US]. (2) The Contractor agrees that to the extent it receives or is given access to data necessary for the performance of this contract which contain restrictive markings, the Contractor shall treat the data in accordance with such markings unless otherwise specifically authorized in writing by the Contracting Officer. (3) For all data first produced or specifically used by the Contractor in the overseas performance of this contract, the Contractor shall not release, reproduce, distribute, or publish such data without the written permission of the Contracting Officer. The government also may require the contractor to assign copyright to the government or another party as circumstances warrant or as specifically stated elsewhere in the contract. H.43 TRANSITION OF KNOWLEDGE, SKILLS AND ABILITIES
Local capacity building is one of the principal objectives of this contract. To that end, special consideration should be given to the involvement of local firms and professionals in significant roles in order to facilitate future transfer of knowledge, skills, and abilities. The Contractor shall take into consideration the objective of sustainability. Sustainability will be determined by the capacity of Kenyan evaluation providers, and their ability to produce quality evaluations after the program ends. Local organizations will be supported, utilized, and/or built to the greatest extent possible, in order to carry out program interventions. Those organizations should become sustainable as a matter of a deliverable, not merely as a goal. Therefore, the Contractor shall take all deliberate steps necessary to ensure: (a) Maximum transfer of program management skills, tools, and methods to local firms and organizations; (b) Maximum business opportunities for local firms; and (a) Maximum employment opportunity for local citizens at all levels, from program management positions to unskilled labor. H.44 USAID IMPLEMENTATION OF SECTION 508 OF THE REHABILITATION ACT OF 1973 AND FEDERAL ACQUISITION CIRCULAR (FAC) 97-27 "ELECTRONIC AND INFORMATION TECHNOLOGY ACCESSIBILITY In accordance with CIB 01-21, Contractor shall comply with USAID Implementation of Section 508 of the Rehabilitation Act of 1973 and Federal Acquisition Circular (FAC) 97-27 "Electronic
and Information Technology Accessibility. Further information on Section 508 is available via the Internet at http://www.section508.gov http://www.usaid.gov/business/business_opportunities/cib/pdf/cib0121.pdf H.45 NONEXPENDABLE PROPERTY PURCHASES AND INFORMATION TECHNOLOGY RESOURCES The Contractor shall comply with the requirements contained in ADS 548 which require review and approval by the Office of Information Resource Management (M/IRM) in USAID/W of information technology components in which the life-cycle cost of commodities or services (e.g., installation, maintenance, and technical assistance) exceeds $100,000. 1. Pursuant to ADS 547, Information Technology (IT) is defined as follows: Information Technology (A) The term information technology', with respect to an executive agency means any equipment or interconnected system or subsystem of equipment, that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the executive agency. For purposes of the preceding sentence, equipment is used by an executive agency if the equipment is used by the executive agency directly or is used by a contractor under a contract with the executive agency which (i) requires the use of such equipment, or (ii) requires the use, to a significant extent, of such equipment in the performance of a service or the furnishing of a product. (B) The term information technology' includes computers, ancillary equipment, software, firmware and similar procedures, services (including support services), and related resources. (C) Notwithstanding subparagraphs (A) and (B), the term `information technology' does not include any equipment that is acquired by a Federal contractor incidental to a Federal contract. (Source: Clinger-Cohen Act) (Chapters 541-548, 552) 2. The Contractor shall maintain accountable property records of IT resources. These records must identify each accountable item of U.S. Government-funded property acquired or furnished under the contract in a format acceptable to the Contracting Officer and must be furnished to the Contracting Officer six months after the effective date of the contract or task order and thereafter annually based on the effective date of the contract. In the event any IT resources are lost, stolen, destroyed or damaged beyond economical repair, the Contractor must promptly notify both the COR and the Contracting Officer. 3. As part of the Property Disposition Plan, the Contractor will provide a separate and final inventory of sensitive property. Sensitive property is property potentially dangerous to the public safety or security if stolen, lost, or misplaced, or that shall be subject to exceptional physical security, protection, control, and accountability. The Contractor shall provide a final report to the COR and Contracting Officer on the final disposition of all sensitive property in the contractors custody. H.46 SUBCONTRACTING PLAN AND THE SF 294 SUBCONTRACTING REPORT FOR INDIVIDUAL CONTRACTS AND SF 295 SUMMARY CONTRACTING REPORT
The Contractor's subcontracting plan dated ____________ is hereby incorporated as a material part of this contract. Effective December 30, 2005, USAID commenced participation in the electronic Subcontracting Reporting System (eSRS). As a result, hard copies of the SF-294 and SF-295 are no longer accepted and contractors are required to submit these reports electronically. The requirement to report your use of subcontractors in the new eSRS applies to any contract in which there is a subcontracting plan to utilize U.S. small businesses. If you need more information or to register in eSRS, please visit the official website at http://www.esrs.gov. Please note that contract data in eSRS is tied to the DUNS Number of record. When submitting your individual and summary reports in eSRS, please be sure to include the email address of the Contract Officer specified on the contract. H.47 PUBLICATIONS AND MEDIA RELEASES (JAN 2004) (a) USAID shall be prominently acknowledged in all publications, videos or other information/media products funded or partially funded through this award, and the product shall state that the views expressed by the author(s) do not necessarily reflect those of USAID. Acknowledgements should identify the sponsoring USAID Office and Bureau or Mission as well as the U.S. Agency for International Development substantially as follows: "This [publication, video or other information/media product (specify)] was made possible through support provided by the Office of ______________, Bureau for _________________, U.S. Agency for International Development, under the terms of Award No. _________. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the U.S. Agency for International Development." (b) Unless the recipient is instructed otherwise by the Contracting Officer Technical Representative (COR), publications, videos or other information/media products funded under this award and intended for general readership or other general use will be marked with the USAID logo and/or U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT appearing either at the top or at the bottom of the front cover or, if more suitable, on the first inside title page for printed products, and in equivalent appropriate location in videos or other information/media products. Logos and markings of cosponsors or authorizing institutions should be similarly located and of similar size and appearance. (c) The recipient shall provide the USAID Contracting Officer Technical Representative (COR) one copy of all published works developed under the award with lists of other written work produced under the award. In addition, the recipient shall submit one electronic (preferred) or one paper copy of final documents to USAIDs Development Experience Clearinghouse (DEC) in to one of the following6:
6
The contact information has been updated based on information in the DEC website: https://dec.usaid.gov/dec/home/Default.aspx
Development Experience Clearinghouse USAID Knowledge Services Center M/CIO/ITSD/KM 1300 Pennsylvania Avenue, NW RRB M.01-010 Washington, DC 20523 Phone: (202) 712-0579 Fax: (202) 216-3515 URL: https://dec.usaid.gov To Submit to the Development https://dec.usaid.gov/dec/content/submit.aspx Experience Clearinghouse:
(d) Electronic documents may be submitted on 3.5 diskettes or as e-mail attachments, and should consist of only one electronic file that comprises the complete and final equivalent of the paper copy; otherwise, a paper copy must be sent. Acceptable software formats for electronic documents include Microsoft Word, WordPerfect, Microsoft Excel and Portable Document Format (PDF). (e) Each document submitted should include the following information: 1) descriptive title; 2) author(s) name; 3) award number; 4) sponsoring USAID office; 5) date of publication; 6) software name and version (if electronic document is sent). (f) In the event award funds are used to underwrite the cost of publishing, in lieu of the publisher assuming this cost, as is the normal practice, any profits or royalties up to the amount of such cost shall be credited to the award unless the schedule of the award has identified the profits or royalties as program income. (g) Except as otherwise provided in the terms and conditions of the award, the author or the recipient is free to copyright any books, publications, or other copyrightable materials developed in the course of or under this award, but USAID reserves a royalty-free nonexclusive and irrevocable right to reproduce, publish, or otherwise use, and to authorize others to use the work for Government purposes. POINTS OF CONTACT: Please reference web site http://dec.usaid.gov or contact one of the following concerning the document submission requirements: For document submission questions: docsubmit@usaid.gov For document searching questions: ksc@usaid.gov For missing PDF/technical questions: decwebmaster@usaid.gov Phone: (202) 712-0579 H.48 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS USAID reserves the right to terminate this Contract, to demand a refund or take other appropriate measures if the Contractor or subawardees are found to have been convicted of a narcotics offense or to have been engaged in drug trafficking as defined in 22 CFR Part 140. H.49 PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR ADVOCATE THE LEGALIZATION OR PRACTICE OF PROSTITUTION TIP ACQUISITION (MAY 2007) (a) The U.S. Government is opposed to prostitution and related activities, which are inherently harmful and dehumanizing, and contribute to the phenomenon of trafficking in persons. None
of the funds made available under this contract may be used to promote, support, or advocate the legalization or practice of prostitution. Nothing in the immediately preceding sentence shall be construed to preclude assistance designed to ameliorate the suffering of, or health risks to, victims while they are being trafficked or after they are out of the situation that resulted from such victims being trafficked. (b) The contractor shall insert this clause, in its entirety, in all sub-awards under this award. (c) This provision includes express terms and conditions of the contract and any violation of it shall be grounds for unilateral termination of the contract, in whole or in part, by USAID prior to the end of the term. H.50 GENDER CONSIDERATION To the greatest extent possible, the Contractor shall seek to include both men and women in all aspects of this program including participation and leadership in [e.g., meetings, training, etc.]. The Contractor shall collect, analyze and submit to USAID sex-disaggregated data and proposed actions that will address any identified gender-related issues. Further requirements on this are included in Section C. USAID policy requires that gender issues be addressed as appropriate in all USAID-funded activities. The technical approach should describe how gender considerations will be integrated throughout the program and into specific activities as appropriate. The Contractor must look for gender implications or opportunities in the program, seeking to address embedded gender issues and promote gender equity, as appropriate, in all phases of program implementation and internal management. This program must address gender concerns in a fundamental way simply setting aside funds for training of female council members, for example, will not alone be considered sufficient. Specific activities for women are appropriate. Gender indicators should be defined and tracked by the Contractor and the contractor will complete an analysis of gender as part of its initial stages of implementation. H.51 STANDARDS OF CONDUCT -- IMPROPER BUSINESS PRACTICES Corruption or any other improper business practices related to this solicitation and any resulting contract(s) will not be tolerated. Transactions relating to the expenditure of public funds require the highest degree of public trust and an impeccable standard of conduct by contractors, subcontractors and any other agent acting in connection with this contract. Examples of such unacceptable behavior include, but are not limited to providing or offering of bribes to any person associated with the contract or any subcontracts; soliciting or accepting kickbacks or bribes; and knowingly making any false or misleading accounting reports or financial statements. Contractors, subcontractors and any other agents acting under contracts awarded herein are expected to employ due diligence and have internal controls in place towards practicing good governance in execution of the contract. Any one of these entities found to have engaged in illegal activity, improper behavior, or corrupt practices will be subject to corrective actions in accordance with the respective FAR clause incorporated into this solicitation and any resulting contract(s).
H.52 SUBMISSION OF TRANSPORTATION DOCUMENTS FOR AUDIT (FEB 2006) (a) The Contractor shall submit to the address identified below, for prepayment audit, transportation documents on which the United States will assume freight charges that were paid-(1) By the Contractor under a cost-reimbursement contract; and (2) By a first-tier subcontractor under a cost-reimbursement subcontract thereunder. (b) Cost-reimbursement Contractors shall only submit for audit those bills of lading with freight shipment charges exceeding $100. Bills under $100 shall be retained on-site by the Contractor and made available for on-site audits. This exception only applies to freight shipment bills and is not intended to apply to bills and invoices for any other transportation services. (c) Contractors shall submit the above referenced transportation documents to COR. H.53 752.219-70 USAID MENTOR- PROTG PROGRAM (JUL 2007) (a) Large and small businesses are encouraged to participate in the USAID Mentor-Protg Program (the Program). Mentor firms provide eligible small business Protgs with developmental assistance to enhance their business capabilities and ability to obtain Federal contracts. (b) Mentor firms are large prime contractors or eligible small business capable of providing developmental assistance. Protg firms are small business as defined in 13 CFR Parts 121, 124, and 126. (c) Developmental assistance is technical, managerial, financial, and other mutually beneficial assistance that aids Protgs. The costs for developmental assistance are not chargeable to the contract. (d) Firms interested in participating in the Program are encouraged to contact the USAID Mentor-Protg Program Manager (202-712-1500) for more information. H.54 PRESS RELATIONS The Contractor shall coordinate all press inquiries and statements with USAIDs COR and Document Outreach Communication Officer (DOC). Contractor shall seek approval from COR before agreeing to or allowing staff to conduct interviews with the press. The Contractor shall not speak on behalf of USAID but will refer all requests for USAID information to the USAID Document Outreach Communication Officer/Press Officer. H.55 GRANTS UNDER CONTRACT (GUC) The Contractor shall make grants pursuant to ADS 302.3.4.8 (Grants Under Contract). Use of the GUCs procedure is subject to specific approval by USAID and must meet certain conditions, not all of which are summarized herein. The Contractor may be required by USAID to develop a grants procedure manual, approved by the USAID Contracting Officer, for the
administration of GUCs. USAID must be significantly involved in establishing selection criteria for GUCs and must approve the actual selection of grant recipients. In addition, USAID will retain the right to terminate grants unilaterally. END OF SECTION H
PART II CONTRACT CLAUSES SECTION I CONTRACT CLAUSES I.1 NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE The following contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR 52.2522 CLAUSES INCORPORATED BY REFERENCE in Section I of this contract. The full text of a clause may be accessed electronically at https://www.acquisition.gov/far FEDERAL ACQUISITION REGULATION (FAR) CLAUSES CFR 48 NUMBER TITLE DATE
52.2021 DEFINITIONS (JAN 2012) 52.2033 GRATUITIES (APR 1984) 52.2035 COVENANT AGAINST CONTINGENT FEES (APR 1984) 52.2036 RESTRICTIONS ON SUBCONTRACTOR SALES TO THE GOVERNMENT (SEP 2006) 52.2037 ANTIKICKBACK PROCEDURES (OCT 2010) 52.2038 CANCELLATION, RESCISSION, AND RECOVERY OF FUNDS FOR ILLEGAL OR IMPROPER ACTIVITY (JAN 1997) 52.20310 PRICE OR FEE ADJUSTMENT FOR ILLEGAL OR IMPROPER ACTIVITY (JAN 1997) 52.20312 LIMITATION ON PAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS (OCT 2010) 52.2042 SECURITY REQUIREMENTS (AUG 1996) 52.2044 PRINTED OR COPIED DOUBLESIDED ON RECYCLED PAPER (MAY 2011) 52.2049 PERSONAL IDENTITY VERIFICATION OF CONTRACTOR PERSONNEL (JAN 2011) 52.2096 PROTECTING THE GOVERNMENTS INTEREST WHEN SUBCONTRACTING WITH CONTRACTORS DEBARRED, SUSPENDED, OR PROPOSED FOR DEBARMENT (SEPT 2006) (DEC 2010) 52.2152 AUDIT AND RECORDSNEGOTIATION (OCT 2010) 52.2158 ORDER OF PRECEDENCEUNIFORM CONTRACT FORMAT (OCT 1997) 52.21514 INTEGRITY OF UNIT PRICES (OCT 2010) 52.21515 PENSION ADJUSTMENTS AND ASSET REVERSIONS (OCT 2010) 52.21518 REVERSION OR ADJUSTMENT OF PLANS FOR POSTRETIREMENT BENEFITS (PRB) OTHER THAN PENSIONS (JUL 2005)
52.21519 NOTIFICATION OF OWNERSHIP CHANGES (OCT 1997) 52.21523 LIMITATIONS ON PASSTHROUGH CHARGES (OCT 2009) 52.21523 LIMITATIONS ON PASSTHROUGH CHARGES ALTERNATE 1 (OCT 2009) 52.2167 ALLOWABLE COSTS AND PAYMENT (JUN 2011) 52.2168 FIXED FEE (JUN 2011) 52.2172 CANCELLATION UNDER MULTIYEAR CONTRACTS (OCT 1997) 52.2178 OPTION TO EXTEND SERVICES (NOV 1999) 52.2221 NOTICE TO THE GOVERNMENT OF LABOR DISPUTES (FEB 1997) 52.2222 PAYMENT FOR OVERTIME PREMIUMS (JUL 1990) 52.2223 CONVICT LABOR (JUN 2003) 52.2224 CONTRACT WORK HOURS AND SAFETY STANDARDS ACTOVERTIME COMPENSATION (JUL 2005) 52.22221 PROHIBITION OF SEGREGATED FACILITIES (FEB 1999) 52.22226 EQUAL OPPORTUNITY (MAR 2007) 52.22229 NOTIFICATION OF VISA DENIAL (JUN 2003) 52.22235 EQUAL OPPORTUNITY FOR VETERANS (SEP 2010) 52.22236 AFFIRMATIVE ACTION FOR WORKERS WITH DISABILITIES (OCT 2010) 52.22237 EMPLOYMENT REPORTS ON VETERANS (SEP 2010) 52.22250 COMBATING TRAFFICKING IN PERSONS (FEB 2009) 52.2235 POLLUTION PREVENTION AND RIGHTTOKNOW INFORMATION (MAY 2011) 52.2236 DRUGFREE WORKPLACE (MAY 2001) 52.22310 WASTE REDUCTION PROGRAM (MAY 2011) 52.22318 ENCOURAGING CONTRACTOR POLICIES TO BAN TEXT MESSAGING WHILE DRIVING (AUG 2011) 52.2241 PRIVACY ACT NOTIFICATION (APR 1984) 52.2242 PRIVACY ACT (APR 1984) 52.2251 BUY AMERICAN ACTSUPPLIES (FEB 2009) 52.22513 RESTRICTIONS ON CERTAIN FOREIGN PURCHASES (JUN 2008) 52.22514 INCONSISTENCY BETWEEN ENGLISH VERSION AND TRANSLATION
OF CONTRACT (FEB 2000) 52.2272 NOTICE AND ASSISTANCE REGARDING PATENT AND COPYRIGHT INFRINGEMENT (DEC 2007) 52.22714 RIGHTS IN DATA GENERAL (DEC 2007) 52.2283 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT) (APR 1984) 52.2287 INSURANCE LIABILITY TO THIRD PERSONS (MAR 1996) 52.2293 FEDERAL, STATE, AND LOCAL TAXES (FEB 2013) 52.2302 COST ACCOUNTING STANDARDS (MAY 2012) 52.2303 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES (MAY 2012) 52.2304 DISCLOSURE AND CONSISTENCY OF COST ACCOUNTING PRACTICES FOREIGN CONCERNS (MAY 2012) 52.2306 ADMINISTRATION OF COST ACCOUNTING STANDARDS (JUN 2010) 52.2329 LIMITATION ON WITHHOLDING OF PAYMENTS (APR 1984) 52.23217 INTEREST (OCT 2010) 52.23218 AVAILABILITY OF FUNDS (APR 1984) 52.23223 ASSIGNMENT OF CLAIMS (JAN 1986) 52.23225 PROMPT PAYMENT (OCT 2008) 52.23225 ALTERNATE I (FEB 2002) 52.23233 PAYMENT BY ELECTRONIC FUNDS TRANSFER CENTRAL CONTRACTOR REGISTRATION (OCT 2003) 52.23234 PAYMENT BY ELECTRONIC FUNDS TRANSFER OTHER THAN CENTRAL CONTRACTOR REGISTRATION (MAY 1999) 52.23237 MULTIPLE PAYMENT ARRANGEMENTS (MAY 1999) 52.2331 DISPUTES (JUL 2002) 52.2331 ALTERNATE I (DEC 1991) 52.2333 PROTEST AFTER AWARD (AUG 1996) ALTERNATE 1 (JUN 1985) 52.2334 APPLICABLE LAW FOR BREACH OF CONTRACT CLAIM (OCT 2004) 52.2373 CONTINUITY OF SERVICES (JAN 1991) 52.2391 PRIVACY OR SECURITY SAFEGUARDS (AUG 1996) 52.2421 NOTICE OF INTENT TO DISALLOW COSTS (APR 1984) 52.2423 PENALTIES FOR UNALLOWABLE COSTS (MAY 2001)
52.2424 CERTIFICATION OF FINAL INDIRECT COSTS 1997) 52.24213 BANKRUPTCY (JULY1995) 52.2432 CHANGES COSTREIMBURSEMENT (AUG 1987) ALTERNATE I (APR 1984) 52.2437 NOTIFICATION OF CHANGES 1984) 52.2442 SUBCONTRACTS ALTERNATE I (JAN 2007) 2010) 52.2445 COMPETITION IN SUBCONTRACTING 1996) 52.2446 SUBCONTRACTS FOR COMMERCIAL ITEMS 2010) 52.2451 GOVERNMENT PROPERTY 52.24625 LIMITATION OF LIABILITY SERVICES 1997) 52.2496 TERMINATION (COSTREIMBURSEMENT) 2004) 52.24914 EXCUSABLE DELAY 52.2531 COMPUTER GENERATED FORMS AIDAR CLAUSES (48 CFR CHAPTER 7) NUMBER 752.2021 752.2042 1999) 752.20971 (JUNE 752.219-8 TITLE DEFINITIONS SECURITY REQUIREMENTS
(JAN
(APR (OCT (DEC (DEC (APR 2012) (FEB (MAY (APR 1984) (JAN 1991)
DATE (JAN 1990) (FEB
ORGANIZATIONAL CONFLICTS OF INTEREST DISCOVERED AFTER AWARD 1993) UTILIZATION OF SMALL BUSINESS CONCERNS AND SMALL DISADVANTAGED BUSINESS CONCERNS 752.2262 SUBCONTRACTING WITH DISADVANTAGED ENTERPRISE (JULY 97) 752.2263 LIMITATIONS ON SUBCONTRACTING (JUNE 93) 752.2283 WORKERS COMPENSATION INSURANCE (DEFENSE BASE ACT) (DEC 91) 752.2287 INSURANCELIABILITY TO THIRD PERSONS (JULY 97) 752.22970 FEDERAL, STATE, AND LOCAL TAXES 752.242-70 PERIODIC PROGRESS REPORTS (OCT 2007) 752.24570 GOVERNMENT PROPERTYUSAID REPORTING REQUIREMENTS (JULY 97) 752.7001 BIOGRAPHICAL DATA (JUL 1997) 752.7002 TRAVEL AND TRANSPORTATION (JAN 1990) 752.7006 NOTICES (APR 1984) 752.7007 PERSONNEL COMPENSATION (JUL 2007)
752.7008 USE OF GOVERNMENT FACILITIES OR PERSONNEL (APR 1984) 752.7010 CONVERSION OF U.S. DOLLARS TO LOCAL (APR 1984) 752.7011 ORIENTATION AND LANGUAGE TRAINING (APR 1984) 752.7013 CONTRACTORMISSION RELATIONSHIPS (OCT 1989) 752.7014 NOTICE OF CHANGES IN TRAVEL REGULATIONS (JAN 1990) 752.7015 USE OF POUCH FACILITIES (JULY 1997) 752.7018 HEALTH AND ACCIDENT COVERAGE FOR USAID PARTICIPANT TRAINEES (JAN 1999) 752.7019 PARTICIPANT TRAINING (JAN 1999) 752.7023 REQUIRED VISA FORM FOR USAID PARTICIPANTS (APR 1984) 752.7028 DIFFERENTIALS AND ALLOWNCES (JUL 1996) 752.7029 POST PRIVILEGES (JULY 1993) 752.7033 PHYSICAL FITNESS (JULY 1997) 752.7035 PUBLIC NOTICES (DEC 1991) I.2 52.2522 CLAUSES INCORPORATED BY REFERENCE (FEB 1998) This contract incorporates one or more clauses by reference, with the same force and effect as if they were given in full text. Upon request, the Contracting Officer will make their full text available. Also, the full text of a clause may be accessed electronically at this/these address (es): http://www.arnet.gov/far I.3 52.22723 RIGHTS TO PROPOSAL DATA (TECHNICAL) (JUN 1987) Except for data contained on pages ____, it is agreed that as a condition of award of this contract, and notwithstanding the conditions of any notice appearing thereon, the Government shall have unlimited rights (as defined in the "Rights in DataGeneral" clause contained in this contract) in and to the technical data contained in the proposal dated upon which this contract is based. I.4 52.204-1 APPROVAL OF CONTRACT (DEC 1989) This contract is subject to the written approval of the Contracting Officer and shall not be binding until so approved. I.5 52.20313 CONTRACTOR CODE OF BUSINESS ETHICS AND CONDUCT (APR 2010) (a) Definitions: As used in this clause Agent means any individual, including a director, an officer, an employee, or an independent Contractor, authorized to act on behalf of the organization.
Full cooperation (1) Means disclosure to the Government of the information sufficient for law enforcement to identify the nature and extent of the offense and the individuals responsible for the conduct. It includes providing timely and complete response to Government auditors and investigators request for documents and access to employees with information; (2) Does not foreclose any Contractor rights arising in law, the FAR, or the terms of the contract. It does not require (i) A Contractor to waive its attorneyclient privilege or the protections afforded by the attorney work product doctrine; or (ii) Any officer, director, owner, or employee of the Contractor, including a sole proprietor, to waive his or her attorney client privilege or Fifth Amendment rights; and (3) Does not restrict a Contractor from (i) Conducting an internal investigation; or (ii) Defending a proceeding or dispute arising under the contract or related to a potential or disclosed violation. Principal means an officer, director, owner, partner, or a person having primary management or supervisory responsibilities within a business entity (e.g., general manager; plant manager; head of a division of business segment; and similar positions). Subcontract means any contract entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract. Subcontractor means any supplier, distributor, vendor, or firm that furnished supplies or services to or for a prime contractor or another subcontractor. United States means the 50 States, the District of Columbia, and outlying areas. (b) Code of business ethics ad conduct. (1) Within 30 days after contract award, unless the Contracting Officer establishes a longer period, the Contractor shall (i) Have a written code of business ethics and conduct; (ii) Make a copy of the code available to each employee engaged in performance of the contract. (2) The Contractor shall (i) Exercise due diligence to prevent and detect criminal conduct; and (ii) Otherwise promote an organizational culture that encourages ethical conduct and a commitment to compliance with the law. (3) (i) The Contractor shall timely disclose, in writing to the agency Office of the Inspector General (OIG), with a copy to the Contracting Officer, whenever, in connection with the award, performance, or closeout of this contract or any subcontract thereunder, the Contractor has credible evidence that a principal, employee, agent, or subcontractor of the Contractor has committed
(A) A violation of Federal criminal law involving fraud, conflict of interest, bribery, or gratuity violations found in Title 18 of the United States Code; or (B) A violation of the civil False Claims Act (31 U.S.C. 37293733). (II) The Government, to the extent permitted by law and regulation, will safeguard and treat information obtained pursuant to the Contractors disclosure as confidential where the information has been marked confidential or proprietary by the company. To the extent permitted by law and regulation, such information will not be released by the Government to the public pursuant to a Freedom of Information Act request, 5 U.S.C. Section 552, without prior notification to the Contractor. The Government may transfer documents provided by the Contractor to any department or agency within the Executive Branch if the information relates to matters within the organizations jurisdiction. (iii) If the violation relates to an order against a Government-wide acquisition contract, a multiagency contract, a multipleaward schedule contract such as the Federal Supply Schedule, or any other procurement instrument intended for use by multiple agencies, the Contractor shall notify the OIG of the ordering agency and the IG of the agency responsible for the basic contract. (c) Business ethics awareness and compliance program and internal control system. This paragraph (c) does not apply if the Contractor has represented itself as a small business concern pursuant to the award of this contract or if this contract is for the acquisition of a commercial item as defined at FAR 2.101. The Contractor shall establish the following within 90 days after contract award, unless the Contracting Officer establishes a longer time period: (1) An ongoing business ethics awareness and compliance program. (i) This program shall include reasonable steps to communicate periodically and in a practical manner, the Contractors standards and procedures and other aspects of the Contractors business ethics awareness and compliance program and internal control system, by conducting effective training programs and otherwise disseminating information appropriate to an individuals respective roles and responsibilities. (ii) The training conducted under this program shall be provided to the Contractors principals and employees, and as appropriate, the Contractors agents and subcontractors. (2) An internal control system. (i) The Contractors internal control system shall (A) Establish standards and procedures to facilitate timely discovery of improper conduct in connection with Government contracts; and (B) Ensure corrective measures are promptly instituted and carried out. (ii) At a minimum, the Contractors internal control system shall provide for the following: (A) Assignment of responsibility at a sufficiently high level and adequate resources to ensure effectiveness of the business ethics awareness and compliance program and internal control system.
(B) Reasonable efforts not to include an individual as a principal, whom due diligence would have exposed as having engaged in conduct that is in conflict with the Contractors code of business ethics and conduct. (C) Periodic reviews of company business practices, procedures, policies, and internal controls for compliance with the Contractors code of business ethics and conduct and the special requirements of Government contracting, including (1) Monitoring and auditing to detect criminal conduct; (2) Periodic evaluation of the effectiveness of the business ethics awareness and compliance program and internal control system, especially if criminal conduct has been detected; and (3) Periodic assessment of the risk of criminal conduct, with appropriate steps to design, implement, or modify the business ethics awareness and compliance program and the internal control system as necessary to reduce the risk of criminal conduct identified through this process. (D) An internal reporting mechanism, such as a hotline, which allows for anonymity or confidentiality, by which employees may report suspected instances of improper conduct, and instructions that encourage employees to make such reports. (E) Disciplinary action for improper conduct or for failing to take reasonable steps to prevent or detect improper conduct. (F) Timely disclosure, in writing, to the agency OIC, with a copy to the Contracting Officer, whenever, in connection with the award, performance, or closeout of any Government contract performed by the Contractor or a subcontractor thereunder, the Contractor has credible evidence that a principal, employee, agent, or subcontractor of the Contractor has committed a violation of Federal criminal law involving fraud, conflict of interest, bribery, or gratuity violations found in Title 18 U.S.C. or a violation of the civil False Claims Act (31 U.S.C. 37293733). (1) If a violation relates to more than one Government contract, the Contractor may make the disclosure to the agency OIG and Contracting Officer responsible for the largest dollar value contract impacted by the violation. (2) If the violation relates to an order against a Government-wide acquisition contract, a multiagency contract, a multipleaward schedule contract such as the Federal Supply Schedule, or any other procurement instrument intended for use by multiple agencies, the contractor shall notify the OIG of the ordering agency responsible for the basic contract and the respective agencies contracting officers. (3) The disclosure requirement for an individual contract continues until at least 3 years after final payment on the contract. (4) The Government will safeguard such disclosures in accordance with paragraph (b)(3)(ii) of this clause. (G) Full cooperation with any Government agencies responsible for audits, investigations, or corrective actions.
(d) Subcontracts. (1) The Contractor shall include the substance of this clause, including this paragraph (d), in subcontracts that have a value in excess of $5,000,000 and a performance period of more than 120 days. (2) In altering this clause to identify the appropriate parties, all disclosures of violation of the civil False Claims Act or of Federal criminal law shall be directed to the agency Office of the Inspector General, with a copy to the Contracting Officer. I.6 52.2099 UPDATES OF PUBLICLY AVAILABLE INFORMATION REGARDING RESPONSIBILITY MATTERS (FEB 2012)
(a) The Contractor shall update the information in the Federal Awardee Performance and Integrity Information System (FAPIIS) on a semiannual basis, throughout the life of the contract, by posting the required information in the Central Contractor Registration database via https://acquisition.gov. (b) As required by section 3010 of the Supplemental Appropriations Act, 2010 (Pub.L. 111 212), all information posted in FAPIIS on or after April 15, 2011, except past performance reviews, will be publicly available. FAPIIS consists of two segments (1) The nonpublic segment, into which Government officials and the Contractor post information, which can only be viewed by (i) Government personnel and authorized users performing business on behalf of the Government, or (ii) The Contractor, when viewing data on itself; and (2) The publiclyavailable segment, to which all data in the nonpublic segment of FAPIIS is automatically transferred after a waiting period of 14 calendar days, except for (i) Past performance reviews required by subpart 42.15; (ii) Information that was entered prior to April 15, 2011; or (iii) Information that is withdrawn during the 14calendarday waiting period by the Government official who posted it in accordance with paragraph (c)(1) of this clause. (c) The Contractor will receive notification when the Government posts new information to the Contractors record. (1) If the Contractor asserts in writing within 7 calendar days, to the Government official who posted the information, that some of the information posted to the nonpublic segment of FAPIIS is covered by a disclosure exemption under the Freedom of Information Act, the Government official who posted the information must within 7 calendar days remove the posting from FAPIIS and resolve the issue in accordance with agency Freedom of Information procedures, prior to reposting the releasable information. The contractor must cite 52.2099 and request removal within 7 calendar days of the posting to FAPIIS. (2) The contractor will also have an opportunity to post comments regarding information that has been posted by the Government. The comments will be retained as long as the
associated information is retained, i.e., for a total period of 6 years. Contractor comments will remain a part of the record unless the Contractor revises them. (3) As required by section 3010 of Pub.L. 111212, all information posted in FAPIIS on or after April 15, 2011, except past performance reviews, will be publicly available. (d) Public request s for system information posted prior to April 15, 2011, will be handled under Freedom of Information Act procedures, including, where appropriate, procedures promulgated under E.O. 12600. I.7 52.232-99 PROVIDING ACCELARATED PAYMENT TO SMALL BUSINESS SUBCONTRACTORS (DEVIATION) (AUG 2012)
This clause implements the temporary policy provided by OMB Policy Memorandum M-12-16, Providing Prompt Payment to Small Business Subcontractors, dated July 11, 2012. (a) Upon receipt of accelerated payments from the Government, the contractor is required to make accelerated payments to small business subcontractors to the maximum extent practicable after receipt of a proper invoice and all proper documentation from the small business subcontractor. (b) Include the substance of this clause, including this paragraph (b), in all subcontracts with small business concerns. (c) The acceleration of payments under this clause does not provide any new rights under the Prompt Payment Act. I.8 52.232-22 LIMITATION OF FUNDS Limitation of Funds (APR 1984) (a) The parties estimate that performance of this contract will not cost the Government more than (1) the estimated cost specified in the Schedule or, (2) if this is a cost-sharing contract, the Government's share of the estimated cost specified in the Schedule. The Contractor agrees to use its best efforts to perform the work specified in the Schedule and all obligations under this contract within the estimated cost, which, if this is a cost-sharing contract, includes both the Government's and the Contractor's share of the cost. (b) The Schedule specifies the amount presently available for payment by the Government and allotted to this contract, the items covered, the Government's share of the cost if this is a cost-sharing contract, and the period of performance it is estimated the allotted amount will cover. The parties contemplate that the Government will allot additional funds incrementally to the contract up to the full estimated cost to the Government specified in the Schedule, exclusive of any fee. The Contractor agrees to perform, or have performed, work on the contract up to the point at which the total amount paid and payable by the Government under the contract approximates but does not exceed the total amount actually allotted by the Government to the contract. (c) The Contractor shall notify the Contracting Officer in writing whenever it has reason to believe that the costs it expects to incur under this contract in the next 60 days, when added to all costs previously incurred, will exceed 75 percent of (1) the total amount so far allotted
to the contract by the Government or, (2) if this is a cost-sharing contract, the amount then allotted to the contract by the Government plus the Contractor's corresponding share. The notice shall state the estimated amount of additional funds required to continue performance for the period specified in the Schedule. (d) Sixty days before the end of the period specified in the Schedule, the Contractor shall notify the Contracting Officer in writing of the estimated amount of additional funds, if any, required to continue timely performance under the contract or for any further period specified in the Schedule or otherwise agreed upon, and when the funds will be required. (e) If, after notification, additional funds are not allotted by the end of the period specified in the Schedule or another agreed-upon date, upon the Contractor's written request the Contracting Officer will terminate this contract on that date in accordance with the provisions of the Termination clause of this contract. If the Contractor estimates that the funds available will allow it to continue to discharge its obligations beyond that date, it may specify a later date in its request, and the Contracting Officer may terminate this contract on that later date. (f) Except as required by other provisions of this contract, specifically citing and stated to be an exception to this clause (1) The Government is not obligated to reimburse the Contractor for costs incurred in excess of the total amount allotted by the Government to this contract; and (2) The Contractor is not obligated to continue performance under this contract (including actions under the Termination clause of this contract) or otherwise incur costs in excess of (i) the amount then allotted to the contract by the Government or, (ii) if this is a cost-sharing contract, the amount then allotted by the Government to the contract plus the Contractor's corresponding share, until the Contracting Officer notifies the Contractor in writing that the amount allotted by the Government has been increased and specifies an increased amount, which shall then constitute the total amount allotted by the Government to this contract. (g) The estimated cost shall be increased to the extent that (1) the amount allotted by the Government or, (2) if this is a cost-sharing contract, the amount then allotted by the Government to the contract plus the Contractor's corresponding share, exceeds the estimated cost specified in the Schedule. If this is a cost-sharing contract, the increase shall be allocated in accordance with the formula specified in the Schedule. (h) No notice, communication, or representation in any form other than that specified in subparagraph (f)(2) above, or from any person other than the Contracting Officer, shall affect the amount allotted by the Government to this contract. In the absence of the specified notice, the Government is not obligated to reimburse the Contractor for any costs in excess of the total amount allotted by the Government to this contract, whether incurred during the course of the contract or as a result of termination. (i) When and to the extent that the amount allotted by the Government to the contract is increased, any costs the Contractor incurs before the increase that are in excess of (1) the amount previously allotted by the Government or, (2) if this is a cost-sharing contract, the amount previously allotted by the Government to the contract plus the Contractor's corresponding share, shall be allowable to the same extent as if incurred afterward, unless
the Contracting Officer issues a termination or other notice and directs that the increase is solely to cover termination or other specified expenses. (j) Change orders shall not be considered an authorization to exceed the amount allotted by the Government specified in the Schedule, unless they contain a statement increasing the amount allotted. (k) Nothing in this clause shall affect the right of the Government to terminate this contract. If this contract is terminated, the Government and the Contractor shall negotiate an equitable distribution of all property produced or purchased under the contract, based upon the share of costs incurred by each. (l) If the Government does not allot sufficient funds to allow completion of the work, the Contractor is entitled to a percentage of the fee specified in the Schedule equalling the percentage of completion of the work contemplated by this contract. END OF SECTION I
PART III LIST OF DOCUMENTS, EXHIBITS, AND OTHER ATTACHMENTS SECTION J LIST OF DOCUMENTS EXHIBITS AND OTHER ATTACHMENTS Attachment Number J.1 J.2 J.3 J.4 J.5 J.6 J.7 J.8 J.9 J.10 J.11 J.12 Budget Template Local Compensation Position Description Guidelines Branding Implementation Plan and Marking Plan Format USAID Form 1420-17 Contractor Biographical Data Sheet SF LLL Disclosure of Lobbying Activities Past performance Questionnaire Identification of Principal Geographic Code Acronyms and Abbreviations used in this RFP Reporting Template Initial Environmental Examination Assessments on Devolution in Kenya List of Government Property END OF SECTION J Title
Solicitation # SOL61513000012 PART III REPRESENTATIONS AND INSTRUCTIONS SECTION K REPRESENTATIONS, CERTIFICATIONS AND OTHER STATEMENTS OF OFFERORS OR RESPONDENTS K.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE The following solicitation provisions pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the FAR provision at FAR "52.2521 SOLICITATION PROVISIONS INCORPORATED BY REFERENCE" in Section L of this solicitation. See FAR 52.252 1 for an internet address (if specified) for electronic access to the full text of a provision. NUMBER 52.20311 TITLE DATE FEDERAL ACQUISITION REGULATION (48 CFR Chapter 1) CERTIFICATION AND DISCLOSURE REGARDINGPAYMENTS TO INFLUENCE CERTAIN FEDERAL TRANSACTIONS AUG 2003
SEPT
2007 52.2378 RESTRICTION ON SEVERANCE PAYMENTS TO FOREIGN NATIONALS K.2
FAR 52.2048 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB 2012)
(a)(1) The North American Industry Classification System (NAICS) code for this acquisition is 641611. (2) The small business size standard is $7.0 million. (3) The small business size standard for a concern which submits an offer in its own name, other than on a construction or service contract, but which proposes to furnish a product which it did not itself manufacture, is 500 employees. (b)(1) If the clause at 52.204-7, Central Contractor Registration, is included in this solicitation, paragraph (d) of this provision applies. (2) If the clause at 52.204-7 is not included in this solicitation, and the Offeror is currently registered in CCR, and has completed the ORCA electronically, the Offeror may choose to use paragraph (d) of this provision instead of completing the corresponding individual representations and certifications in the solicitation. The Offeror shall indicate which option applies by checking one of the following boxes: [ ] (i) Paragraph (d) applies. [ ] (ii) Paragraph (d) does not apply and the Offeror has completed the individual representations and certifications in the solicitation. (c)(1) The following representations or certifications in ORCA are applicable to this solicitation as indicated: (i) 52.203-2, Certificate of Independent Price Determination. This provision applies to solicitations when a firm-fixed-price contract or fixed-price contract with economic price adjustment is contemplated, unless (A) The acquisition is to be made under the simplified acquisition procedures in Part 13; (B) The solicitation is a request for technical proposals under two-step sealed bidding procedures; or
Solicitation # SOL61513000012 (C) The solicitation is for utility services for which rates are set by law or regulation. (ii) 52.203-11, Certification and Disclosure Regarding Payments to Influence Certain Federal Transactions. This provision applies to solicitations expected to exceed $150,000. (iii) 52.204-3, Taxpayer Identification. This provision applies to solicitations that do not include the clause at 52.204-7, Central Contractor Registration. (iv) 52.204-5, Women-Owned Business (Other Than Small Business). This provision applies to solicitations that (A) Are not set aside for small business concerns; (B) Exceed the simplified acquisition threshold; and (C) Are for contracts that will be performed in the United States or its outlying areas. (v) 52.209-2, Prohibition on Contracting with Inverted Domestic Corporations Representation. This provision applies to solicitations using funds appropriated in fiscal years 2008, 2009, or 2010. (vi) 52.209-5, Certification Regarding Responsibility Matters. This provision applies to solicitations where the contract value is expected to exceed the simplified acquisition threshold. (vii) 52.214-14, Place of PerformanceSealed Bidding. This provision applies to invitations for bids except those in which the place of performance is specified by the Government. (viii) 52.215-6, Place of Performance. This provision applies to solicitations unless the place of performance is specified by the Government. (ix) 52.219-1, Small Business Program Representations (Basic & Alternate I). This provision applies to solicitations when the contract will be performed in the United States or its outlying areas. (A) The basic provision applies when the solicitations are issued by other than DoD, NASA, and the Coast Guard. (B) The provision with its Alternate I applies to solicitations issued by DoD, NASA, or the Coast Guard. (x) 52.219-2, Equal Low Bids. This provision applies to solicitations when contracting by sealed bidding and the contract will be performed in the United States or its outlying areas. (xi) 52.222-22, Previous Contracts and Compliance Reports. This provision applies to solicitations that include the clause at 52.222-26, Equal Opportunity. (xii) 52.222-25, Affirmative Action Compliance. This provision applies to solicitations, other than those for construction, when the solicitation includes the clause at 52.222-26, Equal Opportunity. (xiii) 52.222-38, Compliance with Veterans Employment Reporting Requirements. This provision applies to solicitations when it is anticipated the contract award will exceed the simplified acquisition threshold and the contract is not for acquisition of commercial items. (xiv) 52.223-1, Biobased Product Certification. This provision applies to solicitations that require the delivery or specify the use of USDAdesignated items; or include the clause at 52.223-2, Affirmative Procurement of Biobased Products Under Service and Construction Contracts. (xv) 52.223-4, Recovered Material Certification. This provision applies to solicitations that are for, or specify the use of, EPAdesignated items. (xvi) 52.225-2, Buy American Act Certificate. This provision applies to solicitations containing the clause at 52.225-1. (xvii) 52.225-4, Buy American ActFree Trade AgreementsIsraeli Trade Act Certificate. (Basic, Alternate I, and Alternate II) This provision applies to solicitations containing the clause at 52.225-3. (A) If the acquisition value is less than $25,000, the basic provision applies. (B) If the acquisition value is $25,000 or more but is less than $50,000, the provision with its Alternate I applies.
Solicitation # SOL61513000012 (C) If the acquisition value is $50,000 or more but is less than $67,826, the provision with its Alternate II applies. (xviii) 52.225-6, Trade Agreements Certificate. This provision applies to solicitations containing the clause at 52.225-5. (xix) 52.225-20, Prohibition on Conducting Restricted Business Operations in Sudan Certification. This provision applies to all solicitations. (xx) 52.225-25, Prohibition on Contracting with Entities Engaging in Sanctioned Activities Relating to IranRepresentation and Certification. This provision applies to all solicitations. (xxi) 52.226-2, Historically Black College or University and Minority Institution Representation. This provision applies to (A) Solicitations for research, studies, supplies, or services of the type normally acquired from higher educational institutions; and (B) For DoD, NASA, and Coast Guard acquisitions, solicitations that contain the clause at 52.219-23, Notice of Price Evaluation Adjustment for Small Disadvantaged Business Concerns. (2) The following certifications are applicable as indicated by the Contracting Officer: [Contracting Officer check as appropriate.] __ (i) 52.219-22, Small Disadvantaged Business Status. __ (A) Basic. __ (B) Alternate I. __ (ii) 52.222-18, Certification Regarding Knowledge of Child Labor for Listed End Products. __ (iii) 52.222-48, Exemption from Application of the Service Contract Act to Contracts for Maintenance, Calibration, or Repair of Certain Equipment Certification. __ (iv) 52.222-52, Exemption from Application of the Service Contract Act to Contracts for Certain ServicesCertification. __ (v) 52.223-9, with its Alternate I, Estimate of Percentage of Recovered Material Content for EPADesignated Products (Alternate I only). __ (vi) 52.227-6, Royalty Information. __ (A) Basic. __(B) Alternate I. __ (vii) 52.227-15, Representation of Limited Rights Data and Restricted Computer Software. (d) The Offeror has completed the annual representations and certifications electronically via the Online Representations and Certifications Application (ORCA) website accessed through https://www.acquisition.gov. After reviewing the ORCA database information, the Offeror verifies by submission of the offer that the representations and certifications currently posted electronically that apply to this solicitation as indicated in paragraph (c) of this provision have been entered or updated within the last 12 months, are current, accurate, complete, and applicable to this solicitation (including the business size standard applicable to the NAICS code referenced for this solicitation), as of the date of this offer and are incorporated in this offer by reference (see FAR 4.1201); except for the changes identified below [ Offeror to insert changes, identifying change by clause number, title, date ]. These amended representation(s) and/or certification(s) are also incorporated in this offer and are current, accurate, and complete as of the date of this offer. FAR Clause # Title Date Change ____________ _________ _____ __ _____ Any changes provided by the Offeror are applicable to this solicitation only, and do not result in an update to the representations and certifications posted on ORCA. K.3 AIDAR 752.22601 DISADVANTAGED ENTERPRISE REPRESENTATION (APR 1991)
Solicitation # SOL61513000012 (a) Representation The Offeror represents that: (1) it [ ] is, [ ] is not a small disadvantaged business. (2) it [ ] is, [ ] is not a historically black college or university, as designated by the Secretary of education pursuant to 34 CFR 608.2. (3) it [ ] is, [ ] is not a college or university having a student body in which more than 40 percent of the students are Hispanic American. (4) it [ ] is, [ ] is not a private voluntary organization which is controlled by individuals who are socially and economically disadvantaged. (b) Definitions (1) "Asian Pacific Americans," as used in this provision, means United States citizens whose origins are in Japan, China, the Philippines, Vietnam, Korea, Samoa, Guam, the U.S. Trust Territory of the Pacific Islands (Republic of Palau), the Northern Mariana Islands, Laos, Kampuchea (Cambodia), Taiwan, Burma, Thailand, Malaysia, Indonesia, Singapore, Brunei, Republic of the Marshall Islands, or the Federated States of Micronesia. (2) "Controlled by socially and economically disadvantaged individuals" means management and daily business are controlled by one or more such individuals. (3) "Native Americans," as used in this provision, means American Indians, Eskimos, Aleuts, and Native Hawaiians. (4) "Owned by socially and economically disadvantaged individuals" means at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more socially and economically disadvantaged individuals. (5) "Small Business Concern," as used in this provision, means a U.S. concern [as defined in FAR 19.001], including its affiliates [as defined in FAR 19.101], that is independently owned and operated, not dominant in the field of operation in which it is bidding on Government contracts, and qualifies as a small business under the criteria and size standards in 13 CFR 12110. (6) "Small Disadvantaged Business," as used in this provision, means a small business concern that (a) is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged, or a publicly owned business having at least 51 percent of its stock owned by one or more socially and economically disadvantaged individuals and (b) has its management and daily business controlled by one or more such individuals. (7) "Subcontinent Asian Americans," as used in this provision, means United States citizens whose origins are in India, Pakistan, Bangladesh, Sri Lanka, Bhutan, or Nepal. (c) Qualified Groups
Solicitation # SOL61513000012 The Offeror shall presume that socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Native Americans, Asian Pacific Americans, Subcontinent Asian Americans, and women. K.4 INSURANCE IMMUNITY FROM TORT LIABILITY
The Offeror represents that: [ ] it is, [ ] it is not a State agency or charitable institution, and that [ ] it is not immune, [ ] it is partially immune, [ ] it is totally immune from tort liability to third persons. K.5 AGREEMENT ON, OR EXCEPTIONS TO, TERMS AND CONDITIONS
The Offeror has reviewed the solicitation (Sections B through J of which will become the contract) and [ ] agrees to the terms and conditions set forth therein; or [ ] has the following exceptions (continue on a separate attachment page, if necessary): __________________________________________________________ __________________________________________________________ __________________________________________________________ __________________________________________________________ K.6 SIGNATURE
By signature hereon, or on an offer incorporating these Representations, Certifications, and Other Statements of Offerors, the Offeror certifies that they are accurate, current, and complete, and that the Offeror is aware of the penalty prescribed in 18 U.S.C. 1001 for making false statements in offers. Solicitation No. __________________________________________________ Offer/Proposal No. _______________________________________________ DUNS No. _______________________________________________________ Date of Offer ____________________________________________________ Name of Offeror__________________________________________________ Typed Authorized Officials Name____________________________________ Typed Authorized Officials Title_____________________________________
Solicitation # SOL61513000012 Signature____________________________ Date_______________________ END OF SECTION K
SECTION L INSTRUCTIONS, CONDITIONS, AND NOTICES TO OFFERORS L.1 NOTICE LISTING SOLICITATION PROVISIONS INCORPORATED BY REFERENCE The following Provisions and/or Contract clauses pertinent to this section are hereby incorporated by reference (by Citation Number, Title, and Date) in accordance with the clause at FAR "52.2522 CLAUSES INCORPORATED BY REFERENCE" in Section I of this RFP. See FAR 52.2522 for an internet address (if specified) for electronic access to the full text of a clause. NUMBER 52.2046 52.2047 2008) 52.2097 2012) 52.21434 1991) 52.21522 52.21924 52.22224 52.22246 L.2 TITLE DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER CENTRAL CONTRACTOR REGISTRATION INFORMATION REGARDING RESPONSIBILITY MATTERS SUBMISSION OF OFFERS IN THE ENGLISH LANGUAGE LIMITATIONS ON PASSTHROUGH CHARGES IDENTIFICATION OF SUBCONTRACT EFFORT SMALL DISADVANTAGED BUSINESS PARTICIPATION PROGRAMTARGETS PREAWARD ONSITE EQUAL OPPORTUNITY COMPLIANCE EVALUATION EVALUATION OF COMPENSATION FOR PROFESSIONAL EMPLOYEES DATE (DEC 2012) (APR (FEB (APR (OCT 2009) (OCT 2000) (FEB 1999) (FEB 1993)
52.2151 INSTRUCTIONS TO OFFERORSCOMPETITIVE ACQUISITION (JAN 2004)
(a) Definitions. As used in this provision Discussions are negotiations that occur after establishment of the competitive range that may, at the contracting officers discretion, result in the Offeror being allowed to revise its proposal In writing, writing, or written means any worded or numbered expression that can be read, reproduced, and later communicated, and includes electronically transmitted and stored information. Proposal modification is a change made to a proposal before the solicitations closing date and time, or made in response to an amendment, or made to correct a mistake at any time before award. Proposal revision is a change to a proposal made after the solicitation closing date, at the request of or as allowed by a contracting officer as the result of negotiations. Time, if stated as a number of days, is calculated using calendar days, unless otherwise specified, and will include Saturdays, Sundays, and legal holidays. However, if the last day
falls on a Saturday, Sunday, or legal holiday, then the period shall include the next working day. (b) Amendments to solicitations If this solicitation is amended, all terms and conditions that are not amended remain unchanged. Offerors shall acknowledge receipt of any amendment to this solicitation by the date and time specified in the amendment(s). (c) Submission, modification, revision, and withdrawal of proposals (1) Unless other methods (e.g., electronic commerce or facsimile) are permitted in the solicitation, proposals and modifications to proposals shall be submitted via email (i) addressed to the office specified in the solicitation, and (ii) showing the time and date specified for receipt, the solicitation number, and the name and address of the Offeror. Paper media submission is not allowed. (2) The first page of the proposal must show (i) The solicitation number; (ii) The name, address, and telephone and facsimile numbers of the Offeror (and electronic address if available); (iii) A statement specifying the extent of agreement with all terms, conditions, and provisions included in the solicitation and agreement to furnish any or all items upon which prices are offered at the price set opposite each item; (iv) Names, titles, and telephone and facsimile numbers (and electronic addresses if available) of persons authorized to negotiate on the Offerors behalf with the Government in connection with this solicitation; (v) Name, title, and signature of person authorized to sign the proposal. Proposals signed by an agent shall be accompanied by evidence of that agents authority, unless that evidence has been previously furnished to the issuing office. (3) Submission, modification, revision, and withdrawal of proposals. (i) Offerors are responsible for submitting proposals, and any modifications or revisions, so as to reach the Government office designated in the solicitation by the time specified in the solicitation. If no time is specified in the solicitation, the time for receipt is 05:00 p.m., local time, for the designated Government office on the date that proposal or revision is due. (ii) (A) Any proposal, modification, or revision received at the Government office designated in the solicitation after the exact time specified for receipt of offers is late and will not be considered unless it is received before award is made, the contracting officer determines that accepting the late offer would not unduly delay the acquisition; and
(1) If it was transmitted through an electronic commerce method authorized by the solicitation, it was received at the initial point of entry to the Government infrastructure not later than 5:00 p.m. one working day prior to the date specified for receipt of proposals; or (2) There is acceptable evidence to establish that it was received at the Government installation designated for receipt of offers and was under the Governments control prior to the time set for receipt of offers; or (3) It is the only proposal received. (B) However, a late modification of an otherwise successful proposal that makes its terms more favorable to the Government, will be considered at any time it is received and may be accepted. (iii) Acceptable evidence to establish the time of receipt at the Government installation includes the time/date stamp of that installation on the proposal wrapper, other documentary evidence of receipt maintained by the installation, or oral testimony or statements of Government personnel. (iv) If an emergency or unanticipated event interrupts normal Government processes so that proposals cannot be received at the office designated for receipt of proposals by the exact time specified in the solicitation, and urgent Government requirements preclude amendment of the solicitation, the time specified for receipt of proposals will be deemed to be extended to the same time of day specified in the solicitation on the first work day on which normal Government processes resume. (v) Proposals may be withdrawn by written notice received at any time before award. Oral proposals in response to oral solicitations may be withdrawn orally. If the solicitation authorizes facsimile proposals, proposals may be withdrawn via facsimile received at any time before award, subject to the conditions specified in the provision at 52.2155, Facsimile Proposals. Proposals may be withdrawn in person by an Offeror or an authorized representative, if the identity of the person requesting withdrawal is established and the person signs a receipt for the proposal before award. (4) Unless otherwise specified in the solicitation, the Offeror may propose to provide any item or combination of items. (5) Offerors shall submit proposals in response to this solicitation in English, unless otherwise permitted by the solicitation, and in U.S. dollars, unless the provision at FAR 52.22517, Evaluation of Foreign Currency Offers, is included in the solicitation. (6) Offerors may submit modifications to their proposals at any time before the solicitation closing date and time, and may submit modifications in response to an amendment, or to correct a mistake at any time before award. (7) Offerors may submit revised proposals only if requested or allowed by the contracting officer. (8) Proposals may be withdrawn at any time before award. Withdrawals are effective upon receipt of notice by the contracting officer.
(d) Offer expiration date. Proposals in response to this solicitation will be valid for the 6 months specified on the solicitation coversheet (unless a longer period is proposed by the Offeror). (e) Restriction on disclosure and use of data. Offerors that include in their proposals data that they do not want disclosed to the public for any purpose, or used by the Government except for evaluation purposes, shall (1) Mark the title page with the following legend: This proposal includes data that shall not be disclosed outside the Government and shall not be duplicated, used, or disclosedin whole or in partfor any purpose other than to evaluate this proposal. If, however, a contract is awarded to this Offeror as a result ofor in connection withthe submission of this data, the Government shall have the right to duplicate, use, or disclose the data to the extent provided in the resulting contract. This restriction does not limit the Government's right to use information contained in this data if it is obtained from another source without restriction. The data subject to this restriction are contained in sheets [insert numbers or other identification of sheets]; 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 proposal. (f) Contract Award (1) The Government intends to award a contract or contracts resulting from this solicitation to the responsible Offeror whose proposal is most advantageous in accordance with Section M, Evaluation Factors for Award. (2) The Government may reject any or all proposals if such action is in the Governments interest. (3) The Government may waive informalities and minor irregularities in proposals received. (4) The Government intends to evaluate proposals and award a contract without discussions with Offerors (except clarifications as described in FAR 15.306(a)). Therefore, the Offerors initial proposal should contain the Offerors best terms from a cost or price and technical standpoint. The Government reserves the right to conduct discussions if the contracting officer later determines them to be necessary. If the contracting officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the contracting officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals. (5) The Government reserves the right to make an award on any item for a quantity less than the quantity offered, at the unit cost or prices offered, unless the Offeror specifies otherwise in the proposal. (6) The Government reserves the right to make multiple awards if, after considering the additional administrative costs, it is in the Governments best interest to do so.
(7) Exchanges with Offerors after receipt of a proposal do not constitute a rejection or counteroffer by the Government. (8) The Government may determine that a proposal is unacceptable if the prices proposed are materially unbalanced between line items or subline items. Unbalanced pricing exists when, despite an acceptable total evaluated price, the price of one or more contract line items is significantly overstated or understated as indicated by the application of cost or price analysis techniques. A proposal may be rejected if the contracting officer determines that the lack of balance poses an unacceptable risk to the Government. (9) If a cost realism analysis is performed, cost realism may be considered by the source selection authority in evaluating performance or schedule risk. (10) A written award or acceptance of proposal mailed or otherwise furnished to the successful Offeror within the time specified in the proposal shall result in a binding contract without further action by either party. (11) If a postaward debriefing is given to requesting Offerors, the Government shall disclose the following information, if applicable: (i) The agencys evaluation of the significant weak or deficient factors in the debriefed Offerors offer. (ii) The overall evaluated cost or price and technical rating of the successful and the debriefed Offeror and past performance information on the debriefed Offeror. (iii) The overall ranking of all Offerors, when any ranking was developed by the agency during source selection. (iv) A summary of the rationale for award. (v) For acquisitions of commercial items, the make and model of the item to be delivered by the successful Offeror. (vi) Reasonable responses to relevant questions posed by the debriefed Offeror as to whether sourceselection procedures set forth in the solicitation, applicable regulations, and other applicable authorities were followed by the agency. L.3 52.2332 SERVICE OF PROTEST (SEP 2006)
(a) Protests, as defined in section 33.101 of the Federal Acquisition Regulation, that are filed directly with an agency, and copies of any protests that are filed with the Government Accountability Office (GAO), shall be served on the Contracting Officer by obtaining written and dated acknowledgment of receipt from: Mr. Sunil Xavier Contracting Officer Email: sxavier@usaid.gov USAID/East Africa Regional Acquisition and Assistance Office
P.O. Box 629, Village Market 00621 Nairobi, Kenya Fax Number: U.S. 202-716-3055 A copy of any protest shall also be provided to William Buckhold at Fax Number: 202-2163058. (b) The copy of any protest shall be received in the office designated above within one day of filing a protest with the GAO. L.4 GOVERNMENT OBLIGATION
Issuance of this solicitation does not constitute a commitment on the part of the U.S. Government to make an award nor does it commit the U.S. Government to pay for any costs incurred in the preparation and submission of a proposal. Further, the U.S. Government reserves the right to reject any or all proposals received. L.5 INSTRUCTIONS TO OFFERORS
(a) RFP Instructions: If an Offeror does not follow the instructions set forth herein, the Offerors proposal may be eliminated from further consideration or the proposal may be downgraded and not receive full or partial credit under the applicable evaluation criteria. (b) Accurate and Complete Information: Offerors must set forth full, accurate and complete information as required by this RFP. The penalty for making false statements to the Government is prescribed in 18 U.S.C. 1001. (c) Length and Format of Proposals (1) Technical proposals are strictly limited to no more than 40 pages in length excluding annexes. They must be written in English and be readable. Each page must be numbered consecutively. Those pages that exceed the page limitation will not be evaluated. (2) The appendices listed below should be annexed to the proposal and do not count against the 40 page limit: (i) Draft work plan (ii) Resumes and completed SF 142017s of key personnel with three references. Full contact information to be provided for each reference: name, position, relationship, email address, mobile and telephone numbers. Resumes shall be an annex to the Technical Proposal, whereas SF 142017s shall be part of Cost proposal. (iii) Resumes and completed SF 142017s of other proposed longterm personnel. Resumes shall be an annex to the Technical Proposal, whereas SF 1420 17s shall be part of Cost proposal.
(iv) Signed letters of commitment from key and other longterm personnel (includes availability, intention to serve stated term, agreement to compensation level set forth in proposal and prior work experience with Offeror [if applicable]). (v) Organizational chart (vi) Subcontractors information (Maximum of 1 page per subcontractor). (vii)Proposed subcontractors signed letters of commitment (on their letterheads) as part of your Technical Proposal. (viii) Performance Monitoring Plan as part of Technical Proposal. (ix) Initial Branding Implementation Plan (BIP) and a Marking Plan (MP). (x) Past performance details as described in this Section. (3) Unnecessarily elaborate brochures or other presentations beyond those sufficient to present a complete and effective proposal in response to this RFP are not desired and may be construed as an indication of the Offerors lack of cost consciousness. Elaborate art work, expensive paper and bindings, and expensive visual or other presentation aids are neither necessary nor wanted. (4) Alternate Proposals: Alternate proposals will not be accepted. (5) Submission of Proposals: Offerors are to submit via email. Technical and cost proposals must be kept separate. The electronic version of proposals must be sent by internet email, with attachments compatible with Adobe Acrobat (PDF) and Excel MS Office 2010 in an MS Windows environment to the following address: csigner@usaid.gov, and jkibabu@usaid.gov. Each email must not exceed 5mb in size and all files are to be in PDF except for cost spreadsheets which are to be provided as Excel files with cell formulas intact. All emails containing proposal files should, in the address line, state SOL61513000012 Technical or Cost Proposal, email no. X. Email is the only method for submitting proposals. An email submission received before the submission deadline by either contact listed above will be considered received. Zip files are not permitted. Offerors must take into account the expected delivery time required by their preferred proposal transmission and are responsible for ensuring that their proposals are received at USAID by the due date and time. Offerors are encouraged to obtain confirmations of receipt of their proposals. USAID will not be held responsible for lost proposals. Offerors should retain one copy of their complete proposal for their records. L.6 INSTRUCTIONS FOR THE PREPARATION OF THE TECHNICAL PROPOSAL The Statement of Work (SOW), included in Section C of this RFP provides USAIDs overall objectives (along with illustrative activities), and the Offerors minimum requirements to
achieve those objectives. The Offeror shall ensure all aspects of the SOW are addressed, along with any other requirements detailed in other sectors of the RFP. The Technical Proposal in response to this solicitation should address how the Offeror intends to carry-out the Statement of Work contained in Section C. The technical proposal shall be specific, complete, presented concisely, and responsive to the instructions contained herein. It should clearly demonstrate how the proposed approach will meet the goals and objectives of the program, and fulfill the Contractors program implementation responsibilities. The technical proposal will be organized by the technical evaluation criteria listed in Section M as clarified further below. EXECUTIVE SUMMARY One page maximum, followed by the sections below as detailed in Section M.2. The Executive Summary does count towards the 40page limit. 1) TECHNICAL APPROACH
The technical approach in response to this solicitation must address how the Offeror intends to achieve the objectives in the Statement of Work contained in Section C. The technical proposal shall be specific, complete and organized by the objectives and tasks listed in Section C. The technical approach shall reflect a clear understanding of the scope and significance of the project. Taking into consideration the evaluation criteria, the Offerors proposal must describe the proposed approach and methodology for achieving the project objectives in a sustainable and innovative manner. USAID is interested in more than a simple identification of problems restating the priority areas identified in this solicitation. Offerors must demonstrate a clear understanding of the local context in which this project is being implemented, and propose innovative strategies and specific tactics that will have the greatest chance of success. The approach must demonstrate clearly that the Offeror understands, and is prepared to deal with, the prevalent challenges, constraints, and risks in each proposed activity. The Offeror shall focus especially on its plan for engaging and building the capacity of local organizations (CSOs, Counties, and other bodies) supported by the project. This shall include the following 5 considerations: (1) Partner Engagement, Planning, Monitoring : How shall the Offeror select organizations, accurately assess their needs, develop a detailed and collaborative plan for enhancing capacity, set milestones for organizational development, provide incentives for meeting those milestones, measure progress over time, and ensure that targets are met? (2) Tools and Methodologies: What tools and methodologies shall the Offeror use for capacity building? Though training is an important aspect of any such effort, Offerors are encouraged to propose creative capacity-building methodologies that go beyond traditional one-off trainings.
(3) Subgrants/Support: How shall the projects system for funding local organizations be designed and managed? As funding for local institutions shall be a key aspect of the project, the Offeroror shall describe in detail how it shall develop a rigorous, but nonetheless nimble and responsive system that shall enable AHADI to rapidly fund a large number of diverse organizations. (4) Low Capacity Areas: What shall be the projects strategy when faced with County institutional systems that dont already have local entities to partner with? In high institution-deficit Counties, new organizations might need to be fostered and catalyzed, and the Offeror is expected to describe in detail how it shall incubate new organizations or networks in areas that have little to no governance infrastructure. (5) Sustainability: How shall the project enhance the sustainability of partnering institutions and help them to diversify funding and break the cycle of donor dependency? Item a) in the above list will require special focus with regards to Counties. The Offeror shall further detail how it plans to formally engage and partner with County governments, and to adapt that engagement to match political will and stakeholder interest. For example, in Counties with a strong executive, the Offeror will likely work very closely with the Governor; while in Counties with an executive less interested in citizen engagement, the project would be served by focusing more on building up the County Assembly as a countervailing force for accountable leadership. In Counties where no political will exists among senior leadership, working with civil servants and/or civil society will offer an alternative that could achieve significant results. It is likely that the project will work with all of these groups to some extent in every County, but as the perceived commitment of leaders and stakeholders changes over time, the Offeror shall describe its plans for periodically assessing and adjust each County engagement strategy for maximum effect. 2) KEY PERSONNEL AND STAFFING
Considerable leeway and creativity is allowed to Offerors to propose management staff, technical team, and support staff that can most effectively carry out the project within the available budget. Careful consideration should be given to the Contract requirements, results to be achieved and unique aspects associated with the requirements of Section C. The proposed staff should have sufficient capacity to adequately manage a large project with a substantial budget for grants under contract. The staff should also have sufficient local government and civil society strengthening experience. In addition, the staff should have sufficient technical expertise in the targeted sectors of Food Security, Climate Change, Education and Youth, though this expertise need not be in the form of a full-time position devoted to each sector (full-time staff may have the capacity to cover more than one sector, or consultants/part-time short term technical assistance may be sufficient). The core team should be composed of longterm US and Kenya professionals and can be supplemented by local and/or international short-term consultants. Greater use of local expertise is generally preferred where feasible. The key personnel must include, at a minimum, a Chief of Party, Deputy Chief of Party, Finance Manager, Grants Manager, and Monitoring and Evaluation Specialist. Minimum qualifications must be provided for all key and longterm personnel positions. See Section F for minimal qualifications and additional information pertaining to Key and Longterm
personnel. The Offeror shall identify its key personnel by name, and shall do the same with longterm technical personnel whenever possible. The Offeror must justify why each person designated as Key Personnel and LongTerm Personnel where chosen, making linkages to their strategic contribution to project results. Please refer to Section L.5 for further information detailing resume and letter of commitment requirements. 3) MANAGEMENT PLAN
As part of its proposal, the Offeror must submit a detailed Management Plan for USAIDs review. Management Plans must, as a minimum, address the following (with further guidance on a number of these items detailed below the bulleted list): (a) Staffing/Office Structure: the structure that will best allow the Offeror to deliver its technical vision, and allow it to adequately cover targeted Counties and clusters. (b) Geographic Focus: The Offers proposed target counties and clusters as further elaborated in section C.3.4 and in the detailed paragraphs below. (c) Local Partnership Plan: The Offerors clear and detailed plan on how it will effectively transfer management responsibility and leadership to its local partner(s), as described above in section C.3.3 and in the detailed paragraphs below. (d) USAID/Kenya Partnership Plan: The Offers proposed process for close coordination with USAID/Kenya allowing it respond rapidly to technical advice, guidance and direction as described above in section C.3.1. (e) Coordination Plan: The Offerors plan for how it will integrate with other relevant efforts funded by the USG and other donors, as described above in section C.4. (f) Performance Management Plan: The Offerors monitoring, evaluation, reporting learning and adapting plan including proposed indicators and targets of sufficient quality and relevance to ensure that the project remains on track and adapts to changing donor activities, funding requirements, County government commitment, and other factors that will affect the operating environment of the project and require a flexible approach, as described in section C.3.2.. Further guidance is also described above in section C.7 (g) Program Modifier: Offeror shall outline in their technical proposal how they plan to rapidly mobilize if modifier is invoked Geographic Focus: As further described in Section C.3.4, the Offeror shall identify clusters of Counties for potential focus that have similar concerns achieving economies of scale in programming and facilitating opportunities for cross-County cooperation. One required cluster shall be the five Arid Counties targeted by the REGAL project: Turkana, Marsabit, Wajir, Isiolo and Garissa. The Offeror should be aware that as of the time of the drafting of this RFP, Garissa is a non-permissive area for travel and operations for entities under Chief of Mission Authority. Therefore, the Offeror shall articulate plans for obtaining waivers or otherwise implementing the project in this County. As the security situation in Kenya evolves, the Offeror shall continue to adapt the project to fit changing restrictions and security concerns. A second cluster could be the conflict-prone, marginalized and under-developed areas of the Coast, since devolved governance in those areas could either help address historic drivers of conflict, or further exacerbate them. Counties in this cluster could include Tana River, Lamu, Kilifi, Kwale, Taita Taveta, and Mombasa. The urban Counties of Nairobi, Mombasa, Kisumu, Machakos and Kiambu offer unique opportunities to affect large numbers of citizens, as well as to rapidly improve services, implement reforms, and learn replicable lessons due to existing municipal governance capacity. As another example, AHADI could also focus on Counties such as Lamu, Isiolo, Marsabit, Tana River and Samburu that are likely to receive
much more funding per capita through the Commission on Revenue Allocation (CRA) formula relative to other Counties. Beyond the 5 Arid Counties identified, the above listing of Counties is not meant to indicate definitive geographic areas of focus. Should the Offeror wish to propose alternate target Counties beyond those illustratively listed above, these suggestions would be considered. The justification and rationale for the Offerors proposed areas of geographic focus shall be made clear in its response, but final selection of target counties (and any changes thereof over the life of the project) will require USAID/Kenya approval. c) Local Partnership Plan: Though USAID anticipates at least two partners (prime and local) in a management role for the project, it is open to creative proposals from Offerors for alternate arrangements that may offer more effective management and broader sustainability. For example, it may make sense to build up a cadre of local partners assigning management responsibilities for them by geography (County clusters), by function (management of grants under contract, financial management, technical assistance, etc.), and/or by the other institutions whose capacity they focus on (government vs. civil society). The Offeror shall lay out a clear plan for handling relationships with partners who shall take on additional management responsibility over time. This shall include plans for mentoring, the delineation of responsibility, and especially the transfer of responsibility. This transfer will likely be challenging, and USAID/Kenya is interested in creative ideas for handling this important aspect of the project (e.g., transferring or seconding key personnel from the prime.) In its proposal, the Offeror shall address: How shall the project differentiate between its plans for enhancing the capacity of organizations whose role shall be primarily sub-recipients supported to conduct advocacy, and those that shall also take on increased management responsibility of the project overall? What is the division of responsibility who shall be responsible for which aspect of the project and how that shall change over time? And what is the plan for a smooth transfer of responsibility? How shall the project identify which local organizations are able to take on additional management responsibilities, and work with them to develop capacity building plans and incentives that help them achieve that goal? How shall the project ensure unity and complementarity (e.g., aligning compensation, co-location)? And how shall the project ensure healthy competition for increased funding and responsibility, and avoid creating negative competitive practices in which partner organizations undermine each other? How shall the project encourage retention of trained staff to maximize sustainability of capacity building interventions and minimize the need for retraining? PAST PERFORMANCE (PRIME AND MAJOR SUBCONTRACTORS)
4)
Offerors shall include a concise narrative (part of the maximum page count) describing their and any major subcontractors relevant past performance, successes, and how lessons learned in the implementation of similar projects. If the Offeror encountered problems on any
of the referenced projects, a short explanation and the corrective action taken must be described. Please provide the following information as Annex: a) The Offerors (including all partners of a joint venture) must provide performance information for itself and each subContractor whose total estimated cost exceeds 5% of the total proposed offer. To meet this requirement, please provide the following: 1. Five (5) of the most recent and relevant contracts for efforts similar to the work in the subject proposal. The most relevant indicators of performance are contracts of similar size, type of work, scope of work and complexity/diversity of tasks. 2. Provide for each of these contracts a list of contact names, job titles, mailing address, phone numbers, email address, and a description of performance to include: o o o o o o Scope of Work or complexity/diversity of tasks, Primary location(s) of work, Term of performance, Skills/expertise required, Dollar value, and Contract type, i.e., fixed price, cost reimbursement, etc.
(USAID recommends that Offerors alert the contacts that their names have been submitted and that they are authorized to provide performance information concerning the listed contracts if and when USAID requests it.) b) If extraordinary problems impacted any of the referenced contracts, provide a short explanation and the corrective action taken. (Required by FAR 15.305(a)(2)) c) Describe any quality awards or certifications that indicate exceptional capacity to provide the service or product described in the statement of work. This information is not included in the page limitation. d) Performance in Using Small Business (SB) Concerns (as defined in FAR 19.001) This section (d) is not applicable to offers from small business concerns. As part of the evaluation of performance in Section M.3 of this solicitation, USAID will evaluate the extent you used and promoted the use of small business concerns under current and prior contracts. The evaluation will assess the extent small business concerns participated in these contracts relative to the size/value of the contracts, the complexity and variety of the work small business concerns performed, and compliance with your SB subcontracting plan or other similar small business incentive programs set out in your contract(s). In order for USAID to fully and fairly evaluate performance in this area, all Offerors who are not small business concerns must do the following:
Provide a narrative summary of your organization's use of small business concerns over the past three years. Describe how you actually use small businesses-as subcontractors, as joint venture partners, through other teaming arrangements, etc. Explain the nature of the work small businesses performed--substantive technical professional services, administrative support, logistics support, etc. Describe the extent of your compliance with your SB subcontracting plan(s) or other similar SB incentive programs set out in your contract(s) and explain any mitigating circumstances if goals were not achieved. To supplement the narrative summary in (A) , provide a list of the recent ________________. Contracts for which you submitted subcontract reports to eSRS (FAR52.219-9(d)(10) and a copy of any similarly recent subcontracting reports if they were not submitted to eSRS. Provide the names and addresses of three SB concerns for us to contact for their assessment of your performance in using SB concerns. Provide a brief summary of the type of work each SB concern provided to your organization, and the name of a contact person, his/her title, phone number, and e-mail address for each. L.7 COST PROPOSALS
Offerors will submit cost proposals which will be reviewed as part of the overall evaluation as indicated in Section M. (a) The cost proposal must be submitted under separate cover from the technical proposal. While there is no page limit, Offerors must provide the necessary detail and supporting information to address the solicitation requirement and to allow a complete analysis of each line item cost. Provide workable (Excel) detailed budget (breakdown) with narratives explaining the basis for the estimate for each category of cost in sufficient detail to facilitate determination of cost reasonableness. Certified cost or pricing data is not required for this proposal. (b) The cost proposal has two parts: (1) the completed Standard Form (SF) 33, and (2) the proposed costs/prices. (1) Offerors must submit the cover page [Standard Form (SF)33 Solicitation, Offer and Award], Section A of this Solicitation, with Blocks 12 through 18 completed, with the original signature of a person authorized on behalf of the Offeror to sign the offer. (2) The proposed costs consists of the Offerors estimated price to perform the required effort as set forth in the Statement of Work and must be prepared in a manner that is current, accurate and complete. The cost proposal for the fiveyear period must be presented in the following manner: (i) As a summary budget with 1) totals for overall expected expenditures for each of the three program objectives described in Section C, as well as 2) the budget line items below, and
(ii) The detailed budget provided through the use of spreadsheets, budget narratives and footnotes. (c) The detailed budget, at a minimum, must include the following: (1) Direct Labor Salaries & Wages : FAR 31.2056, AIDAR 732.20546 and AIDAR 752.7007 provides for compensation for personal services. Direct labor salary and wages should be proposed in accordance with the Offerors personnel policies and must meet the regulatory requirements. Costs of longterm and shortterm personnel should be broken down by person years, months, days or hours. A detailed Level of Effort (LOE) estimate with a separate line item for each proposed individual identifying each individual by name and title as well as a consolidated LOE chart, including subcontractors LOE, must be provided. A copy of this chart should be presented as an annex to the technical proposal. Completed biographical data sheets, Form AID 142017 (see Attachment J.4), must be provided for all Key and Longterm personnel. Minimum qualifications of key personnel (See Section F) must be provided. Biodata forms must be properly completed, certified and signed by both employee and Contractor in the appropriate spaces with all blocks completed, as appropriate. Salaries of TCN and CCN personnel must be reflected on the biodata form in U.S. dollar and Offerors will state the exchange rate used if the proposed personnel salary histories include salaries in currency other than U.S. dollar. Labor cost for TCNs and CCNs shall not exceed the thresholds in the US Embassys local employee compensation plan (LCP). Offerors are to state the FSN grade equivalent for all TCN and CCN positions using the guide in Attachment J-2. The intent for requesting the FSN grade equivalent for proposed positions is to gain an understanding of the skills proposed. It is understood that the project may require levels of expertise beyond the FSN grades, but for equivalent positions, the FSN grade is considered a reasonable tool for measuring cost reasonableness. Proposed annual salary escalation (see Section I) must be provided . A certification that the proposed personnel were not suggested or requested by USAID must be included in the cost proposal. (2) Fringe Benefits: FAR 31.2056 provides for allowances and services provided by the Contractor to its employees as compensation in addition to regular wages and salaries. If fringe benefits are provided for as part of a firms indirect cost rate structure, see FAR 42.700. If not part of an indirect cost rate, a detailed cost breakdown by benefits types should be provided. (3) Consultants: FAR 31.20533 provides for services rendered by persons who are members of a particular profession or possess a special skill and who are not officers or employees of the Contractor. Costs of consultants should be broken down by person years, months, days or hours.
(4) Travel, Transportation, and Per diem: FAR 31.20546, AIDAR 731.20546 and AIDAR 7527032 provide for costs for transportation, lodging, meals and incidental expenses. Costs should be broken down by the number of trips, domestic and international, cost per trip, per diem and other related travel costs. Specify the origin and destination, purpose for each proposed trip, duration of travel, and number of individuals traveling. In addition, Offeror shall provide a consolidated travel chart (including subcontractor travel). Per diem should be based on the Offeror's normal travel policies or may choose to refer to the Federal Standardized Travel Regulations for cost estimates. (5) Equipment and Supplies: FAR 2.101 provides for supplies as all property except land or interest in land, FAR 31.20526 provides for material costs, and FAR 45 prescribes policies and procedures for providing Government property to contractors, contractors use and management of Government property, and reporting, redistributing, and disposing of Contractor inventory. Costs should be broken down by types and units, and include an analysis that it is more advantageous to purchase than lease. PLEASE NOTE: Government Furnished Property will be provided. Offerors shall review the list in Attachment J.12 and consider these items when developing costs for equipment and supplies. (6) Subcontracts: FAR 44.101 provides for any contract entered into by a subcontractor to furnish supplies or services for performance of a prime contract or a subcontract. Information sufficient to determine the reasonableness of the cost of each specific subcontract and consultant expected to be hired must be included. Similar information should be provided for all consultants provided under the category for personnel. Provide the subcontracting plan using SF294 if not registered in eSRS (please inform of such). All costs for local organizations and local personnel MUST be denominated in local currency. A US$ equivalent column should be included. State the exchange rate used. All costs for local organizations must be budgeted as direct costs. NOTE: Individual subcontractors proposed as part of the offer should include the same cost element breakdowns in their budget as the primes, as applicable. (7) Grants: This line item will be for all costs for the actual grant facility which includes, but is not limited to actual grants awarded, cost of advertising grant solicitations, pre-application conferences, pre-award surveys, grantees training and capability strengthening, annual audits, program reviews, etc. A minimum of $15,000,000 of project funding shall be allocated over the five-year program for the Grants under Contract program (with even higher amounts encouraged). (8) Allowances: AIDAR 752.7028 provides for differentials and allowances with further references to Standardized Regulations. Allowances must be broken down by specific type and by person, and must be in accordance with Offerors policies and these regulations. (9) Participant training: AIDAR 752.7019 and ADS 253 provides for participant training and training in development. Costs are to be broken down by types and participants. Training cost per participant must be provided. (10) Other training and conferences for other than participant training: Provide number of training sessions, length and number of participants. Include training cost per participant and provide name for each training. If seminars and conferences are included, the Offeror should indicate the subject, venue and duration of proposed conferences and
seminars, and their relationship to the objectives of the program, along with estimates of costs. (11) Program Modifier: The Program Modifer CLIN described in section C.5.4 should be budgeted using a plug-in figure of $5,000,000. (12) Other direct costs: FAR 31.202 provides for the allowability of direct costs. Costs should be broken down by types and units. Specific information regarding the type of communication cost at issue (i.e. mail, telephone, cellular phones, internet etc.) must be included in order to allow an assessment of the realism and reasonableness of these types of costs. This can also include report preparation costs, passports and visas fees, medical exams and inoculations, insurance (other than insurance included in the Offeror's fringe benefits), as well as any other miscellaneous costs, which directly benefit the program proposed by the Offeror. The narrative should provide a breakdown and support for all other direct costs. Costs of Branding and Marking (ADS 320.3.6.3) must be included under this line item. These costs are eligible for financing if reasonable, allocable, and allowable in accordance with the applicable cost principles. (13) Indirect costs (overhead, G&A, material & handling): FAR 31.203 and FAR 42.700 provides for those remaining costs (indirect) that are to be allocated to intermediate or two or more final cost objectives. Indirect costs and bases as provided for in an Offerors indirect cost rate agreement with the Government or if approved rates have not been previously established with the Government, a breakdown of bases, pools, method of determining the rates and description of costs. The Offeror and each proposed subcontractor will include a complete copy of its most current Negotiated Cost Rate Agreement (NICRA) or other documentation from your cognizant U.S. Government audit agency, if any, stating the most recent final indirect cost rates. The proposal must include the name and address of the Government Audit Agency, and the name and telephone number of the auditor. Indirect cost ceiling rates must be included in cost proposal. If the Offeror does not have a NICRA or a cognizant Government Audit Agency, the proposal shall include: o Financial statements, balance sheets and profit and loss statements, for the last two complete years, and the current yeartodate financial statements (or such lesser period of time if the Offeror is a newlyformed organization), must be included in the proposal. The profit and loss statements should include detail of the total cost of goods and services sold, including a listing of the various indirect administrative costs, and be supplemented by information on the prime Contractors customary indirect cost allocation method, together with supporting computations of the basis for the indirect cost rate(s) proposed; and Detailed indirect cost rate calculations for the most recent two fiscal years that include the major cost elements in both the pool of expenses and base of application. The rate calculations must be supported by the applicable financial statements.
(14) Total Fixed fee (if any): FAR 15.4044 provides for establishing the profit or fee portion of the Government prenegotiation objective, and provides profitanalysis factors for analyzing profit or fee. Propose fee with rationale supported by application of the profit analysis factors. It is not expected that fee will be applied to other than direct costs for sub awards (i.e., not profit or indirect costs). (d) Cost Proposal Format
Please refer to the budget template under ATTACHMENT J.1 BUDGET TEMPLATE for the cost proposal format. (e) The Cost Proposal will also include the following: (1) A compensation plan for project professional and administrative staff for Contracting Officer approval. (2) The procurement plan for equipment to be purchased under the Contract. The Offeror should include a detailed procurement plan containing explicit information on how procurements will be accomplished. Specify all equipment to be purchased, including the type of equipment, the manufacturer, the unit cost, the number of units to be purchased and the expected geographic source. PLEASE NOTE: Government Furnished Property will be provided. Offerors shall review the list in Attachment J.12 and consider these items when developing costs for equipment and supplies. (3) A statement that the Offeror has registered in SAM - System for Award Management (https://www.sam.gov/). A successful registration in SAM means the Offeror has obtained a DUNS number, has registered in CCR (Central Contractor Registration) and has secured an NCAGE number to successfully complete the Online Representation & Certifications Application (ORCA). (4) Sufficient evidence of responsibility for the contracting officer to make an affirmative determination of responsibility pursuant to the requirements of FAR 9.1041. If the Offeror fails to submit sufficient evidence for the contracting officer to make an affirmative determination of responsibility, then the contracting officer may make a determination of nonresponsibility and be precluded from awarding a contract to that Offeror. However, in the case of a small business Offeror, the contracting officer will comply with FAR 19.6. Accordingly, prime Offerors should seriously address each element of responsibility. To be determined responsible, a prospective Contractor must: (i) Have adequate financial resources to perform the contract, or the ability to obtain them (see FAR 9.1043(a)); (ii) Be able to comply with the required or proposed delivery or performance schedule, taking into consideration all existing commercial and governmental commitments; (iii) Have a satisfactory performance record (See FAR 9.1043(b) and Subpart 42.15). A prospective Contractor shall not be determined responsible or nonresponsible solely on the basis of a lack of relevant performance history, except as provided in FAR 9.1042; (iv) Have a satisfactory record of integrity and business ethics; (v) Have the necessary organization, experience, accounting and operational controls, and technical skills, or the ability to obtain them (including, as appropriate, such elements as production control procedures, property control systems, quality assurance measures, and safety programs applicable to materials to be produced or services to be performed by the prospective Contractor and subcontractors). (See FAR 9.1043(a)); (vi) Have the necessary production, construction, and technical equipment and facilities, or the ability to obtain them (See FAR 9.1043(a)); and (vii) Be otherwise qualified and eligible to receive an award under applicable laws and regulations (See also inverted domestic corporation prohibition at FAR 9.108).
(5) If the Offeror has no prior Federal contracting experience, a copy of its personnel policies, especially regarding salary and wage scales, fringe benefits, merit increases, promotions, leave, differentials, travel and per diem regulations, etc. These documents will allow the Contracting Officer to determine if a PreAward Survey is necessary to determine responsibility. (See FAR 9.106). (6) The information set forth below shall be provided for each subcontractor, if any, proposed. A separate sheet shall separate each element of subcontractor information, as well as each subcontractor. Each page shall have the subcontractors name clearly marked. (i) A letter, on subcontractor letterhead, and signed by an authorized representative of each subcontractor, which specifically indicates the subcontractor's agreement to be included in the Offeror's proposed teaming arrangement. (ii) The Offeror must address each of the elements in FAR 44.2022 in order for proposed subcontractor(s) to be considered by the contracting officer for consent of subcontractor(s) to be granted with the award. (iii) A discussion and arrangement on type(s) of subcontract(s) to be used, and approximate percentage of each type of work to be subcontracted. (iv) The Offeror and each proposed major subcontractor shall indicate the number of hours and days in its normal workday and its normal workweek, both domestically and overseas, for employees and consultants. In addition, the Offeror and each proposed major Subcontractor shall indicate how paid absences (US holidays, local holidays, vacation and sick) shall be covered. (v) A normal workyear, including paid absences (holidays, vacations, and sick leave) is 2,080 hours (260 days x 8 hours per day). However, some organizations do not have an 8hour workday, and some accounting systems normally provide for direct recovery of paid absences by using a workyear of less than 2,080 hours to compute individuals' unburdened daily rates. Accordingly, the Offeror and major subcontractors shall describe their work day and work week policies. (7) A detailed budget narrative in support of all the budget items. L.9 OFFER VALIDITY
Offerors proposals shall be valid for 6 months from date of receipt (unless a longer period is proposed by the Offeror). L.10 INSTRUCTIONS FOR THE PREPARATION OF BRANDING IMPLEMENTATION AND MARKING PLANS As part of USAIDs branding initiative and to ensure that implementing partners communicate that the assistance is from the American People, the New Marking and Branding Policy Requirements for USAID direct acquisitions were issued on January 08, 2007 per the revised ADS 320 Branding and Marking that can be found at: http://www.usaid.gov/branding/ADS 320.pdf.
In accordance with ADS 320, Branding and Marking, Offerors will submit an initial Branding Implementation Plan (BIP) and a Marking Plan (MP) based on the Agile and Harmonized Devolved Institutions (AHADI) Project Branding Strategy found in Section D of this RFP. These will be submitted as a separate annex to the Technical Proposal. These will be evaluated for sufficiency but will not be scored. The detailed Branding Implementation and Marking plans will be submitted for final review in the competitive range or before award. (a) Branding Implementation Plan (BIP) The Offeror will develop a BIP that describes how the program will be communicated to the beneficiaries and promoted to hostcountry citizens. It outlines the events (press conferences, site visits, etc.) and materials (success stores, public service announcements etc.) the Contractor will organize and produce to assist USAID deliver the message that the assistance is from the American people. The BIP (see ADS 320.3.2.2) should specifically address the following: (1) How to incorporate the message, This assistance is from the American people, in communications and materials directed to beneficiaries, or provide an explanation if this message is not appropriate or possible. (2) How to publicize the program, project, or activity in the hostcountry and a description of the communications tools to be used. Such tools may include the following: o o o o o o o o o o o Press releases, Press conferences, Media interviews, Site visits, VIP visits, Success stories, Beneficiary testimonials, Professional photography, Public Service Announcements, Videos, and Webcasts, einvitations, or other emails sent to group lists, such as participants for a training session, blast emails, or other Internet activities, etc.
(c) The key milestones or opportunities anticipated to generate awareness that the program, project, or activity is from the American people, or an explanation if this is not appropriate or possible. Such milestones may be linked to specific points in time, such as the beginning or end of a program, or to an opportunity to showcase publications or other materials, research findings, or program success. These include, but are not limited to, the following: o o o o o o o o Launching the program; Announcing research findings; Publishing reports or studies; Spotlighting trends; Highlighting success stories; Featuring beneficiaries as spokespeople; Showcasing beforeandafter photographs; Marketing agricultural products or locallyproduced crafts or goods;
o o o
Securing endorsements from ministry or local organizations; Promoting final or interim reports; and Communicating program impact/overall results.
(b) Marking Plan (MP) The Offerors will develop a Marking Plan that enumerates the public communications, commodities, and program materials and other items that visibly bear or will be marked with USAID Identity (see ADS 320.3.2.3). USAIDs policy is that programs, projects, activities, public communications, or commodities implemented or delivered under contracts and subcontracts exclusively funded by USAID are marked exclusively with USAID Identity. Where applicable, a hostcountry symbol or ministry logo, or another U.S. Government logo may be added. Except for the manufacturers trademark on a commercial item, the corporate identities or logos of Contractors or subcontractors are not permitted on USAIDfunded program materials and communications. Please refer to section 320.3.2.3 that describes what the Marking Plan must address and 320.3.2.4 Marking Requirements for Specific Contract Deliverables. Note that marking is not required for Contractors offices, vehicles, and nondeliverable items, such as office supplies used primarily for administration of USAID funded program (ADS 320.3.5). END OF SECTION L
SECTION M EVALUATION FACTORS FOR AWARD M.1 GENERAL INFORMATION
1. The Government may award a Contract without discussions with Offerors in accordance with FAR 52.2151. Therefore, Offerors are to submit their best technical and cost proposals with their initial submissions. However, the Government reserves the right to conduct discussions if the Contracting Officer determines it to be necessary. 2. Alternative proposal(s) will not be accepted. 3. The Government intends to evaluate Offerors proposals in accordance with this section. For overall evaluation purposes, all technical factors combined are considered significantly more important than cost/price factors though cost is a key factor in making a best value decision. Best value is defined as the offer that results in the most advantageous solution for the Government, in consideration of technical, cost, and other factors. 4. The submitted technical information will be scored by a technical evaluation committee using the technical criteria shown below. Where subfactors are not weighted specifically, the technical evaluation team will evaluate and assign points against the total weight for the respective evaluation criteria with relative consideration of all the subfactors as described in section M.2. The evaluation committee may include industry experts who are not employees of the Federal Government. When evaluating the competing Offerors, the Government will consider the written qualifications and capability information provided by the Offerors, and any other information obtained by the Government through its own research. 5. Proposals received in response to this solicitation will be evaluated by USAID pursuant to the Federal Acquisition Regulations (FAR) and the Agency for International Developments Acquisition Regulation (AIDAR). 6. Cost has not been assigned a numerical weight. Offerors are reminded that the Government is not obligated to award a negotiated contract on the basis of lowest proposed cost, or to the Offeror with the highest technical evaluation score. Although for this procurement technical proposal merits are considered substantially more important than cost relative to deciding which Offeror might best perform the work, cost factors and USAIDs budget may also be considered. As technical scores converge, cost may become a deciding factor in the award. Therefore, after the final evaluation of proposals, the contracting officer will make the award to the Offeror whose proposal offers the best value to the Government considering both technical and cost factors. 7. Past performance of the offering organization is evaluated separately from the experience of proposed Key Personnel. M.2 EVALUATION FACTORS
The technical evaluation factors described below are considered significantly more important than cost factors. These criteria have been tailored to the requirements of this RFP and serve to (a) identify the significant matters that the Offerors will address in their proposals and (b) set standards against which all Offerors will be evaluated.
The specific evaluation criteria are as follows in order of importance: a) Technical Approach b) Key Personnel and Staffing c) Management Plan d) Past Performance Technical evaluation of proposals will be based on the extent and appropriateness of the proposed approaches and feasibility of achieving the strategic objectives, in accordance with the evaluation criteria. Offerors will note that these criteria serve as the standard against which all technical information will be evaluated, and serve to identify the significant matters which Offerors will address. M.3 TECHNICAL PROPOSAL EVALUATION CRITERIA
Technical proposals will be evaluated by a technical evaluation committee using the following criteria. Criteria 1. 2. 3. 4. (1) Technical Approach Key Personnel and Staffing Management Plan Past Performance Total TECHNICAL APPROACH (40 POINTS) Maximum Points 40 points 25 points 25 points 10 points 100 points
(1) Implementation: The extent to which the Offeror details its plans and approaches in way that is clear, integrated, logical, and technically sound. These plans and approaches should reflect an expert understanding of USAID/Kenyas program priorities (e.g. maximizing support to local entities), and the complex context and dynamics of the devolution process in Kenya. (30 points) (2) Innovation: The extent to which the Offers methodology demonstrates a high degree of program innovation and creativity. (10 points) (2) KEY PERSONNEL AND STAFFING (25 points)
(1) Key Personnel: The extent to which the proposed key personnel meet or exceed the minimum qualifications outlined in the RFP and collectively can successfully implement the proposed program. (20 points) (2) The extent to which the composition of the proposed non-key personnel, with an effective staffing pattern with clearly delineated roles and responsibilities among different positions, convincingly demonstrates the potential to successfully implement the proposed program. (5 points)
(3)
MANAGEMENT PLAN (25 POINTS)
(1) Management: The extent the Offeror articulates an effective management and office structure to allow it to rapidly and responsively deliver its technical vision, as well as successfully coordinate, and eventually transfer project functions, to its partners and consortium members and ability to mobilize rapidly if modifier is invoked. (15 points)
(2) Project Coordination and Adaptation: The extent the Offeror articulates its process for close planning and coordination with USAID/Kenya and other relevant actors in a way that allows it to integrate the project with other devolution efforts and respond rapidly to technical advice, direction, and changing operating realities. (10 points) (4) PAST PERFORMANCE (10 POINTS) (a) Performance information will be used for both the responsibility determination and best value decision. USAID may use performance information obtained from other than the source identified by the Offeror/subcontractor. USAID will utilize existing databases of contractor performance information and solicit additional information from the references provided in Section L of this RFP and from other sources if and when the Contracting Officer finds the existing databases to be insufficient for evaluating an Offerors performance. (b) Adverse past performance information to which the Offeror previously has not had an opportunity to respond, will be addressed in accordance with the policies and procedures set forth in FAR 15.3. (c) USAID will initially determine the relevance of similar performance information as a predictor of probable performance under the subject requirement. USAID may give more weight to performance information that is considered more relevant and/or more current. (d) The contractor performance information determined to be relevant will be evaluated in accordance with the elements below: 1) Quality of product or services, including consistency in meeting goals and targets 2) Cost control, including forecasting costs as well as accuracy in financial reporting 3) Schedule, including the timeliness against the completion of the contract, task orders, milestones, delivery schedules, and administrative requirements (e.g. efforts that contribute to or affect the schedule
variance). 4) Business relations, addressing the history of professional behavior and overall business-like concern for the interest of the customer, including the contractors history or reasonable and cooperative behavior (to include timely identification of issues in controversy), customer satisfaction, timely award and management of subcontracts, cooperative attitude in remedying problems, and timely completion of all administrative requirements: 5) Management of key personnel, including appropriateness of personnel for the job and prompt and satisfactory changes in personnel when problems with clients where identified: 6) For prime Offerors who are not small business concerns as subcontractors, including efforts in achieving small business participation goals:
(e) An Offerors performance will not be evaluated favorably or unfavorably when: (1) The Offeror lacks relevant performance history, (2) Information on performance is not available, or (3) The Offeror is a member of a class of Offerors where there is provision not to rate the class against a sub factor. When this occurs, an Offeror lacking relevant performance history is assigned a neutral rating. For example, a small business prime Offeror will not be evaluated on its performance in using small business concerns. If this sub factor is worth a possible 10 points out of a total possible point value of 100 for the technical proposal, then the small business prime Offerors technical proposal will have a maximum possible points, its total technical score for evaluation against the other Offerors would be 88.89 (i.e., 80/90). USAID understands that there may be minor arithmetic differences in percentage terms as a result; however, it considers these differences to be minor and that they will not impact any best-value decision made under this solicitation. An exception to this neutral rating provision is when a non-small businesses prime has no history of subcontracting with small business concerns. Prior to assigning a neutral past performance rating, the contracting officer may take into account a broad range of information related to an Offerors performance. M.4 COST PROPOSAL EVALUATION
USAID will also evaluate the proposed costs to determine if they are fair and reasonable using proposal analysis techniques consistent with FAR 15.404. Each cost proposal will be evaluated but will not be assigned a rating. The evaluation of cost will include a determination of cost realism, completeness, and reasonableness. An analysis of the proposed cost will be conducted to determine the validity and the extent to which it reflects performance addressed in the technical proposal. An assessment will be made of the Offeror's capability to accomplish the contract objectives within the estimated cost proposed. The cost proposal will be used as an aid to determine the Offeror's understanding of Technical Requirements. Cost Realism: Cost realism is the degree to which all costs for the total contract reflect the proposed approach to achieving the technical objectives. M.5 SOURCE SELECTION
(a) The overall evaluation methodology set forth above will be used by the Contracting Officer as a guide in determining which proposal(s) offer the best value to the U.S. Government. In accordance with FAR 52.215-1, and as set forth in Section L of this solicitation, award will be made by the Contracting Officer to the responsible Offeror(s) whose proposal(s) represents the best value to the U.S. Government after evaluation in accordance with all factors in the solicitation. (b) This procurement utilizes the tradeoff process set forth in FAR 15.101-1. If the Contracting Officer determines that competing Technical Proposals are essentially equal, cost/price factors may become the determining factor in source selection. Conversely, if the Contracting Officer determines that competing cost/price proposals are essentially equal, technical factors may become the determining factor in source selection. Further the Contracting Officer may award to a higher priced Offeror if a determination is made that the higher technical evaluation of that Offeror merits the additional cost/price. No points are assigned to the cost proposal evaluation. While technical evaluation criteria are significantly more important than cost, cost may be the determining factor where proposals are considered essentially technically equal. Cost will primarily be evaluated for allowability, reasonableness and realism. The results of the cost realism analysis will be used as part of the Agencys best value/tradeoff analysis. M.6 DETERMINATION OF THE COMPETITIVE RANGE
(a) The competitive range of Offerors with whom negotiations will be conducted (if necessary) will be determined by the Contracting Officer pursuant to FAR 15.306(c) (1). A competitive range determination (if necessary) may take place at any point in the evaluation process. (b) Offerors are advised that, in accordance with FAR 52.215-1, if the Contracting Officer determines that the number of proposals that would otherwise be in the competitive range exceeds the number at which an efficient competition can be conducted, the Contracting Officer may limit the number of proposals in the competitive range to the greatest number that will permit an efficient competition among the most highly rated proposals. If the Contracting Officer determines that discussions are necessary, s/he will establish a competitive range composed of only the most highly rated proposals. In certain
circumstances, the Contracting Officer may determine that the number of the most highly rated proposals that might otherwise be included in the competitive range exceeds the number at which an efficient competition can be conducted; should that be the case, the Contracting Officer may then limit Offerors in the competitive range to the greatest number that will permit an efficient competition among the most highly rated Offerors. The Government may exclude an offer if it is so deficient as to essentially require a new technical proposal. The Government may exclude an offer so unreasonably priced, in relation to more competitive offers, as to appear that there will be little or no chance of it becoming competitive. The Government may exclude an offer requiring extensive discussions, a complete rewrite, or major revisions such as to allow an Offeror an unfair advantage over those more competitive offers. M.7 AWARD
In accordance with FAR 52.2151(f), the Government intends to award a contract resulting from this solicitation to a responsible Offeror whose proposal represents the best value after evaluation in accordance with the factors as set forth in this solicitation. END OF SECTION M
ATTACHMENTS ATTACHMENT J.1 BUDGET TEMPLATE Electronic version is uploaded as a separate Microsoft Office Excel file in http://www.fedbizopps.gov/
AHADI Budget Tem plate.xlsx
ATTACHMENT J.2
LOCAL COMPENSATION POSITION DESCRIPTION GUIDELINES GENERAL GRADE LEVEL GUIDES
The General Grade Level Guides presented on the following pages have been prepared as guidance in determining the grade levels of positions for which no classification standards exist. The Guides should be used in classifying such positions in conjunction with standards for other positions considered to have characteristics in common with the position to be classified. For example, in classifying an administrative assistance or administrative specialist position, it would be logical to examine standards for positions within the administrative area, e.g., budget and fiscal, procurement, supply, etc. In classifying professional positions, it would be logical to examine standards for professional positions. The Guides define the level of work appropriate to each grade, indicate the language, education, and experience desired or required of incumbents of positions at that grade, and indicate the occupations for which standards have been prepared at each grade. The current Maximum LCP annual salary limit is Kenya Shillings 7,595,361 equivalent to USD 87,303 per year. FSN1 This is the entrance level for routine, unskilled types of work. It includes the most routine custodial and manual positions found at this level. Most positions require no more than Level 1 English ability (rudimentary knowledge). Classification standards depicting the FSN1 level has been prepared for: Janitor/Janitress; Laborer and Watchman. FSN2 This level includes positions the duties of which are to perform entrance level trade or craft tasks, manual positions involving routine maintenance of vehicular equipment, operation of simple, low pressure heating plant equipment, and entrance level clerical positions performing simple filing, record keeping, and mail sorting. Up to six months of experience is desirable. Most nonclerical positions require little formal education and no more than Level 1 English ability (rudimentary knowledge). Some secondary school education is desirable for the clerical positions. Level 2 English ability (limited knowledge) is sufficient for most clerical positions at this grade. Classification standards depicting the FSN2 level have been prepared for: Duplicating Equipment Operator; Gardener; Guard; Heating Plant Operator; Janitor Supervisor; Trades Helper; Warehouseman, etc. FSN3 This level is characterized by the performance of semiskilled trades and crafts duties and routine clerical duties. It is the intermediate level (between the entrance level and full performance or skilled journeyman level) for trade and craft positions. In addition to semi skilled trade and craft positions, other manual positions involve operation of the simpler utilities equipment and driving an automobile as a motor pool chauffeur. Clerical positions involve routine clerical duties such as records maintenance, working at a telephone switchboard, and/or typing a variety of narrative and tabular material. Elementary school education is desirable for manual positions and secondary school education is desirable for clerical positions. Manual positions require Level 1 (rudimentary knowledge) to Level 2 (limited knowledge) English ability and clerical positions require Level 2 to Level 3 (good working knowledge) English ability. Up to one year of experience is required for both manual and clerical positions at this level. Classification standards depicting the FSN3 level have
been prepared for: Chauffeur; Operator; Guard; Mail Clerk; Maintenance Man; Power Plant Operator; Sewage Disposal Plant, etc.
FSN4 This is the full performance or skilled journeyman level for trade and craft positions. Employees at this level must be able to perform the full scope of their positions with a minimum of supervisory guidance. Clerical positions require familiarity with office practices and procedures and the ability to follow through in order to obtain the required results. They also must exercise judgment and apply pertinent regulations. Completion of secondary school, one to one and onehalf years of experience, and Level 3 (good working knowledge) of English is required for clerical positions at this level. Trade and craft positions require completion of an apprenticeship, vocational training, or experience recognized as producing journeyman level skills and one to one and onehalf years of experience at the journeyman level. Level 1 English ability (rudimentary knowledge) is sufficient for most manual jobs, although a few positions may require a Level 2 (limited knowledge) English ability. Completion of elementary school is required. Classification standards depicting the FSN4 level have been prepared for: Automotive Mechanic; Automotive Mechanic (Body & Fender); Boiler Operator; Clerk; Chauffeur; Dispatcher; Distribution Clerk; Federal Benefits Clerk; Furniture Repairman; Guard; Guard/Receptionist; Locksmith; Machinist; Mail Clerk; Maintenance Man; Mechanic (Building Trades); Office Machine Repairman; Offset Press Operator; Power Plant Operator; Receptionist; Supply Clerk , etc. FSN5 Clerical positions at this level involve the performance of responsible work requiring the exercise of judgment, knowledge of a specialized subject matter and the regulations pertaining thereto. Journeyman level clerical positions in various program areas are at this level. Manual positions are working supervisors of three to six skilled and semiskilled employees in trade and craft positions. Manual positions require some secondary school education, plus an apprenticeship, vocational training or experience recognized as providing journeyman level skills, and one and onehalf years of journeyman and six months of supervisory experience. Level 2 English ability (limited knowledge) is sufficient for most manual positions, but a few require Level 3. Level 3 English ability (good working knowledge), and one and onehalf to two years of experience is required for most clerical positions. Classification standards depicting the FSN5 level has been prepared for: Clerk; Secretary; Supply Clerk; Utilities Foreman etc. FSN6 This is the senior or top clerical level involving the performance of the most difficult clerical work requiring the exercise of judgment, knowledge of a specialized subject matter, and the application of extensive rules and regulations. Included also in this class are supervisors of clerical positions and secretaries to American officials performing major functions. Manual positions are supervisors of established units of from eight to fifteen skilled and semiskilled employees, and have continuing management responsibility for the efficient use of equipment, materials, and manpower. Manual positions require some secondary school education, plus vocational training, an apprenticeship or experience recognized as producing
journeyman level skills and one and onehalf years of journeyman level skills and supervisory experience. Level 2 English ability (limited knowledge) is required for most manual positions but a few require Level 3. Clerical positions require completion of secondary school, two to two and onehalf years of experience, and Level 3 English ability (good working knowledge). Classification standards depicting the FSN6 level have been prepared for: Expeditor etc. FSN7 This level includes junior assistant positions in administrative, technical, and program areas including AID, USIS, FCS, FAS, and other associated agency program areas. Such positions require a good general knowledge and application of the policies and procedures, rules and regulations of a particular subject matter area, or substantive knowledge of that area, and work under general instructions with work reviewed for accuracy of results. This level also includes supervisors of clerical functions of substantial size, and employees in charge of the maintenance function at small posts. The secretary to the ranking official of a large consulate or associated agency mission is also placed in this level when the official has no American secretary. In addition to completion of secondary school, some additional technical or collegiate education is desirable. From one to three years of experience, and Level 3 English ability (good working knowledge) are required. Classification standards depicting the FSN7 level have been prepared for: Cashier; Purchasing Agent; Shipment Assistant; Travel Assistant, etc. FSN8 This is the fully qualified level for assistant positions in administrative, technical, and program areas including AID, USIS, and other associated agency program areas. The difficulty of the work performed requires considerable experience and training and a thorough knowledge of policies, procedures, rules and regulations, and/or extensive subject matter knowledge in a particular field. Employees are expected to resolve most problems and execute assignments with supervision limited primarily to the review of end product results. The secretary to the ranking officer of a very large consulate or associated agency mission is also placed in this level when the official has not American secretary. These positions require completion of secondary school, and some collegiate or technical training is desirable. Two to four years of experience is necessary. Level 3 English ability (good working knowledge) is required. Classification standards depicting the FSN8 level have been prepared for: Personnel Assistant; Procurement Administrative Assistant; Procurement Agent; Program Assistant, Supply Supervisor, etc. FSN9 This is the senior assistant level for technical and administrative management positions. No supervisory technical positions at this level involve fact finding, research, analysis, and interpretation of factual data in the field of the employees expertise. Administrative management positions are supervisory and typically involve management of a function and personal performance of the most difficult work of the function, including evaluation of complex facts and the interpretation of laws, regulations, and instructions in their application to specific situations. Incumbents of positions at this level are expected to complete assignments with a minimum of supervision. These positions require completion of secondary school, and some collegiate or technical education is desirable. Three to five years of
progressively responsible experience is required. Many positions at this level require Level 4 English ability (fluent). Classification standards depicting the FSN9 level has been prepared for: Procurement Agent; Program Assistant, etc. FSN10 This is the lowest of three levels of professional or specialist positions. Incumbents of positions at this level personally perform, and in some cases supervise other employees engaged in, a major segment of a professional, technical or program area, including AID, USIS, FCS, FAS, and other associated agency program areas. Incumbents of such positions must understand and apply a highly technical body of knowledge usually obtained through collegiate study, as well as applicable laws and agency regulations and instructions. This level also includes supervisory positions in the administrative management area with equivalent requirements. Incumbents of positions at this level are expected to perform difficult duties with a minimum of supervision. A collegiate education with the equivalent of an A.B. or B.S. degree is required, with only rare exceptions. Four to six years of progressively responsible experience in the professional, technical, or administrative management area is required. Level 4 English ability (fluent) is usually required. Classification standards depicting the FSN 10 level have been prepared for: Personnel Specialist; Accountants; Program Specialist, etc.
FSN11 This is the middle of three levels of professional or specialist positions; however, it is the highest level usually attainable in a professional, technical, program, or administrative management area, even in a large overseas establishment. Under the direction of an American official, but with wide latitude for planning, organizing, and executing assigned responsibilities, supervises the accomplishment of or personally performs the most difficult and complex work involved in a professional, technical, or program area, including AID, USIS, FCS, AID, and other associated agency program areas. Incumbents of such positions must understand and apply a highly technical body of knowledge usually obtained through collegiate study, as well as applicable laws and agency regulations and instructions. This level also includes supervisory positions in the administrative management area with equivalent requirements. Guidance received from the American supervisory official is almost wholly related to policy, program objectives, and priorities. Within such guidelines, incumbents of positions at this level plan and undertake important projects and carry them to completion without significant supervision. Demands are heavy on initiative, resourcefulness, and sound judgment. Typically, incumbents of positions at this level have important contacts with senior business, government, and community officials. A collegiate education with the equivalent of an A.B. or B.S. degree and from five to seven years of progressively responsible experience in the professional, technical, or administrative management area are required Level 4 English ability (fluent) is usually required. Classification standards depicting the FSN11 level has been prepared for: Acquisition & Assistance Specialist; Financial Analyst; General Services Specialist; Program Specialist, etc. FSN12 This is the highest of three levels of professional or specialist positions and the highest grade in the Interagency Foreign Service National Position Classification Plan. Relatively few overseas establishments will warrant an FSN-12 position; the establishment of more than one
FSN12 position within the same broad professional, technical, or program area, e.g., political, economic, cultural, information, etc., is seldom warranted. Positions at this level are those of highly qualified and recognized experts. Under the direction of an American official, they supervise or personally perform difficult and complex work involving the full scope of a professional, technical or program area, including AID, USIS, FCS, FAS and other associated agency program areas, in one of the most important country programs of its kind in the world. Incumbents of such positions apply a highly technical body of knowledge of applicable laws and agency regulations and instructions. These positions often call for originality of ideas and creative thinking in dealing with problems or matters for which there is little precedent, and usually require that the employee be able to inter-relate the pertinent subject matter with a broader spectrum, as would be the case in considering the impact of important political developments on domestic and international economic developments. Where the emphasis is on reporting covering a broad spectrum of complex subject matter and requiring the exercise of independent judgment in projecting future developments or trends. Substantial reliance is placed upon the employees professional acumen and judgment, and his/her advice is sought on important and at times on extremely sensitive matters; in functional programs that involve comprehensive program planning, the employee participates actively in the planning process. Positions at this level are largely independent of technical supervision; guidance from American supervisors is primarily with regard to policy, priorities, results to be achieved, basic approaches to be followed, and in the case of positions involving reporting, the nature and basic content of reports. Employees at this level develop and maintain an extensive range of important contacts with senior level business and government officials and with community leaders for the purpose of obtaining or verifying information which is not otherwise available. Incumbents of these positions normally possess the equivalent of an A.B. or B.S. collegiate degree in a field of study closely related to their assigned responsibilities; in many instances, postgraduate education are needed. A minimum of six to eight years of progressively responsible experience in the area of their assignment is needed. Level 4 English ability (fluent) is usually required. Supervision over others is not normally a significant factor in justifying the classification of a position at the FSN12 level. Classification Standards depicting the FSN 12 level have been prepared for: Senior Acquisition and Assistance Specialist; Chief Accountant; Development Project Specialist; Information Management Specialist; Project Management Specialist etc.
ATTACHMENT J.3
BRANDING IMPLEMENTATION PLAN AND MARKING PLAN FORMAT GENERAL INSTRUCTIONS
The Contractor will prepare a Branding Implementation Plan describing how it will implement the Branding Strategy. The Branding Implementation Plan shall describe how the program will be promoted to beneficiaries and host country citizens. With reference to ADS Section 320.3.2.2 the Contractor shall prepare a Branding Implementation Plan containing information substantially similar to the sample provided below: THIS PORTION IS CREATED BY THE CONTRACTOR Branding Implementation Plan for the __________ Project From Requesting Office (_______) 1.0 How to incorporate the message
__________ will use full branding and the USAID tagline From the American People on materials and communications. Cobranding and no branding will only be considered on a casebycase basis as considered appropriate by the Contracting Officers Representative (COR) and Contracting Officer (CO). 1.1 Messages In all materials and events the project will be branded as from USAID and prepared by _________________________ as part of the __________ project. As such, all materials will acknowledge that they were produced with support from the American people. In cases where a local language predominates above English, the appropriate translation into the local language will be used in branding the program. Additional ideas to increase awareness that the American people support this program are: all of the trainers will be trained to include in each presentation or training session a statement at the beginning of their meeting or training session that the technical assistance that they provide and the other program services are made possible as a result of the assistance from the American people. The_________ project will follow specific procedures for including the Branding Implementation Plan requirements as stated in the mandatory internal reference Branding and Marking in USAID Direct Contracting in the Automated Directives System, Chapter 320. 2 .0 How to publicize the program, project or activity This section discusses how to publicize the program and also includes a description of the communications tools to be used. Such tools may include the following:
2 .1 Tools The following communication tools will be used: CHANGE AS NEEDED Press releases Press Conferences Media Interviews Site visits Success stories Beneficiary testimonials Professional photography Public Service Announcements (PSAs) Videos Webcasts, e-invitations, blast e-mails, or other internet activities 3 .0 Key milestones or opportunities The following key milestones or opportunities are anticipated to generate awareness that the program is from the American people. These milestones may be linked to specific points in time, such as at the beginning or end of a program, or to an opportunity to showcase reports or other materials. These include, but are not limited to: o o o o o o o o o o Launching the program, Announcing research findings, Publishing reports or studies, Spotlighting trends, Highlighting success stories, Featuring beneficiaries as spokespeople, Showcasing before-and-after photographs, Securing endorsements from ministry or local organizations, Promoting final or interim reports, and Communicating program impact/overall results. N/A N/A N/A YES YES YES YES N/A N/A YES
4 .0 Audiences Subject to approval by USAID, the _________ project has the following target audiences with whom it will promote and publicize USAID sponsorship: 4 .1 Primary audiences: The primary audience for all materials and documents produced under this contract is USAID staff in Washington and in the field. 4.1.2 Secondary audience:
The secondary audience for materials and documents produced by the ________ project includes USAID Stakeholders and nongovernmental organizations, contractors, and researchers working on issues of gender equality in education. 5.0 Acknowledgements: 5.1 Acknowledging USAID and the funding mechanism: The following acknowledgment will be included on external USAID _________ project publications and internal publications, such as quarterly reports, as appropriate: This document was produced for review by the United States Agency for International Development. It was prepared by _____________ for the ___________ Project, contract number_____________________. 5.2 Acknowledging hostcountry governments All ______________ documents will follow USAID Branding Guidelines. If during the course of this program other major sponsors are involved, we will advise the COR of their involvement and request permission to include them as necessary. 5.3 Acknowledging OTHER HOSTCOUNTRY PARTNERS Cobranding with civil society groups will occur when these organizations have contributed funds to the activity. Cobranding with incountry partners may also be desirable when trying to promote local ownership and capacity building. However, when products are fully funded by USAID, CO approval is required for any exceptions to full branding requirements. 5.4 Cobranding with other international organizations In such cases, the guidelines for cobranding will be followed, assuming the funding contributed is more than a token amount. GENERAL INSTRUCTIONS The Contractor shall prepare a Marking Plan that will enumerate all of the public communications, commodities and program materials that visibly bear or will be marked with the USAID identity. Contract deliverables to be marked with the USAID Identity must follow design guidance for color, type, and layout in the USAID Graphics Standard Manual. With reference to ADS Sections 320.3.2.3 and 320.3.2.4 the Contractor shall prepare a Marking Plan containing information substantially similar to the sample provided below: THIS PORTION IS CREATED BY THE CONTRACTOR Marking Plan for the ______________ Project (______________) From Requesting Office (______) With reference to Section 320.3.2.3 of ADS 320, below is the required Marking Plan : 1.0 Marking 1.1 Marking plan for materials to be produced
Table 1 outlines the types of materials that may be produced under the USAID _________ project. Any materials that are not anticipated below, but are produced under the initiative, will also be subject to branding guidelines and CO approval, as appropriate. Please note that marking is not required on items used as part of the administration of the contract, such as stationery products, equipment, and offices. The goal is to mark programs and projects, and not implementing partners. Thus, letterhead, name tags, business cards, office space, equipment, and supplies are not subject to branding. Every contract deliverable that is marked with the USAID identity for the ________________ project will follow design guidance for color, type, and layout in the Graphic Standards Manual as related to equipment, reports, studies, events, and public communication (including printed products, audio, visual, and electronic materials). The USAID logo will be used for programmatic correspondence. _______ letterhead will be used for administrative matters and will not have the USAID logo. Business cards will not show the USAID logo. All studies, reports, publications, Web sites, and all informational and promotional products not authored, reviewed, or edited by USAID will contain a provision substantially as follows: This study/report/_______ Website is made possible by the support of the American People through the United States Agency for International Development (USAID.) The contents of this study/report/_______ Website are the sole responsibility of ________________ (name of organization) and do not necessarily reflect the views of USAID or the United States Government. (This portion will be completed by the Contractor) Marking Requirements for the ______________ Project (_______________) From Requesting Office (_______) With reference to ADS Section 320.3.2.2, below is the required Marking Plan: TABLE 1. Marking Plan for materials to be produced change as needed Category Type of Marking Remarks Administrative Stationery products USAID standard graphic Pertains to letterhead, (administrative Business) identity will not be used. envelops, and mailing labels Stationery products (program related) Stationery products USAID standard graphic Pertains to letters that (program related) identity will be used accompany program materials Business cards USAID standard graphic identity will not be used on business cards. The Contractor should use its own business cards but include the line "_______ project" on the business card. USAID standard graphic identity will not be used to
Office signs
mark project offices. Project deliverables Follows USAID Graphics Standard Manual guidelines for full branding (If applicable) The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding unless cobranding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the cover of documents; design follows USAID Graphics Standard Manual guidelines for full branding guidelines unless cobranding is acceptable or an exception is provided for no branding. Follows USAID Graphics Standard Manual guidelines for full branding (if applicable)
Website Technical Technical reports and studies
Briefing papers, memoranda, and policy recommendations
Government policies, strategies, plans, and guidelines (regional, national, and subnational levels) or other materials positioned as being from the host country government Organizations' policies, strategies, plans, and guidelines (e.g., an NGOs procedures manual for Malaria logistics, a workplace anti- discrimination policy) or other materials positioned as being from the hostcountry partner Training materials and manuals
Follows USAID Graphics Standard Manual guidelines for full branding (if applicable)
CDsROM
The USAID identity will be printed on the cover of documents; design follows guidelines for full branding unless cobranding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the CD label, splash screen/menu, and
PowerPoint presentations
Conference posters and presentations
Videos Program materials Technical web portal
packaging; design follows guidelines for full branding unless cobranding is acceptable or an exception is granted for no branding. The USAID identity is required on title breaker slides; design follows guidelines for the full branding unless cobranding is acceptable or an exception is granted for no branding. The USAID identity will be printed on the poster or presentation; design follows guidelines for professional meetings or full branding unless cobranding acceptable or an exception is granted for no branding Not applicable Not applicable Follows guidelines for co Individual documents branding; the USAID identity included on the portal will be will be included on the branded as appropriate homepage and subpages as appropriate The USAID identity will be printed on the materials; design follows guidelines for full branding unless co branding is acceptable or an exception is granted for no branding. The USAID identity printed on the materials; design follows guidelines for full branding. Not applicable Not applicable
Promotional Event signs, banners, and exhibition booths materials
Project promotional materials (e.g., success stories, beneficiary announcement of research, testimonials, findings, or project results) Materials for policy launch Commodities
ATTACHMENT J.4 - USAID FORM 142017 CONTRACTOR BIOGRAPHICAL DATA SHEET The form can be downloaded from the following web site: AID 1420-17 (Contractor Employee Biographical Data Sheet)
OMB Control No. 0412-0520; Expiration Date: 02/28/2014
CONTRACTOR EMPLOYEE BIOGRAPHICAL DATA SHEET

1. Name (Last, First, Middle) 3. Employees Address (include ZIP code) 2. Contractors Name 4. Contract Number 6. Proposed Salary 8. Telephone Number (include area code) 9. Place of Birth 5. Position Under Contract 7. Duration of Assignment
10. Citizenship (If non-U.S. citizen, give visa status)
11. Names, Ages, and Relationship of Dependents to Accompany Individual to Country of Assignment 12. EDUCATION (include all college or university degrees) NAME AND LOCATION OF INSTITUTION 14. EMPLOYMENT HISTORY MAJOR DEGREE DATE 13. LANGUAGE PROFICIENCY (see Instruction on Page 2) LANGUAGE Proficiency Speaking 2/S 2/S 2/S Proficiency Reading 2/R 2/R 2/R
Give last three (3) years. List salaries separate for each year. Continue on separate sheet of paper if required to list all employment related to duties of proposed assignment.
Salary definition basic periodic payment for services rendered. Exclude bonuses, profit-sharing arrangements, commissions, consultant fees, extra or overtime work payments, overseas differential or quarters, cost of living or dependent education allowances. Dates of Employment (M/D/Y) Annual Salary EMPLOYERS NAME AND ADDRESS POSITION TITLE POINT OF CONTACT &TELEPHONE # From To Dollars
15. SPECIFIC CONSULTANT SERVICES (give last three (3) years) SERVICES PERFORMED 16. CERTIFICATION: Signature of Employee 17. CONTRACTOR'S CERTIFICATION (To be signed by responsible representative of Contractor) Contractor certifies in submitting this form that it has taken reasonable steps (in accordance with sound business practices) to verify the information contained in this form. Contractor understands that USAID may rely on the accuracy of such information in negotiating and reimbursing personnel under this contract. The making of certifications that are false, fictitious, or fraudulent, or that are based on inadequately verified information, may result in appropriate remedial action by USAID, taking into consideration all of the pertinent facts and circumstances, ranging from refund claims to criminal prosecution. Signature of Contractors Representative Date EMPLOYERS NAME AND ADDRESS POINT OF CONTACT &TELEPHONE # Dates of Employment (M/D/Y) From To Days at Rate Daily Rate In Dollars
To the best of my knowledge, the above facts as stated are true and correct. Date
INSTRUCTION
Indicate your language proficiency in block 13 using the following numeric Interagency Language Roundtable levels (Foreign Service Institute Levels). Also, the following provides brief descriptions of proficiency levels 2, 3, 4, and 5. S indicates speaking ability and R indicates reading ability. For more in-depth description of the levels refer to USAID Handbook 28 or superseding policy directive. Limited working proficiency S R
Able to satisfy routine special demands and limited work requirements.

Sufficient comprehension to read simple, authentic written material in a form equivalent to usual printing or typescript on familiar subjects within familiar contexts.
General professional proficiency S R Able to speak the language with sufficient structural accuracy and vocabulary to participate effectively in most formal and informal conversations on practical, social, and professional topics. Able to read within a normal range of speed and with almost complete comprehension of a variety of authentic prose material on unfamiliar subjects.
S R S R
Advanced professional proficiency Able to use the language fluently and accurately on all levels normally pertinent to professional needs. Able to read fluently and accurately all styles and forms of the language pertinent to professional needs. Functional native proficiency Speaking proficiency is functionally equivalent to that of a highly articulate well-educated native speaker and reflects the cultural
standards of a country where the language is natively spoken .

Reading proficiency is functionally equivalent to that of the well-educated native reader.
PAPERWORK REDUCTION ACT INFORMATION

The information requested by this form is necessary for prudent management and administration of public funds under USAID contracts. The information helps USAID estimate overseas logistic support and allowances, the educational information provides an indication of qualifications, the salary information is used as a means of cost monitoring and to help determine reasonableness of proposed salary.
PAPERWORK REDUCTION ACT NOTICE

Public reporting burden for this collection of information is estimated to average thirty minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: United States Agency for International Development
Office of Acquisition and Assistance Policy Division (M/OAA/P) Washington, DC 20523-7100;

and Office of Management and Budget Paperwork Reduction Project (0412-0520) Washington, DC 20503
ATTACHMENT J.5 SF LLL - DISCLOSURE OF LOBBYING ACTIVITIES The form can be downloaded from the following web site: http://forms.sc.egov.usda.gov/efcommon/eFileServices/eFormsAdmin/SF-LLL_9707V01.pdf
Approved by OMB 0348-0046 Disclosure of Lobbying Activities Complete this form to disclose lobbying activities pursuant to 31 U.S.C. 1352
(See reverse for public burden disclosure)

2. Status of Federal 3. Report Type: Type of Federal Action: a. initial filing Action: _____ b. material change a. contract a.bid/offer/application ____ b. grant _____ b. initial award For material change only: c. cooperative c. post-award Year _______ quarter _______ agreement Date of last report___________ d. loan e. loan guarantee f. loan insurance 4. Name and Address of Reporting 5. If Reporting Entity in No. 4 is Entity: Subawardee, ____ Prime _____ Subaward Enter Name and Address of Prime: Tier______, if Known: 1. Congressional District,if known: 6. Federal Department/Agency: Congressional District, if known: 7. Federal Program Name/Description: CFDA Number, if applicable: ____________ 9. Award Amount, if known: $ b. Individuals Performing Services (including address if different from No. 10a) (last name, first name, MI):
8.
Federal Action Number, if known:
10. a. Name and Address of Lobbying Registrant (if individual, last name, first name, MI):
11. Information requested through this form is authorized by title 31 U.S.C. Section 1352. This disclosure of lobbying activities is a material representation of fact upon which reliance was placed by the tier above when this transaction was made or entered into. This disclosure is required pursuant to 31 U.S.C. 1352. This information will be reported to the Congress semi-annually and will be available for public inspection. Any person who fails to file the required disclosure shall be subject
Signature: __________________________________ Print Name: _____ Title: _____ Telephone No.: ____________ Date: _______
to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Federal Use Only Authorized for Local Reproduction Standard Form - LLL (Rev. 7-97) DISCLOSURE OF LOBBYING ACTIVITIES Approved by OMB 03480046 CONTINUATION SHEET
Reporting Entity_________________________________________________________Page________of_______
Authorized for Local Reproduction Standard Form - LLL-A INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether sub-awardee or prime Federal recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing, pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 171 of 182
Solicitation # SOL61513000012 agreement to make payment to any lobbying entity 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 a covered Federal action. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance published by the Office of Management and Budget for additional information. 1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured to influence the outcome of a covered Federal action. 2. 3. Identify the status of the covered Federal action. Identify the appropriate classification of this report. If this is a followup report caused by a material change to the information previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted report by this reporting entity for this covered Federal action. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional District, if known. Check the appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to subcontracts, subgrants and contract awards under grants. If the organization filing the report in item 4 checks Subawardee, then enter the full name, address, city, State and zip code of the prime Federal recipient. Include Congressional District, if known. Enter the name of the federal agency making the award or loan commitment. Include at least one organizational level below agency name, if known. For example, Department of Transportation, United States Coast Guard. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative agreements, loans, and loan commitments. Enter the most appropriate Federal identifying number available for the Federal action identified in item 1 (e.g., Request for Proposal (RFP) number; Invitations for Bid (IFB) number; grant announcement number; the contract, grant, or loan award number; the application/proposal control number assigned by the Federal agency). Included prefixes, e.g., RFP-DE-90-001 For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal amount of the award/loan commitment for the prime entity identified in item 4 or 5. (a) Enter the full name, address, city, State and zip code of the lobbying registrant under the Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to influence the covered Federal action. (b) Enter the full names of the individual(s) performing services, and include full address if different from 10(a). Enter Last Name, First Name, and Middle Initial (MI). 11. The certifying official shall sign and date the form, print his/her name, title, and telephone number.
4.
5.
6.
7.
8.
9.
10.
According to the Paperwork Reduction Act, as amended, no persons are required to respond to a collection of information unless it displays a valid OMB control Number. The valid OMB control number for this information collection is OMB No. 0348-0046. Public reporting burden for this collection of information is estimated to average 10 minutes per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and The USAID/Kenya Agile and Harmonized Assistance for Devolved Institutions (AHADI) Project Page 172 of 182
Solicitation # SOL61513000012 reviewing the collection of information. Send comments regarding the burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to the Office of Management and Budget, Paperwork Reduction Project (0348-0046), Washington, DC 20503
ATTACHMENT J.6 - PAST PERFORMANCE QUESTIONNAIRE REQUEST FOR PROPOSALS No.: SOL-615-13-000012 Please fill out the following questionnaire as clearly and as objectively as possible. The information you provide will be used for source selection purposes. Please send the filled out questionnaire directly to the United States Agency for International Development (USAID), East Africa Regional Mission in Nairobi, Kenya by email at csigner@usaid.gov and jkibabu@usaid.gov; no later than June 21, 2013, 05:00 PM, Local Time (Nairobi, Kenya). SECTION A: (To be filled by the Offeror) Offeror's Name: ________________________________________________________________________ Was the Offeror the Prime or Subcontractor on the project: ____________________________________ Project Name: _________________________________________________________________________ Project Scope/Description: _______________________________________________________________ Period of Performance: Dollar Value of Contract: _____________________________________________ Name of Contact Person: Phone: _________________________________________________________ Date Contacted: Employer: _______________________________________________________________ Contacts Role or Knowledge of the Project: _________________________________________________
SECTION B: (To be filled by the contact person named in section A above) 1. Please comment on your satisfaction with the Quality of Work:_________________________________________________________________________________________ _ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ____
2. Please comment on the Timeliness of Contract Performance:_________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ _______ 3. Please comment on the quality of your Relations with the Contractor during contract performance:_________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ _______ 4. Please comment on the Contractors Ability to Control costs:_________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ _____ 5. Please provide comments on Contractors Key Personnel:____________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______ Other comments:___________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ______________________________________________________________________________________________ ________ Signature of the Referee:__________________________________________________________________________
ATTACHMENT J.7 - IDENTIFICATION OF PRINCIPAL GEOGRAPHIC CODE NUMBERS The USAID Geographic Code Book sets forth the official description of all geographic codes used by USAID in authorizing or implementing documents, to designate authorized source countries or areas. The following are summaries of the principal codes: Code 935--Any area or country including the cooperating country, but excluding the foreign policy restricted countries. Code 937 -- Any area or country including the United States, the recipient country and developing countries other than advanced developing countries, excluding any country that is a prohibited source. Code 941--The United States and any independent country (excluding foreign policy restricted countries), except the cooperating country itself and the following: Albania, Andorra, Angola, Armenia, Austria, Australia, Azerbaijan, Bahamas, Bahrain, Belgium, Bosnia and Herzegovina, Bulgaria, Belarus, Canada, Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Gabon, Georgia, Germany, Greece, Hong Kong, Hungary, Iceland, Ireland, Italy, Japan, Kazakhstan, Kuwait, Kyrgyzstan, Latvia, Liechtenstein, Lithuania, Luxembourg, Macedonia*, Malta, Moldova, Monaco, Mongolia, Montenegro*, Netherlands, New Zealand, Norway, Poland, Portugal, Qatar, Romania, Russia, San Marino, Saudi Arabia, Serbia*, Singapore, Slovak Republic, Slovenia, South Africa, Spain, Sweden, Switzerland, Taiwan*, Tajikistan, Turkmenistan, Ukraine, United Arab Emirates, United Kingdom, Uzbekistan, and Vatican City. ----------------------------------------------------------------* Has the status of a "Geopolitical Entity", rather than an independent country.
ATTACHMENT J.8 - ABBREVIATIONS AND ACRONYMS USED IN THIS RFP ABEO ADS AHADI AIDAR AusAID CPFF CPST CBO CBNRM CLIN CO COP COR CRA CSO DCOP DFID DRG EDY EMACK FAR FBO FDKP FEWSNET FTF GCC GOK HPP IP KCSSP KSG LEDS LMS M&E MERLA MP NCCRS NGO NRM OPH PFM PLHIV Agriculture, Business and Environment Office Automated Directives System Agile and Harmonized Assistance for Devolved Institutions USAID Acquisition Regulation Australian Agency for International Development Cost-Plus-Fixed-Fee Centre for Parliamentary Studies and Training Community-Based Organization Community-Based Natural Resource Management Contract Line Item Number Contracting Officer Chief of Party Contracting Officers Representative Commission on Revenue Allocation Civil Society Organization Deputy Chief of Party United Kingdom Department for International Development Democracy, Rights and Governance (Office) Education and Youth (Office) Education for Marginalized Children of Kenya program Federal Acquisition Regulation Faith-Based Organization Fiscal Decentralization Knowledge Program Famine Early Warning Systems Network Feed the Future Global Climate Change Government of Kenya Health Policy and Planning program Implementing Partner Kenya Civil Society Strengthening Program Kenya School of Government Low-Emissions Development Strategies Leadership, Management and Sustainability program Monitoring and Evaluation Monitoring, Evaluation, Reporting, Learning and Adapting Member of Parliament National Climate Change Response Strategy Non-Governmental Organization Natural Resource Management Office of Population and Health Public Financial Management People Living With HIV/AIDS
PMP PRIMR PSP PTA REGAL RFP SOW SUNY TA UN UNDP UNOPS US USAID USG YYC
Performance Monitoring Plan Kenya Primary Math and Reading program Parliamentary Strengthening Program Parent Teacher Associations Resilience and Economic Growth in the Arid Lands Request for Proposal Scope of Work State University of New York Transition Authority United Nations United Nations Development Program United Nations Office of Project Services United States United States Agency for International Development United States Government Yes Youth Can program
ATTACHMENT J.9 REPORTING TEMPLATE Electronic version is uploaded http://www.fedbizopps.gov/ as a separate Microsoft Office Word file at
kenya standardized reporting tem plate.docx
ATTACHMENT J.10 Initial Environmental Examination (IEE)

Electronic version is uploaded as a separate PDF file at http://www.fedbizopps.gov/
Kenya DG IEE 2012 2017.pdf
ATTACHMENT J.11 Assessments on Devolution in Kenya Electronic versions are uploaded as separate files at http://www.fedbizopps.gov/. These assessments can also be found publicly on the Development Experience Clearinghouse (DEC).
DFD-I-00-05-00221Kenya - Final USAID 00 Kenya Devolution Assessm ent.pdf Devolution Report.docx
ATTACHMENT J.12 List of Government Property Electronic version is uploaded as a separate Excel file at http://www.fedbizopps.gov/
Govt Property Inventory.xls

USAID Gift To Kenya Counties $50M

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Solicitation# SOL61513000012

NEGOTIATED (RFP) 8. ADDRESS OFFER TO

sxavier@usaid.gov See Attached Table of Contents

DESCRIPTION PART I - THE SCHEDULE

LIST OF ATTACHMENTS PART IV - REPRESENTATIONS AND INSTRUCTIONS

OFFER (Must be fully completed by Offeror)

18. OFFER DATE

AWARD (To be completed by Government)

See Section G.9: Accounting and Appropriation Data

24. ADMINISTERED BY (If other than Item 7)

26. NAME OF CONTRACTING OFFICER (Type or print)

(Signature of Contracting Officer)

[THIS PAGE IS INTENTIONALLY LEFT BLANK]

Contract Line Item Numbers (CLINs)

CLIN 0001 CLIN 0002 CLIN 0003 CLIN 0004 NOTES:

2014 2015 2016 2017

[To be completed at Award] END OF SECTION B

Education and Youth

Number of investigative media stories produced with USG assistance

INSPECTION OF SUPPLIES COST REIMBURSEMENT MAY 2001

INSPECTION AND ACCEPTANCE

SECTION F DELIVERIES OR PERFORMANCE

NOTICE LISTING CONTRACT CLAUSES INCORPORATED BY REFERENCE

Ability to adapt to rapidly changing environmental and programmatic needs.

b. Performance Management Plan

j. Monthly Progress Reports k. Quarterly Progress Reports l. Annual Report

m. Final Program Report n. Close-out Plan

SECTION G CONTRACT ADMINISTRATION DATA G.1 ADMINISTRATIVE CONTRACTING OFFICE

Technical directions are defined to include:

CONTRACTOR PAYMENT ADDRESS

Line Item 00001

Phone: (415) 486-7000; Email:

may be based on does not exist or the contractor of placed on future

DATE (JAN 1990) (FEB

2007 52.2378 RESTRICTION ON SEVERANCE PAYMENTS TO FOREIGN NATIONALS K.2

FAR 52.2048 ANNUAL REPRESENTATIONS AND CERTIFICATIONS (FEB 2012)

Solicitation # SOL61513000012 Signature____________________________ Date_______________________ END OF SECTION K

52.2151 INSTRUCTIONS TO OFFERORSCOMPETITIVE ACQUISITION (JAN 2004)

SECTION M EVALUATION FACTORS FOR AWARD M.1 GENERAL INFORMATION

MANAGEMENT PLAN (25 POINTS)

AHADI Budget Tem plate.xlsx

LOCAL COMPENSATION POSITION DESCRIPTION GUIDELINES GENERAL GRADE LEVEL GUIDES

BRANDING IMPLEMENTATION PLAN AND MARKING PLAN FORMAT GENERAL INSTRUCTIONS

Website Technical Technical reports and studies

Briefing papers, memoranda, and policy recommendations

Conference posters and presentations

Videos Program materials Technical web portal

Promotional Event signs, banners, and exhibition booths materials

CONTRACTOR EMPLOYEE BIOGRAPHICAL DATA SHEET

10. Citizenship (If non-U.S. citizen, give visa status)

Able to satisfy routine special demands and limited work requirements.

standards of a country where the language is natively spoken .

PAPERWORK REDUCTION ACT INFORMATION

PAPERWORK REDUCTION ACT NOTICE

Office of Acquisition and Assistance Policy Division (M/OAA/P) Washington, DC 20523-7100;

(See reverse for public burden disclosure)

Federal Action Number, if known:

kenya standardized reporting tem plate.docx

ATTACHMENT J.10 Initial Environmental Examination (IEE)

Electronic version is uploaded as a separate PDF file at http://www.fedbizopps.gov/

Kenya DG IEE 2012 2017.pdf

DFD-I-00-05-00221Kenya - Final USAID 00 Kenya Devolution Assessm ent.pdf Devolution Report.docx

Govt Property Inventory.xls

Solicitation # SOL61513000012 Signature______ Date_ END OF SECTION K