![](media/image1.png){width="2.5833333333333335in"
height="0.8208333333333333in"}![](media/image1.png){width="2.5833333333333335in"
height="0.8208333333333333in"}

Issuance Date: **February 21, 2008**

Closing Date: **March 28, 2008**

Closing Time: **11:00 AM EST**

[Subject:]{.underline} Request for Applications (RFA) No.:
USAID-M-OAA-GH-08-179

FY- 2008 Food and Technical Assistance II (**FANTA II**) Activity.

Dear Prospective Applicants:

The United States Agency for International Development (USAID) Bureau
for Global Health, Office of Health, Infectious Disease and Nutrition
(GH/HIDN) is seeking applications from eligible U.S. organizations, as
described in Section III of this RFA, to implement activities under the
Food and Nutrition Technical Assistance - II (FANTA-II) program.

For the purposes of this RFA, the term "Grant" is synonymous with
"Cooperative Agreement"; \"Grantee\" is synonymous with \"Recipient\";
and \"Grant Officer\" is synonymous with \"Agreement Officer\".

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

Pursuant to 22 CFR 226.81, it is USAID policy not to award profit under
assistance instruments. However, all reasonable, allocable and allowable
expenses, both direct and indirect, which are related to the agreement
program and are in accordance with applicable cost standards (22 CFR
226, OMB Circular A-122 for non-profit organization, OMB Circular A-21
for universities, and the Federal Acquisition Regulation (FAR) Part 31
for profit organizations), may be paid under the agreement.

For the purposes of this program, this RFA is being issued and consists
of this cover letter and the following:

**Section I. Program Description;**

**Section II. Award and Administration Information;**

**Section III. Eligibility Criteria;**

**Section IV. Application and Submission Instructions;**

**Section V. Evaluation Criteria;**

**Section VI. Mandatory Standard Provisions for US Non-Governmental
Organizations;**

**Section VII. Certifications, Assurances and Other Statements of
Recipients**

> **Annex A: References**
>
> **Annex B: SF -- 424: Link for Application for Federal Assistance
> Form.**

The preferred method of distribution of USAID RFA information is via the
Internet. This RFA and any future amendments can be downloaded from
[http://www.grants.gov](http://www.grants.gov/).

Applications via hard copy must be received by the closing date and time
indicated at the top of this cover letter at the place designated below
for receipt of applications. No late applications will be accepted.

Applications submitted via mail or courier service shall be submitted in
two separate parts and delivered in two separate envelopes: (a)
technical and (b) cost or business application. The technical
application shall consist of one original, four copies and an electronic
(CD-ROM) copy. The cost or business application shall also consist of
one original, two copies and an electronic (CD-ROM) copy. Applications
shall be submitted with the name and address of the applicant and RFA \#
(referenced above) inscribed thereon, to:

**[(By Mail)]{.underline}**

U.S. Agency for International Development

Attn: Ousmane Faye, Jr.,

Agreement Specialist

RRB 7.09-092, M/OAA/GH/HSR

1300 Pennsylvania Avenue, NW

Washington, D.C. 20523-3700

**[(By Courier Service/ Hand Delivery)]{.underline}**

U.S. Agency for International Development

1300 Pennsylvania Avenue, NW

Ronald Reagan Building, 14^th^ Street Entrance

Washington, DC 20523-3700

Please use the phone at the visitor's desk to contact:

**Mr. Ousmane Faye, Jr., Ext. 2-0832**

[Note:]{.underline} Couriers must enter the building using the 14^th^
Street entrance. At the guard/reception desk, dial Extension 2-0832.

[]{.mark}

Telegraphic or fax applications are not authorized for this RFA and will
not be accepted.

**Applications submitted via fax or email will not be accepted.**
Applicants should retain for their records one copy of all enclosures
which accompany their application.

[A]{.underline}ll applicants delivering applications contained in boxes
through carriers other than UPS, FedEx, and the US Post Office will be
required to complete a Freight Delivery Request Form and provide this
form to the Ronald Reagan Building (RRB) ITC Loading Dock Manager **72
hours in advance** of delivery (contact information is provided in the
form). The form may be obtained from Ousmane Faye, Jr. who may be
reached by telephone at 202-712-0832 or <ofaye@usaid.gov>. Once an RRB
loading dock representative accepts the delivery, this will be
considered the actual time of USAID's acceptance. Electronic submission
of applications is acceptable via the
[www.Grants.gov](http://www.Grants.gov/) website. However, submission of
hard copies is a requirement (see Section IV -- Application and
Submission Instructions).

The federal grant process is now web-enabled, allowing for applications
to be received on-line on the grants.gov website,
[http://www.grants.gov](http://www.grants.gov/). USAID bears no
responsibility for data errors resulting from transmission or conversion
processes associated with electronic submissions. Instructions for
submitting applications on-line can be found under Section IV,
"Application and Submission Instructions".

USAID reserves the right to fund any or none of the applications
submitted in response to this RFA. Awards will be made subject to the
availability of funds. This FY 2008 RFA does not commit USAID to funding
a specific number of applications.

Issuance of this RFA does not constitute an award commitment on the part
of the Government, nor does it commit the Government to pay for costs
incurred in the preparation and submission of an application. Further,
the Government reserves the right to reject any or all applications
received. In addition, final award of any resultant grant(s) cannot be
made until funds have been fully appropriated, allocated and committed
through internal USAID procedures. While it is anticipated that these
procedures will be successfully completed, potential applicants are
hereby notified of these requirements and conditions for award.
Applications are submitted at the risk of the applicant; should
circumstances prevent award of a cooperative agreement, all preparation
and submission costs are at the applicant\'s expense.

Any prospective applicant who has questions concerning the contents of
this RFA should submit them [in writing]{.underline} to Mr. Ousmane Faye
Jr., at <ofaye@usaid.gov> by 4:30 PM EST on February 29, 2008. Any
additional information regarding this RFA will be furnished through an
amendment to this RFA.

Thank you for your interest in USAID programs.

Sincerely,

Bruce Baltas

Agreement Officer

**Table of Contents**

**Page**

**SECTION I -- PROGRAM
DESCRIPTION..................................................... 5**

A.
Introduction............................................................\...\...\...\...\...\...\....
5

B. Background and Agency's
Framework............................................. 5

C. Strategic Objective (SO) and Intermediate Results
(IRs)......................... 15

D. Guiding Principle for the
Project..................................................... 18

> E. Project Monitoring and
> Evaluation................................................... 18

F. Authorized Geographic
Code......................................................... 19

**SECTION II -- AWARD AND ADMINISTRATION INFORMATION
\................... 20**

A. Available Funding and the Award\...
...................................................... 20

B. Anticipated Award
Schedule................................................................
20 C. USAID Management of the
Activity\........................................................ 20

D. Substantial Involvement Understanding
................................................... 20

E. External
Evaluation............................................................................
21

**SECTION III -- ELIGIBILITY
CRITERIA......................................................... 22**

A. Eligibility
Requirements...................................................................
22

B. Cost
Share...................................................................................
22

**SECTION IV -- APPLICATION AND SUBMISSION
INSTRUCTIONS................... 23**

A. Instructions for Preparation & Submission of
Applications.......................... 23

B. Technical Application
Guidelines....................................................... 24

C. Cost Application
Guidelines...............................................................
29

D. Authority to Obligate the Government
..................................................... 32

E. Additional
Considerations.................................................................
32

**SECTION V -- EVALUATION
CRITERIA..................................................... 34**

**SECTION VI -- MANDATORY STANDARD PROVISIONS
............................\... 37**

**SECTION VII --CERTIFICATIONS, ASSURANCES AND OTHER**

> **STATEMENTS OF RECIPIENTS..........................................
> 91**

**ANNEX A:
REFERENCES......................................................................
102**

**ANNEX B: SF -- 424 APPLICATION FOR FEDERAL ASSISTANCE LINK............
102**

**SECTION I -- PROGRAM DESCRIPTION**

**A. INTRODUCTION**

Nutrition and food security issues are critical components of many of
the USG's Foreign Assistance Framework Objectives - such as Investing in
People, Economic Growth and Humanitarian Assistance. USAID's new Food
and Nutrition Technical Assistance (FANTA) II Project will consolidate
and expand experiences and evidence gained from the integration of
nutrition and food security issues in programs under these Objectives,
as well as from other donors and international agencies

The USAID Bureau for Global Health (GH) seeks to competitively award a
FANTA II Cooperative Agreement. The five-year FANTA II award has a
Strategic Objective (SO) of "Nutrition and Food Security Policy,
Strategy and Programming Improved" and two Intermediate Results (IRs):
IR1: Country-specific nutrition and food security policies, strategies
and programming strengthened and IR2: Global evidence base, effective
methods and competencies for nutrition and food security policy,
strategy and program design, implementation, monitoring and evaluation
increased

**B. BACKGROUND AND AGENCY'S FRAMEWORK**

**B.1. Relationship of FANTA II to the US Foreign Assistance Framework
(FAF):**

The recent reforms to U.S. Foreign Assistance have produced a new
Foreign Assistance Framework (FAF) consisting of five priority
objectives: peace and security, governing justly and democratically,
investing in people, economic growth, and humanitarian assistance. The
FAF also has five country categories: rebuilding, developing,
transforming, sustaining partner, and restrictive countries, as well as
a global or regional program area. Within each of these categories, all
foreign assistance is organized to achieve the overarching USG foreign
assistance goal: *"To help build and sustain democratic, well governed
states that respond to the needs of their people, reduce widespread
poverty and conduct themselves responsibly in the international
system."*

The FAF *Investing in People* Objective has as its goal "To help nations
achieve sustainable improvements in the well-being and productivity of
their populations through effective and accountable investments in
education, health, and other social services." The *Investing in People*
Objective has three Program Areas -- Health, Education, and Social
Services and Protection for Especially Vulnerable Populations. The
Health Program area, in turn, has eight Program Elements: Family
Planning and Reproductive Health, HIV/AIDS, Maternal and Child Health,
Tuberculosis, Malaria, Avian Influenza, Water Supply and Sanitation, and
Other Public Health Threats. The FAF *Economic Growth* Objective has as
its goal "To generate rapid, sustained, and broad-based economic
growth." The *Economic Growth* Objective has eight Program Areas, one of
which is Agriculture. It, in turn, has three Program Elements:
Agricultural Enabling Environment, Agriculture Sector Productivity, and
Program Support. The FAF *Humanitarian Assistance* Objective has as its
goal "To save lives, alleviate suffering, and minimize the economic
costs of conflict, disasters and displacement." It, in turn, has two
Program Elements: Protection and Solutions, and Disaster Readiness and
Mitigation Management.

The USG's efforts to harmonize foreign assistance messages across USG
agencies resonates in the area of nutrition and food security -- where a
strategic, coordinated, multi- sector approach can have more impact than
an individual or fragmented approach. The science and technology of
nutrition and food security involves the same knowledge, skills and
approaches across sectors as diverse as health, agriculture, education,
poverty alleviation, HIV/AIDS and humanitarian assistance. It is
envisioned that nutrition and food security programming will be
strengthened and better coordinated and harmonized in countries within
an overarching mechanism to address priority nutrition and food security
issues across multiple FAF objectives.

FANTA II, as a unique niche project that brings GH and DCHA together,
falls under the FAF objectives of *Investing in People,* E*conomic
Growth, and Humanitarian Assistance.* FANTA II will focus primarily on
programming in nutrition and food security.

The FANTA II will [not]{.underline} provide support in the following
areas of Title II, PEPFAR and emergency programming: procurement of
commodities, commodity sales arrangements, and market analyses that are
not a direct component of interventions aimed at the promotion of
household consumption and nutrition.

**B.2. Current Policy Environment and Opportunities for Nutrition and
Food Security Programming**

[B.2.1. Food security and food aid]{.underline}

The 2008 Farm Bill will likely introduce important changes to the
operation of the U.S. food aid program, which are relevant to the FANTA
II project. These changes include:

-   an earmark for development (non-emergency) programming, and

-   authority to use Title II resources for evaluations and assessments.

The 2008 Farm Bill will likely include some level of "hard" earmark
defining a mandatory, non-waivable level of non-emergency funding. A
hard earmark would result in a significant increase in non-emergency
funding (possibly up to \$600 million per year), to be programmed
through multi-year assistance proposals (MYAPs). Technical support will
be needed to ensure the timely, efficient and effective use of that
level of non-emergency funding, and to refine the emergency funding
allocation process in the face of the relative decrease of emergency
resources and decreased flexibility that will result.

The Farm Bill may also authorize the use of Title II to fund evaluations
and assessments. Technical support will be needed to assist USAID to
effectively use this new authority to

-   expand the evidence base on effective program approaches,

-   undertake "gold standard" evaluations to improve the evidence
    available on program impact,

-   expand the availability of high-quality food security data in USAID
    food aid priority countries, and

-   refine and validate new tools for food security assessments.

The 2007 GAO report *Foreign Assistance; Various Challenges Impede the
Efficiency and Effectiveness of U.S. Food Aid* recommended that USAID
increase its capacity to monitor food aid programs. USAID will need
support to rapidly expand the quantity and quality of Title II program
monitoring in the field.

If the Doha Round negotiations of the World Trade Organization are
successful, it is likely that monetization of Title II commodities to
fund necessary complementary programmatic interventions in MYAPs will be
first curtailed then eliminated entirely. Significant new thinking and
innovative programming approaches would be needed to ensure that Title
II activities are able to continue to effectively address the underlying
causes of chronic food insecurity among vulnerable populations in the
absence of complementary activities formerly funded with monetized
resources.

[B.2.2. Food and Nutrition and HIV]{.underline}

U.S. President's Emergency Plan for AIDS Relief (PEPFAR)\'s *Report on
Food and Nutrition for People Living with HIV/AIDS* (May 2006) outlined
the USG's approach to addressing the food and nutrition needs of PLHIV.
Policy guidance to operationalize this approach was issued by U.S.
Office of the Global AIDS Coordinator (O/GAC) in September 2006 (*Policy
Guidance on the Use of Emergency Plan Funds to Address Food and
Nutrition Needs*). The 2006 guidance targets food support to the
following priority groups:

-   Orphans and vulnerable children born to an HIV infected parent
    (regardless of the child's HIV and nutritional status);

-   HIV-positive pregnant and lactating women in programs to prevent the
    transmission of HIV to their children (PMTCT); and

-   Adult patients in anti-retroviral therapy (ART) and care programs
    with Body Mass Index less than 16.

In September 2007, USAID's Office of Food for Peace (FFP) and O/GAC
issued *HIV and Food Security Conceptual Framework*, designed to
facilitate the coordination of activities between PEPFAR and USAID Title
II Programs and establish a programmatic continuum to address the
nutrition, dietary supplementation and food security needs of
HIV-infected and -affected populations. The Conceptual Framework
identifies the types of program modifications that are necessary to
provide more complete coverage for HIV-infected and -affected target
groups through Title II and PEPFAR programming.

In October 2007, O/GAC modified the *Policy Guidance on the Use of
Emergency Plan Funds to Address Food and Nutrition Needs* as it relates
to adult patients in ART and care programs. O/GAC now permits the
provision of food support to patients in ART and care programs with a
BMI less than 18.5.  Supplementary feeding support should cease once the
patient's BMI stabilizes above 18.5 (e.g., two consecutive months
greater than 18.5).

The Administration is working with Congress to reauthorize the
Pres­ident's Emergency Plan for AIDS Relief (PEPFAR)[^1]. The second
five-year, \$30 billion proposal would build on the initial \$15 billion
commitment made in 2003. The proposal emphasizes transitioning from an
emergency response to a sustainable response for treatment, prevention
and care. PEPFAR will further expand efforts to strengthen health
systems and to leverage programs that address malaria, tuberculosis,
child and maternal health, clean water, food and nutrition, education,
and other needs.

[B.2.3. Community Management of Acute Malnutrition (CMAM)]{.underline}

CMAM is an innovative approach to successfully manage the majority of
children with acute malnutrition at home using the
ready-to-use-therapeutic food (RUTF). USAID and its partners have
documented the effectiveness of this approach over the past 5 years.

And, based on the evidence, WHO, UNICEF, WFP and the UN Standing
Committee on Nutrition (SCN) recently issued a joint statement on
Community-based Management of Severe Acute Malnutrition (SAM) in May
2007. USAID, UNICEF and WHO are continuing to work together to put the
management of SAM on the international health agenda. The mainstreaming
of CMAM approach will require an effective integration of this approach
into the country's basic health services. Central to the CMAM approach
is the availability of RUTF, which can be consumed safely at home. In
parallel with efforts to increase national production of RUTF, UNICEF
and USAID are collaborating to strengthen the capacity of host country
government health service providers to increase programmatic efforts to
achieve high coverage of CMAM aimed at identifying and treating children
with SAM through effective community mobilization and active case
finding.

In addition, UNICEF and its partners are embarking on a global effort to
build affordable and sustainable production capacity of RUTF pastes,
focusing on Africa. While the immediate objective is the use of RUTF to
treat SAM, with an emphasis on community-based care and treatment of the
majority of children with SAM who do not have medical complications, the
potential of ready-to-use supplemental foods (RUSF) and it's spin-off
products referred to as 'lipid-based nutrients supplements (LNS)' offers
an opportunity for a real break through for prevention of malnutrition,
beyond treatment of severe and moderate acute malnutrition.

Further, with continued media coverage and advocacy by organizations
such as MSF, the visibility of CMAM and RUTF will continue to grow, and,
along with the increased visibility, the need to effectively respond to
increased demand for effective CMAM programs with sustainable CMAM
supplies.

[B.2.4. Emergency, Reconstruction and Stabilization
environment]{.underline}

Peace and Security is one of the five objectives of the FAF.
International development increasingly benefits from - and requires -
close cooperation between civilians and the military. In unstable areas
in which USAID frequently works, development and security are
intertwined and interdependent.  The absence of a stable and secure
environment constrains development assistance, and similarly, without
development assistance security will remain unsustainable.  In
humanitarian, stabilization and reconstruction operations, U.S. and
international armed forces have long made invaluable contributions in
logistics, planning, and implementation to save lives, build
infrastructure, transport materials, and other efforts that benefit
development.  The Department of Defense (DoD) now implements twenty-two
percent of total U.S. Official Development Assistance.  DoD acknowledges
that USAID\'s expertise in building local capacities is key to stability
and reconstruction. USAID is in the process of developing an Agency wide
policy and implementation guidelines on civilian-military cooperation in
emergency, reconstruction and stabilization environment.

The strong partnership developed between GH and DCHA within USAID over
the past decade provides FANTA II a unique opportunity to take a
stronger technical leadership role in Stabilization and Reconstruction
(S&R) activities by developing a more rigorous approach to food
insecurity and nutrition actions in these situations.

**B.3. USAID as global leader in Nutrition and Food Security Programs**

[B.3.1. Nutrition and food security program design, implementation,
monitoring and evaluation]{.underline}

*B.3.1.1. Expand evidence-based for effective MCHN Programming
approaches*

MCHN programs play a key role in integrated approaches to reduce food
insecurity by addressing constraints to optimal food
consumption/utilization in populations to improve their health and
nutritional status. To help provide an evidence base to determine the
best approach, USAID recently completed a five-year study that compared
preventive and recuperative approaches to targeting food-assisted MCHN
programs in rural Haiti. The results show that the preventive model is
more effective in reducing malnutrition, with the prevalence of
stunting, underweight and wasting significantly lower in the preventive
compared to the recuperative program communities after 3 years of
program implementation. The evaluation provides evidence of the
feasibility and effectiveness of the preventive approach, in a
programmatic context, as well as an example of how such programs can be
developed, strengthened, and monitored under real -- and difficult -
programmatic conditions. The direct implications of the results are that
to improve effectiveness, food-assisted MCHN programs should target all
children under the age of two years, as opposed to malnourished children
under five. USAID -funded operational research proved the effectiveness
of preventative approaches to reduce child malnutrition in MCHN
programs, which will lead to improved design and increased impact of
programs.

*B.3.1.2. Improving Infant and Young Child Nutrition Programming*

Malnutrition contributes to more than half of all under-five childhood
deaths in the developing world. Improving infant and young child feeding
(IYCF) practices of children 6 to 23 months of age is critical to
improved nutrition, health and development of the child. In contrast to
a strong consensus on exclusive breastfeeding up to 6 months of age, the
lack of international consensus on and simple indicators of adequate
feeding practices for 6-23 months age group has hampered progress in
measuring and improving IYCF practices and nutritional outcomes.

In collaboration with WHO, USAID has sought consensus on the components
of a composite indicator for adequate feeding practices of infants and
young children of 6-23 months old. An IYCF composite indicator is now
being reported in both the DHS and KPC, providing program managers and
policymakers with data to support and assess interventions to improve
the nutritional status during this vulnerable period.

The USAID-developed Essential Nutrition Actions (ENA) approach provides
nutrition program managers with a holistic framework for preventing
malnutrition. The evidence-based ENA approach provides guidance on key
actions to promote nutrition of women and children and attempts to
improve the quality of services and the coverage of the priority target
groups. The ENA approach integrates proven nutrition actions to improve
Infant and Young Child Feeding (IYCF), micronutrient status, and the
nutrition of women.

Community Based Growth Promotion (CBGP) is a strategy to improve child
growth. CBGP uses proven interventions to address growth problems and
refers children to medical services when necessary. These regular
contacts are an opportunity to deliver ENA messages to as many
mothers/caregivers as possible. USAID has worked to improve skills in
infant and young child feeding behavior change techniques, counseling
skills of village volunteers who implement community-based nutrition
programs, and facilitative supervision approaches for continuous quality
improvement.

Research and experience have established the effectiveness of
Ready-to-Use Therapeutic Foods (RUTF), such as Plumpynut, for treatment
of severe acute malnutrition. The development of innovative,
ready-to-use specialized food products, for example, lipid-based
nutrient supplements (LNS), is an important area of future focus for the
prevention of malnutrition, especially among children under the age of
two.

*B.3.1.3. Measuring Household Food Access Insecurity*

Central to USAID's strategy to effectively use Title II resources to
reduce food insecurity is strengthening the capacity of implementing
partners to monitor, evaluate and report on the impact of programs on
food insecurity. However, measuring the access component of household
food insecurity has long been a challenge to researchers and
practitioners alike. Over the last seven years, USAID invested to
develop a scientifically validated, simple and more user-friendly
approach for measuring the impacts of programs on the access component
of household food insecurity - - the Household Food Insecurity Access
Scale (HFIAS) measure and guide. The HFIAS is composed of a set of nine
questions that have been used in several countries and appear to
distinguish food insecure from food secure households across different
cultural contexts. These questions represent universal domains of the
household experience of insecure access to food that can be used to
assign households and populations along a continuum of severity. HFIAS
is being used by FAO, governments and PVOs in several African countries.

*B.3.1.4. Innovations in Program Assessment and Monitoring*

To meet expressed needs of USAID's partners, USAID invested in the
development of innovative tools (e.g. a software application that uses a
hand-held computer to collect and analyze data based on principles of
Lot Quality Assurance Sampling (LQAS) for problem assessment and
improved oversight and management of programs. This combination of
state-of-the-art sampling principles and digital automation methods has
proven advantages over conventional monitoring approaches. Innovative
solutions include the development of alternative sampling designs (33 x
6 compared with traditional 30x30 cluster) for rapid assessment of the
prevalence of SAM; and LQAS-based applications for annual monitoring of
Title II programs and USAID Mission's bilateral population, health and
nutrition programs

Humanitarian agencies and decision makers need tools for rapid and
effective prioritization of areas in greatest need and practical and
reliable methods for on-going monitoring of the situation. USAID
investment in the Standardized Monitoring and Assessment of Relief and
Transition (SMART) Initiative seeks to improve the monitoring,
reporting, and evaluation of humanitarian assistance. SMART Version 1.0
(June 2005) contains modules to collect, analyze, and disseminate
information on nutrition, mortality and household food security. The
modules are at different stages of development, field testing and
wide-spread use. FANTA II is expected to contribute in further
refinement of the SMART modules.

[B.3.2. Adolescent and Women's Nutrition]{.underline}

Anemia and iron deficiency remain at epidemic levels among women and
children in many nations. USAID invested in a meta-analysis which showed
that iron deficiency anemia (IDA) is associated with 22% of maternal
deaths and 24% of perinatal deaths. The analysis also showed that
correcting anemia of any severity reduces the risk of death. This is a
new finding and different from the earlier view that only severe anemia
is associated with increased mortality. These new estimates of the
maternal and perinatal deaths associated with IDA underscore the
importance of implementing a package of interventions to address the
multiple causes of anemia. Addressing the anemia problem requires
integration and coordination of health and nutrition services.
Recognizing that anemia is the most prevalent nutrition deficiency among
women of reproductive age, and the importance of addressing anemia early
and throughout the life cycle, USAID has invested in an innovative
platform (World Association of Girl Guides and Girl Scouts) to access
the difficult-to-reach target group of adolescent girls with behavior
change approaches to prevent anemia through encouraging the adoption of
healthy diets, regular deworming and malaria prevention. Not only do
such interventions improve the health of girls immediately, it is also a
means to reach women earlier in the lifecycle and increase the
likelihood of long-term behavior change to reduce or prevent anemia.

It is generally accepted that in addition to energy needs, the quality
of diet contributes significantly to achieve good nutrition. Proxy
measures of diet quality are needed to design and monitor progress in
improving women's diet quality. USAID is collaborating with various
institutions to test whether dietary diversity indicators constructed
from a set of food groups in the DHS questionnaire can serve as a proxy
for diet quality. The research will provide an important monitoring and
advocacy tool to promote the importance of women's nutrition globally.

[B.3.3. Nutritional Care and Support for People Living with HIV
(PLHIV)]{.underline}

As HIV grew to epidemic proportions in sub-Saharan Africa, many
communities, service providers, researchers, and donors recognized the
need to address nutritional aspects of care. For many people living with
HIV (PLHIV), the infection causes or aggravates malnutrition through
reduced food intake, increased energy needs, and/or poor nutrient
absorption. Malnutrition in turn can hasten the progression of HIV and
worsen its impact by weakening the immune system, increasing
susceptibility to opportunistic infections, and reducing the
effectiveness of treatment.

Food and nutrition interventions help to break this vicious cycle by
strengthening immune functions, management of symptoms and side effects
of treatment, nutritional status, quality of life and productivity. When
asked what their greatest needs are, HIV-affected households in Africa
often rank food at or near the top of the list. Yet as international HIV
programming expanded in the late 1990s and early 2000s, most programs
did not include food and nutrition components, and evidence and guidance
about how to integrate such components was urgently needed.

In response to this need, USAID has funded targeted evaluations and
provided technical assistance at the global, regional, national and
program levels to strengthen the evidence base on the role food and
nutrition plays in HIV care, develop national guidelines for programs
and policies, and strengthen implementation of nutritional care in HIV
treatment and care services. Currently a number of country examples are
available where food and nutrition interventions are in the process of
being integrated in HIV programs and USAID is considered a global leader
in food and nutritional care of PLHIV.

Over the past five years USAID worked with PEPFAR Partners at global,
regional and national level to develop national guideline for
nutritional care and support for PLHIV and to incorporate nutritional
assessment and counseling into HIV services. FANTA II should build from
the past experience and is expected to provide specialized, targeted,
technical assistance to PEPFAR Partners in a number of countries to
integrate food and nutrition issues into HIV services. It is anticipated
that 60 percent of country-specific technical support will be in the
area of nutrition and HIV.

[B.3.4. Community Management of Acute Malnutrition (CMAM)]{.underline}

Severe acute malnutrition (SAM) remains a major killer of children under
five years of age in developing countries, including in countries not
recently affected by an emergency. Levels of global acute malnutrition
in some countries not categorized as being in an emergency are as high
as 15 percent during lean seasons (e.g., Burkina Faso, Niger, and
Malawi).

The community-based approach for the management of acute malnutrition
involves timely detection and referral of cases with SAM in the
community, outpatient treatment of those without medical complications,
and inpatient treatment of those without appetite or with medical
complications. It is intended to provide services that are closer to and
less disruptive for communities and families, by making services
available at decentralized treatment points and through community
outreach and mobilization. Moreover, it can promote participation and
behavior change for long-term solutions to inappropriate care and
feeding practices, food insecurity, and other threats to public health.

With USAID support, the evidence base for the nutritional impact of
CMAM - also referred to as Community-based Therapeutic Care (CTC) - has
been well established in programs run by relief agencies during
emergencies, and has been scaled-up in some countries (e.g. Ethiopia,
Malawi.). USAID is continuing the collaboration with UNICEF and WHO to
support the introduction of CMAM services into the basic package of
health services in developing countries coping with high levels of acute
malnutrition.

[B.3.5. External Evaluation of FANTA Project in June/July
2007]{.underline}

An external evaluation of FANTA project conducted in June/July 2007
found that FANTA has provided a unique mechanism for very effective
cross-bureau support to USAID, leading to greater attention to nutrition
and food security issues in a number of programs, including Title II
food aid, HIV/AIDS care and support, and emergencies. The FANTA
influenced strategies and policies for these programs in a very positive
and far reaching way. FANTA made major operations research contributions
to the evidence base on promising practices that are effective for
monitoring and evaluation of food security, providing nutritional care
and support for HIV/AIDS, and doing community-based therapeutic care
(CTC) to manage severe acute malnutrition. This research has progressed
far along the pathway to field implementation and use on a very large
scale.

The evaluation report also noted that a new GH-funded nutrition and food
security project is specifically needed, after FANTA ends, to continue
to provide multi-sectoral, state-of-the-art technical assistance to
USAID-assisted programs and to maintain global technical leadership.
This is the consensus of the evaluation team, the staff of USAID/W
(GH/HIDN, GH/OHA, DCHA/FFP, DCHA/OFDA, Africa Bureau), and numerous
USAID Missions where FANTA provided technical support. The main focus
should be on continuing technical support to improve nutrition and
security programming, strategies, and policies in the context of Title
II, Maternal and Child Health and Nutrition, PEPFAR, and emergency and
reconstruction and stabilization environments. Global technical
leadership is a critical component of a new project, as it has been for
FANTA. This means that applied research to evaluate the effectiveness
and cost of nutrition and food security tools, approaches, and
interventions---and activities to promote their use---must continue in a
new project.

**B.4. Problem Statement**

Malnutrition remains the world's most serious problem and the single
biggest contributor to child mortality. In addition, there is
substantial evidence that malnutrition is linked with immense losses in
economic productivity, educability and intelligence. The human and
economic costs to families, communities and nations are staggering and
unacceptably high.

Nearly one-third of children in the developing world are either
underweight or stunted, and more than 30 percent of the developing
world's population suffers from micronutrient deficiencies. Unless
significant advances are made in improving policies and strategies and
scaling-up promising program approaches, the magnitude of the
malnutrition problem will prevent many countries from achieving the
Millennium Development Goals (MDGs)---especially in Sub-Saharan Africa,
where malnutrition is increasing, and in South Asia, where malnutrition
is widespread and improving only slowly.[^2] There are nearly 20 million
children worldwide who are severely acutely malnourished, mostly in
south Asia and in sub-Saharan Africa. UNICEF estimates that SAM
contributes to 1 million child deaths every year.

At the World Food Summit in 1996, leaders of more than 180 countries set
a goal of halving the number of undernourished people by 2015. Ten years
later, only limited progress has been made towards that objective. While
a smaller [proportion]{.underline} of the population of developing
countries are undernourished (17 percent compared with 20 percent in
1990--92), the [number]{.underline} of undernourished people in the
developing countries has declined by only 3 million. Currently, 842
million people suffer from chronic hunger and food insecurity.

The greatest food security challenge is in sub-Saharan Africa. It has
the highest prevalence of undernourishment; one in three people have
insufficient access to food. FAO's projections suggest that the
prevalence of hunger in this region will decline by 2015 but that the
number of hungry people will not fall below that of 1990--92. By then,
sub-Saharan Africa will be home to around 30 percent of the
undernourished people in the developing world, compared with 20 percent
in 1990--92.[^3] Many of the countries with the greatest number and
proportion of food insecure are experiencing conflict or other forms of
disaster. But, many other highly food insecure countries are free of
conflict - - food insecurity is a chronic problem due to poverty, lack
of social services and high rates of population growth.

More than 40 million people are living with HIV throughout the world,
including the approximately 5 million newly infected in 2005, according
to UNAIDS. Sub-Saharan Africa and the Caribbean are home to
approximately 30 million people living with HIV/AIDS. In these regions,
HIV/AIDS has deepened poverty, exacerbated food insecurity, and diverted
state resources[^4]. There is a complex, bi-directional relationship
between food security and HIV. Illness and death resulting from the
disease have an immediate impact on food security by limiting household
income and food production. At the same time, food insecurity and
poverty fuel the spread of HIV when people are driven to adopt immediate
survival strategies that make them more vulnerable to HIV infection.
Food security is also compromised by HIV because of the specific
nutritional requirements of those infected by the disease. Not only do
people living with HIV (PLHIV) require greater energy intake from foods,
they often experience difficulty in digesting it. Access to adequate
nutrition is critical to the health of infected individuals, including
those receiving antiretroviral therapy (ART). Finally, the combined
impacts of food insecurity and HIV place further strain on already
limited household resources as affected family members struggle to meet
household.[^5]

**C. STRATEGIC OBJECTIVE (SO) and INTERMEDIATE RESULTS (IRs)**

**C.1. Overall Focus**

While food insecurity and malnutrition remain a significant challenge in
many countries, experience has shown that improvements can be achieved
with political will of country governments combined with strategic
support and investment by USAID and others. FANTA II is expected to
build on what is known, seek opportunities to strengthen and improve
what already exists in nutrition and food security programming in
variety of environments, while also expanding and deepening the
knowledge base and practice to meet new challenges over the next 10
years. Because the food insecurity and malnutrition challenges must be
addressed in dynamic policy and operating environments that continuously
evolve, FANTA II will need to anticipate, adapt and respond with agility
and flexibility to changes in the operating environment to ensure
responsive, appropriate and practical support to USAID (GH, DCHA and
Missions) and its partners as well as other USG agencies as needed.

Within the context of the USAID food security definition[^6], three
distinct variables are considered central to the attainment of food
security: i.e., availability, access and utilization. The major foci of
the FANTA II are in the areas of access and utilization; within the
access area, the focus is on interventions and activities that are
directly linked with improved consumption and nutritional status of
target populations.

**C.2. FANTA II Objective is "Nutrition and food security policies,
strategies and programming improved"**

FANTA II has a strong mandate to assume global technical leadership and
is expected to make a major progress in all areas of nutrition and food
security programming. The areas of nutrition and food security
programming include developing, introducing and expanding effective
programming approaches; identifying and validating appropriate
indicators; developing cost effective assessment, monitoring and
evaluation approaches and methodologies.

Within the context of the FAF and for the coming decade, the priority
opportunities for improving nutrition and food security programs are
with USAID's Title II food assistance, maternal and child health and
nutrition (MCHN)/Child Survival, Presidents Emergency Plan for AIDS
Relief (PEPFAR), and emergency/transition programs. The nutrition- and
food security-related aspects of these programs are the focus of FANTA
II's Objective, and represent themes that cut across FANTA II's
Intermediate Results (IRs).

To achieve its objective, FANTA II is expected to continue what is
working: the crucial work of providing specialized, targeted technical
assistances (IR1) and global technical leadership (IR2) in improving
assessment, design and monitoring and evaluation capacity of USAID
partners that implement nutrition and food security programs, and
supporting the integration of food and nutrition considerations into
programs across a range of sectors and contexts.

**C.3. Intermediate Result 1 (IR1)**: Country-specific nutrition and
food security policies, strategies and programming strengthened.

GH has created productive working relationships with DCHA, Regional
Bureaus and a large number of Missions in nutrition and food security
policies, strategies and programs. These Bureaus/Offices/Missions are
relying on this specialized technical support to assist USAID countries
and partners in identifying opportunities to strengthen nutrition and
food security programs where they will have the greatest measurable
impact at the country level.

> IR1.1: Title II food security program assessment, design,
> implementation, monitoring and evaluation improved
>
> IR1.2: Maternal and child health and nutrition (MCHN) program
> assessment design, implementation, monitoring and evaluation improved
>
> IR1.3: HIV nutrition and food security-related program assessment,
> design, implementation, monitoring and evaluation improved
>
> IR1.4: Emergency, reconstruction and stabilization (S&R) Nutrition and
> food security program assessment, design, implementation, monitoring
> and evaluation improved

**Illustrative Activities for IR1**

-   Developing country-specific food security/food assistance
    programming strategies

-   Strengthening of community-based MCHN programming

-   Assisting countries to develop HIV nutrition care and support and
    CMAM guidelines and protocols

-   Adapting nutrition assessments and counseling materials and tools
    for PEPFAR programs

-   Assessing the needs and supporting 'food by prescription' for PEPFAR
    programs

-   Assessing and addressing quality of nutrition and food security
    program implementation in variety of settings.

-   Harmonizing M&E indicators and systems in variety of settings

-   Building evidence-base for new challenges in nutrition and food
    security programming in emergency , stabilization and reconstruction
    environments

**C.4. Intermediate Result 2**: Global evidence base, effective methods
and competencies for nutrition and food security policy, strategy and
program design, implementation, monitoring and evaluation increased

Prior work supported by GH in food security/nutrition projects have a
strong track record in global technical leadership and provide good
examples of how forward thinking, technically rigorous analysis, coupled
with "actionable" guidance and influential publications can have
widespread influence on nutrition and food security program policies,
strategies, and practices throughout the Agency, its partners and
beyond.

.

IR2.1: Evidence base for effective program approaches expanded.

> IR2.2: Cost-effective and user-friendly monitoring and evaluation
> methods and tools developed.

IR2.3: Global normative standards in nutrition and food security
promoted.

> IR2.4: Competencies in problem assessment and program design,
> implementation, monitoring and evaluations strengthened.

**Illustrative Activities for IR2**

-   Documenting and disseminating effective nutrition and food security
    programming approaches in variety settings and environments.

-   Documenting and disseminating effective graduation/exit strategies
    for USAID food security/nutrition programming.

-   Documenting and disseminating effective integration of CMAM into
    national health services.

-   Developing cost analysis/planning tools for effective integration of
    food and nutrition care and support into HIV response and CMAM
    approach into basic health services.

-   Evaluating, documenting and disseminating effective specialized food
    product-based approaches to meet nutritional needs of PLHIV and for
    prevention of malnutrition among infants, young children and
    mothers.

-   Continuing the innovations in developing, documenting and
    disseminating effective tools to stream-line monitoring of nutrition
    and food security programming in variety of settings and
    environments

-   Identifying and validating user-friendly nutrition and food security
    indictors and measurement approaches.

**D. GUIDING PRINCIPLES FOR THE PROJECT**

The following guiding principles for FANTA II articulate ways of
conducting business that will be critical for the project's success and
against which success will be evaluated. The proposal will be evaluated
in part on its ability to incorporate these principles in its response.

[D.1 Build from existing knowledge and reflect advances in theory and
practice.]{.underline}

Nutrition and food security programs implemented by FANTA II will be
based on knowledge and experience accumulated over the past decade. It
is expected that FANTA II will be innovative and devise new solutions to
nutrition and food security program design, implementation, monitoring
and evaluation in variety of environments. This could entail expanding
beyond the Applicant's knowledge base and drawing on the knowledge and
experience of other initiatives. FANTA II will be expected to collect,
systematize and share lessons from the field support experiences and to
serve as a global technical lead in nutrition and food security programs
for GH.

[D.2. Capitalize on innovations in program assessment, design,
implementation and monitoring and evaluation approaches.]{.underline}

FANTA II will be expected to make further significant progress on recent
innovations in

-   Communication technologies and approaches to stream line program
    assessment, monitoring and evaluation of nutrition and food security
    programming, and to strengthen USAID and its partners' capacity to
    meet oversight and reporting requirements.

-   Identification and validation of user-friendly indicators and
    measurement tools for effective nutrition and food security
    programming in variety of contexts.

-   Documenting and sharing lessons learned on effective programming
    approaches for nutrition and food security in variety of contexts.

[D.3. Coordinate with other USAID collaborating agencies, host-country
programs, and other USG agencies as appropriate]{.underline}. Nutrition
and food security program supports a number of Foreign Assistance
Objectives: *Investing in People (IIP), Economic Growth (EG), and
Humanitarian Assistance (HA)*. The applicant must be able to work
collaboratively with a large number of USAID partners, mission bilateral
programs, host-country programs, and donors to provide effective
technical support to USAID Missions and Operating Units. Further, the
applicant may be requested to collaborate with other USG agencies such
State/Coordinator for Reconstruction and Stabilization (S/CRS) and
Department of Defense (DoD) and Office of Global AIDS Coordinator
(O/GAC) as appropriate.

**E. PROJECT MONITORING & EVALUATION**

During the first year of FANTA II, Recipient will submit a Performance
Monitoring Plan, including indicators and targets for achieving the
project's objective and IRs, to the USAID Cognizant Technical Officer
(CTO) for review and approval. Through the annual work plan and progress
reports, the Recipient will report on indicators and provide information
that describes the expected results on an annual basis.

**F. AUTHORIZED GEOGRAPHIC CODE**

The authorized geographic code for procurement of services for this
action is 935. The authorized geographic code for procurement of
commodities for this action is 000.

**SECTION II -- AWARD AND ADMINISTRATION INFORMATION**

**A. AVAILABLE FUNDING AND AWARD**

USAID intends to support a five -year cooperative agreement for
assistance with nutrition and food security. Applicants should assume
the ceiling for the Cooperative Agreement of \$100 million over five
years -- 25% GH Core funds and 75% Field Support (FS). Annual core
funding for the Cooperative Agreement is estimated to be up to \$5
million and annual Field Support funding to be up to \$15 million.

FANTA II will be the main mechanism where Mission and other USAID
Operating Units (OU) can access specialized technical support for
introducing and expanding nutrition and food security programs under
three -- *Investing in People, Economic Growth and Humanitarian
Assistance*- of the five the US FAF objectives. As such, it is
anticipated that the majority of its funding and efforts will be geared
to providing specific technical assistance in nutrition and food
security to Missions and other USAID OU. For purposes of this RFA,
applicants should assume that 75% of the budget of the Award will come
through FS and MAARDs; GH Core funds are expected to be used primarily
for IR2 to support the key functions of global leadership, research and
evaluation as they apply to FANTA II's mandate.

[Estimated breakdown of Field Support funds for IR1 are as
follows:]{.underline}

IR1.1 USAID Title II food aid 20%

IR1.2 Maternal Child Health and Nutrition 10 %

IR1.3 PEPFAR, HIV 60 %

IR1.4 Emergency/Transition 10 %

This RFA is for a five-year Cooperative Agreement. USAID may choose to
non-competitively extend for a second five year Agreement based upon the
Agency priorities and the satisfactory performance of the Recipient
during the first five-year Agreement.

**B. ANTICIPATED AWARD SCHEDULE**

It is anticipated that a five-year Cooperative Agreement will be awarded
o/a June 2008.

**C. USAID MANAGEMENT OF THE ACTIVITIES**

The CTO will serve as the primary contact between USAID and the award
Recipient. The CTO will be based in GH/HIDN and assist the program in
linking with other GH and Bureaus programs, Mission bilaterals, and
other donors/foundations.

**D. SUBSTANTIAL INVOLVEMENT UNDERSTANDING**

USAID shall be substantially involved during the implementation of this
Cooperative

Agreement in the following ways:

1\. Approval of the Recipient\'s Implementation Plans;

2\. Approval of specified key personnel assigned to the positions listed
below. All changes thereto must be submitted for the approval by the
Cognizant Technical Officer:

Title: Project Director

Title: Deputy Director for Field Support

Title: Deputy Director for Global Leadership

Title: Deputy Director for Operations

3\. Agency and recipient collaboration or joint participation

4\. Agency Authority to immediately halt a construction activity.

**E. EXTERNAL EVALUATION**

In the fourth year of the Agreement (FY 2012), USAID will conduct an
external evaluation to review overall progress, assess the continuing
appropriateness of the program design, and identify any factors

impeding effective implementation. USAID will use the results of this
evaluation to help determine whether or not to exercise the option to
extend for a second five-year Agreement without competition.

**SECTION III - ELIGIBILITY CRITERIA**

**A. ELIGIBILITY REQUIREMENTS**

To be eligible for the Cooperative Agreement under this RFA, an
organization must:

a\. Be a U.S. based institutions, for-profit, non-profit or private
voluntary organizations registered with USAID;

b\. Have experience and/or capacity to provide specialized technical
assistance in nutrition and food security programming in USAID-assisted
countries described in this RFA;

c\. Agree to work with and hire individuals who have the technical
expertise to provide technical support to strengthen country specific
nutrition and food security policies, strategies and programming;

d\. Have managerial, technical, and institutional capacities to achieve
the results outlined in this RFA

e\. Have the capacity to collaborate with other organizations/groups in
undertaking nutrition and food security programming across multiple
areas such as maternal child health and nutrition, HIV, agriculture, and
humanitarian assistance.

**B. COST SHARE**

A cost share minimum of **5 % of USAID-funded amount** is required for
this Cooperative Agreement.

**SECTION IV - APPLICATION AND SUBMISSION INSTRUCTIONS**

## A. INSTRUCTIONS FOR THE PREPARATION AND SUBMISSION OF

##  APPLICATIONS

Applicants are required to submit a hard copy application which includes
a technical application and a cost/business application. The technical
application and the cost/business application should be submitted in two
separate envelopes. The technical application will become the program
description incorporated into the final cooperative agreement, if
selected.

1.  Hard copies of applications shall be submitted in two separate
    envelopes: (a) technical and (b) cost or business application.
    Technical applications should be submitted in an **original and four
    copies and on a CD-ROM**. Cost applications should also be submitted
    separately in an **original and two copies and on a CD-ROM**.

> 2\. Technical applications must be written in English language, and
> should not exceed 60 pages, excluding attachments (e.g. resumes, first
> year work plan etc.). Technical applications that exceed that limit
> will not enter the review process. Applicants should avoid excessively
> elaborate presentations.
>
> 3\. The cost/business application must be written in the English
> language and there is no limit on the number of pages for the
> cost/business application. The cost/business application must be
> submitted using the SF-424 series, which includes:

-   SF-424, Application for Federal Assistance

-   SF-424A, Budget Information, Non-construction Programs

-   SF-424B, Assurances, Non-construction Programs

> **These Standard Forms can be found under Annex B.** A link to these
> forms can also be found at:
> <http://www.grants.gov/agencies/aapproved_standard_forms.jsp>

4\. Applications should be submitted **on or before 11:00 AM on March
28, 2008** to:

**[Mailing Address:]{.underline}** **[Courier/ Hand
Delivery:]{.underline}**

> U.S. Agency for International Development U.S. Agency for
> International Development
>
> ATTN:Ousmane Faye, Jr., 1300 Pennsylvania Ave., NW
>
> M/OAA/GH Rm. 7.09-92 Ronald Reagan Building, 14^th^ Street Entrance
> Ronald Reagan Building Washington, DC 20523-3700
>
> International Trade Center Please use the phone at the visitor's desk
>
> 1300 Pennsylvania Avenue NW to contact:
>
> Washington, DC 20523-3700 Mr. Ousmane Faye, Jr., Ext. 2-0832
>
> 5\. The federal grant process is now web-enabled, allowing for
> applications to be received on-line on the grants.gov website.
> Cost/business and technical applications must be submitted in
> Microsoft Word or Microsoft Excel format. USAID bears no
> responsibility for data errors resulting from transmission or
> conversion processes associated with electronic submissions. If the
> online option is chosen, in order to be eligible for award the
> applicant must provide all required information in its application,
> including the requirements found in any attachments to the grants.gov
> opportunity posting. Applicants may or may not choose to utilize the
> on-line option. **No email or fax submissions will be accepted.**

**B. TECHNICAL APPLICATION GUIDELINES**

To facilitate the competitive review of the applications, USAID will
[consider only applications conforming to the format prescribed
below.]{.underline}

Technical Applications are limited to 60 pages; any application OVER 60
PAGES WILL NOT BE EVALUATED. The sixty pages consist of applicant
response to the Technical Application Sections of this RFA. Applications
shall be written in English, text should be left-justified using
Microsoft Word 2000, 2001, 2002 or 2003; Times New Roman, 12 point font
on standard 8 1/2\" x 11\" paper, single spaced, with each page numbered
consecutively, and no less than 1" margins on all sides. Supplementary
materials such as full resumes of personnel, documentation of past
institutional work, and relevant letters of support may be provided in
annexes accompanying the technical application. There is no page limit
for the annexes, although brevity is encouraged. A proposed application
outline (technical and financial) is given on the following pages of
this document.

The following technical guidelines should be used to prepare an
application in response to this RFA:

**1. Technical Understanding and Approach:**

The program description covers activities that will be funded under the
Cooperative Agreement Award. The technical application must address the
program description and objectives in Section I of this document.

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

Applicants will describe how they propose to achieve the overall
strategic objective of this agreement: to ensure "**nutrition and food
security policies, strategies and programming improved"** by (1)
achieving the two intermediate results (IRs) and (2) addressing the
cross-cutting issues.

Applicants are advised that the application under this RFA may become
2-step process as follows;

Step 1: Preparation of the technical application as described below. All
applications received under this step will be evaluated and a list of
the most qualified applicants will be established.

Step 2: All applicants who have been determined to meet the list may be
contacted to schedule oral presentations. Should oral presentation be
conducted, applicant will be given a scenario and detailed instructions
for oral presentation by letter in advance.

If Step 2 is activated, the oral presentation will take place within 30
days

after RFA closing date and will be evaluated as part of the technical
application. In the oral presentation, the Applicant will identify the
key issues and describe a comprehensive strategic approach to address
these issues and potential collaborating partners based on the scenario
provided.

All proposed key personnel should participate in the oral presentation.
The presentation should be no longer than 2 hours. The applicant should
prepare visual aids at the beginning of the presentation session. At the
conclusion of the presentation, the Technical Evaluation Committee will
convene to identify any need for clarification of the materials
presented, if required.

FANTA II is a Cooperative Agreement. Applicants should assume a ceiling
for the Cooperative Agreement of \$100 million over five years -- 25 %
GH Core funds and 75 % Field Support (FS). Core funding for the
Cooperative Agreement is estimated to be up to \$5 million/year and FS
funding to be up to \$15 million/year. Over the life of FANTA II, core
funds are to be applied mostly to IR2,

while IR1 is more likely to be supported by the FS funds. FANTA II is
expected to receive substantial amount of FS in the first year of the
agreement, particularly under PEPFAR. Applicants must be able to
demonstrate capacity to be fully functional and able to immediately
start implementing activities in 10-14 countries[^7] no later than
October 1, 2008.

**The application must address the following:**

**2.1. Strategic Objective of the Project: Nutrition and food security
policies, strategies and programming improved.** Applicants shall
describe their approach for:

-   capitalizing on opportunities for improving effectiveness for
    nutrition and food security programming in developing countries

-   identifying priority needs and ensuring responsiveness

-   coordinating and maximizing the relationship between the IRs to meet
    the SO

-   maximizing the evidence base of programming across program areas,
    such as Title II, MCHN, HIV, emergencies and transition programs,
    and across country programs

Applicant should describe expected SO five-year results and indicators.

**2.2. Intermediate Results 1 and 2:**

**[Intermediate Result (IR) 1]{.underline}:** Country-specific nutrition
and food security policies, strategies and programming strengthened

> IR1.1: Food security program design, implementation, monitoring and
> evaluation improved
>
> IR1.2: Maternal and child nutrition program design, implementation,
> monitoring and evaluation improved
>
> IR1.3: HIV nutrition and food security-related program design,
> implementation, monitoring and evaluation improved
>
> IR1.4: Emergency and transition nutrition program design,
> implementation, monitoring and evaluation improved
>
> Applicants shall describe:

-   principal activities to be implemented under each sub-IR

-   key approaches to be used

-   how priorities and needs will be identified

-   how local capacity in nutrition and food security programming will
    be strengthened

-   opportunities/barriers that could speed/hinder progress and
    suggested solutions

-   expected IR results and indicators

[**Intermediate Result 2**:]{.underline} Global evidence base, effective
methods and competencies for effective nutrition and food security
policy, strategy and program design, implementation, monitoring and
evaluation increased.

IR2.1: Evidence base for effective program approaches expanded

> IR2.2: Cost-effective and user-friendly monitoring and evaluation
> methods and tools developed

IR2.3: Global normative standards in nutrition and food security
promoted

> IR2.4: Competencies in problem assessment and program design,
> implementation, monitoring and evaluations strengthened.
>
> Applicants shall describe:

-   principal activities to be implemented under each sub-IR

-   key approaches to be used

-   how priorities and needs will be identified

-   how the applicant will build from existing knowledge and reflect
    advances in theory and practice

-   opportunities/barriers that could speed/hinder progress and
    suggested solutions

-   expected IR results and indicators

**Cross Cutting Issues:**

-   Understanding the determinants and consequences of malnutrition and
    food insecurity, with a particular focus on opportunities to
    influence USAID-assisted country programs

-   Introducing and expanding innovative nutrition and food security
    programming approaches in USAID-assisted countries

-   Ensuring the Paris Principles of Ownership, Alignment,
    Harmonization, Managing for Results and Mutual Accountability

> For each cross-cutting issue, applicants shall describe why the
> cross-cutting issue is important and how it is reflected in the
> proposed activities and approaches under each IR

**4. Project Monitoring and Evaluation:**

> Applicants shall:

-   provide an illustrative performance monitoring plan for FANTA II
    that includes the indicators that will be used for the strategic
    objective and two IRs

-   identify the data collection method, type, and source of information
    to be collected

-   describe how USAID reporting requirements will be met

**5. Management Plan:**

[Management Plan, including the first year work plan]{.underline}

USAID does not believe that any one organization possesses the breath,
depth, and technical expertise required to successfully carry out this
activity. USAID, therefore, expects that the applicant would be a
partnership of organizations or groups, each bringing a particular set
of experience and expertise that would strengthen the activities
undertaken within this RFA. International partnerships are allowed under
this RFA.

Applicants shall provide a management plan consistent with the project's
technical complexity, broad range of USAID and external stakeholders,
global reach, and the fast changing environment of nutrition and food
security programming and high expectations of transparency. At the same
time, the management plan needs to be efficient in response to budgetary
constrains. It should take into consideration USAID's increasing concern
for ensuring adequate equipment and commodity complements to enhance the
effectiveness of specialized technical assistance inputs to country
programs.

The applicant shall include:

-   Organizational chart with roles and responsibilities

-   Management structure of all proposed partners and their roles and
    contributions

-   Line of authority

-   Personnel management

-   Plans for rapid start up, including **first year work plan** that
    identifies the major activities to be undertaken under each IR; a
    detailed timeline for implementation of the activities is not
    necessary.

-   Financial management, reporting and cost containment.

The applicant should show how it proposes to manage a complex set of
activities in multiple countries and regions of the world and how FANTA
II will effectively respond to frequent and complex requests from
USAID/W Bureaus/Offices and Missions within the scope of the award.

Minimal Core or Field Support Funds will be used to develop a FANTA II
presence. FANTA II web portal should build on information
documents/publications from the prior USAID investment in this technical
area.

**Institutional Capacity and Past Performance:**

[Institutional capability of the proposed prime and
partners]{.underline}

The applicant should show that they have the array of skills needed to
effectively address the issues within the scope of FANTA II, can produce
results and innovations in nutrition and food security programming in
USAID-assisted countries, and that the prime has the ability to work
with multiple partners and to report results and financial information
to each partner. Applicants shall demonstrate their institutional
ability to plan, implement, and support complex programming and the
range of activities outlined in the RFA.

As an attachment, please provide three (3) past performance references
which describe any contracts, grants, cooperative agreements which the
applicant organization, as well as any substantive sub-grantee partners,
has implemented involving similar or related programs over the past
three years.  Please provide these references in an attachment and
include the following information:  name and address of the organization
for which the work was performed; current telephone number and email
address of responsible representative from the organization for which
the work was performed; contract/grant name and number (if any), annual
amount received for each of the last three years and beginning and end
dates; brief description of the project/assistance activity and key
project accomplishments / results achieved to date."

**6. Key Personnel Qualifications and Staffing Capabilities**

FANTA II will have expertise in nutrition, food security; HIV/AIDS,
emergency specialists in the fields included in the RFA. Applicants are
requested to develop a comprehensive staffing plan that will enable
achievement of FANTA II results and demonstrate an appropriate balance
of skills and accountability. The staffing pattern will reflect the
minimum number of highly experienced technical staff sufficient to
manage and implement FANTA II activities under this award. USAID's
intent is to have a sufficient core staff available to continue to plan
and provide consistent specialized, targeted technical assistances in
nutrition and food security program analysis, design, implementation,
monitoring and evaluation and to provide global leadership in the
identification and application of promising practices. Applicants should
propose the optimal mix of technical personnel considered necessary for
specialized, targeted technical assistance in food and nutrition
programming and for global leadership.

The applicant will identify the four key personnel by name and position.
A total of four (4) key personnel shall be proposed. Each key personnel
position requires USAID approval, as noted in substantial involvement
provisions.

[Project Director (PD)]{.underline}: PD is responsible for overall
management of the FANTA II. The required attributes of the PD are: a
senior manager with an advanced degree (MS, MA or Ph.D.) in the social
sciences, with at least 7 to 10 years experience leading and managing
large, complex USAID/W projects, and has experience interacting with
U.S. Government agencies. This is a full-time position; in order to
ensure adequate managerial oversight of the project, it will involve
traveling overseas only 10-20 percent of the time.

[Deputy Director for Field Support (DD-FS)]{.underline}: The DD-FS is
responsible for ensuring that field support activities under each sub-IR
reflects the state-of-the-art and that FANTA II approaches are
consistent across countries under each sub-IR.  S/he will also ensure
FANTA approaches are harmonized across sub-IRs.  The DD-FS and DD-GL are
jointly responsible for ensuring that FANTA II field level activities
are informed by and inform FANTA II global leadership activities. The
required attributes of the DD-FS are: an advanced degree (MS, MA or
Ph.D.) in the food security or nutrition or related field, with at least
7-10 years experience in providing specialized technical assistance and
global leadership in food security, MCH, HIV or related programming.
This is a full-time position; in order to ensure adequate managerial
oversight of the project, it will involve traveling overseas only 20-30
percent of the time.

[Deputy Director for Global Leadership (DD-GL)]{.underline}: The DD-GL
is responsible for ensuring the scientific and technical quality of all
activities implemented under IR2.  S/he will facilitate consensus on
FANTA II operations research agenda, develop strategies for the
incorporation of findings in global normative standards.  S/he will be
responsible for managing the identification of and response to priority
areas for global capacity building. The DD-FS and DD-GL are jointly
responsible for ensuring that FANTA II field level activities are
informed by and inform FANTA II global leadership activities. The
required attributes of the DP-GL are: an advanced degree (MS, MA or
Ph.D.) in nutrition or food security or a related field; with at least
7-10 years of experience in providing specialized technical assistance
and global leadership in food security, MCH, HIV or related programming.
This is a full-time position; in order to ensure adequate managerial
oversight of the project, it will involve traveling overseas only 20-30
percent of the time.

[Deputy Director for Operations (DD-OP)]{.underline}: The DD-OP assists
the Project Director (PD) in multiple management functions, including
interface with USAID and key partners. The DD-OP works in close
collaboration with the PD to manage the project activities, and is
responsible for overall management of FANTA communications, finance,
contract and administration clusters. The required attributes of the
DP-OP are: an advanced degree (MS, MA or Ph.D.) in food security, MCH,
HIV/AIDS or a related field; with at least 7- 10 years experience in
providing specialized technical assistance and global leadership in food
security, MCH, HIV or related programming. This is a full-time position;
in order to ensure adequate managerial oversight of the project, it will
involve traveling overseas only 20-30 percent of the time.

The section on personnel capability in the main body of the application
will include brief statements of major duties, experience, academic
background and resumes for each of the four (4) key personnel and other
senior program staff. Resumes for key personnel, other senior program
staff and any long-term professional staff/advisors will be limited to 4
pages in length and should be included in the annexes. The annexes
(which are beyond the 60-page limit) will include letters of intent to
participate for those not already employed by the proposing organization
and letters of commitment from proposed key personnel.

Please provide a roster of all senior core staff and at least up to ten
non-U.S.-based experts who are likely to assist with program activities
and can address the broad range of nutrition and food security
programming envisioned in the RFA. Resumes and letters of intent to
participate should be included in the annexes.

Applicants are invited to propose and justify an alternative staffing
structure, including a different configuration of key staff positions,
if they feel that a different structure is more conducive to achieving
the desired project results.

**C.** **COST APPLICATION GUIDELINES**

**C.1.** **Budget Preparation and Submission Instructions**

The Cost/Business application must be completely separate from the
Applicant\'s technical application.  The application must be submitted
using SF-424 and SF-424A "Application for Federal Assistance," which is
available for download at USAID's website:

<http://www.usaid.gov/forms/sf424.pdf>.

The Cost/Business application should be for a period of five years from
October 2008 to October 2013 using the budget format shown in the
SF-424A. In addition to hard copies, technical and Cost/Business
applications must be submitted on separate CDs in MS Word 2000-2003
versions. Graphic/tables must be formatted in Microsoft Excel 2000-2003
versions. The budget format must not be locked.

If the Applicant has established a consortium or another legal
relationship among its partners, the Cost/Business application must
include a copy of the document establishing the parameters of the legal
relationship between the parties.  The agreement should include a full
discussion of the relationship between the Applicants including
identification of the Applicant with which USAID will treat for purposes
of Agreement administration, identity of the Applicant which will have
accounting responsibility, how Agreement effort will be allocated and
the express agreement of the principals thereto to be held jointly and
severally liable for the acts or omissions of the other. 

To support the proposed costs, [please provide detailed budget
notes/narrative for all costs that explain how the costs were
derived]{.underline}.  The following provides guidance on what is
needed:

a\. The breakdown of all costs associated with the program.

b\. The breakdown of all costs according to each partner organization
involved in the program.

c\. The costs associated with external, expatriate technical assistance
and those associated with local in-country technical assistance.

d\. The breakdown of any financial and in-kind contributions of all
organizations involved in implementing this agreement.

e\. Potential contributions of non-USAID or private commercial donors to
this agreement.

f\. Procurement plan for commodities (if applicable).

The cost application should contain the following budget categories:

a\. [Salary and Wages]{.underline}:  Direct salaries and wages should be
proposed in accordance with the Applicant\'s personnel policies.

b.      [Fringe Benefits]{.underline}:  If the Applicant has a fringe
benefit rate that has been approved by an agency of the U.S. Government,
such rate should be used and evidence of its approval should be
provided.  If a fringe benefit rate has not been so approved, the
application should propose a rate and explain how the rate was
determined. If the latter is used, the narrative should include a
detailed breakdown comprised of all items of fringe benefits (e.g.,
unemployment insurance, workers compensation, health and life insurance,
retirement, FICA, etc.) and the costs of each, expressed in dollars and
as a percentage of salaries.   

c\. [Travel and Transportation]{.underline}:  The application should
indicate the number of trips, domestic and international, and the
estimated costs.  Specify the origin and destination for each proposed
trip, duration of travel, and number of individuals traveling.  Per diem
should be based on the Applicant\'s normal travel policies.

d\. [Equipment]{.underline}: Estimated types of equipment (i.e., model
#, cost per unit, quantity).

e\. [Supplies]{.underline}: Office supplies and other related supply
items related to this activity.

f\. [Contractual]{.underline}: Any goods and services being procured
through a contract mechanism.

g\. [Other Direct Costs]{.underline}:  This includes communications,
report preparation costs, passports, visas, medical exams and
inoculations, insurance (other than insurance included in the
Applicant\'s fringe benefits), equipment, office rent abroad, etc. The
narrative should provide a breakdown and support for all other direct
costs.

h\. [Indirect Costs]{.underline}:  The Applicant should support the
proposed indirect cost rate with a letter from a cognizant U.S.
Government audit agency, a Negotiated Indirect Cost Recovery Agreement
(NICRA), or with sufficient information for USAID to determine the
reasonableness of the rates. (e.g., a breakdown of labor bases and
overhead pools, the method of determining the rate, etc.).

Please include information on the organization\'s financial status and
management including:

a\. Copies of the Applicant\'s financial reports for the previous 3-year
period, which have been audited by a reputable certified public
accounting firm.

b\. NICRA.

c\. Organizational chart.

d\. If the Applicant has made a certification to USAID that its
personnel, procurement and travel policies are compliant with applicable
OMB circular and other applicable USAID and Federal regulations, a copy
of the certification should be included with the application.  If the
certification has not been made to USAID/Washington, the Applicant
should submit a copy of its personnel (especially regarding salary and
wage scales, merit increases, promotions, leave, differentials, etc.),
travel and procurement policies, and indicate whether personnel and
travel policies and procedures have been reviewed and approved by any
agency of the Federal Government. If so, provide the name, address, and
phone number of the Cognizant reviewing official.

e\. Applicants that have never received a grant, cooperative agreement
or contract from the U.S. Government are required to submit a copy of
their accounting manual.  If a copy has already been submitted to the
U.S. Government, the Applicant should advise which Federal Office has a
copy.

The application should include information that substantiates that the
Applicant:

a\. Has adequate financial resources or the ability to obtain such
resources as required during the performance of the cooperative
agreement.

b\. Has the ability to comply with the cooperative agreement conditions,
taking into account all existing and currently prospective commitments
of the Applicant, nongovernmental and governmental.

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

d\. Has a satisfactory record of integrity and business ethics.

e\. Is otherwise qualified and eligible to receive a cooperative
agreement under applicable laws and regulations (e.g., Equal Employment
Opportunity laws).

f\. Completed copy of certifications and representations (Section VIII).

**D. AUTHORITY TO OBLIGATE THE GOVERNMENT**

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

**E. ADDITIONAL CONSIDERATIONS**

[Unnecessarily Elaborate Applications]{.underline}

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

[Cooperative Agreement Award]{.underline}

The Government may, without discussions or negotiations, award an
agreement resulting from this RFA to the responsible Applicant whose
application conforming to this RFA offers the best value.  Therefore,
the initial application should contain the Applicant\'s best terms from
a cost and technical standpoint.  The Government may reject any or all
applications, accept other than the lowest cost application, and waive
informalities and minor irregularities in applications received.

Although technical evaluation factors are significantly more important
than cost factors, the closer the technical evaluations of the various
applications are to one another, the more important cost considerations
become. The Agreement Officer may determine what a highly ranked
application based on the technical evaluation factors would mean in
terms of performance and what it would cost the Government to take
advantage of it in determining the best overall value to the Government.

AAPD 05-04 Certification for HIV/AIDS Program Funds -- Applicants
proposing HIV/AIDS intervention are required to comply with AAPD 05-04
(as amended on July 23, 2007), 'Implementation of the United States
Leadership Against HIV/AIDS, Tuberculosis and Malaria Act of 2003 --
Eligibility Limitation on the Use of Funds and Opposition to
Prostitution and Sex Trafficking'.

If recommended for award, the Applicant must submit a Branding Strategy
and Marking Plan according to the guidelines set in AAPD 05-11 in the
Standard Provision for U.S. Nongovernmental Recipients, MARKING UNDER
USAID-FUNDED ASSISTANCE INSTRUMENTS (DECEMBER 2005). The Standard
Provisions for U.S., Nongovernmental Recipients have been included in
Attachment I of the RFA. Additionally, a link to the applicable Standard
Provisions has been included in the section entitled 'References' on the
preceding page.

Applications should respond directly to the terms, conditions,
specifications and clauses of this RFA (including all portions of the
Program Description). Applications not conforming to this RFA may be
categorized as non-responsive, thereby eliminating them from further
consideration.

[Preparation of Applications]{.underline}:

1.  Applicants who include data that they do not want disclosed to the
    public for any purpose or used by the U.S. Government except for
    evaluation purposes, should:

```{=html}
<!-- -->
```
(a) Mark the title page with the following legend:

> "This application includes data that shall not be disclosed outside
> the U.S. Government and shall not be duplicated, used, or disclosed --
> in whole or in part -- for any purpose other than to evaluate this
> application. If, however, a grant is awarded to this applicant as a
> result of -- or in connection with -- the submission of this data, the
> U.S. Government shall have the right to
>
> duplicate, use, or disclose the data to the extent provided in the
> resulting grant. This restriction does not limit the U.S. Government's
> right to use information contained in this data if it is obtained from
> another source without restriction. The data subject to this
> restriction are contained in sheets;" and

(b) Mark each sheet of data it wishes to restrict with the following
    legend:

> "Use or disclosure of data contained on this sheet is subject to the
> restriction on the title page of this application."

**SECTION V -- EVALUATION CRITERIA**

The technical applications will be evaluated in accordance with the
Technical Evaluation Criteria set forth below. Thereafter, the cost
application of all applicants submitting a technically acceptable
application will be opened and costs will be evaluated for general
reasonableness, allowability, and allocability. Awards will be made to
responsible applicants whose application offers the greatest value to
the US Government, technical, cost and other factors considered. In
evaluating the different components of the technical proposals, the U.S.
Government will examine the overall merit and feasibility of the
proposals, as well as examine specific criteria relevant to each
component, as elaborated below.

Each technical application submitted in response to this RFA will be
evaluated in relation to the evaluation factors set forth in this
solicitation and which have been tailored to the requirements of this
RFA to allow USAID to choose the highest quality application. These
criteria: a) identify the significant areas that Applicants should
address in their applications; and b) serve as the standard against
which all applications will be evaluated. USAID will award to the
applicant whose application is most advantageous to the Government, cost
effectiveness, and other factors considered. **The technical evaluation
criteria and subcriteria are in descending order of importance.**

The Government intends to evaluate applications and award an agreement
without discussions with applicants.  However, the Government reserves
the right to conduct discussions if later determined by the Agreement
Officer as necessary.  Therefore, each initial offer should contain the
applicant's best terms from a cost or price and technical standpoint.

**A. Technical Evaluation Criteria**

**A.1. Technical Understanding, Approaches and Cross-Cutting Issues (35
Points)**

The application reflects excellent understanding of USAID, the overall
program description and its objective, and the ability to synthesize and
apply the lessons learned from similar programs or projects. The
application clearly demonstrates:

> A.1.1. Understanding of the current environment for nutrition and food
> security programming, particularly Title II and PEPFAR policies, and
> implementing partner capacity, as well as maternal and child
> nutrition, child survival, food and nutrition methodologies and
> programs in the broad multi-sectoral food security context in variety
> of environments.
>
> A.1.2. State-of-the-art and evidence-based technical interventions and
> approaches that allow a rapid, effective start-up of program
> activities.
>
> A.1.3. Understanding of areas of priority research needed to
> strengthen the nutrition and food security evidence-base.
>
> A.1.4. How proposed activities funded by Field Support and/or GH Core
> contribute to strengthening developing country partners, institutions,
> programs and development goals and achieve the RFA's results at the
> global, national, district, facility, community, household and
> individual levels.
>
> A.1.5. Technical understanding and effective approaches to interact
> with a number of Operating Units among USAID to achieve the results
> described in this RFA.

**A.2. Key Personnel and Staffing Capabilities (35 Points)**

A.2.1. Application demonstrates key personnel have requisite breath and
depth of technical expertise and experience in management, planning and
provision of specialized technical assistance and applied research to
document best practices in nutrition and food security policies,
strategies and programming activities as described in Section IV. B.6

> A.2.1.2. Project Director
>
> A.2.1.3. Deputy Director for Field Support
>
> A.2.1.4. Deputy Director for Global Leadership
>
> A.2.1.5. Deputy Director for Operations

A.2.2. Overall staffing plan

-   An appropriate mix and amount of technical expertise to support the
    implementation of the technical program and meet Fields Support and
    Global Leadership role of FANTA II

**A.3. Management Plan (15 Points)**

The application presents:

> A.3.1. Management and administrative arrangements for overall
> implementation of the program including organizational structure,
> logistical support, personnel management, procurement arrangements for
> goods and services, functions and responsibilities of key personnel.
>
> A.3.2. How the program will manage a complex set of activities in
> multiple countries and regions of the world and work with local
> partners, other USAID Programs and other implementing organizations
> and other USG agencies as appropriate to achieve results.

A.3.3. Realistic strategies or approaches for knowledge management,
cost-containment and for coordinating with other USG agencies, with
foreign governments, and their other development partners.

**A.4. Institutional Capabilities and Past Performance (10 Points)**

\* Relevant experience in implementing nutrition and food security
programming in a variety of environments.

\*  Demonstrated past performance as described in Section IV, B
including provision of required

3 past performance references with descriptions of significant
achievements and relevance of

past program work."

 

USAID reserves the right to obtain past performance information from
other sources including those not named in this application.

**A. 5. Monitoring and Evaluation Plan (5 points)**

The application clearly demonstrates:

> A.5.1. Realistic performance indicators for the Cooperative Agreement
> award that will describe the outcomes with emphasis on introduction
> and expansion of appropriate nutrition and food security programming
> approaches in USAID-assisted countries
>
> A.5.2. How performance will be measured, in terms of results and
> benchmarks, in a cost-effective and timely fashion, on an annual
> basis.
>
> A.5.3. How reporting requirements of the FANTA II activities funded
> from GH
>
> Core and Field Support will be met.

**SECTION VI. MANDATORY STANDARD PROVISIONS**

**STANDARD PROVISIONS FOR U.S. NON-GOVERNMENTAL RECIPIENTS**

**U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT**

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

1\. APPLICABILITY OF 22 CFR PART 226 (MAY 2005)

2\. INELIGIBLE COUNTRIES (MAY 1986)

3\. NONDISCRIMINATION (MAY 1986)

4\. NONLIABILITY (NOVEMBER 1985)

5\. AMENDMENT (NOVEMBER 1985)

6\. NOTICES (NOVEMBER 1985)

7\. SUBAGREEMENTS (JUNE 1999)

8\. OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT (DECEMBER 2003)

9\. USAID ELIGIBILITY RULES FOR GOODS AND SERVICES (APRIL 1998)

\*10. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (JANUARY
2004)

\*11. DRUG-FREE WORKPLACE (JANUARY 2004)

\*12. EQUAL PROTECTION OF THE LAWS FOR FAITH-BASED AND COMMUNITY
ORGANIZATIONS (FEBRUARY 2004)

\*13. IMPLEMENTATION OF E.O. 13224 \-- EXECUTIVE ORDER ON TERRORIST
FINANCING (MARCH 2002)

\*14. MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (DECEMBER 2005)

15\. REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)

16\. CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY (NOVEMBER
1985)

17\. USE OF POUCH FACILITIES (AUGUST 1992)

18\. INTERNATIONAL AIR TRAVEL AND TRANSPORTATION (JUNE 1999)

19\. OCEAN SHIPMENT OF GOODS (JUNE 1999)

20\. LOCAL PROCUREMENT (APRIL 1998)

21\. VOLUNTARY POPULATION PLANNING ACTIVITIES -- MANDATORY REQUIREMENTS
(MAY 2006)

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

1\. NEGOTIATED INDIRECT COST RATES - PREDETERMINED (APRIL 1998)

2\. NEGOTIATED INDIRECT COST RATES - PROVISIONAL (Nonprofit)

(APRIL 1998)

3\. NEGOTIATED INDIRECT COST RATE - PROVISIONAL (Profit)

(APRIL 1998)

4\. PUBLICATIONS AND MEDIA RELEASES (MARCH 2006)

5\. PARTICIPANT TRAINING (APRIL 1998)

6\. VOLUNTARY POPULATION PLANNING ACTIVITIES -- SUPPLEMENTAL
REQUIREMENTS (MAY 2006)

7\. PROTECTION OF THE INDIVIDUAL AS A RESEARCH SUBJECT

(APRIL 1998)

8\. CARE OF LABORATORY ANIMALS (MARCH 2004)

9\. TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE) (NOVEMBER
1985)

10\. PUBLIC NOTICES (MARCH 2004)

11\. (RESERVED)

\*12. COST SHARING (MATCHING) (JULY 2002)

13\. PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS (JUNE 1999)

\*14. INVESTMENT PROMOTION (NOVEMBER 2003)

\*15. REPORTING OF FOREIGN TAXES (MARCH 2006)

\*16. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES
(JANUARY 2002)

17\. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JULY 2004)

18\. PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR
ADVOCATE FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE
(JULY 2004)

\*19. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JUNE 2005)

\*20. CONDOMS (JUNE 2005)

\*21. PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR
PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (JUNE 2005)

22\. USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)

23\. STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN USAID ASSISTANCE
AWARDS INVOLVING CONSTRUCTION (SEPTEMBER 2004)

\*An asterisk indicates that the adjacent information is new or
substantively revised.

**I. MANDATORY STANDARD PROVISIONS FOR US NONGOVERNMENTAL RECIPIENTS**

**1. APPLICABILITY OF 22 CFR PART 226 (MAY 2005)**

\(a\) All provisions of 22 CFR Part 226 and all Standard Provisions
attached to this agreement are applicable to the recipient and to sub
recipients which meet the definition of \"Recipient\" in Part 226,
unless a section specifically excludes a sub recipient from coverage.
The recipient shall assure that sub recipients have copies of all the
attached standard provisions.

\(b\) For any sub awards made with Non-US sub recipients the Recipient
shall include the applicable \"Standard Provisions for Non-US
Nongovernmental Grantees.\" Recipients are required to ensure compliance
with sub recipient monitoring procedures in accordance with OMB Circular
A-133.

**(END OF MANDATORY STANDARD PROVISION)**

## 2. INELIGIBLE COUNTRIES (MAY 1986)

Unless otherwise approved by the USAID Agreement Officer, funds will
only be expended for assistance to countries eligible for assistance
under the Foreign Assistance Act of 1961, as amended, or under acts
appropriating funds for foreign assistance.

**(END OF MANDATORY STANDARD PROVISION)**

**3. NONDISCRIMINATION (MAY 1986)**

No U.S. citizen or legal resident shall be excluded from participation
in, be denied the benefits of, or be otherwise subjected to
discrimination under any program or activity funded by this award on the
basis of race, color, national origin, age, handicap, or sex.

**(END OF MANDATORY STANDARD PROVISION)**

**4. NONLIABILITY (NOVEMBER 1985)**

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

**(END OF MANDATORY STANDARD PROVISION)**

**5. AMENDMENT (NOVEMBER 1985)**

The award may be amended by formal modifications to the basic award
document or by means of an exchange of letters between the Agreement
Officer and an appropriate official of the recipient.

**(END OF MANDATORY STANDARD PROVISION)**

**6. NOTICES (NOVEMBER 1985)**

Any notice given by USAID or the recipient shall be sufficient only if
in writing and delivered in person, mailed, or cabled as follows:

To the USAID Agreement Officer, at the address specified in the award.

To recipient, at recipient\'s address shown in the award or to such
other address

designated within the award.

Notices shall be effective when delivered in accordance with this
provision, or on the effective date of the notice, whichever is later.

**(END OF MANDATORY STANDARD PROVISION)**

## 7. SUBAGREEMENTS (JUNE 1999)

Subrecipients, subawardees, and contractors have no relationship with
USAID under the terms of this agreement. All required USAID approvals
must be directed through the recipient to USAID.

**(END OF MANDATORY STANDARD PROVISION)**

**8. OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT**

**(DECEMBER 2003)**

\*Information collection requirements imposed by this grant are covered
by OMB approval number 0412-0510; the current expiration date is
04/30/2005. The Standard Provisions containing the requirement and an
estimate of the public reporting burden (including time for reviewing
instructions, searching existing data sources, gathering and maintaining
the data needed, and completing and reviewing the collection of
information) are:

[Standard Provision]{.underline} [Burden Estimate]{.underline}

Air Travel and Transportation 1.0 (hour)

Ocean Shipment of Goods .5

Patent Rights .5

Publications .5

Negotiated Indirect Cost Rates -

(Predetermined and Provisional) 1.0

Voluntary Population Planning .5

Protection of the Individual as a 1.0

Research Subject

[22 CFR 226]{.underline} [Burden Estimate]{.underline}

22 CFR 226.40-.49 Procurement

of Goods and Services 1.0

22 CFR 226.30 - .36

Property Standards 1.5

Comments regarding this burden estimate or any other aspect of this
collection of information, including suggestions for reducing this
burden, may be sent to the Office of Procurement, Policy Division
(M/OP/P) U.S. Agency for International Development, Washington, DC
20523-7801 and to the Office of Management and Budget, Paperwork
Reduction Project (0412-0510), Washington, D.C 20503.

**(END OF MANDATORY STANDARD PROVISION)**

**9. USAID ELIGIBILITY RULES FOR GOODS AND SERVICES (APRIL 1998)**

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

a\. Ineligible and Restricted Goods and Services: USAID\'s policy on
ineligible and restricted goods and services is contained in ADS Chapter
312.

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

b\. Source and Nationality: The eligibility rules for goods and services
based on source and nationality are divided into two categories. One
applies when the total procurement element during the life of the award
is over \$250,000, and the other applies when the total procurement
element during the life of the award is not over \$250,000, or the award
is funded under the Development Fund for Africa (DFA) regardless of the
amount. The total procurement element includes procurement of all goods
(e.g., equipment, materials, supplies) and services. Guidance on the
eligibility of specific goods or services may be obtained from the
Agreement Officer. USAID policies and definitions on source, origin and
nationality are contained in 22 CFR Part 228, Rules on Source, Origin
and Nationality for Commodities and Services Financed by the Agency for
International Development, which is incorporated into this Award in its
entirety.

\(1\) For DFA funded awards or when the total procurement element during
the

> life of this award is valued at \$250,000 or less, the following rules
> apply:
>
> \(i\) The authorized source for procurement of all goods and services
> to be reimbursed under the award is USAID Geographic Code 935,
> \"Special Free World,\" and such goods and services must meet the
> source, origin and nationality requirements set forth in 22 CFR Part
> 228 in accordance with the following order of preference:
>
> \(A\) The United States (USAID Geographic Code 000),
>
> \(B\) The Cooperating Country,
>
> \(C\) USAID Geographic Code 941, and
>
> \(D\) USAID Geographic Code 935.
>
> \(ii\) Application of order of preference: When the recipient procures
> goods and services from other than U.S. sources, under the order of
> preference in paragraph (b)(1)(i) above, the recipient shall document
> its files to justify each such instance. The documentation shall set
> forth the circumstances surrounding the procurement and shall be based
> on one or more of the following reasons, which will be set forth in
> the grantee\'s
>
> documentation:
>
> \(A\) The procurement was of an emergency nature, which would not
> allow for the delay attendant to soliciting U.S. sources,
>
> \(B\) The price differential for procurement from U.S. sources
> exceeded by 50% or more the delivered price from the non-U.S. source,
>
> \(C\) Compelling local political considerations precluded
> consideration of U.S. sources,
>
> \(D\) The goods or services were not available from U.S. sources, or
>
> \(E\) Procurement of locally available goods and services, as opposed
> to procurement of U.S. goods and services, would best promote the
> objectives of the Foreign Assistance program under the award.
>
> \(2\) When the total procurement element exceeds \$250,000 (unless
> funded by DFA), the following applies: Except as may be specifically
> approved or directed in advance by the Agreement Officer, all goods
> and services financed with U.S. dollars, which will be reimbursed
> under this award must meet the source, origin and nationality
> requirements set forth in 22 CFR Part 228 for the authorized
> geographic code specified in the schedule of this award. If none is
> specified, the authorized source is Code 000, the
>
> United States.

c\. Printed or Audio-Visual Teaching Materials: If the effective use of
printed or audio-visual teaching materials depends upon their being in
the local language and if such materials are intended for technical
assistance projects or activities financed by USAID in whole or in part
and if other funds including U.S.-owned or U.S.-controlled local
currencies are not readily available to finance the procurement of such
materials, local language versions may be procured from the following
sources, in order of preference:

> \(1\) The United States (USAID Geographic Code 000),
>
> \(2\) The Cooperating Country,
>
> \(3\) \"Selected Free World\" countries (USAID Geographic Code 941),
> and
>
> \(4\) \"Special Free World\" countries (USAID Geographic Code 899).

d\. If USAID determines that the recipient has procured any of these
goods or services under this award contrary to the requirements of this
provision, and has received payment for such purposes, the Agreement
Officer may require the recipient to refund the entire amount of the
purchase. This provision must be included in all subagreements which
include procurement of goods or services which total over \$5,000.

**(END OF MANDATORY STANDARD PROVISION)**

**\*10. DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY**

**MATTERS (JANUARY 2004)**

a\. The recipient agrees to notify the Agreement Officer immediately
upon learning that it or any of its principals:

> \(1\) Are presently excluded or disqualified from covered transactions
> by any Federal department or agency;
>
> \(2\) Have been convicted within the preceding three-year period
> preceding this proposal been convicted of or had a civil judgment
> rendered against them for commission of fraud or a criminal offense in
> connection with obtaining, attempting to obtain, or performing a
> public (Federal, State, or local) transaction or contract under a
> public transaction; violation of Federal or State antitrust statutes
> or commission of embezzlement, theft, forgery, bribery, falsification
> or destruction of records, making false statements, tax evasion,
> receiving stolen property, making false claims, or obstruction of
> justice; commission of any other offense indicating a lack of business
> integrity or business honesty that seriously and directly affects your
> present responsibility;
>
> \(3\) Are presently indicted for or otherwise criminally or civilly
> charged by a governmental entity (Federal, State, or local) with
> commission of any of the offenses enumerated in paragraph (1)(b); and
>
> \(4\) Have had one or more public transactions (Federal, State, or
> local) terminated for cause or default within the preceding three
> years. b. The recipient agrees that, unless authorized by the
> Agreement Officer, it will not knowingly enter into any subagreements
> or contracts under this grant with a person or entity that is included
> on the Excluded Parties List System (http://epls.arnet.gov). The
> recipient further agrees to include the following provision in any
> subagreements or contracts entered into under this award:

DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY EXCLUSION

(DECEMBER 2003)

The recipient/contractor certifies that neither it nor its principals is
presently excluded or

disqualified from participation in this transaction by any Federal
department or agency.

b\. The policies and procedures applicable to debarment, suspension, and

ineligibility under USAID-financed transactions are set forth in 22 CFR
Part 208.

**(END OF MANDATORY STANDARD PROVISION)**

**\*11. DRUG-FREE WORKPLACE (JANUARY 2004)**

a\. The recipient agrees that it will publish a drug-free workplace
statement and provide a copy to each employee who will be engaged in the
performance of any Federal award.

The statement must:

> \(1\) Tell the employees that the unlawful manufacture, distribution,
> dispensing, possession, or use of a controlled substance is prohibited
> in its workplace;
>
> \(2\) Specify the actions the recipient will take against employees
> for violating that prohibition; and

\(3\) Let each employee know that, as a condition of employment under
any award, he or she

> \(i\) Must abide by the terms of the statement, and
>
> \(ii\) Must notify you in writing if he or she is convicted for a
> violation of a criminal drug statute occurring in the workplace, and
> must do so no more than five calendar days after the conviction.

b\. The recipient agrees that it will establish an ongoing drug-free
awareness program to inform employees about:

\(i\) The dangers of drug abuse in the workplace;

\(ii\) Your policy of maintaining a drug-free workplace;

\(iii\) Any available drug counseling, rehabilitation and employee
assistance programs; and

> \(iv\) The penalties that you may impose upon them for drug abuse
> violations occurring in the workplace.

c\. Without the Agreement Officer's expressed written approval, the
policy statement and program must be in place as soon as possible, no
later than the 30 days after the effective date of this award or the
completion date of this award, whichever occurs first.

d\. The recipient agrees to immediately notify the Agreement Officer if
an employee is convicted of a drug violation in the workplace. The
notification must be in writing, identify the employee's position title,
the number of each award on which the employee worked. The notification
must be sent to the Agreement Officer within ten calendar days after the
recipient learns of the conviction.

e\. Within 30 calendar days of learning about an employee's conviction,
the recipient must either

> \(1\) Take appropriate personnel action against the employee, up to
> and including termination, consistent with the requirements of the
> Rehabilitation Act of 1973 (29 USC 794), as amended, or
>
> \(2\) Require the employee to participate satisfactorily in a drug
> abuse assistance or rehabilitation program approved for these purposes
> by a Federal, State or local health, law enforcement, or other
> appropriate agency.

f\. The policies and procedures applicable to violations of these
requirements are set forth in 22 CFR Part 210.

**(END OF MANDATORY STANDARD PROVISION)**

**\*12. EQUAL PROTECTION OF THE LAWS FOR FAITH-BASED AND**

**COMMUNITY ORGANIZATIONS (FEBRUARY 2004)**

a\. The recipient may not discriminate against any beneficiary or
potential beneficiary under this award on the basis of religion or
religious belief. Accordingly, in providing services supported in whole
or in part by this agreement or in its outreach activities related to
such services, the recipient may not discriminate against current or
prospective program beneficiaries on the basis of religion, a religious
belief, a refusal to hold a religious belief, or a refusal to actively
participate in a religious practice;

b\. The Federal Government must implement Federal programs in accordance
with the Establishment Clause and the Free Exercise Clause of the First
Amendment to the Constitution. Therefore, if the recipient engages in
inherently religious activities, such as worship, religious instruction,
and proselytization, it must offer those services at a different time or
location from any programs or services directly funded by this award,
and participation by beneficiaries in any such inherently religious
activities must be voluntary.

c.  If the recipient makes subawards under this agreement, faith-based
    organizations should be

eligible to participate on the same basis as other organizations, and
should not be discriminated against on the basis of their religious
character or affiliation.

**(END OF MANDATORY STANDARD PROVISION)**

**\*13. IMPLEMENTATION OF E.O. 13224 \-- EXECUTIVE ORDER ON**

**TERRORIST FINANCING (MARCH 2002)**

The Recipient is reminded that U.S. Executive Orders and U.S. law
prohibits transactions with, and the provision of resources and support
to, individuals and organizations associated with terrorism. It is the
legal responsibility of the recipient to ensure compliance with these
Executive Orders and laws. This provision must be included in all
contracts/subawards issued under this agreement.

**(END OF MANDATORY STANDARD PROVISION)**

**\*14. MARKING UNDER ASSISTANCE INSTRUMENTS (DEC 2005)**

**BRANDING STRATEGY - ASSISTANCE (December 2005)**

\(a\) **Definitions**

***Branding Strategy*** means a strategy that is submitted at the
specific request of a

USAID Agreement Officer by an Apparently Successful Applicant after
evaluation of

an application for USAID funding, describing how the program, project,
or activity

is named and positioned, and how it is promoted and communicated to
beneficiaries

and host country citizens. It identifies all donors and explains how
they will be

acknowledged.

***Apparently Successful Applicant(s)*** means the applicant(s) for
USAID funding

recommended for an award after evaluation, but who has not yet been
awarded a

grant, cooperative agreement or other assistance award by the Agreement
Officer.

The Agreement Officer will request that the Apparently Successful
Applicants submit

a Branding Strategy and Marking Plan. Apparently Successful Applicant
status

confers no right and constitutes no USAID commitment to an award.

***USAID Identity (Identity)*** means the official marking for the
Agency, comprised of

the USAID logo and new brandmark, which clearly communicates that our
assistance is

from the American people. The USAID Identity is available on the USAID
website and

is provided without royalty, license, or other fee to recipients of
USAID-funded

grants or cooperative agreements or other assistance awards or
subawards.

\(b\) **Submission.** The Apparently Successful Applicant, upon request
of the Agreement

Officer, will submit and negotiate a Branding Strategy. The Branding
Strategy will

be included in and made a part of the resulting grant or cooperative
agreement. The

Branding Strategy will be negotiated within the time that the Agreement
Officer

specifies. Failure to submit and negotiate a Branding Strategy will make
the

applicant ineligible for award of a grant or cooperative agreement. The
Apparently

Successful Applicant must include all estimated costs associated with
branding and

marking USAID programs, such as plaques, stickers, banners, press events
and

materials, and the like.

\(c\) **Submission Requirements**

At a minimum, the Apparently Successful Applicant's Branding Strategy
will address

the following:

**(1) Positioning**

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

Guidelines: USAID prefers to have the USAID Identity included as part of
the

program or project name, such as a \"title sponsor,\" if possible and
appropriate.

It is acceptable to \"co-brand\" the title with USAID's and the
Apparently Successful

Applicant's identities. For example: \"The USAID and \[Apparently
Successful

Applicant\] Health Center.\"

If it would be inappropriate or is not possible to \"brand\" the project
this way,

such as when rehabilitating a structure that already exists or if there
are

multiple donors, please explain and indicate how you intend to showcase
USAID\'s

involvement in publicizing the program or project*. For example: School
#123,*

*rehabilitated by USAID and \[Apparently Successful Applicant\]/ \[other
donors\].*

Note: the Agency prefers \"made possible by (or with) the generous
support of the

American People\" next to the USAID Identity in acknowledging our
contribution,

instead of the phrase \"funded by.\" USAID prefers local language
translations.

*Will a program logo be developed and used consistently to identify this
program? If*

*yes, please attach a copy of the proposed program logo.*

Note: USAID prefers to fund projects that do NOT have a separate logo or
identity

that competes with the USAID Identity.

**(2) Program Communications and Publicity**

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

Guidelines: Please include direct beneficiaries and any special target
segments or

influencers. *For Example: Primary audience: schoolgirls age 8-12,
Secondary*

*audience: teachers and parents--specifically mothers.*

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

*program to beneficiaries?*

Guidelines: These include training materials, posters, pamphlets, Public
Service

Announcements, billboards, websites, and so forth.

*What is the main program message(s)?*

Guidelines: *For example: \"Be tested for HIV-AIDS\" or \"Have your
child inoculated.\"*

Please indicate if you also plan to incorporate USAID's primary message
-- this aid

is \"from the American people\" -- into the narrative of program
materials. This is

optional; however, marking with the USAID Identity is required.

*Will the recipient announce and promote publicly this program or
project to host*

*country citizens? If yes, what press and promotional activities are
planned?*

Guidelines: These may include media releases, press conferences, public
events, and

so forth. Note: incorporating the message, "USAID from the American
People", and

the USAID Identity is required.

*Please provide any additional ideas about how to increase awareness
that the*

*American people support this project or program.*

Guidelines: One of our goals is to ensure that both beneficiaries and
host-country

citizens know that the aid the Agency is providing is \"from the
American people.\"

Please provide any initial ideas on how to further this goal.

**(3) Acknowledgements**

*Will there be any direct involvement from a host-country government
ministry? If*

*yes, please indicate which one or ones. Will the recipient acknowledge
the*

*ministry as an additional co-sponsor*?

Note: it is perfectly acceptable and often encouraged for USAID to
\"co-brand\"

programs with government ministries.

*Please indicate if there are any other groups whose logo or identity
the recipient*

*will use on program materials and related communications.*

Guidelines: Please indicate if they are also a donor or why they will be
visibly

acknowledged, and if they will receive the same prominence as USAID.

\(d\) **Award Criteria**. The Agreement Officer will review the Branding
Strategy for

adequacy, ensuring that it contains the required information on naming
and

positioning the USAID-funded program, project, or activity, and
promoting and

communicating it to cooperating country beneficiaries and citizens. The
Agreement

Officer also will evaluate this information to ensure that it is
consistent

with the stated objectives of the award; with the Apparently Successful

Applicant's cost data submissions; with the Apparently Successful
Applicant's

project, activity, or program performance plan; and with the regulatory

requirements set out in 22 CFR 226.91. The Agreement Officer may obtain
advice and

recommendations from technical experts while performing the evaluation.

**MARKING PLAN -- ASSISTANCE (December 2005)**

(a)**Definitions**

***Marking Plan*** means a plan that the Apparently Successful Applicant
submits at the

specific request of a USAID Agreement Officer after evaluation of an
application

for USAID funding, detailing the public communications, commodities, and
program

materials and other items that will visibly bear the USAID Identity.
Recipients

may request approval of Presumptive Exceptions to marking requirements
in the

Marking Plan.

***Apparently Successful Applicant(s)*** means the applicant(s) for
USAID funding

recommended for an award after evaluation, but who has not yet been
awarded a

grant, cooperative agreement or other assistance award by the Agreement
Officer.

The Agreement Officer will request that Apparently Successful Applicants
submit a

Branding Strategy and Marking Plan. Apparently Successful Applicant
status confers

no right and constitutes no USAID commitment to an award, which the
Agreement

Officer must still obligate.

***USAID Identity (Identity)*** means the official marking for the
Agency, comprised of

the USAID logo and new brandmark, which clearly communicates that our
assistance is

from the American people. The USAID Identity is available on the USAID
website and

USAID provides it without royalty, license, or other fee to recipients
of USAIDfunded

grants, cooperative agreements, or other assistance awards or subawards.

A ***Presumptive Exception*** exempts the applicant from the general
marking requirements

for a *particular* USAID-funded public communication, commodity, program
material or

other deliverable, or a *category* of USAID-funded public
communications,

commodities, program materials or other deliverables that would
otherwise be

required to visibly bear the USAID Identity. The Presumptive Exceptions
are:

Presumptive Exception (i). USAID marking requirements may not apply if
they would

compromise the intrinsic independence or neutrality of a program or
materials where

independence or neutrality is an inherent aspect of the program and
materials, such

as election monitoring or ballots, and voter information literature;
political

party support or public policy advocacy or reform; independent media,
such as

television and radio broadcasts, newspaper articles and editorials; and
public

service announcements or public opinion polls and surveys (22 C.F.R.
226.91(h)(1)).

Presumptive Exception (ii). USAID marking requirements may not apply if
they would

diminish the credibility of audits, reports, analyses, studies, or
policy

recommendations whose data or findings must be seen as independent (22
C.F.R.

226.91(h)(2)).

Presumptive Exception (iii). USAID marking requirements may not apply if
they would

undercut host-country government "ownership" of constitutions, laws,
regulations,

policies, studies, assessments, reports, publications, surveys or
audits, public

service announcements, or other communications better positioned as "by"
or "from"

a cooperating country ministry or government official (22 C.F.R.
226.91(h)(3)).

Presumptive Exception (iv). USAID marking requirements may not apply if
they would

impair the functionality of an item, such as sterilized equipment or
spare parts

(22 C.F.R. 226.91(h)(4)).

Presumptive Exception (v). USAID marking requirements may not apply if
they would

incur substantial costs or be impractical, such as items too small or
otherwise

unsuited for individual marking, such as food in bulk (22 C.F.R.
226.91(h)(5)).

Presumptive Exception (vi). USAID marking requirements may not apply if
they would

offend local cultural or social norms, or be considered inappropriate on
such items

as condoms, toilets, bed pans, or similar commodities (22 C.F.R.
226.91(h)(6)).

Presumptive Exception (vii). USAID marking requirements may not apply if
they would

conflict with international law (22 C.F.R. 226.91(h)(7)).

\(b\) **Submission.** The Apparently Successful Applicant, upon the
request of the

Agreement Officer, will submit and negotiate a Marking Plan that
addresses the

details of the public communications, commodities, program materials
that will

visibly bear the USAID Identity. The marking plan will be customized for
the

particular program, project, or activity under the resultant grant or
cooperative

agreement. The plan will be included in and made a part of the resulting
grant or

cooperative agreement. USAID and the Apparently Successful Applicant
will negotiate

the Marking Plan within the time specified by the Agreement Officer.
Failure to

submit and negotiate a Marking Plan will make the applicant ineligible
for award of

a grant or cooperative agreement. The applicant must include an estimate
of all

costs associated with branding and marking USAID programs, such as
plaques, labels,

banners, press events, promotional materials, and so forth in the budget
portion of

its application. These costs are subject to revision and negotiation
with the

Agreement Officer upon submission of the Marking Plan and will be
incorporated into

the Total Estimated Amount of the grant, cooperative agreement or other
assistance

instrument.

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

\(1\) A description of the public communications, commodities, and
program materials

that the recipient will produce as a part of the grant or cooperative
agreement and

which will visibly bear the USAID Identity. These include:

\(i\) program, project, or activity sites funded by USAID, including
visible

infrastructure projects or other programs, projects, or activities that
are

physical in nature;

\(ii\) technical assistance, studies, reports, papers, publications,
audiovisual

productions, public service announcements, Web sites/Internet activities
and

other promotional, informational, media, or communications products
funded by

USAID;

\(iii\) events financed by USAID, such as training courses, conferences,

seminars, exhibitions, fairs, workshops, press conferences, and other
public

activities; and

\(iv\) all commodities financed by USAID, including commodities or
equipment

provided under humanitarian assistance or disaster relief programs, and
all other

equipment, supplies and other materials funded by USAID, and their
export

packaging.

\(2\) A table specifying:

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

Identity,

\(ii\) the type of marking and what materials the applicant will be used
to

mark the program deliverables with the USAID Identity, and

\(iii\) when in the performance period the applicant will mark the
program

deliverables, and where the applicant will place the marking.

\(3\) A table specifying:

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

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

\(d\) **Presumptive Exceptions.**

\(1\) The Apparently Successful Applicant may request a Presumptive
Exception as part

of the overall Marking Plan submission. To request a Presumptive
Exception, the

Apparently Successful Applicant must identify which Presumptive
Exception applies,

and state why, in light of the Apparently Successful Applicant's
technical proposal

and in the context of the program description or program statement in
the USAID

Request For Application or Annual Program Statement, marking
requirements should

not be required.

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

\(i\) For Presumptive Exception (i), identify the USAID Strategic
Objective,

Interim Result, or program goal furthered by an appearance of
neutrality, or state

why the program, project, activity, commodity, or communication is
'intrinsically

neutral.' Identify, by category or deliverable item, examples of program
materials

funded under the award for which you are seeking an exception.

\(ii\) For Presumptive Exception (ii), state what data, studies, or
other

deliverables will be produced under the USAID funded award, and explain
why the

data, studies, or deliverables must be seen as credible.

\(iii\) For Presumptive Exception (iii), identify the item or media
product

produced under the USAID funded award, and explain why each item or
product, or

category of item and product, is better positioned as an item or product
produced

by the cooperating country government.

\(iv\) For Presumptive Exception (iv), identify the item or commodity to
be

marked, or categories of items or commodities, and explain how marking
would impair

the item's or commodity's functionality.

\(v\) For Presumptive Exception (v), explain why marking would not be
costbeneficial

or practical.

\(vi\) For Presumptive Exception (vi), identify the relevant cultural or
social

norm, and explain why marking would violate that norm or otherwise be

inappropriate.

\(vii\) For Presumptive Exception (vii), identify the applicable
international

law violated by marking.

\(3\) The Agreement Officer will review the request for adequacy and
reasonableness.

In consultation with the Cognizant Technical Officer and other agency
personnel as

necessary, the Agreement Officer will approve or disapprove the
requested

Presumptive Exception. Approved exceptions will be made part of the
approved

Marking Plan, and will apply for the term of the award, unless provided
otherwise.

\(e\) **Award Criteria**: The Agreement Officer will review the Marking
Plan for adequacy

and reasonableness, ensuring that it contains sufficient detail and
information

concerning public communications, commodities, and program materials
that will

visibly bear the USAID Identity. The Agreement Officer will evaluate the
plan to

ensure that it is consistent with the stated objectives of the award;
with the

applicant's cost data submissions; with the applicant's actual project,
activity,

or program performance plan; and with the regulatory requirements of 22
C.F.R.

226.91. The Agreement Officer will approve or disapprove any requested
Presumptive

Exceptions (see paragraph (d)) on the basis of adequacy and
reasonableness. The

Agreement Officer may obtain advice and recommendations from technical

experts while performing the evaluation.

**MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December 2005)**

**(a) Definitions**

***Commodities*** mean any material, article, supply, goods or
equipment, excluding

recipient offices, vehicles, and non-deliverable items for recipient's
internal

use, in administration of the USAID funded grant, cooperative agreement,
or other

agreement or subagreement.

***Principal Officer*** means the most senior officer in a USAID
Operating Unit in the

field, e.g., USAID Mission Director or USAID Representative. For global
programs

managed from Washington but executed across many countries, such as
disaster relief

and assistance to internally displaced persons, humanitarian emergencies
or

immediate post conflict and political crisis response, the cognizant
Principal

Officer may be an Office Director, for example, the Directors of
USAID/W/Office of

Foreign Disaster Assistance and Office of Transition Initiatives. For
non-presence

countries, the cognizant Principal Officer is the Senior USAID officer
in a

regional USAID Operating Unit responsible for the non-presence country,
or in the

absence of such a responsible operating unit, the Principal U.S
Diplomatic Officer

in the non-presence country exercising delegated authority from USAID.

***Programs*** mean an organized set of activities and allocation of
resources directed

toward a common purpose, objective, or goal undertaken or proposed by an

organization to carry out the responsibilities assigned to it.

***Projects*** include all the marginal costs of inputs (including the
proposed

investment) technically required to produce a discrete marketable output
or a

desired result (for example, services from a fully functional
water/sewage

treatment facility).

***Public communications*** are documents and messages intended for
distribution to

audiences external to the recipient's organization. They include, but
are not

limited to, correspondence, publications, studies, reports, audio visual

productions, and other informational products; applications, forms,
press and

promotional materials used in connection with USAID funded programs,
projects or

activities, including signage and plaques; Web sites/Internet
activities; and

events such as training courses, conferences, seminars, press
conferences and so

forth.

***Subrecipient*** means any person or government (including cooperating
country

government) department, agency, establishment, or for profit or
nonprofit

organization that receives a USAID subaward, as defined in 22 C.F.R.
226.2.

***Technical Assistance*** means the provision of funds, goods,
services, or other

foreign assistance, such as loan guarantees or food for work, to
developing

countries and other USAID recipients, and through such recipients to
subrecipients,

in direct support of a development objective -- as opposed to the
internal

management of the foreign assistance program.

***USAID Identity (Identity)*** means the official marking for the
United States Agency

for International Development (USAID), comprised of the USAID logo or
seal and new

brandmark, with the tagline that clearly communicates that our
assistance is "from

the American people." The USAID Identity is available on the USAID
website at

www.usaid.gov/branding and USAID provides it without royalty, license,
or other fee

to recipients of USAID-funded grants, or cooperative agreements, or
other

assistance awards

**(b) Marking of Program Deliverables**

\(1\) All recipients must mark appropriately all overseas programs,
projects,

activities, public communications, and commodities partially or fully
funded by a

USAID grant or cooperative agreement or other assistance award or
subaward with the

USAID Identity, of a size and prominence equivalent to or greater than
the

recipient's, other donor's, or any other third party's identity or logo.

\(2\) The Recipient will mark all program, project, or activity sites
funded by

USAID, including visible infrastructure projects (for example, roads,
bridges,

buildings) or other programs, projects, or activities that are physical
in nature

(for example, agriculture, forestry, water management) with the USAID
Identity.

The Recipient should erect temporary signs or plaques early in the
construction or

implementation phase. When construction or implementation is complete,
the

Recipient must install a permanent, durable sign, plaque or other
marking.

\(3\) The Recipient will mark technical assistance, studies, reports,
papers,

publications, audio-visual productions, public service announcements,
Web

sites/Internet activities and other promotional, informational, media,
or

communications products funded by USAID with the USAID Identity.

\(4\) The Recipient will appropriately mark events financed by USAID,
such as

training courses, conferences, seminars, exhibitions, fairs, workshops,
press

conferences and other public activities, with the USAID Identity. Unless
directly

prohibited and as appropriate to the surroundings, recipients should
display

additional materials, such as signs and banners, with the USAID
Identity. In

circumstances in which the USAID Identity cannot be displayed visually,
the

recipient is encouraged otherwise to acknowledge USAID and the American
people's

support.

\(5\) The Recipient will mark all commodities financed by USAID,
including

commodities or equipment provided under humanitarian assistance or
disaster relief

programs, and all other equipment, supplies, and other materials funded
by USAID,

and their export packaging with the USAID Identity.

\(6\) The Agreement Officer may require the USAID Identity to be larger
and more

prominent if it is the majority donor, or to require that a cooperating
country

government's identity be larger and more prominent if circumstances
warrant, and as

appropriate depending on the audience, program goals, and materials
produced.

\(7\) The Agreement Officer may require marking with the USAID Identity
in the event

that the recipient does not choose to mark with its own identity or
logo.

\(8\) The Agreement Officer may require a pre-production review of
USAID-funded

public communications and program materials for compliance with the
approved

Marking Plan.

\(9\) Subrecipients. To ensure that the marking requirements "flow
down\'\' to

subrecipients of subawards, recipients of USAID funded grants and
cooperative

agreements or other assistance awards will include the USAID-approved
marking

provision in any USAID funded subaward, as follows:

*"As a condition of receipt of this subaward, marking with the USAID
Identity of a*

*size and prominence equivalent to or greater than the recipient's,
subrecipient's,*

*other donor's or third party's is required. In the event the recipient
chooses not*

*to require marking with its own identity or logo by the subrecipient,
USAID may, at*

*its discretion, require marking by the subrecipient with the USAID
Identity."*

\(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
funded by USAID,

in which the content has not been approved by USAID, must contain the
following

disclaimer:

*"This study/report/audio/visual/other information/media product
(specify) is made*

*possible by the generous support of the American people through the
United States*

*Agency for International Development (USAID). The contents are the
responsibility*

*of \[insert recipient name\] and do not necessarily reflect the views
of USAID or the*

*United States Government."*

\(11\) The recipient will provide the Cognizant Technical Officer (CTO)
or other

USAID personnel designated in the grant or cooperative agreement with
two copies of

all program and communications materials produced under the award. In
addition,

the recipient will submit one electronic or one hard copy of all final
documents to

USAID's Development Experience Clearinghouse.

**(c) Implementation of marking requirements.**

\(1\) When the grant or cooperative agreement contains an approved
Marking Plan, the

recipient will implement the requirements of this provision following
the approved

Marking Plan.

\(2\) When the grant or cooperative agreement does not contain an
approved Marking

Plan, the recipient will propose and submit a plan for implementing the

requirements of this provision within \[***Agreement Officer
fill-in***\] days after the

effective date of this provision. The plan will include:

\(i\) A description of the program deliverables specified in paragraph
(b) of

this provision that the recipient will produce as a part of the grant or

cooperative agreement and which will visibly bear the USAID Identity.

\(ii\) the type of marking and what materials the applicant uses to mark
the

program deliverables with the USAID Identity,

\(iii\) when in the performance period the applicant will mark the
program

deliverables, and where the applicant will place the marking,

\(3\) The recipient may request program deliverables not be marked with
the USAID

Identity by identifying the program deliverables and providing a
rationale for not

marking these program deliverables. Program deliverables may be exempted
from USAID

marking requirements when:

\(i\) USAID marking requirements would compromise the intrinsic
independence or

neutrality of a program or materials where independence or neutrality is
an

inherent aspect of the program and materials;

\(ii\) USAID marking requirements would diminish the credibility of
audits,

reports, analyses, studies, or policy recommendations whose data or
findings must

be seen as independent;

\(iii\) USAID marking requirements would undercut host-country
government

"ownership" of constitutions, laws, regulations, policies, studies,
assessments,

reports, publications, surveys or audits, public service announcements,
or other

communications better positioned as "by" or "from" a cooperating country
ministry

or government official;

\(iv\) USAID marking requirements would impair the functionality of an
item;

\(v\) USAID marking requirements would incur substantial costs or be

impractical;

\(vi\) USAID marking requirements would offend local cultural or social
norms, or be

considered inappropriate;

\(vii\) USAID marking requirements would conflict with international
law.

\(4\) The proposed plan for implementing the requirements of this
provision,

including any proposed exemptions, will be negotiated within the time
specified by

the Agreement Officer after receipt of the proposed plan. Failure to
negotiate an

approved plan with the time specified by the Agreement Officer may be
considered as

noncompliance with the requirements is provision.

**(d) Waivers.**

\(1\) The recipient may request a waiver of the Marking Plan or of the
marking

requirements of this provision, in whole or in part, for each program,
project,

activity, public communication or commodity, or, in exceptional
circumstances, for

a region or country, when USAID required marking would pose compelling
political,

safety, or security concerns, or when marking would have an adverse
impact in the

cooperating country. The recipient will submit the request through the
Cognizant

Technical Officer. The Principal Officer is responsible for approvals or

disapprovals of waiver requests.

\(2\) The request will describe the compelling political, safety,
security concerns,

or adverse impact that require a waiver, detail the circumstances and
rationale for

the waiver, detail the specific requirements to be waived, the specific
portion of

the Marking Plan to be waived, or specific marking to be waived, and
include a

description of how program materials will be marked (if at all) if the
USAID

Identity is removed. The request should also provide a rationale for any
use of

recipient's own identity/logo or that of a third party on materials that
will be

subject to the waiver.

\(3\) Approved waivers are not limited in duration but are subject to
Principal

Officer review at any time, due to changed circumstances.

\(4\) Approved waivers "flow down" to recipients of subawards unless
specified

otherwise. The waiver may also include the removal of USAID markings
already

affixed, if circumstances warrant.

\(5\) Determinations regarding waiver requests are subject to appeal to
the Principal

Officer's cognizant Assistant Administrator. The recipient may appeal by

submitting a written request to reconsider the Principal Officer's
waiver

determination to the cognizant Assistant Administrator.

**(e) Non-retroactivity.** The requirements of this provision do not
apply to any

materials, events, or commodities produced prior to January 2, 2006. The

requirements of this provision do not apply to program, project, or
activity sites

funded by USAID, including visible infrastructure projects (for example,
roads,

bridges, buildings) or other programs, projects, or activities that are
physical in

nature (for example, agriculture, forestry, water management) where the

construction and implementation of these are complete prior to January
2, 2006 and

the period of the grant does not extend past January 2, 2006.

**(END OF MANDATORY STANDARD PROVISION)**

**15. REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)**

> (The following applies to the recipient\'s employees working in the
> cooperating country under the agreement who are not citizens of the
> cooperating country.)

a\. The recipient\'s employees shall maintain private status and may not
rely on local

U.S. Government offices or facilities for support while under this
grant.

b\. The sale of personal property or automobiles by recipient employees
and their dependents in the foreign country to which they are assigned
shall be subject to the same limitations and prohibitions which apply to
direct-hire USAID personnel employed by the Mission, including the rules
contained in 22 CFR Part 136, except as this may conflict with host
government regulations.

c\. Other than work to be performed under this award for which an
employee is assigned by the recipient, no employee of the recipient
shall engage directly or indirectly, either in the individual\'s own
name or in the name or through an agency of another person, in any
business, profession, or occupation in the foreign countries to which
the individual is assigned, nor shall the individual make loans or
investments to or in any business, profession or occupation in the
foreign countries to which the individual is assigned.

d\. The recipient\'s employees, while in a foreign country, are expected
to show respect for its conventions, customs, and institutions, to abide
by its applicable laws and regulations, and not to interfere in its
internal political affairs.

e\. In the event the conduct of any recipient employee is not in
accordance with the preceding paragraphs, the recipient\'s chief of
party shall consult with the USAID Mission Director and the employee
involved and shall recommend to the recipient a course of action with
regard to such employee.

f\. The parties recognize the rights of the U.S. Ambassador to direct
the removal from a country of any U.S. citizen or the discharge from
this grant award of any third country national when, in the discretion
of the Ambassador, the interests of the United States so require.

g\. If it is determined, either under (e) or (f) above, that the
services of such employee should be terminated, the recipient shall use
its best efforts to cause the return of such employee to the United
States, or point of origin, as appropriate.

**(END OF MANDATORY STANDARD PROVISION)**

**16. CONVERSION OF UNITED STATES DOLLARS TO LOCAL**

**CURRENCY (NOVEMBER 1985)**

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

> Upon arrival in the Cooperating Country, and from time to time as
> appropriate, the recipient\'s chief of party shall consult with the
> Mission Director who shall provide, in writing, the procedure the
> recipient and its employees shall follow in the conversion of United
> States dollars to local currency. This may include, but is not limited
> to, the conversion of currency through the cognizant United States
> Disbursing Officer or Mission Controller, as appropriate.

**(END OF MANDATORY STANDARD PROVISION)**

**17. USE OF POUCH FACILITIES (AUGUST 1992)**

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

a\. Use of diplomatic pouch is controlled by the Department of State.
The Department of State has authorized the use of pouch facilities for
USAID recipients and their employees as a general policy, as detailed in
items (1) through (6) below. However, the final decision regarding use
of pouch facilities rest with the Embassy or USAID Mission. In
consideration of the use of pouch

facilities, the recipient and its employees agree to indemnify and hold
harmless, the Department of

State and USAID for loss or damage occurring in pouch transmission:

> \(1\) Recipients and their employees are authorized use of the pouch
> for transmission and receipt of up to a maximum of .9 kgs per shipment
> of correspondence and documents needed in the administration of
> assistance programs.
>
> \(2\) U.S. citizen employees are authorized use of the pouch for
> personal mail up to a maximum of .45 kgs per shipment (but see (a)(3)
> below).
>
> \(3\) Merchandise, parcels, magazines, or newspapers are not
> considered to be personal mail for purposes of this standard provision
> and are not authorized to be sent or received by pouch.
>
> \(4\) Official and personal mail pursuant to a.1. and 2. above sent by
> pouch should be addressed as follows:

Name of individual or organization (followed by letter symbol \"G\")

City Name of post (USAID/\_\_\_\_\_\_)

Agency for International Development

Washington, D.C. 20523-0001

> \(5\) Mail sent via the diplomatic pouch may not be in violation of
> U.S. Postal laws and may not contain material ineligible for pouch
> transmission.
>
> \(6\) Recipient personnel are NOT authorized use of military postal
> facilities ( (APO/FPO). This is an Adjutant General\'s decision based
> on existing laws and regulations governing military postal facilities
> and is being enforced worldwide.

b\. The recipient shall be responsible for advising its employees of
this authorization,

these guidelines, and limitations on use of pouch facilities.

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

**(END OF MANDATORY STANDARD PROVISION)**

**18. INTERNATIONAL AIR TRAVEL AND TRANSPORTATION (JUNE 1999)**

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

a\. PRIOR BUDGET APPROVAL

> In accordance with OMB Cost Principles, direct charges for foreign
> travel costs are allowable only when each foreign trip has received
> prior budget approval. Such approval will be deemed to have been met
> when:
>
> \(1\) the trip is identified. Identification is accomplished by
> providing the following information: the number of trips, the number
> of individuals per trip, and the destination country(s).
>
> \(2\) the information noted at (a)(1) above is incorporated in: the
> proposal, the program description or schedule of the award, the
> implementation plan (initial or revisions), or amendments to the
> award; and

\(3\) the costs related to the travel are incorporated in the approved
budget of the award.

The Agreement Officer may approve travel which has not been incorporated
in writing as required by paragraph (a)(2). In such case, a copy of the
Agreement Officer\'s approval must be included in the agreement file.

b\. NOTIFICATION

\(1\) As long as prior budget approval has been met in accordance with
paragraph (a) above, a separate Notification will not be necessary
unless:

> \(i\) the primary purpose of the trip is to work with USAID Mission
> personnel, or
>
> \(ii\) the recipient expects significant administrative or substantive
> programmatic support from the Mission. Neither the USAID Mission nor
> the Embassy will require Country Clearance of employees or contractors
> of USAID Recipients.

\(2\) Recipient will observe the following standards:

> \(i\) Send a written notice to the cognizant USAID Technical Office in
>
> the Mission. If the recipient\'s primary point of contact is a
> Technical
>
> Officer in USAID/W, the recipient may send the notice to that person.
> It
>
> will be the responsibility of the USAID/W Technical Officer to forward
> the notice to the field.
>
> \(ii\) The notice should be sent as far in advance as possible, but at
> least 14 calendar days in advance of the proposed travel. This notice
> may be sent by fax or e-mail. The recipient should retain proof that
> notification
>
> was made.
>
> \(iii\) The notification shall contain the following information: the
> award
>
> number, the cognizant Technical Officer, the traveler\'s name (if
> known),
>
> date of arrival, and the purpose of the trip.
>
> \(iv\) The USAID Mission will respond only if travel has been denied.
> It
>
> will be the responsibility of the Technical Officer in the Mission to
> contact
>
> the recipient within 5 working days of having received the notice if
> the
>
> travel is denied. If the recipient has not received a response within
> the
>
> time frame, the recipient will be considered to have met these
> standards
>
> for notification, and may travel.
>
> \(v\) If a subrecipient is required to issue a Notification, as per
> this section, the subrecipient may contact the USAID Technical Officer
> directly, or the prime may contact USAID on the subrecipient\'s
> behalf.

c.  SECURITY ISSUES

Recipients are encouraged to obtain the latest Department of State
Travel Advisory Notices before travelling. These Notices are available
to the general public and may be obtained directly from the State
Department, or via Internet.

Where security is a concern in a specific region, recipients may choose
to notify the US Embassy of their presence when they have entered the
country. This may be especially important for long-term posting.

d.  USE OF U.S.-OWNED LOCAL CURRENCY

Travel to certain countries shall, at USAID\'s option, be funded from
U.S.-owned local currency. When USAID intends to exercise this option,
USAID will either issue a U.S. Government S.F. 1169, Transportation
Request (GTR) which the grantee may exchange for tickets, or issue the
tickets directly. Use of such U.S.-owned currencies will constitute a
dollar charge to this grant.

e.  THE FLY AMERICA ACT

The Fly America Act (49 U.S.C. 40118) requires that all air travel and
shipments under this award must be made on U.S. flag air carriers to the
extent service by such carriers is available. The Administrator of
General Services Administration (GSA) is authorized to issue regulations
for purposes of implementation. Those regulations may be found at 41 CFR
part 301, and are hereby incorporated by reference into this award.

f\. COST PRINCIPLES

The recipient will be reimbursed for travel and the reasonable cost of
subsistence, post differentials and other allowances paid to employees
in international travel status in accordance with the recipient\'s
applicable cost principles and established policies and practices which
are uniformly applied to federally financed and other activities of the
grantee.

If the recipient does not have written established policies regarding
travel costs, the standard for determining the reasonableness of
reimbursement for overseas allowance will be the Standardized
Regulations (Government Civilians, Foreign Areas), published by the U.S.
Department of State, as from time to time amended. The most current
subsistence, post differentials, and other allowances may be obtained
from the Agreement Officer.

g\. SUBAWARDS.

This provision will be included in all subawards and contracts which
require international air travel and transportation under this award.

**(END OF MANDATORY STANDARD PROVISION)**

**19. OCEAN SHIPMENT OF GOODS (JUNE 1999)**

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

a\. At least 50% of the gross tonnage of all goods purchased under this
agreement and transported to the cooperating countries shall be made on
privately owned U.S. flag commercial ocean vessels, to the extent such
vessels are available at fair and reasonable rates for such vessels.

b\. At least 50% of the gross freight revenue generated by shipments of
goods purchased under this agreement and transported to the cooperating
countries on dry cargo liners shall be paid to or for the benefit of
privately owned U.S. flag commercial ocean vessels to the extent such
vessels are available at fair and reasonable rates for such vessels.

c\. When U.S. flag vessels are not available, or their use would result
in a significant delay, the grantee may request a determination of
non-availability from the USAID Transportation Division, Office of
Procurement, Washington, D.C. 20523, giving the basis for the request
which will relieve the grantee of the requirement to use U.S. flag
vessels for the amount of tonnage included in the determination.
Shipments made on non-free world ocean vessels are not reimbursable
under this grant.

d\. The recipient shall send a copy of each ocean bill of lading,
stating all of the carrier\'s charges including the basis for
calculation such as weight or cubic measurement, covering a shipment
under this agreement to:

U.S. Department of Transportation,

Maritime Administration, Division of National Cargo,

400 7th Street, S.W.,

Washington, DC 20590, and

U.S. Agency for International Development,

Office of Procurement, Transportation Division

1300 Pennsylvania Avenue, N.W.

Washington, DC 20523-7900

e\. Shipments by voluntary nonprofit relief agencies (i.e., PVOs/NGOs)
shall be governed by this standard provision and by USAID Regulation 2,
\"Overseas Shipments of Supplies by Voluntary Nonprofit Relief
Agencies\" (22 CFR Part 202).

f\. Shipments financed under this grant must meet applicable eligibility
requirements set out in 22 CFR 228.21.

**(END OF STANDARD PROVISION)**

**20. LOCAL PROCUREMENT (APRIL 1998)**

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

a\. Financing local procurement involves the use of appropriated funds
to finance the procurement of goods and services supplied by local
businesses, dealers or producers, with payment normally being in the
currency of the cooperating country.

b\. Locally financed procurements must be covered by source and
nationality waivers as set forth in 22 CFR 228, Subpart F, except as
provided for in mandatory standard provision, \"USAID Eligibility Rules
for Goods and Services,\" or when one of the following exceptions
applies:

\(1\) Locally available commodities of U.S. origin, which are otherwise
eligible

> for financing, if the value of the transaction is estimated not to
> exceed
>
> \$100,000 exclusive of transportation costs.

\(2\) Commodities of geographic code 935 origin if the value of the
transaction

> does not exceed the local currency equivalent of \$5,000.

\(3\) Professional Services Contracts estimated not to exceed \$250,000.

\(4\) Construction Services Contracts estimated not to exceed
\$5,000,000.

\(5\) Commodities and services available only in the local economy (no
specific

> per transaction value applies to this category). This category
> includes the
>
> following items:

(i) Utilities including fuel for heating and cooking, waste disposal and

> trash collection;

(ii) Communications - telephone, telex, fax, postal and courier
     services;

> \(iii\) Rental costs for housing and office space;
>
> \(iv\) Petroleum, oils and lubricants for operating vehicles and
> equipment;
>
> \(v\) Newspapers, periodicals and books published in the cooperating
>
> country;
>
> \(vi\) Other commodities and services and related expenses that, by
> their nature or as a practical matter, can only be acquired,
> performed, or incurred in the cooperating country, e.g., vehicle
> maintenance, hotel accommodations, etc.

c\. The coverage on ineligible and restricted goods and services in the
mandatory

standard provision entitled, \"USAID Eligibility Rules for Goods and
Services,\"

also apply to local procurement.

d\. This provision will be included in all subagreements where local
procurement of

goods or services is a supported element.

**(END OF MANDATORY STANDARD PROVISION)**

**21. VOLUNTARY POPULATION PLANNING ACTIVITIES --**

**MANDATORY REQUIREMENTS (MAY 2006)**

Requirements for Voluntary Sterilization Programs

\(1\) None of the funds made available under this award shall be used to
pay for the

performance of involuntary sterilization as a method of family planning
or to

> coerce or provide any financial incentive to any individual to
> practice sterilization.

Prohibition on Abortion-Related Activities:

\(1\) No funds made available under this award will be used to finance,
support, or be

attributed to the following activities: (i) procurement or distribution
of equipment

intended to be used for the purpose of inducing abortions as a method of
family

planning; (ii) special fees or incentives to any person to coerce or
motivate them

to have abortions; (iii) payments to persons to perform abortions or to
solicit

persons to undergo abortions; (iv) information, education, training, or

communication programs that seek to promote abortion as a method of
family

planning; and (v) lobbying for or against abortion. The term "motivate",
as it

relates to family planning assistance, shall not be construed to
prohibit the

provision, consistent with local law, of information or counseling about
all

pregnancy options.

\(2\) No funds made available under this award will be used to pay for
any biomedical

research which relates, in whole or in part, to methods of, or the
performance of,

abortions or involuntary sterilizations as a means of family planning.

Epidemiologic or descriptive research to assess the incidence, extent or

consequences of abortions is not precluded.

**\[END OF MANDATORY STANDARD PROVISIONS\]**

**II. REQUIRED AS APPLICABLE STANDARD PROVISIONS FOR**

**U.S., NONGOVERNMENTAL RECIPIENTS**

**1. NEGOTIATED INDIRECT COST RATES - PREDETERMINED**

**(APRIL 1998)**

***APPLICABILITY:*** This provision is applicable to educational or
nonprofit institutions whose indirect cost rates under this award are on
a predetermined basis.

> **NEGOTIATED INDIRECT COST RATES -- PREDETERMINED**
>
> **(APRIL 1998)**

a\. The allowable indirect costs shall be determined by applying the
predetermined

indirect cost rates to the bases specified in the schedule of this
award.

b\. Within the earlier of 30 days after receipt of the A-133 audit
report or nine months after the end of the audit period, the recipient
shall submit to the cognizant agency for audit the required OMB Circular
A-133 audit report, proposed predetermined indirect cost rates, and
supporting cost data. If USAID is the cognizant agency or no cognizant
agency has been designated, the recipient

shall submit four copies of the audit report, the proposed predetermined
indirect

cost rates, and supporting cost data to the Overhead, Special Costs, and
Closeout Branch, Office of Procurement, USAID, Washington DC 20523-7802.
The proposed rates shall be based on the recipient\'s actual cost
experience during that fiscal year. Negotiations of predetermined
indirect cost rates shall begin soon after receipt of the recipient\'s
proposal.

c\. Allowability of costs and acceptability of cost allocation methods
shall be determined in accordance with the applicable cost principles.

d\. The results of each negotiation shall be set forth in an indirect
cost rate agreement signed by both parties. Such agreement is
automatically incorporated into this award and shall specify (1) the
agreed upon predetermined rates, (2) the bases to which the rates apply,
(3) the fiscal year for which the rates apply, and (4) the specific
items treated as direct costs. The indirect cost rate agreement shall
not change any monetary ceiling, award obligation, or specific cost

allowance or disallowance provided for in this award.

e\. Pending establishment of predetermined indirect costs rates for any
fiscal year, the recipient shall be reimbursed either at the rates fixed
for the previous fiscal year or at billing rates acceptable to the USAID
Agreement Officer, subject to appropriate adjustment when the final
rates for the fiscal year or other period are established.

**(END OF PROVISION)**

## 2. NEGOTIATED INDIRECT COST RATES - PROVISIONAL (NONPROFIT) 

## (APRIL 1998)

***APPLICABILITY:*** This provision is applicable to any nonprofit
organizations whose indirect cost rates under this award are on a
provisional basis.

> **NEGOTIATED INDIRECT COST RATES - PROVISIONAL (NONPROFIT)**
>
> **(APRIL 1998)**
>
> a\. Provisional indirect cost rates shall be established for each of
> the recipient\'s accounting periods during the term of this award.
> Pending establishment of revised provisional or final rates, allowable
> indirect costs shall be reimbursed at the rates, on the bases, and for
> the periods shown in the schedule of the award.

b\. Within the earlier of 30 days after receipt of the A-133 audit
report or nine months after the end of the audit period, the recipient
shall submit to the cognizant agency for audit the required OMB Circular
A-133 audit report, proposed final indirect cost rates, and supporting
cost data. If USAID is the cognizant agency or no cognizant agency has
been designated, the recipient shall submit four copies of the audit
report, along with the proposed final indirect cost rates and supporting
cost data, to the Overhead, Special Costs, and Closeout Branch, Office
or Procurement, USAID, Washington, DC 20523-7802. The proposed rates
shall be based on the recipient\'s actual cost experience during that
fiscal year. Negotiations of final indirect cost rates shall begin soon
after receipt of the recipient\'s proposal.

c\. Allowability of costs and acceptability of cost allocation methods
shall be determined in accordance with the applicable cost principles.

d\. The results of each negotiation shall be set forth in a written
indirect cost rate agreement signed by both parties. Such agreement is
automatically incorporated into this award and shall specify (1) the
agreed upon final rates, (2) the bases to which the rates apply, (3) the
fiscal year for which the rates apply, and (4) the items treated as
direct costs. The agreement shall not change any monetary ceiling, award
obligation, or specific cost allowance or disallowance provided for in
this award.

e\. Pending establishment of final indirect cost rate(s) for any fiscal
year, the recipient shall be reimbursed either at negotiated provisional
rates or at billing rates acceptable to the Agreement Officer, subject
to appropriate adjustment when the final rates for the fiscal year are
established. To prevent substantial overpayment or underpayment, the
provisional or billing rates may be prospectively or retroactively
revised by mutual agreement.

f\. Failure by the parties to agree on final rates is a 22 CFR 226.90
dispute.

**(END OF PROVISION)**

**3. NEGOTIATED INDIRECT COST RATE - PROVISIONAL (Profit) (APRIL 1998)**

***APPLICABILITY:*** This provision applies to for-profit organizations
whose indirect cost rates under this award are on a provisional basis.

> **NEGOTIATED INDIRECT COST RATE - PROVISIONAL (Profit) (APRIL 1998)**

a\. Provisional indirect cost rates shall be established for the
recipient\'s accounting periods during the term of this award. Pending
establishment of revised provisional or final rates, allowable indirect
costs shall be reimbursed at the rates, on the bases, and for the
periods shown in the schedule of this award. Indirect cost rates and the
appropriate bases shall be established in accordance with FAR Subpart
42.7.

b\. Within six months after the close of the recipient\'s fiscal year,
the recipient shall submit to the cognizant agency for audit the
proposed final indirect cost rates and supporting cost data. If USAID is
the cognizant agency or no cognizant agency has been designated, the
recipient shall submit three copies of the proposed final indirect cost
rates and supporting cost data, to the Overhead, Special Costs, and
Closeout Branch, Office or Procurement, USAID, Washington, DC
20523-7802. The proposed rates shall be based on the recipient\'s actual
cost experience during that fiscal year. Negotiations of final indirect
cost rates shall begin soon after receipt of the recipient\'s proposal.

c\. Allowability of costs and acceptability of cost allocation methods
shall be determined in accordance with the applicable cost principles.

d\. The results of each negotiation shall be set forth in an indirect
cost rate agreement signed by both parties. Such agreement is
automatically incorporated into this award and shall specify (1) the
agreed upon final rates, (2) the bases to which the rates apply, (3) the
fiscal year for which the rates apply, and (4) the items treated as
direct costs. The agreement shall not change any monetary ceiling, award
obligation, or specific cost allowance or disallowance provided for in
this award.

e\. Pending establishment of final indirect cost rates for any fiscal
year, the recipient shall be reimbursed either at negotiated provisional
rates or at billing rates acceptable to the Agreement Officer, subject
to appropriate adjustment when the final rates for the fiscal year are
established. To prevent substantial overpayment or underpayment, the
provisional or billing rates may be prospectively or retroactively
revised by mutual agreement.

f\. Failure by the parties to agree on final rates is a 22 CFR 226.90
dispute.

**(END OF PROVISION)**

**4. PUBLICATIONS AND MEDIA RELEASES (MARCH 2006)**

***APPLICABILITY:*** This provision is applicable when publications are
financed under the award.

**PUBLICATIONS AND MEDIA RELEASES (MARCH 2006)**

a\. The recipient shall provide the USAID Cognizant Technical Officer
one copy of all published works developed under the award with lists of
other written work produced under the award. In addition, the recipient
shall submit final documents in electronic format unless no electronic
version exists at the following address: Online (preferred)
http://www.dec.org/submit.cfm.

> Mailing address:
>
> Document Acquisitions
>
> USAID Development Experience Clearinghouse (DEC)
>
> 8403 Colesville Road Suite 210
>
> Silver Spring, MD 20910-6368
>
> Contract Information
>
> Telephone (301) 562-0641
>
> Fax (301) 588-7787
>
> E-mail: docsubmit@dec.cdie.org
>
> Electronic documents must consist of only one electronic file that
> comprises the complete and final equivalent of a hard copy. They may
> be submitted online (preferred); on 3.5" diskettes, a Zip disk, CD-R,
> or by e-mail. Electronic documents should be in PDF (Portable Document
> Format). Submission in other formats is acceptable but discouraged.
>
> Each document submitted should contain essential bibliographic
> elements, such as 1) descriptive title; 2) author(s) name; 3) award
> number; 4) sponsoring USAID office; 5) strategic objective; and 6)
> date of publication;:

b\. In the event award funds are used to underwrite the cost of
publishing, in lieu of the publisher assuming this cost as is the normal
practice, any profits or royalties up to the amount of such cost shall
be credited to the award unless the schedule of the award has identified
the profits or royalties as program income.

c\. Except as otherwise provided in the terms and conditions of the
award, the author or the recipient is free to copyright any books,
publications, or other copyrightable materials developed in the course
of or under this award, but USAID reserves a royalty-free nonexclusive
and irrevocable right to reproduce, publish, or otherwise use, and to
authorize others to use the work for Government purposes.

**(END OF PROVISION)**

**5. PARTICIPANT TRAINING (APRIL 1998)**

***APPLICABILITY:*** This provision is applicable when any participant
training is financed under the award.

**PARTICIPANT TRAINING (APRIL 1998)**

a\. Definition: A participant is any non-U.S. individual being trained
under this award outside of that individual\'s home country.

b\. Application of ADS Chapter 253: Participant training under this
award shall comply with the policies established in ADS Chapter 253,
Participant Training, except to the extent that specific exceptions to
ADS 253 have been provided in this award with the concurrence of the
Office of International Training.

c\. Orientation: In addition to the mandatory requirements in ADS 253,
recipients are strongly encouraged to provide, in collaboration with the
Mission training officer, predeparture orientation and orientation in
Washington at the Washington International Center. The latter
orientation program also provides the opportunity to arrange for home
hospitality in Washington and elsewhere in the United States through
liaison with the National Council for International Visitors (NCIV). If
the Washington orientation is determined not to be feasible, home
hospitality can be arranged in most U.S. cities if a request for such is
directed to the Agreement Officer, who will transmit the request to NCIV
through EGAT/ED/PT.

**(END OF PROVISION)**

**6. VOLUNTARY POPULATION PLANNING ACTIVITIES --**

**SUPPLEMENTAL REQUIREMENTS (MAY 2006)**

***APPLICABLITY:*** This provision is applicable to all awards involving
any aspect of voluntary population planning activities.

> **VOLUNTARY POPULATION PLANNING ACTIVITIES -- SUPPLEMENTAL
> REQUIREMENTS (MAY 2006)**

a\. Voluntary Participation and Family Planning Methods:

> \(1\) The recipient agrees to take any steps necessary to ensure that
> funds made available under this award will not be used to coerce any
> individual to practice methods of family planning inconsistent with
> such individual\'s moral, philosophical, or religious beliefs.
> Further, the recipient agrees to conduct its activities in a manner
> which safeguards the rights, health and welfare of all individuals who
> take part in the program.

\(2\) Activities which provide family planning services or information
to individuals, financed in whole or in part under this agreement, shall
provide a broad range of family planning methods and services available
in the country in which the activity is conducted or shall provide
information to such individuals regarding where such methods and
services may be obtained.

b\. Requirements for Voluntary Family Planning Projects

> \(1\) A Family planning project must comply with the requirements of
> this paragraph.
>
> \(2\) A project is a discrete activity through which a governmental or
> nongovernmental organization or public international organization
> provides family planning services to people and for which funds
> obligated under this award, or goods or services financed with such
> funds, are provided under this award, except funds solely for the
> participation of personnel in short-term, widely attended training
> conferences or programs.
>
> \(3\) Service providers and referral agents in the project shall not
> implement or be subject to quotas or other numerical targets of total
> number of births, number of family planning acceptors, or acceptors of
> a particular method of family planning. Quantitative estimates or
> indicators of the number of births, acceptors, and acceptors of a
> particular method that are used for the purpose of budgeting,
> planning, or reporting with respect to the project are not quotas or
> targets under this paragraph, unless service providers or referral
> agents in the project are required to achieve the estimates or
> indicators.
>
> \(4\) The project shall not include the payment of incentives, bribes,
> gratuities or financial rewards to (i) any individual in exchange for
> becoming a family planning acceptor or (ii) any personnel performing
> functions under the project for achieving a numerical quota or target
> of total number of births, number of family planning acceptors, or
> acceptors of a particular method of contraception. This restriction
> applies to salaries or payments paid or made to personnel performing
> functions under the project if the amount of the salary or payment
> increases or decreases based on a predetermined number of births,
> number of family planning acceptors, or number of acceptors of a
> particular method of contraception that the personnel affect or
> achieve.
>
> \(5\) No person shall be denied any right or benefit, including the
> right of access to participate in any program of general welfare or
> health care, based on the person's decision not to accept family
> planning services offered by the project.
>
> \(6\) The project shall provide family planning acceptors
> comprehensible information about the health benefits and risks of the
> method chosen, including those conditions that might render the use of
> the method inadvisable and those adverse side effects known to be
> consequent to the use of the method. This requirement may be satisfied
> by providing information in accordance with the medical practices and
> standards and health conditions in the country where the project is
> conducted through counseling, brochures, posters, or package inserts.
>
> \(7\) The project shall ensure that experimental contraceptive drugs
> and devices and medical procedures are provided only in the context of
> a scientific study in which participants are advised of potential
> risks and benefits.
>
> \(8\) With respect to projects for which USAID provides, or finances
> the contribution of, contraceptive commodities or technical services
> and for which there is no subaward or contract under this award, the
> organization implementing a project for which such assistance is
> provided shall agree that the project will comply with the
> requirements of this paragraph while using such commodities or
> receiving such services.

\(9\)

> i\) The recipient shall notify USAID when it learns about an alleged
> violation in a project of the requirements of subparagraphs (3), (4),
> (5) or (7) of this paragraph;
>
> ii\) The recipient shall investigate and take appropriate corrective
> action, if necessary, when it learns about an alleged violation in a
> project of subparagraph (6) of this paragraph and shall notify USAID
> about violations in a project affecting a number of people over a
> period of time that indicate there is a systemic problem in the
> project.
>
> iii\) The recipient shall provide USAID such additional information
> about violations as USAID may request.

c\. Additional Requirements for Voluntary Sterilization Programs

> \(1\) None of the funds made available under this award shall be used
> to pay for the performance of involuntary sterilization as a method of
> family planning or to coerce or provide any financial incentive to any
> individual to practice sterilization.
>
> \(2\) The recipient shall ensure that any surgical sterilization
> procedures supported in whole or in part by funds from this award are
> performed only after the individual has voluntarily appeared at the
> treatment facility and has given informed consent to the sterilization
> procedure. Informed consent means the voluntary, knowing assent from
> the individual after being advised of the surgical procedures to be
> followed, the attendant
>
> discomforts and risks, the benefits to be expected, the availability
> of alternative methods of family planning, the purpose of the
> operation and its irreversibility, and the option to withdraw consent
> anytime prior to the operation. An individual\'s consent is considered
> voluntary if it is based upon the exercise of free choice and is not
> obtained by any special
>
> inducement or any element of force, fraud, deceit, duress, or other
> forms
>
> of coercion or misrepresentation.
>
> \(3\) Further, the recipient shall document the patient\'s informed
> consent by (i) a written consent document in a language the patient
> understands and speaks, which explains the basic elements of informed
> consent, as set out above, and which is signed by the individual and
> by the attending physician or by the authorized assistant of the
> attending physician; or (ii) when a patient is unable to read
> adequately a written certification by the
>
> attending physician or by the authorized assistant of the attending
> physician that the basic elements of informed consent above were
> orally presented to the patient, and that the patient thereafter
> consented to the performance of the operation. The receipt of this
> oral explanation shall be acknowledged by the patient\'s mark on the
> certification and by the
>
> signature or mark of a witness who shall speak the same language as
> the patient.
>
> \(4\) The recipient must retain copies of informed consent forms and
> certification documents for each voluntary sterilization procedure for
> a period of three years after performance of the sterilization
> procedure.

d\. Prohibition on Abortion-Related Activities:

> \(1\) No funds made available under this award will be used to
> finance, support, or be attributed to the following activities: (i)
> procurement or distribution of equipment intended to be used for the
> purpose of inducing abortions as a method of family planning; (ii)
> special fees or incentives to any person to coerce or motivate them to
> have abortions; (iii) payments to persons to perform abortions or to
> solicit persons to undergo abortions; (iv) information, education,
> training, or communication programs that seek to
>
> promote abortion as a method of family planning; and (v) lobbying for
> or
>
> against abortion. The term "motivate", as it relates to family
> planning assistance, shall not be construed to prohibit the provision,
> consistent with local law, of information or counseling about all
> pregnancy options.
>
> \(2\) No funds made available under this award will be used to pay for
> any biomedical research which relates, in whole or in part, to methods
> of, or the performance of, abortions or involuntary sterilizations as
> a means of family planning. Epidemiologic or descriptive research to
> assess the incidence, extent or consequences of abortions is not
> precluded.

\*e. Ineligibility of Foreign Nongovernmental Organizations that Perform
or Actively

Promote Abortion as a Method of Family Planning.

I. Grants and Cooperative Agreements with U.S. Nongovernmental
Organizations

> \(1\) The recipient agrees that it will not furnish assistance for
> family planning under this award to any foreign nongovernmental
> organization that performs or actively promotes abortion as a method
> of family planning in USAID-recipient countries or that provides
> financial support to any other foreign nongovernmental organization
> that conducts such activities. For purposes of this paragraph (e), a
> foreign nongovernmental organization is
>
> a nongovernmental organization that is not organized under the laws of
> any State of the United States, the District of Columbia or the
> Commonwealth of Puerto Rico.
>
> \(2\) Prior to furnishing funds provided under this award to another
> nongovernmental organization organized under the laws of any State of
> the United States, the District of Columbia, or the Commonwealth of
> Puerto Rico, the recipient shall obtain the written agreement of such
> organization that the organization shall not furnish assistance for
> family planning under this award to any foreign nongovernmental
> organization except under the conditions and requirements that are
> applicable to the recipient as set forth in this paragraph (e).
>
> \(3\) The recipient may not furnish assistance for family planning
> under this award to a foreign nongovernmental organization (the
> subrecipient) unless:
>
> \(i\) The subrecipient certifies in writing that it does not perform
> or actively promote abortion as a method of family planning in USAID
> recipient countries and does not provide financial support to any
> other foreign nongovernmental organization that conducts such
> activities; and
>
> \(ii\) The recipient obtains the written agreement of the subrecipient
> containing the undertakings described in subparagraph (4) below.
>
> \(4\) Prior to furnishing assistance for family planning under this
> award to a subrecipient, the subrecipient must agree in writing that:
>
> \(i\) The subrecipient will not, while receiving assistance under this
> award, perform or actively promote abortion as a method of family
> planning in USAID-recipient countries or provide financial support to
> other foreign nongovernmental organizations that conduct such
> activities;
>
> \(ii\) The recipient and authorized representatives of USAID may, at
> any reasonable time: (A) inspect the documents and materials
> maintained or prepared by the subrecipient in the usual course of its
> operations that describe the family planning activities of the
>
> subrecipient, including reports, brochures and service statistics; (B)
> observe the family planning activity conducted by the subrecipient;
> (C) consult with family planning personnel of the subrecipient; and
> (D) obtain a copy of the audited financial statement or report of the
> subrecipient, if there is one;
>
> \(iii\) In the event that the recipient or USAID has reasonable cause
> to believe that a subrecipient may have violated its undertaking not
> to perform or actively promote abortion as a method of family
> planning, the recipient shall review the family planning program of
> the subrecipient to determine whether a violation of the undertaking
> has occurred. The subrecipient shall make available to the recipient
> such books and records and other information as may be reasonably
> requested in order to conduct the review. USAID may also review the
> family planning program of the subrecipient under these circumstances,
> and USAID shall have access to such books and records and information
> for inspection upon request;
>
> \(iv\) The subrecipient shall refund to the recipient the entire
> amount of assistance for family planning furnished to the subrecipient
> under this award in the event it is determined that the certification
> provided by the subrecipient under subparagraph (3), above, is false;
>
> \(v\) Assistance for family planning provided to the subrecipient
> under this award shall be terminated if the subrecipient violates any
> undertaking in the agreement required by subparagraphs (3) and (4),
> and the subrecipient shall refund to the recipient the value of any
> assistance furnished under this award that is used to perform or
> actively promote abortion as a method of family planning; and
>
> \(vi\) The subrecipient may furnish assistance for family planning
> under this award to another foreign nongovernmental organization (the
> subsubrecipient) only if: (A) the sub-subrecipient certifies in
> writing that it does not perform or actively promote abortion as a
> method of family planning in USAID-recipient countries and does not
> provide financial support to any other foreign nongovernmental
> organization that conducts such activities; and (B) the subrecipient
> obtains the written agreement of the sub-subrecipient that contains
> the same undertakings and obligations to the subrecipient as those
> provided by the subrecipient to the recipient as described in
> subparagraphs (4)(i)-(v) above.
>
> \(5\) Agreements with subrecipients and sub-subrecipients required
> under subparagraphs (3) and (4) shall contain the definitions set
> forth in subparagraph (10) of this paragraph (e).
>
> \(6\) The recipient shall be liable to USAID for a refund for a
> violation of any requirement of this paragraph (e) only if: (i) the
> recipient knowingly furnishes assistance for family planning to a
> subrecipient who performs or actively promotes abortion as a method of
> family planning; or (ii) the certification provided by a subrecipient
> is false and the recipient failed to make reasonable efforts to verify
> the validity of the certification prior to furnishing assistance to
> the subrecipient; or (iii) the recipient knows or has reason to know,
> by virtue of the monitoring which the recipient is required to perform
> under the terms of this award, that a subrecipient has violated any of
> the undertakings required under subparagraph (4) and the recipient
> fails to terminate assistance for family planning to the subrecipient,
> or fails to require the subrecipient to terminate assistance to a
> sub-subrecipient that violates any undertaking of the agreement
> required under subparagraph 4(vi), above. If the recipient finds, in
> exercising its monitoring responsibility under this award, that a
> subrecipient or subsubrecipient receives frequent requests for the
> information described in subparagraph (10)(iii)(A)(II), below, the
> recipient shall verify that this information is being provided
> properly in accordance with subparagraph (10)(iii)(A)(II) and shall
> describe to USAID the reasons for reaching its conclusion.
>
> \(7\) In submitting a request to USAID for approval of a recipient\'s
> decision to furnish assistance for family planning to a subrecipient,
> the recipient shall include a description of the efforts made by the
> recipient to verify the validity of the certification provided by the
> subrecipient. USAID may request the recipient to make additional
> efforts to verify the validity of the certification. USAID will inform
> the recipient in writing when USAID is satisfied that reasonable
> efforts have been made. If USAID concludes that these efforts are
> reasonable within the meaning of subparagraph (6) above, the recipient
> shall not be liable to USAID for a refund in the event the
> subrecipient\'s certification is false unless the recipient knew the
> certification to be false or misrepresented to USAID the efforts made
> by the recipient to verify the validity of the certification.
>
> \(8\) It is understood that USAID may make independent inquiries, in
> the community served by a subrecipient or sub-subrecipient, regarding
> whether it performs or actively promotes abortion as a method of
> family planning.
>
> \(9\) A subrecipient must provide the certification required under
> subparagraph (3) and a sub-subrecipient must provide the certification
> required under subparagraph (4)(vi) each time a new agreement is
> executed with the subrecipient or sub-subrecipient in furnishing
> assistance for family planning under the award.

\(10\) The following definitions apply for purposes of this paragraph
(e):

> \(i\) Abortion is a method of family planning when it is for the
> purpose of spacing births. This includes, but is not limited to,
> abortions performed for the physical or mental health of the mother,
> but does not include abortions performed if the life of the mother
> would be endangered if the fetus were carried to term or abortions
> performed following rape or incest (since abortion under these
> circumstances is not a family planning act).
>
> \(ii\) To perform abortions means to operate a facility where
> abortions are performed as a method of family planning. Excluded from
> this definition are clinics or hospitals that do not include abortion
> in their family planning programs. Also excluded from this definition
> is the treatment of injuries or illnesses caused by legal or illegal
> abortions, for example, postabortion care.
>
> \(iii\) To actively promote abortion means for an organization to
> commit resources, financial or other, in a substantial or continuing
> effort to increase the availability or use of abortion as a method of
> family planning.
>
> \(A\) This includes, but is not limited to, the following:
>
> \(I\) Operating a family planning counseling service that includes, as
> part of the regular program, providing advice and information
> regarding the benefits and availability of abortion as a method of
> family planning;
>
> \(II\) Providing advice that abortion is an available option in the
> event other methods of family planning are not used or are not
> successful or encouraging women to consider abortion (passively
> responding to a question regarding where a safe, legal abortion may be
> obtained is not considered active promotion if the question is
> specifically asked by a woman who is already pregnant, the woman
> clearly states that she has already decided to have a legal abortion,
> and the family planning counselor reasonably believes that the ethics
> of the medical profession in the country requires a response regarding
> where it may be obtained safely);
>
> \(III\) Lobbying a foreign government to legalize or make available
> abortion as a method of family planning or lobbying such a government
> to continue the legality of abortion as a method of family planning;
> and
>
> \(IV\) Conducting a public information campaign in USAID recipient
> countries regarding the benefits and/or availability of abortion as a
> method of family planning.
>
> \(B\) Excluded from the definition of active promotion of abortion as
> a method of family planning are referrals for abortion as a result of
> rape or incest, or if the life of the mother would be endangered if
> the fetus were carried to term. Also excluded from this definition is
> the treatment of injuries or illnesses caused by legal or illegal
> abortions, for example, post-abortion care.
>
> \(C\) Action by an individual acting in the individual\'s capacity
> shall not be attributed to an organization with which the individual
> is associated, provided that the organization neither endorses nor
> provides financial support for the action and takes reasonable steps
>
> to ensure that the individual does not improperly represent that the
> individual is acting on behalf of the organization.
>
> \(iv\) To furnish assistance for family planning to a foreign
> nongovernmental organization means to provide financial support under
> this award to the family planning program of the organization, and
> includes the transfer of funds made available under this award or
> goods or services financed with such funds, but does not include the
> purchase of goods or
>
> services from an organization or the participation of an individual in
> the general training programs of the recipient, subrecipient or
> subsubrecipient.
>
> \(v\) To control an organization means the possession of the power to
> direct or cause the direction of the management and policies of an
> organization.
>
> \(11\) In determining whether a foreign nongovernmental organization
> is eligible
>
> to be a subrecipient or sub-subrecipient of assistance for family
> planning under this award, the action of separate nongovernmental
> organizations shall not be imputed to the subrecipient or
> sub-subrecipient, unless, in the judgment of USAID, a separate
> nongovernmental organization is being used as a sham to avoid the
> restrictions of this paragraph (e). Separate nongovernmental
> organizations are those that have distinct legal existence in
> accordance with the laws of the countries in which they are organized.
> Foreign organizations that are separately organized shall not be
> considered separate, however, if one is controlled by the other. The
> recipient may request USAID\'s approval to treat as separate the
> family planning activities of two or more organizations, that would
> not be considered separate under the preceding sentence, if the
> recipient believes, and provides a written justification to USAID
> therefore, that the family planning activities of the organizations
> are sufficiently distinct so as to warrant not imputing the activity
> of one to the other.

\(12\) Assistance for family planning may be furnished under this award
by a recipient or sub-subrecipient to a foreign government event though
the government includes abortion in its family planning program,
provided that no assistance may be furnished in support of the abortion
activity of the government and any funds transferred to the government
shall be placed in a segregated account to ensure that such funds may
not be used to support the abortion activity of the government.

\(13\) The requirements of this paragraph are not applicable to child
spacing assistance furnished to a foreign nongovernmental organization
that is engaged primarily in providing health services if the objective
of the assistance is to finance integrated health care services to
mothers and children and child spacing is one of several health care
services being provided by the organization as part of a larger child
survival effort with the objective of reducing infant and child
mortality.

II\. Grants and Cooperative Agreements with Non-U.S., Nongovernmental
Organizations

> \(1\) The recipient certifies that it does not now and will not during
> the term of this award perform or actively promote abortion as a
> method of family planning in USAID-recipient countries or provide
> financial support to any other foreign nongovernmental organization
> that conducts such activities. For purposes of this paragraph (e), a
> foreign nongovernmental organization is a nongovernmental organization
> that is not organized under the laws of any State of the United
> States, the District of Columbia or the Commonwealth of Puerto Rico.
>
> \(2\) The recipient agrees that the authorized representative of USAID
> may, at any reasonable time: (i) inspect the documents and materials
> maintained or prepared by the recipient in the usual course of its
> operations that describe the family planning activities of the
> recipient, including reports, brochures and service statistics; (ii)
> observe the family planning activity conducted by the recipient, (iii)
> consult with the family planning personnel of the recipient; and (iv)
> obtain a copy of the audited financial statement or report of the
> recipient, if there is one.
>
> \(3\) In the event USAID has reasonable cause to believe that the
> recipient may have violated its undertaking not to perform or actively
> promote abortion as a method of family planning, the recipient shall
> make available to USAID such books and records and other information
> as USAID may reasonably request in order to determine whether a
> violation of the undertaking has occurred.
>
> \(4\) The recipient shall refund to USAID the entire amount of
> assistance for family planning furnished under this award in the event
> it is determined that the certification provided by the recipient
> under subparagraph (1), above, is false.
>
> \(5\) Assistance for family planning to the recipient under this award
> shall be terminated if the recipient violates any undertaking required
> by this paragraph (e), and the recipient shall refund to USAID the
> value of any assistance furnished under this award that is used to
> perform or actively promote abortion as a method of family planning.
>
> \(6\) The recipient may not furnish assistance for family planning
> under this award to a foreign nongovernmental organization (the
> subrecipient) unless: (i) the subrecipient certifies in writing that
> it does not perform or actively promote abortion as a method of family
> planning in USAID-recipient countries and does not provide financial
> support to any other foreign nongovernmental organization that
> conducts such activities; and (ii) the recipient obtains the written
> agreement of the subrecipient containing the undertakings described in
> subparagraph (7), below.
>
> \(7\) Prior to furnishing assistance for family planning under this
> award to a subrecipient, the subrecipient must agree in writing that:
>
> \(i\) The subrecipient will not, while receiving assistance under this
> award, perform or actively promote abortion as a method of family
> planning in USAID-recipient countries or provide financial support to
> other nongovernmental organizations that conduct such activities.
>
> \(ii\) The recipient and authorized representatives of USAID may, at
> any reasonable time: (A) inspect the documents and materials
> maintained or prepared by the subrecipient in the usual course of its
> operations that describe the family planning activities of the
> subrecipient, including reports, brochures and service statistics; (B)
> observe the family planning activity conducted by the subrecipient;
> (C) consult with family planning
>
> personnel of the subrecipient; and (D) obtain a copy of the audited
> financial statement or report of the subrecipient, if there is one.
>
> \(iii\) In the event the recipient or USAID has reasonable cause to
> believe that a subrecipient may have violated its undertaking not to
> perform or actively promote abortion as a method of family planning,
> the recipient shall review the family planning program of the
> subrecipient to determine whether a violation of the undertaking has
> occurred. The subrecipient shall make available to the recipient such
> books and records
>
> and other information as may be reasonably requested in order to
> conduct the review. USAID may also review the family planning program
> of the subrecipient under these circumstances, and USAID shall have
> access to such books and records and information for inspection upon
> request.
>
> \(iv\) The subrecipient shall refund to the recipient the entire
> amount of assistance for family planning furnished to the subrecipient
> under this award in the event it is determined that the certification
> provided by the subrecipient under subparagraph (6), above, is false.
>
> \(v\) Assistance for family planning to the subrecipient under this
> award shall be terminated if the subrecipient violates any undertaking
> required by this paragraph (e), and the subrecipient shall refund to
> the recipient the value of any assistance furnished under this award
> that is used to perform or actively promote abortion as a method of
> family planning.
>
> \(vi\) The subrecipient may furnish assistance for family planning
> under this award to another foreign nongovernmental organization (the
> subsubrecipient) only if: (A) the sub-subrecipient certifies in
> writing that it does not perform or actively promote abortion as a
> method of family planning in USAID-recipient countries and does not
> provide financial
>
> support to any other foreign nongovernmental organization that
> conducts such activities; and (B) the subrecipient obtains the written
> agreement of the sub-subrecipient that contains the same undertakings
> and obligations to the subrecipient as those provided by the
> subrecipient to the recipient as described in subparagraphs
> (7)(i)-(v), above.
>
> \(8\) Agreements with subrecipients and sub-subrecipients required
> under subparagraphs (6) and (7) shall contain the definitions set
> forth in subparagraph (13) of this paragraph (e).
>
> \(9\) The recipient shall be liable to USAID for a refund for a
> violation by a subrecipient relating to its certification required
> under subparagraph (6) or by a subrecipient or a sub-subrecipient
> relating to its undertakings in the agreement required under
> subparagraphs (6) and (7) only if: (i) the recipient knowingly
> furnishes assistance for family planning to a subrecipient that
> performs or actively promotes abortion as a method of family planning;
> or (ii) the certification provided by a subrecipient is false and the
> recipient failed to make reasonable efforts to verify the validity of
> the certification prior to furnishing assistance to the subrecipient;
> or (iii) the recipient knows or has reason to know, by virtue of the
> monitoring that the recipient is required to perform under the terms
> of this award, that a subrecipient has violated any of the
> undertakings required under subparagraph (7) and the recipient fails
> to terminate assistance for family planning to the subrecipient, or
> fails to require the subrecipient to terminate assistance to a
> sub-subrecipient that violates any undertaking of the agreement
> required under subparagraph 7(vi), above. If the recipient finds, in
> exercising its monitoring responsibility under this award, that a
> subrecipient or sub-subrecipient receives frequent requests for the
> information described in subparagraph (13)(iii)(A)(II), below, the
> recipient shall verify that this information is being provided
> properly in accordance with subparagraph 13(iii)(A)(II) and shall
> describe to USAID the reasons for reaching its conclusion.
>
> \(10\) In submitting a request to USAID for approval of a recipient\'s
> decision to furnish assistance for family planning to a subrecipient,
> the recipient shall include a description of the efforts made by the
> recipient to verify the validity of the certification provided by the
> subrecipient. USAID may request the recipient to make additional
> efforts to verify the validity of the certification. USAID will inform
> the recipient in writing when USAID is satisfied that reasonable
> efforts have been made. If USAID concludes that these efforts are
> reasonable within the meaning of subparagraph (9) above, the recipient
> shall not be liable to USAID for a refund in the event the
> subrecipient\'s certification is false unless the recipient knew the
> certification to be false or misrepresented to USAID the efforts made
> by the recipient to verify the validity of the certification.
>
> \(11\) It is understood that USAID may make independent inquiries, in
> the community served by a subrecipient or sub-subrecipient, regarding
> whether it performs or actively promotes abortion as a method of
> family planning.
>
> \(12\) A subrecipient must provide the certification required under
> subparagraph (6) and a sub-subrecipient must provide the certification
> required under subparagraph (7)(vi) each time a new agreement is
> executed with the subrecipient or sub-subrecipient in furnishing
> assistance for family planning under this award.

\(13\) The following definitions apply for purposes of paragraph (e):

> \(i\) Abortion is a method of family planning when it is for the
> purpose of spacing births. This includes, but is not limited to,
> abortions performed for the physical or mental health of the mother
> but does not include abortions performed if the life of the mother
> would be endangered if the fetus were carried to term or abortions
> performed following rape or incest (since abortion under these
> circumstances is not a family planning act).
>
> \(ii\) To perform abortions means to operate a facility where
> abortions are performed as a method of family planning. Excluded from
> this definition are clinics or hospitals that do not include abortion
> in their family planning programs. Also excluded from this definition
> is the treatment of injuries or illnesses caused by legal or illegal
> abortions, for example, postabortion care.
>
> \(iii\) To actively promote abortion means for an organization to
> commit resources, financial or other, in a substantial or continuing
> effort to increase the availability or use of abortion as a method of
> family planning.
>
> \(A\) This includes, but is not limited to, the following:
>
> \(I\) Operating a family planning counseling service that includes, as
> part of the regular program, providing advice and information
> regarding the benefits and availability of abortion as a method of
> family planning;
>
> \(II\) Providing advice that abortion is an available option in the
> event other methods of family planning are not used or are not
> successful or encouraging women to consider abortion (passively
> responding to a question regarding where a safe, legal abortion may be
> obtained is not considered active promotion if the question is
> specifically asked by a woman who is already pregnant, the woman
> clearly states that she has already decided to have a legal abortion,
> and the family planning counselor reasonably believes that the ethics
> of the medical profession in the country requires a response regarding
> where it may be obtained safely);
>
> \(III\) Lobbying a foreign government to legalize or make available
> abortion as a method of family planning or lobbying such a government
> to continue the legality of abortion as a method of family planning;
> and
>
> \(IV\) Conducting a public information campaign in USAID recipient
> countries regarding the benefits and/or availability of abortion as a
> method of family planning.
>
> \(B\) Excluded from the definition of active promotion of abortion as
> a method of family planning are referrals for abortion as a result of
> rape or incest or if the life of the mother would be endangered if the
> fetus were carried to term. Also excluded from this definition is the
> treatment of injuries or illnesses caused by legal or illegal
> abortions, for example, post-abortion care.
>
> \(C\) Action by an individual acting in the individual\'s own capacity
> shall not be attributed to an organization with which the individual
> is associated, provided that the organization neither endorses nor
> provides financial support for the action and takes reasonable steps
> to ensure that the individual does not improperly represent the
> individual is acting on behalf of the organization.
>
> \(iv\) To furnish assistance for family planning to a foreign
> nongovernmental organization means to provide financial support under
> this award to the family planning program of the organization, and
> includes the transfer of funds made available under this award or
> goods or services financed with such funds, but does not include the
> purchase of goods or services from an organization or the
> participation of an individual in the general training programs of the
> recipient, subrecipient or subsubrecipient.
>
> \(v\) To control an organization means the possession of the power to
> direct or cause the direction of the management and policies of an
> organization.
>
> \(14\) In determining whether a foreign nongovernmental organization
> is eligible to be a recipient, subrecipient or sub-subrecipient of
> assistance for family planning under this award, the action of
> separate nongovernmental organizations shall not be imputed to the
> recipient, subrecipient or subsubrecipient, unless, in the judgment of
> USAID, a separate nongovernmental organization is being used as a sham
> to avoid the restrictions of this paragraph (e). Separate
> nongovernmental organizations are those that have distinct legal
> existence in accordance with the laws of the countries in which they
> are organized. Foreign organizations that are separately organized
> shall not be considered separate, however, if one is controlled by the
> other. The recipient may request USAID\'s approval to treat as
> separate the family planning activities of two or more organizations,
> which would not be considered separate under the preceding sentence,
> if the recipient believes, and provides a written justification to
> USAID therefore, that the family planning activities of the
> organizations are sufficiently distinct so as to warrant not imputing
> the activity of one of the other.
>
> \(15\) Assistance for family planning may be furnished under this
> award by a recipient, subrecipient or sub-subrecipient to a foreign
> government even though the government includes abortion in its family
> planning program, provided that no assistance may be furnished in
> support of the abortion activity of the government and any funds
> transferred to the government shall be placed in a segregated account
> to ensure that such funds may not be used to support the abortion
> activity of the government.
>
> \(16\) The requirements of this paragraph are not applicable to child
> spacing assistance furnished to a foreign nongovernmental organization
> that is engaged primarily in providing health services if the
> objective of the assistance is to finance integrated health care
> services to mothers and children and child spacing is one of several
> health care services being provided by the organization as part of a
> larger child survival effort with the objective of reducing infant and
> child mortality.

III\. Exceptions

The paragraphs set forth in sections (I) and (II) above are not
applicable in the situations described below:

> \(1\) While the paragraphs are to be used in grants and cooperative
> agreements (and assistance subagreements) that provide financing for
> family planning activity or activities, if family planning is a
> component of an activity involving assistance or other purposes, such
> as food and nutrition, health for education, paragraph (e),
> \`\`Ineligibility of Foreign Nongovernmental Organizations that
> Perform or Actively Promote Abortion as a Method of Family
> Planning,\'\' applies only to the family planning component.
>
> \(2\) When health or child survival funds are used to provide
> assistance for child spacing as well as health purposes, these
> paragraphs are applicable to such assistance unless: (a) the foreign
> nongovernmental organization is one that primarily provides health
> services; (b) the objective of the assistance is to finance integrated
> health care services to mothers and children; and (c) child spacing is
> one of several health care services being provided as part of a larger
> child survival effort with the objective of reducing infant and child
> mortality. These paragraphs need not be included in the assistance
> agreement if it indicates that assistance for child spacing will be
> provided only in this way. USAID support under these circumstances is
> considered a contribution to a health service delivery program and not
> to a family planning program. In such a case, these paragraphs need
> not be included in an assistance agreement.
>
> \(3\) These paragraphs need not be included in assistance agreements
> with United States nongovernmental organizations for family planning
> purposes if implementation of the activity does not involve assistance
> to foreign nongovernmental organizations.
>
> \*f. The recipient shall insert paragraphs (a), (b), (c), (d), and (f)
> of this provision in all subsequent subagreements and contracts
> involving family planning or population activities that will be
> supported in whole or in part from funds under this award. Paragraph
> (e) shall be inserted in subagreements and sub-subagreements in
> accordance with the terms of paragraph (e). The term subagreement
> means subgrants and subcooperative agreements.

**(END OF PROVISION)**

**7. PROTECTION OF THE INDIVIDUAL AS A RESEARCH SUBJECT**

**(APRIL 1998)**

***APPLICABILITY:*** This provision is applicable when human subjects
are involved in research financed by the award.

> **PROTECTION OF THE INDIVIDUAL AS A RESEARCH SUBJECT (APRIL 1998)**

a\. Safeguarding the rights and welfare of human subjects involved in
research supported by USAID is the responsibility of the organization to
which support is awarded. USAID has adopted the Common Federal Policy
for the Protection of Human Subjects, Part 225 of Title 22 of the Code
of Federal Regulations (the \"Policy\"). Additional interpretation,
procedures, and implementation guidance of the Policy are found in USAID
General Notice entitled \"Procedures for the Protection of Human
Subjects in Research Supported by USAID,\" issued April 19, 1995, as
from time to time amended. USAID\'s Cognizant Human Subjects Officer
(CHSO) in USAID/W has oversight, guidance, and interpretation
responsibility for the Policy.

b\. Recipient organizations must comply with USAID policy when humans
are the subject of research, as defined in 22 CFR 225.102(d), funded by
the grant and recipients must provide \"assurance\", as required by 22
CFR 225.103, that they follow and abide by the procedures in the Policy.
See also Section 5 of the April 19, 1995, USAID General Notice which
sets forth activities to which the Policy is applicable. The existence
of a bona fide, applicable assurance approved by the Department of
Health and Human Services (HHS) such as the \"multiple project
assurance\" (MPA) will satisfy this requirement. Alternatively,
organizations can provide an acceptable written assurance to USAID as
described in 22 CFR 225.103. Such assurances must be determined by the
CHSO to be acceptable prior to any applicable research being initiated
or conducted under the award. In some limited instances outside the
U.S., alternative systems for the protection of human subjects may be
used provided they are deemed \"at least equivalent\" to those outlined
in Part 225 (See 22 CFR 225.101\[h\]). Criteria and procedures for
making this determination are described in the General Notice cited in
the preceding paragraph.

c\. Since the welfare of the research subject is a matter of concern to
USAID as well as to the organization, USAID staff consultants and
advisory groups may independently review and inspect research and
research processes and procedures involving human subjects, and based on
such findings, the CHSO may prohibit research which presents
unacceptable hazards or otherwise fails to comply with USAID procedures.
Informed consent documents must include the stipulation that the
subject\'s records may be subject to such review.

**(END OF PROVISION)**

8.  **CARE OF LABORATORY ANIMALS (MARCH 2004)**

***APPLICABILITY:*** This provision is applicable when laboratory
animals are involved in research performed in the U.S. and financed by
the award.

**CARE OF LABORATORY ANIMALS (MARCH 2004)**

a\. Before undertaking performance of any grant involving the use of
laboratory animals, the recipient shall register with the Secretary of
Agriculture of the United States in accordance with Section 6, Public
Law 89-544, Laboratory Animal Welfare Act, August 24, 1966, as amended
by Public Law 91-579, Animal Welfare Act of 1970, December 24, 1970. The
recipient shall furnish evidence of such registration to the Agreement
Officer.

b\. The recipient shall acquire animals used in research under this
award only from dealers licensed by the Secretary of Agriculture, or
from exempted sources in accordance with the Public Laws enumerated in
(a) above.

c\. In the care of any live animals used or intended for use in the
performance of this grant, the recipient shall adhere to the principles
enunciated in the Guide for Care and Use of Laboratory Animals prepared
by the Institute of Laboratory Animals Resources, National Academy of
Sciences - National Research Council, and in the United States
Department of Agriculture\'s (USDA) regulations and standards issued
under the Public Laws enumerated in a. above. In case of conflict
between standards, the higher standard shall be used. The recipient\'s
reports on portions of the award in which animals were used shall
contain a certificate stating that the animals were cared for in
accordance with the principles enunciated in the Guide for Care and Use
of Laboratory Animals prepared by the Institute of Laboratory Animal
Resources, NAS-NRC, and/or in the regulations and standards as
promulgated by the Agricultural Research Service, USDA, pursuant to the
Laboratory Animal Welfare Act of 24 August 1966, as amended (P.L. 89-544
and P.L. 91-579). NOTE: The recipient may request registration of the
recipient\'s facility and a current listing of licensed dealers from the
Regional Office of the Animal and Plant Health Inspection Service
(APHIS), USDA, for the region in which the recipient\'s research
facility is located. The location of the appropriate APHIS Regional
Office as well as information concerning this program may be obtained by
contacting the Senior Staff Office, Animal Care Staff, USDA/APHIS, 4700
River Road Unit 84, Riverdale, MD 20737-1234 and at
<http://www.aphis.usda.gov/ac/>.

**(END OF PROVISION)**

**9. TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE) (NOVEMBER
1985)**

***APPLICABILITY:*** This provision is applicable to property titled in
the name of the cooperating country or such public or private agency as
the cooperating country government may designate.

> **TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE) (NOVEMBER
> 1985)**

a\. Except as modified by the schedule of this grant, title to all
equipment, materials and supplies, the cost of which is reimbursable to
the recipient by USAID or by the cooperating country, shall at all times
be in the name of the cooperating country or such public or private
agency as the cooperating country may designate, unless title to
specified types or classes of equipment is reserved to USAID under
provisions set forth in the schedule of this award. All such property
shall be under the custody and control of recipient until the owner of
title directs otherwise or completion of work under this award 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 guarantees and warranties obtained from suppliers shall
be taken in the name of the title owner.

b\. The recipient shall maintain and administer in accordance with sound
business practice a program for the maintenance, repair, protection, and
preservation of Government property so as to assure its full
availability and usefulness for the performance of this grant. The
recipient shall take all reasonable steps to comply with all appropriate
directions or instructions which the Agreement Officer may prescribe as
reasonably necessary for the protection of the Government property.

c\. The recipient shall prepare and establish a program, to be approved
by the appropriate USAID Mission, for the receipt, use, maintenance,
protection, custody and care of equipment, materials and supplies for
which it has custodial responsibility, including the establishment of
reasonable controls to enforce such program. The recipient shall be
guided by the following requirements:

\(1\) Property Control: The property control system shall include but
not be limited to the following:

> \(i\) Identification of each item of cooperating country property
> acquired or furnished under the award by a serially controlled
> identification number and by description of item. Each item must be
> clearly marked \"Property of (insert name of cooperating country).\"
>
> \(ii\) The price of each item of property acquired or furnished under
> this award.
>
> \(iii\) The location of each item of property acquired or furnished
> under this award.
>
> \(iv\) A record of any usable components which are permanently removed
> from items of cooperating country property as a result of modification
> or otherwise.
>
> \(v\) A record of disposition of each item acquired or furnished under
> the award.
>
> \(vi\) Date of order and receipt of any item acquired or furnished
> under the award.
>
> \(vii\) The official property control records shall be kept in such
> condition that at any stage of completion of the work under this
> award, the status of property acquired or furnished under this award
> may be readily ascertained. A report of current status of all items of
> property acquired or furnished under the award shall be submitted
> yearly concurrently with the annual report.
>
> \(2\) Maintenance Program: The recipient\'s maintenance program shall
> be consistent with sound business practice, the terms of the award,
> and provide for:
>
> \(i\) disclosure of need for and the performance of preventive
> maintenance,
>
> \(ii\) disclosure and reporting of need for capital type
> rehabilitation, and
>
> \(iii\) recording of work accomplished under the program:
>
> \(A\) Preventive maintenance - Preventive maintenance is maintenance
> generally performed on a regularly scheduled basis to prevent the
> occurrence of defects and to detect and correct minor defects before
> they result in serious consequences.
>
> \(B\) Records of maintenance - The recipient\'s maintenance program
> shall provide for records sufficient to disclose the maintenance
> actions performed and deficiencies discovered as a result of
> inspections.
>
> \(C\) A report of status of maintenance of cooperating country
> property shall be submitted annually concurrently with the annual
> report.

d\. Risk of Loss:

> \(1\) The recipient shall not be liable for any loss of or damage to
> the cooperating country property, or for expenses incidental to such
> loss or damage except that the recipient shall be responsible for any
> such loss or damage (including expenses incidental thereto):
>
> \(i\) Which results from willful misconduct or lack of good faith on
> the part of any of the recipient\'s directors or officers, or on the
> part of any of its managers, superintendents, or other equivalent
> representatives, who have supervision or direction of all or
> substantially all of the recipient\'s business, or all or
> substantially all of the recipient\'s operation at any one plant,
> laboratory, or separate location in which this award is being
> performed;
>
> \(ii\) Which results from a failure on the part of the recipient, due
> to the willful misconduct or lack of good faith on the part of any of
> its directors, officers, or other representatives mentioned in (i)
> above:
>
> \(A\) to maintain and administer, in accordance with sound business
> practice, the program for maintenance, repair, protection, and
> preservation of cooperating country property as required by (i) above,
> or
>
> \(B\) to take all reasonable steps to comply with any appropriate
> written directions of the Agreement Officer under (b) above;
>
> \(iii\) For which the recipient is otherwise responsible under the
> express terms designated in the schedule of this award;
>
> \(iv\) Which results from a risk expressly required to be insured
> under some other provision of this award, but only to the extent of
> the insurance so required to be procured and maintained, or to the
> extent of insurance actually procured and maintained, whichever is
> greater; or
>
> \(v\) Which results from a risk which is in fact covered by insurance
> or for which the grantee is otherwise reimbursed, but only to the
> extent of such insurance or reimbursement;
>
> \(vi\) Provided, that, if more than one of the above exceptions shall
> be applicable in any case, the recipient\'s liability under any one
> exception shall not be limited by any other exception.
>
> \(2\) The recipient shall not be reimbursed for, and shall not include
> as an item of overhead, the cost of insurance, or any provision for a
> reserve, covering the risk of loss of or damage to the cooperating
> country property, except to the extent that USAID may have required
> the recipient to carry such insurance under any other provision of
> this award.
>
> \(3\) Upon the happening of loss or destruction of or damage to the
> cooperating country property, the recipient shall notify the Agreement
> Officer thereof, shall take all reasonable steps to protect the
> cooperating country property from further damage, separate the damaged
> and undamaged cooperating country property, put all the cooperating
> country property in the best possible order, and furnish to the
> Agreement Officer a statement of:

(i) The lost, destroyed, or damaged cooperating country property;

> \(ii\) The time and origin of the loss, destruction, or damage;
>
> \(iii\) All known interests in commingled property of which the
> cooperating country property is a part; and
>
> \(iv\) The insurance, if any, covering any part of or interest in such
>
> commingled property.
>
> \(4\) The recipient shall make repairs and renovations of the damaged
> cooperating country property or take such other action as the
> Agreement Officer directs.
>
> \(5\) In the event the recipient is indemnified, reimbursed, or
> otherwise compensated for any loss or destruction of or damage to the
> cooperating country property, it shall use the proceeds to repair,
> renovate or replace the cooperating country property involved, or
> shall credit such proceeds against the cost of the work covered by the
> award, or shall otherwise reimburse USAID, as directed by the
> Agreement Officer. The recipient shall do nothing to prejudice
> USAID\'s right to recover against third parties
>
> for any such loss, destruction, or damage, and upon the request of the
> Agreement Officer, shall, at the Governments expense, furnish to USAID
> all reasonable assistance and cooperation (including assistance in the
> prosecution of suits and the execution of instruments or assignments
> in favor of the Government) in obtaining recovery.

e\. Access: USAID, and any persons designated by it, shall at all
reasonable times have access to the premises wherein any cooperating
country property is located, for the purpose of inspecting the
cooperating country property

f\. Final Accounting and Disposition of Cooperating Country Property:
Within 90 days after completion of this award, or at such other date as
may be fixed by the Agreement Officer, the recipient shall submit to the
Agreement Officer an inventory schedule covering all items of equipment,
materials and supplies under the recipient\'s custody, title to which is
in the cooperating country or public or private agency designated by the
cooperating country, which have not been consumed in the performance of
this award. The recipient shall also indicate what disposition has been
made of such property.

g\. Communications: All communications issued pursuant to this provision
shall be in writing.

**(END OF PROVISION)**

**10. PUBLIC NOTICES (MARCH 2004)**

***APPLICABILITY:*** This provision is applicable when the cognizant
Activity Manager or SO Team determines that the award is of public
interest and requests that the provision be included in the award.

It is USAID\'s policy to inform the public as fully as possible of its
programs and activities. The recipient is encouraged to give public
notice of the receipt of this award and, from time to time, to announce
progress and accomplishments. Press releases or other public notices
should include a statement substantially as follows:

> \"The U.S. Agency for International Development administers the U.S.
> foreign assistance program providing economic and humanitarian
> assistance in more than 120 countries worldwide.\"

The recipient may call on USAID\'s Bureau for Legislative and Public
Affairs for advice regarding public notices. The recipient is requested
to provide copies of notices or announcements to the cognizant technical
officer and to USAID\'s Bureau for Legislative and Public Affairs as far
in advance of release as possible.

**(END OF PROVISION)**

**11. (RESERVED)**

**\*12. COST SHARING (MATCHING) (JULY 2002)**

***APPLICABILITY***: This provision, along with 22 CFR 226, is
applicable when the recipient has agreed or is required to cost share or
provide a matching share.

**COST SHARING (MATCHING) (July 2002)**

a\. If at the end of any funding period, the recipient has expended an
amount of non-Federal funds less than the agreed upon amount or
percentage of total expenditures, the Agreement Officer may apply the
difference to reduce the amount of USAID incremental funding in the
following funding period. If the award has expired or has been
terminated, the Agreement Officer may require the recipient to refund
the difference to USAID.

b\. The source, origin and nationality requirements and the restricted
goods provision established in the Standard Provision entitled \"USAID
Eligibility Rules for Goods and Services\" do not apply to cost sharing
(matching) expenditures.

**(END OF PROVISION)**

**13. PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS**

> **(JUNE 1999)**

***APPLICABILITY:*** This provision is applicable where performance of
the award will take place in "Covered" Countries, as described in ADS
206 (see 206.5.3)

**PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS**

**(JUNE 1999)**

a\. USAID reserves the right to terminate assistance to, or take other
appropriate measures with respect to, any participant approved by USAID
who is found to have been convicted of a narcotics offense or to have
been engaged in drug trafficking as defined in 22 CFR Part 140.

b\. (1) For any loan over \$1000 made under this agreement, the
recipient shall insert a clause in the loan agreement stating that the
loan is subject to immediate cancellation, acceleration, recall or
refund by the recipient if the borrower or a key individual of a
borrower is found to have been convicted of a narcotics offense or to
have been engaged in drug trafficking as defined in 22 CFR Part140.

> \(2\) Upon notice by USAID of a determination under section (1) and at
> USAID\'s option, the recipient agrees to immediately cancel,
> accelerate or recall the loan, including refund in full of the
> outstanding balance. USAID reserves the right to have the loan refund
> returned to USAID.

c\. (1) The recipient agrees not to disburse, or sign documents
committing the recipient to disburse, funds to a subrecipient designated
by USAID (\"Designated Subrecipient\") until advised by USAID that: (i)
any United States Government review of the Designated Subrecipient and
its key individuals has been completed; (ii) any related certifications
have been obtained; and (iii) the assistance to the Designated
Subrecipient has been approved. Designation means that the subrecipient
has been unilaterally selected by USAID as the subrecipient. USAID
approval of a subrecipient, selected by another party, or joint
selection by USAID and another party is not designation.

\(2\) The recipient shall insert the following clause, or its substance,
in its agreement with the Designated Subrecipient:

"The recipient reserves the right to terminate this
\[Agreement/Contract\] or take

other appropriate measures if the \[Subrecipient\] or a key individual
of the

\[Subrecipient\] is found to have been convicted of a narcotic offense
or to have

been engaged in drug trafficking as defined in 22 CFR Part 140."

**(END OF PROVISION)**

**\*14. INVESTMENT PROMOTION (NOVEMBER 2003)**

***APPLICABILITY:*** The following clause is required for grants and
cooperative agreements when the program includes gray-area activities or
investment-related activities where specific activities are not
identified at the time of obligation but could be for investment-related
activities, as described in ADS 225 (see 225.3.1.8)

**INVESTMENT PROMOTION (NOVEMBER 2003)**

a\. Except as specifically set forth in this award or otherwise
authorized by USAID in writing, no funds or other support provided
hereunder may be used for any activity that involves investment
promotion in a foreign country.

b\. In the event the recipient is requested or wishes to provide
assistance in the above area or requires clarification from USAID as to
whether the activity would be consistent with the limitation set forth
above, the recipient must notify the Agreement Officer and provide a
detailed description of the proposed activity. The recipient must not
proceed with the activity until advised by USAID that it may do so.

c\. The recipient must ensure that its employees and sub-recipients and
contractors providing investment promotion services hereunder are made
aware of the restrictions set forth in this clause and must include this
clause in all contracts and other sub-agreements entered into hereunder.

**(END OF PROVISION)**

**\*15. REPORTING OF FOREIGN TAXES (MARCH 2006)**

a\. The recipient must annually submit a report by April 16 of the next
year.

b\. Contents of Report. The report must contain:

\(i\) Contractor/recipient name.

\(ii\) Contact name with phone, fax and email.

\(iii\) Agreement number(s).

\(iv\) Amount of foreign taxes assessed by a foreign government \[each
foreign

government must be listed separately\] on commodity purchase
transactions

valued at \$500 or more financed with U.S. foreign assistance funds
under this

agreement during the prior U.S. fiscal year.

\(v\) Only foreign taxes assessed by the foreign government in the
country

receiving U.S. assistance is to be reported. Foreign taxes by a third
party foreign

government are not to be reported. For example, if an assistance program
for

Lesotho involves the purchase of commodities in South Africa using
foreign

assistance funds, any taxes imposed by South Africa would not be
reported in

the report for Lesotho (or South Africa).

\(vi\) Any reimbursements received by the Recipient during the period in
(iv)

regardless of when the foreign tax was assessed and any reimbursements
on the

taxes reported in (iv) received through March 31.

\(vii\) Report is required even if the recipient did not pay any taxes
during the

\(viii\) Cumulative reports may be provided if the recipient is
implementing more

than one program in a foreign country.

c\. Definitions. For purposes of this clause:

\(i\) "Agreement" includes USAID direct and country contracts, grants,

cooperative agreements and interagency agreements.

\(ii\) "Commodity" means any material, article, supply, goods, or
equipment.

\(iii\) "Foreign government" includes any foreign governmental entity.

\(iv\) "Foreign taxes" means value-added taxes and custom duties
assessed by

a foreign government on a commodity. It does not include foreign sales
taxes.

d\. Where. Submit the reports to: \[insert address and point of contact
at the

Embassy, Mission or FM/CMP as appropriate. see b. below\] \[optional
with a copy

to \]

e\. Subagreements. The recipient must include this reporting requirement
in all

applicable subcontracts, subgrants and other subagreements.

f\. For further information see
**http://www.state.gov/m/rm/c10443.htm**.

**(END OF PROVISION)**

**\*16. FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES
(JANUARY 2002)**

***APPLICABILITY:*** Include this provision in agreements funded from
the following accounts:

• Development Assistance, including assistance for sub-Saharan Africa,

• Child Survival and Disease Programs Fund, and

• Micro and Small Enterprise Development Program Account.

> **FOREIGN GOVERNMENT DELEGATIONS TO INTERNATIONAL CONFERENCES (JANUARY
> 2002)**

Funds in this agreement may not be used to finance the travel, per diem,
hotel expenses, meals, conference fees or other conference costs for any
member of a foreign government's delegation to an international
conference sponsored by a public international organization, except as
provided in ADS Mandatory Reference "Guidance on Funding Foreign
Government Delegations to International Conferences or as approved by
the Agreement Officer.

> These provisions also must be included in the Standard Provisions of
> any new grant or cooperative agreement to a public international
> organization or a U.S. or non-U.S. nongovernmental organization
> financed with FY04 HIV/AIDS funds or modification to an existing grant
> or cooperative agreement that adds FY04 HIV/AIDS.

**(END OF PROVISION)**

**17. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JULY 2004)**

***APPLICABILITY:*** This provision must be included in any Request for
Application (RFA) or Annual Program Statement (APS) that could lead to a
grant or cooperative agreement for activities related to human
trafficking funded from any year program resources.

**ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JULY 2004)**

The U.S. Government is opposed to prostitution and related activities,
which are

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

**(END OF PROVISION)**

**18. PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR
ADVOCATE FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE
(JULY 2004)**

***APPLICABILITY***: This provision must be included in any grant or
cooperative agreement that uses funds made available for activities
related to human trafficking funded from any year program resources.

> **PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR
> ADVOCATE FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE
> (JULY 2004)**

a\. The U.S. Government is opposed to prostitution and related
activities, which are inherently harmful and dehumanizing, and
contribute to the phenomenon of trafficking in persons. None of the
funds made available under this agreement may be used to promote,
support, or advocate the legalization or practice of prostitution.
Nothing in the preceding sentence shall be construed to preclude
assistance designed to ameliorate the suffering of, or health risks to,
victims while they are being trafficked or after they are out of the
situation that resulted from such victims being trafficked.

b\. \[This subsection (b) only applies to foreign non-governmental
organizations and PIOs receiving U.S. Government funds to carry out
programs that target victims of severe forms of trafficking as either
prime awardees or subawardees.\]

> \(1\) For programs that target victims of severe forms of trafficking,
> as a condition of entering into this agreement or subagreement, the
> recipient/subrecipient agrees that in its activities outside of the
> United States and its possessions it does not promote, support, or
> advocate the legalization or practice of prostitution. The preceding
> sentence shall not apply to organizations that provide services to
> individuals solely after they are no longer engaged in activities that
> resulted from such victims being trafficked.

(2) The following definitions apply for purposes of this clause:

> FOREIGN NON-GOVERNMENTAL ORGANIZATION -- The term "foreign
> nongovernmental organization" means an entity that is not organized
> under the laws of any State of the United States, the District of
> Columbia or the Commonwealth of Puerto Rico.
>
> SEVERE FORMS OF TRAFFICKING IN PERSONS. \-- The term ''severe forms of
> trafficking in persons'' means---
>
> \(A\) sex trafficking in which a commercial sex act is induced by
> force, fraud, or
>
> coercion, or in which the person induced to perform such act has not
> attained 18
>
> years of age; or
>
> \(B\) the recruitment, harboring, transportation, provision, or
> obtaining of a
>
> person for labor or services, through the use of force, fraud, or
> coercion for the
>
> purpose of subjection to involuntary servitude, peonage, debt bondage,
> or
>
> slavery.
>
> \(C\) The recipient shall insert this provision in all sub-agreements
> under this
>
> award.
>
> \(D\) This provision includes express terms and conditions of the
> agreement
>
> and any violation of it shall be grounds for unilateral termination,
> in whole or in
>
> part, of the agreement by USAID prior to the end of its term.

**(END OF PROVISION)**

**\*19. ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JUNE 2005)**

***APPLICABILITY:*** This provision must be included in any agreement
financing HIV/AIDS activities.

**ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (JUNE 2005)**

An organization that is otherwise eligible to receive funds under this
agreement to

> prevent, treat, or monitor HIV/AIDS shall not be required to endorse
> or utilize a multisectoral approach to combating HIV/AIDS, or to
> endorse, utilize, or participate in a prevention method or treatment
> program to which the organization has a religious or moral objection.

**(END OF PROVISION)**

**\*20. CONDOMS (JUNE 2005)**

***APPLICABILITY:*** This provision must be included in any agreement
financing HIV/AIDS activities.

**CONDOMS (JUNE 2005)**

> Information provided about the use of condoms as part of projects or
> activities that are funded under this agreement shall be medically
> accurate and shall include the public health benefits and failure
> rates of such use and shall be consistent with USAID's fact sheet
> entitled, "USAID: HIV/STI Prevention and Condoms. This fact sheet may
> be accessed at:
>
> [**http://www.usaid.gov/our_work/global_health/aids/TechAreas/prevention/**](http://www.usaid.gov/our_work/global_health/aids/TechAreas/prevention/)
>
> **condomfactsheet.html**

**(END OF PROVISION)**

**\*21. PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE**

**LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX**

**TRAFFICKING (JUNE 2005); [as Amended in AAPD 05-04 amendment 1 issued
7/23/2007.]{.underline}**

***APPLICABILITY:*** This provision must be included in any agreement
financing HIV/AIDS activities.

> **PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR
> PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (JUNE 2005)**

a\. The U.S. Government is opposed to prostitution and related
activities, which are inherently harmful and dehumanizing, and
contribute to the phenomenon of trafficking in persons. None of the
funds made available under this agreement may be used to promote or
advocate the legalization or practice of prostitution or sex
trafficking. Nothing in the preceding sentence shall be construed to
preclude the provision to individuals of palliative care, treatment, or
post-exposure pharmaceutical prophylaxis, and necessary pharmaceuticals
and commodities, including test kits, condoms, and, when proven
effective, microbicides.

b\. Except as noted in the second sentence of this paragraph, as a
condition of entering into this agreement or any subagreement, a
non-governmental organization or public international organization
recipient/subrecipient must have a policy explicitly opposing
prostitution and sex trafficking. The following organizations are exempt
from this paragraph: the Global Fund to Fight AIDS, Tuberculosis and
Malaria; the World Health Organization; the International AIDS Vaccine
Initiative; and any United Nations agency.

c\. The following definition applies for purposes of this provision:

> Sex trafficking means the recruitment, harboring, transportation,
> provision, or obtaining of a person for the purpose of a commercial
> sex act. 22 U.S.C. 7102(9).

d\. The recipient shall insert this provision, which is a standard
provision, in all subagreements.

e\. This provision includes express terms and conditions of the
agreement and any violation of it shall be grounds for unilateral
termination of the agreement by USAID prior to the end of its term.

**(END OF PROVISION)**

**22. USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)**

***APPLICABILITY:*** This provision must be included in Request for
Applications (RFAs), and in awards.

**USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)**

a\. The objectives of the USAID Disability Policy are (1) to enhance the
attainment of United States foreign assistance program goals by
promoting the participation and equalization of opportunities of
individuals with disabilities in USAID policy, country and sector
strategies, activity designs and implementation; (2) to increase
awareness of issues of people with disabilities both within USAID
programs and in host countries; (3) to engage other U.S. government
agencies, host country counterparts, governments, implementing
organizations and other donors in fostering a climate of
nondiscrimination against people with disabilities; and (4) to support
international advocacy for people with disabilities. The full text of
the policy paper can be found at the following website:
http://pdf.dec.org/pdf_docs/PDABQ631.pdf.

b\. USAID therefore requires that the recipient not discriminate against
people with disabilities in the implementation of USAID funded programs
and that it make every effort to comply with the objectives of the USAID
Disability Policy in performing the program under this grant or
cooperative agreement. To that end and to the extent it can accomplish
this goal within the scope of the program objectives, the recipient
should demonstrate a comprehensive and consistent approach for including
men, women and children with disabilities.

**(END OF PROVISION)**

**23. STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN**

**USAID ASSISTANCE AWARDS INVOLVING CONSTRUCTION**

**(SEPTEMBER 2004)**

***APPLICABILITY:*** This provision must be included in Request for
Applications (RFAs) and in awards involving construction.

> **STANDARDS FOR ACCESSIBILITY FOR THE DISABLED IN USAID ASSISTANCE
> AWARDS INVOLVING CONSTRUCTION (SEPTEMBER 2004)**

a\. One of the objectives of the USAID Disability Policy is to engage
other U.S. government agencies, host country counterparts, governments,
implementing organizations and other donors in fostering a climate of
nondiscrimination against people with disabilities. As part of this
policy USAID has established standards for any new or renovation
construction project funded by USAID to allow access by people with
disabilities (PWDs). The full text of the policy paper can be found at
the following website: <http://pdf.dec.org/pdf_docs/PDABQ631.pdf>.

b\. USAID requires the recipient to comply with standards of
accessibility for people with disabilities in all structures, buildings
or facilities resulting from new or renovation construction or
alterations of an existing structure.

c\. The recipient will comply with the host country or regional
standards for accessibility in construction when such standards result
in at least substantially equivalent accessibility and usability as the
standard provided in the Americans with Disabilities Act (ADA) of 1990
and the Architectural Barriers Act (ABA) Accessibility Guidelines of
July 2004. Where there are no host country or regional standards for
universal access or where the host country or regional standards fail to
meet the ADA/ABA threshold, the standard prescribed in the ADA and the
ABA will be used.

d\. New Construction. All new construction will comply with the above
standards for accessibility.

e\. Alterations. Changes to an existing structure that affect, the
usability of the structure will comply with the above standards for
accessibility unless the recipient obtains the Agreement Officer's
advance approval that compliance is technically infeasible or
constitutes an undue burden or both. Compliance is technically
infeasible where structural conditions would require removing or
altering a load-bearing member that is an essential part of the
structural frame or because other existing physical or site constraints
prohibit modification or addition of elements, spaces, or features that
are in full and strict compliance with the minimum requirements of the
standard. Compliance is an undue burden where it entails either a
significant difficulty or expense or both.

f\. Exceptions. The following construction related activities are
excepted from the requirements of paragraphs (a) through (d) above:

> \(1\) Normal maintenance, re-roofing, painting or wall papering, or
> changes to mechanical or electrical systems are not alterations and
> the above standards do not apply unless they affect the accessibility
> of the building or facility; and
>
> \(2\) Emergency construction (which may entail the provision of
> plastic sheeting or tents, minor repair and upgrading of existing
> structures, rebuilding of part of existing structures, or provision of
> temporary structures) intended to be temporary in nature. A portion of
> emergency construction assistance may be provided to people with
> disabilities as part
>
> of the process of identifying disaster- and crisis-affected people as
> "most vulnerable."

**(END OF PROVISION)**

**SECTION VII. CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF
RECIPIENT**

**REQUIRED FORMS, CERTIFICATIONS, ASSURANCES, AND**

**OTHER STATEMENTS OF RECIPIENT (MAY 2006)**

I.  Certifications

    1.  Assurance of Compliance with Laws and Regulations Governing
        Nondiscrimination in Federally Assisted Programs

    2.  Certification Regarding Lobbying

    3.  Prohibition on Assistance to Drug Traffickers for Covered
        Countries

    4.  Terrorist Financing

    5.  Certification of Recipient

II. Key Individual Certification Narcotics Offenses and Drug Trafficking

III. Participant Certification Narcotics Offenses and Drug Trafficking

IV. Certification of Compliance with the Standard Provisions entitled
    "Condoms" and "Prohibition of the Promotion or Advocacy of the
    Legalization or Practice of Prostitution or Sex Trafficking."

V.  Survey on Ensuring Equal Opportunity for Applicants

VI. Other Statements of Recipient

```{=html}
<!-- -->
```
1.  Authorized Individuals

2.  Taxpayer Identification Number

3.  Contractor Identification Number -- Data Universal Numbering System
    Number

4.  Letter of Credit Number

5.  Procurement Information

6.  Past Performance Reference

7.  Type of Organization

8.  Estimated Cost of Communication Products

# CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF THE RECIPIENT

# (MAY 2006)

NOTE: When these Certifications, Assurances, and Other Statements of
Recipient are used for cooperative agreements, the term \"Grant\" means
\"Cooperative Agreement\".

**PART I - CERTIFICATIONS AND ASSURANCES**

1.  **ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING
    NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS**

*Note: This certification applies to Non-U.S. organizations if any part
of the program will be undertaken in the United States.*

\(1\) The recipient hereby assures that no person in the United States
shall, on the bases set forth below, be excluded from participation in,
be denied the benefits of, or be otherwise subjected to discrimination
under, any program or activity receiving financial assistance from
USAID, and that with respect to the Cooperative Agreement for which
application is being made, it will comply with the requirements of:

(a) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42 U.S.C.
    2000-d), which prohibits discrimination on the basis of race, color
    or national origin, in programs and activities receiving Federal
    financial assistance;

(b) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794), which
    prohibits discrimination on the basis of handicap in programs and
    activities receiving Federal financial assistance;

(c) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478),
    which prohibits discrimination based on age in the delivery of
    services and benefits supported with Federal funds;

(d) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et
    seq.), which prohibits discrimination on the basis of sex in
    education programs and activities receiving Federal financial
    assistance (whether or not the programs or activities are offered or
    sponsored by an educational institution); and

(e) USAID regulations implementing the above nondiscrimination laws, set
    forth in Chapter II of Title 22 of the Code of Federal Regulations.

\(2\) If the recipient is an institution of higher education, the
Assurances given herein extend to admission practices and to all other
practices relating to the treatment of students or clients of the
institution, or relating to the opportunity to participate in the
provision of services or other benefits to such individuals, and shall
be applicable to the entire institution unless the recipient establishes
to the satisfaction of the USAID Administrator that the institution\'s
practices in designated parts or programs of the institution will in no
way affect its practices in the program of the institution for which
financial assistance is sought, or the beneficiaries of, or participants
in, such programs.

\(3\) This assurance is given in consideration of and for the purpose of
obtaining any and all Federal grants, loans, contracts, property,
discounts, or other Federal financial assistance extended after the date
hereof to the recipient by the Agency, including installment payments
after such date on account of applications for Federal financial
assistance which was approved before such date. The recipient recognizes
and agrees that such Federal financial assistance will be extended in
reliance on the representations and agreements made in this Assurance,
and that the United States shall have the right to seek judicial
enforcement of this Assurance. This Assurance is binding on the
recipient, its successors, transferees, and assignees, and the person or
persons whose signatures appear below are authorized to sign this
Assurance on behalf of the recipient.

2.  **CERTIFICATION REGARDING LOBBYING**

The undersigned certifies, to the best of his or her knowledge and
belief, that:

\(1\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal Cooperative Agreement, the making of
any Federal loan, the entering into of any cooperative agreement, and
the extension, continuation, renewal, amendment or modification of any
Federal contract, grant, loan, or cooperative agreement.

\(2\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL,
\"Disclosure of Lobbying Activities,\" in accordance with its
instructions.

\(3\) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.

This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, United
States Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than \$10,000 and not
more than \$100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief,
that: If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL, \"Disclosure
Form to Report Lobbying,\" in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering
into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required statement shall be subject to a
civil penalty of not less than \$10,000 and not more than \$100,000 for
each such failure.

3.  **Prohibition on Assistance to Drug Traffickers for Covered
    Countries and Individuals (ADS 206)**

USAID reserves the right to terminate this Agreement, to demand a refund
or take other appropriate measures if the Grantee is found to have been
convicted of a narcotics offense or to have been engaged in drug
trafficking as defined in 22 CFR Part 140. The undersigned shall review
USAID ADS 206 to determine if any certifications are required for Key
Individuals or Covered Participants.

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate
assistance to or take other appropriate measures with respect to, any
participant approved by USAID who is found to have been convicted of a
narcotics offense or to have been engaged in drug trafficking as defined
in 22 CFR Part 140.

4.  **CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING EXECUTIVE
    ORDER 13224**

By signing and submitting this application, the prospective recipient
provides the

certification set out below:

\(1\) The Recipient, to the best of its current knowledge, did not
provide, within the

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

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

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

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

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

(d) The Recipient also will implement reasonable monitoring and
    oversight

> procedures to safeguard against assistance being diverted to support
> terrorist activity.

\(3\) For purposes of this Certification-

(a) "Material support and resources" means currency or monetary
    instruments or

> financial securities, financial services, lodging, training, expert
> advice or assistance, safehouses, false documentation or
> identification, communications equipment, facilities, weapons, lethal
> substances, explosives, personnel, transportation, and other physical
> assets, except medicine or religious materials."

(b) "Terrorist act" means-

> \(i\) an act prohibited pursuant to one of the 12 United Nations
> Conventions and Protocols related to terrorism (see UN terrorism
> conventions Internet site:
> http://untreaty.un.org/English/Terrorism.asp); or
>
> \(ii\) an act of premeditated, politically motivated violence
> perpetrated against noncombatant targets by subnational groups or
> clandestine agents; or
>
> \(iii\) any other act intended to cause death or serious bodily injury
> to a civilian, or to any other person not taking an active part in
> hostilities in a situation of armed conflict, when the purpose of such
> act, by its nature or context, is to intimidate a population, or to
> compel a government or an international organization to do or to
> abstain from doing any act.

(c) "Entity" means a partnership, association, corporation, or other
    organization, group or subgroup.

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

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

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

5.  **CERTIFICATION OF RECIPIENT**

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

RFA/APS No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Recipient
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Typed Name and Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PART II - KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG
TRAFFICKING**

I hereby certify that within the last ten years:

1\. I have not been convicted of a violation of, or a conspiracy to
violate, any law or regulation of the United States or any other country
concerning narcotic or psychotropic drugs or other controlled
substances.

2\. I am not and have not been an illicit trafficker in any such drug or
controlled substance.

3\. I am not and have not been a knowing assistor, abettor, conspirator,
or colluder with others in the illicit trafficking in any such drug or
substance.

Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title/Position:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Organization:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Birth:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTICE:

1\. You are required to sign this Certification under the provisions of
22 CFR Part 140, Prohibition on Assistance to Drug Traffickers. These
regulations were issued by the Department of State and require that
certain key individuals of organizations must sign this Certification.

2\. If you make a false Certification you are subject to U.S. criminal
prosecution under 18 U.S.C. 1001.

**PART III - PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG
TRAFFICKING**

1\. I hereby certify that within the last ten years:

a\. I have not been convicted of a violation of, or a conspiracy to
violate, any law or regulation of the United States or any other country
concerning narcotic or psychotropic drugs or other controlled
substances.

b\. I am not and have not been an illicit trafficker in any such drug or
controlled substance.

c\. I am not or have not been a knowing assistor, abettor, conspirator,
or colluder with others in the illicit trafficking in any such drug or
substance.

2\. I understand that USAID may terminate my training if it is
determined that I engaged in the above conduct during the last ten years
or during my USAID training.

Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Birth:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTICE:

1\. You are required to sign this Certification under the provisions of
22 CFR Part 140,Prohibition on Assistance to Drug Traffickers. These
regulations were issued by the Department of State and require that
certain participants must sign this Certification.

2\. If you make a false Certification you are subject to U.S. criminal
prosecution under 18 U.S.C. 1001.

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

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

"\[Recipient\'s name\] certifies compliance as applicable with the
standard

provisions entitled "Condoms" and "Prohibition on the Promotion or
Advocacy

of the Legalization or Practice of Prostitution or Sex Trafficking"
included in

the referenced agreement."

RFA/APS No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Applicant/Subgrantee
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Typed Name and Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**PART V - SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS**

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

**PART VI - OTHER STATEMENTS OF RECIPIENT**

**1. AUTHORIZED INDIVIDUALS**

The recipient represents that the following persons are authorized to
negotiate on its behalf with the Government and to bind the recipient in
connection with this application or grant:

Name Title Telephone No. Facsimile No.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**2. TAXPAYER IDENTIFICATION NUMBER (TIN)**

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

TIN: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> **3. DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER**

\(a\) In the space provided at the end of this provision, the recipient
should supply the Data Universal Numbering System (DUNS) number
applicable to that name and address. Recipients should take care to
report the number that identifies the recipient\'s name and address
exactly as stated in the proposal.

\(b\) The DUNS is a 9-digit number assigned by Dun and Bradstreet
Information Services. If the recipient does not have a DUNS number, the
recipient should call Dun and Bradstreet directly at 1-800-333-0505. A
DUNS number will be provided immediately by telephone at no charge to
the recipient. The recipient should be prepared to provide the following
information:

(1) Recipient\'s name.

(2) Recipient\'s address.

(3) Recipient\'s telephone number.

(4) Line of business.

(5) Chief executive officer/key manager.

(6) Date the organization was started.

(7) Number of people employed by the recipient.

(8) Company affiliation.

\(c\) Recipients located outside the United States may obtain the
location and phone number of the local Dun and Bradstreet Information
Services office from the Internet Home Page at
http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is
unable to locate a local service center, it may send an e-mail to Dun
and Bradstreet at globalinfo@dbisma.com.

The DUNS system is distinct from the Federal Taxpayer Identification
Number (TIN) system.

DUNS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**4. LETTER OF CREDIT (LOC) NUMBER**

If the recipient has an existing Letter of Credit (LOC) with USAID,
please indicate the LOC number:

LOC:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**5. PROCUREMENT INFORMATION**

\(a\) Applicability. This applies to the procurement of goods and
services planned by the recipient (i.e., contracts, purchase orders,
etc.) from a supplier of goods or services for the direct use or benefit
of the recipient in conducting the program supported by the grant, and
not to assistance provided by the recipient (i.e., a subgrant or
subagreement) to a subgrantee or subrecipient in support of the
subgrantee\'s or subrecipient\'s program. Provision by the recipient of
the requested information does not, in and of itself, constitute USAID
approval.

\(b\) Amount of Procurement. Please indicate the total estimated dollar
amount of goods and services which the recipient plans to purchase under
the grant:

\$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\(c\) Nonexpendable Property. If the recipient plans to purchase
nonexpendable equipment which would require the approval of the
Agreement Officer, please indicate below (using a continuation page, as
necessary) the types, quantities of each, and estimated unit costs.
Nonexpendable equipment for which the Agreement Officer\'s approval to
purchase is required is any article of nonexpendable tangible personal
property charged directly to the grant, having a useful life of more
than one year and an acquisition cost of \$5,000 or more per unit.

TYPE/DESCRIPTION(Generic) QUANTITY ESTIMATED UNIT COST

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

TYPE/DESCRIPTION QUANTITY ESTIMATED GOODS PROBABLE GOODS PROBABLE

(Generic) UNIT COST COMPONENTS SOURCE COMPONENTS ORIGIN

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

TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE INTENDED USE

(Generic) UNIT COST SOURCE ORIGIN

\(f\) Supplier Nationality. If the recipient plans to purchase any goods
or services from suppliers of goods and services whose nationality is
not in the U.S., please indicate below (using a continuation page, as
necessary) the types and quantities of each good or service, estimated
costs of each, probable nationality of each non-U.S. supplier of each
good or service, and the rationale for purchasing from a non-U.S.
supplier. Any supplier whose nationality is a non-Free World country is
ineligible for USAID financing.

TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE SLUPPIER NATIONALITY
RATIONALE

(Generic) UNIT COST (Non-US Only) for NON-US

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

TYPE/DESCRIPTION(Generic) QUANTITY ESTIMATED UNIT COST PROPOSED
DISPOSITION

**6. PAST PERFORMANCE REFERENCES**

On a continuation page, please provide past performance information
requested in the RFA.

**7. TYPE OF ORGANIZATION**

The recipient, by checking the applicable box, represents that -

\(a\) If the recipient is a U.S. entity, it operates as \[ \] a
corporation incorporated under the laws of the State of, \[ \] an
individual, \[ \] a partnership, \[ \] a nongovernmental nonprofit
organization, \[ \] a state or loc al governmental organization, \[ \] a
private college or university, \[ \] a public college or university, \[
\] an international organization, or \[ \] a joint venture; or

\(b\) If the recipient is a non-U.S. entity, it operates as \[ \] a
corporation organized under the laws of
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (country), \[
\] an individual, \[ \] a partnership, \[ \] a nongovernmental nonprofit
organization, \[ \] a nongovernmental educational institution, \[ \] a
governmental organization, \[ \] an international organization, or \[ \]
a joint venture.

**8. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS**

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

**ANNEX A. -- REFERENCES**

** **

> **A.     Applicable Regulations & References**

** **

> -     Mandatory Standard Provisions for U.S., Nongovernmental
> Recipients
> [**http://www.usaid.gov/pubs/ads/300/303maa.pdf**](http://www.usaid.gov/pubs/ads/300/303maa.pdf)

** **

> -         Mandatory Standard Provisions for Non-U.S. Nongovernmental
> Recipients:

**                  <http://www.usaid.gov/policy/ads/300/303mab.pdf>**

** **

> -         22 CFR 226
>
> **     
> <http://www.access.gpo.gov/nara/cfr/waisidx_02/22cfr226_02.html>**

** **

> -         OMB Circular A-122
>
> **      <http://www.whitehouse.gov/omb/circulars/a122/a122.html>**

** **

> -         OMB Circular A-110
>
> **      <http://www.whitehouse.gov/omb/circulars/a110/a110.html>**

** **

> -         ADS Series 300 Acquisition and Assistance
>
>      
> [**http://www.usaid.gov/pubs/ads/**](http://www.usaid.gov/pubs/ads/)

** **

> -         SF-424 Downloads

**      <http://www.grants.gov/agencies/aapproved_standard_forms.jsp>**

**ANNEX B. - SF- 424 FORMS**

SF-424, Application for Federal Assistance

SF-424A, Budget Information, Non-construction Programs

SF-424B, Assurances, Non-construction Programs

This form can be downloaded from the website:
<http://www.usaid.gov/forms/sf424.pdf>.

[^1]: PEPFAR Focus Countries (15) are : Botswana, Cote d'Ivoire,
    Ethiopia, Guyana, Haiti, Kenya, Mozambique, Namibia, Nigeria,
    Rwanda, South Africa, Tanzania, Uganda, Vietnam, Zambia

[^2]: The World Bank. [Repositioning Nutrition as Central to
    Development: A Strategy for Large-Scale\
    Action]{.underline}. 2006. Washington, D.C.

[^3]: Food and Agricultural Organization. [The State of Food Insecurity
    in the World]{.underline}. 2006. Rome, Italy.

[^4]: Office of the U.S. Global AIDS Coordinator, U.S. Department of
    State. [Report on Food and Nutrition for People Living with
    HIV/AIDS.]{.underline} 2006

[^5]: Food and Nutrition Technical Assistance (FANTA) Project and World
    Food Programme (WFP). [Food Assistance Programming in the Context of
    HIV.]{.underline} Washington, DC: 2007

[^6]: \"When all people at all times have both physical and economic
    access to sufficient food to meet their dietary needs for a
    productive and healthy life.\" USAID Policy Determination 19 (1992)

[^7]: 7\. During the first year of operation FANTA II is anticipated to
    receive funding from [\<]{.mark}Cote d'Ivoire[\>]{.mark},
    [\<]{.mark}Ethiopia[\>]{.mark}, [\<]{.mark}Kenya[\>]{.mark},
    [\<]{.mark}Mozambique[\>]{.mark}, [\<]{.mark}Namibia[\>]{.mark},
    [\<]{.mark}Nigeria[\>]{.mark}, [\<]{.mark}Zambia[\>]{.mark},
    [\<\<]{.mark}Haiti[\>\>]{.mark} and Vietnam Missions to provide TA
    on food and nutrition care and support for PLHIV. Further FANTA II
    is anticipated to receive funding from Missions to provide support
    to new Title II programs in 3-5 countries; Afghanistan, Guatemala,
    Haiti, Ethiopia, Madagascar or Sudan .