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Issuance Date: April 17, 2006

Closing Date: June 2, 2006

Closing Time: 3:00 PM Manila Time

**Subject: Request for Applications (RFA) Number 492-06-005**

**Health Sector Reform Development Project -- Policy Component**

The United States Agency for International Development (USAID) is
seeking applications from Philippines local, non-profit,
non-governmental organizations (NGOs) and other qualified local non-USG
organizations for a Cooperative Agreement to implement a program to
support the Health Sector Development Program -- Policy Component in the
Philippines. The authority for the RFA is found in the Foreign
Assistance Act of 1961, as amended.

The selected Recipient will be responsible for ensuring achievement of
the program objectives of the subject Program. Please refer to the
Program Description in Section C of the RFA for a complete statement of
goals and expected results.

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
grant program and are in accordance with applicable cost standards (22
CFR 226, OMB Circular A-122 for non-profit organization, OMB Circular
A-21 for universities, and the Federal Acquisition Regulation (FAR) Part
31 for-profit organizations), may be paid under the award.

Subject to the availability of funds, USAID intends to provide
approximately \$8,000,000 in total USAID funding to be allocated over a
five (5) year period for this program. The estimated amount for year 1
is \$2,000,000. USAID reserves the right to fund any or none of the
applications submitted. It is planned to award one cooperative agreement
under this RFA.

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

1\. Section A - Grant Application Format;

2\. Section B - Selection Criteria;

3\. Section C -- Program Description;

4\. Section D - Certifications, Assurances, and Other Statements of
Applicant/Grantee; and,

5\. Section E -- Attachments to Program Descriptions

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\".

Any questions concerning this RFA should be submitted in writing to
Lourdes Valones, Acquisition Specialist, via email to
<lvalones@usaid.gov>, or via fax at (632) 551-9297. Questions should be
submitted not later than May 22, 2006 to provide sufficient time to
address the questions and made part of the modification to the
solicitation. If you decide to submit an application, it should 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.
Applications and modifications thereof shall be submitted in envelopes
with the name and address of the applicant and RFA \# (referenced above)
inscribed thereon, to:

By Courier or Other Means of Delivery:

Lourdes Valones

Acquisition/Agreement Specialist

Office of Regional Procurement

USAID/Philippines

8F PNB Financial Center, Roxas Boulevard,

Pasay City, Philippines

The preferred method of distribution of USAID RFA's and
submission/receipt of applications is electronically via Grants.gov,
which provides a single source for Federal government-wide competitive
grant opportunities. This RFA and any future amendments can be
downloaded from that Web Site.  The address is
[[http://www.grants.gov]{.underline}](http://www.grants.gov/).  In order
to use this method, an applicant must first register on-line with
Grants.gov.  If you have difficulty registering or accessing the RFA,
please contact the Grants.gov Helpdesk at 1-800-518-472 or via e-mail at
[[support@grants.gov]{.underline}](mailto:support@grants.gov) for
technical assistance.  It is the responsibility of the recipient of the
application document to ensure that it has been received from Grants.gov
in its entirety and USAID bears no responsibility for data errors
resulting from transmission or conversion processes. The federal grant
process allows electronic submission of applications. If you decide to
submit an application, it should be received electronically via
Grants.gov or submitted directly to USAID by mail courier, by closing
date and time. If you do submit by courier or other means, hard copies
must be received at the place designated above for receipt of
applications. USAID bears no responsibility for data errors resulting
from transmission or conversion processes associated with electronic
submission. Faxed proposals are not acceptable. The applicant should
retain for their records one copy of all enclosures which accompany
their application.

To be eligible for award, the applicant must provide all required
information in its application, including the requirements found in any
attachments to this [www.Grants.gov](http://www.grants.gov/)
opportunity. If an application is submitted via Grants.gov, the
applicant must notify the contact person, Lourdes Valones, by email
(<lvalones@usaid.gov>) or written notification by the closing date and
time so that the electronic application can be retrieved by USAID.
Applicants must submit the full application package by one of the
methods indicated in Section A of this RFA.

Award will be made to that responsible applicant whose application
offers the greatest value and whose application best meets the
requirements of this RFA and the selection criteria contained herein

In the event of an inconsistency between the documents comprising this
RFA, it shall be resolved by the following descending order of
precedence:

\(a\) Section B - Selection Criteria;

\(b\) Section A- Grant Application Format;

\(c\) Section C -Program Description;

\(d\) This Cover Letter.

Issuance of this RFA does not constitute an award commitment on the part
of the Government, nor does it commit the Government to pay for costs
incurred in the preparation and submission of an application. In
addition, final award of any resultant agreement 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.

Sincerely,

Raymond L. Edler

Regional Agreement Officer

Office of Regional Procurement

USAID/Philippines

Table of Contents Page

SECTION A - GRANT APPLICATION
FORMAT...........................\...\...\...\...\...\...\...\...\...................
[5](#CL_URFASEAHD_PH000001)

PREPARATION
GUIDELINES.......................................................................................
[5](#CL_URFASEA_PH000002)

TECHNICAL
APPLICATION....................................................................................\...\...6

COST APPLICATION
FORMAT..................................................................................
9

COOPERATIVE AGREEMENT AWARD ...
.................................................................\...11

SECTION B - SELECTION CRITERIA
.............................................................................
13

SECTION C - PROGRAM
DESCRIPTION..........................................................................
15

SECTION
D..................................................................................................................
[21](#CL_URFASEDHD_PH000001)

PART I - CERTIFICATIONS AND
ASSURANCES............................................................
21

PART II - OTHER STATEMENTS OF
RECIPIENT............................................................ 27

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND\
VOLUNTARY EXCLUSION LOWER TIER COVERED
TRANSACTIONS....................... 31

KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES\
AND DRUG
TRAFFICKING.................................................................................
33

PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG
TRAFFICKING.........\... 34

CERTIFICATION REGARDING MATERIAL SUPPORT AND
RESOURCES........................... 35

PART III STANDARD PROVISIONS AND OTHER REQUIREMENTS
.................................38

#   {#section .unnumbered}

# SECTION A - GRANT APPLICATION FORMAT

[]{#CL_URFASEAHD_PH000001 .anchor}

## I. PREPARATION GUIDELINES

[]{#CL_URFASEA_PH000002 .anchor}

1\. All applications received by the deadline will be reviewed for
responsiveness to the specifications outlined in these guidelines and
the application format. Section B addresses the technical evaluation
procedures for the applications. Applications which are submitted late
or are incomplete run the risk of not being considered in the review
process. \"Late applications will not be considered for award\" or
\"Late applications will be considered for award if the Agreement
Officer determines it is in the Government\'s interest.\"

2\. Submit the entire package electronically via Grants.gov or
applications shall be submitted in two separate volumes: (I) technical
and (II) cost or business application. Technical portions of
applications should be submitted in an original and four (4) hard copies
and cost applications in an original and two (2) hard copies. The
application should be prepared according to the structural format set
forth below. Applications must be submitted no later than the date and
time indicated on the cover page of this RFA, to the location indicated
on the cover letter accompanying this RFA. Written applications or
modification thereof shall be submitted in sealed envelopes or packages,
addressed to the Office of Regional Procurement specified in the cover
letter of this RFA and clearly marked with the RFA number, name and
address of the applicant.

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

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

5[. 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 art work, expensive paper and
bindings, and expensive visual and other presentation aids are neither
necessary nor wanted.

6\. [Acknowledgement of Amendments to the RFA]{.underline} - Applicants
shall acknowledge receipt of any amendment to this RFA by signing and
returning the amendment. The Government must receive the acknowledgement
by the time specified for receipt of applications.

7\. [Receipt of Applications]{.underline} - Applications must be
received at the place designated and by the date and time specified in
the cover letter of this RFA.

8\. [Submission of Applications]{.underline}:

a\) Submit the entire application packages electronically via Grants.gov
or applications and modifications thereof shall be submitted in sealed
envelopes or packages (1) addressed to the office specified in the Cover
Letter of this RFA, and (2) showing the time specified for receipt, the
RFA number, and the name and address of the applicant.

b\) Faxed applications will not be considered; however, applications may
be modified by written or faxed notice, if that notice is received by
the time specified for receipt of applications.

9\. [Preparation of Applications]{.underline}:

a\) Applicants are expected to review, understand, and comply with all
aspects of this RFA. Failure to do so will be at the applicant\'s risk.

b\) Each applicant shall furnish the information required by this RFA.
The applicant shall sign the application and print or type its name on
the Cover Page of the technical and cost applications. Erasures or other
changes must be initialed by the person signing the application.
Applications signed by an agent shall be accompanied by evidence of that
agent\'s authority, unless that evidence has been previously furnished
to the issuing office. Applications submitted through Grants.gov
constitute submission of electronically signed applications.

c\) 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:

\(i\) 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

\(ii\) 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.\"

10\. [Explanation to Prospective Applicants]{.underline} - Any
prospective applicant desiring an explanation or interpretation of this
RFA must request it in writing to the Acquisition/Agreement Specialist
at the email addresses set forth in the RFA cover letter within three
weeks of receipt of the application to allow a reply to reach all
prospective applicants before the submission of their applications. The
questions and answers (Q&A) will be posted as an amendment to the RFA on
[www.grants.gov](http://www.grants.gov/) . The deadline for the receipt
of questions is May 22, 2006. Oral explanations or instructions given
before award of a Cooperative Agreement will not be binding. Any
information given to a prospective applicant concerning this RFA will be
furnished promptly to all other prospective applicants as an amendment
of this RFA, if that information is necessary in submitting applications
or if the lack of it would be prejudicial to any other prospective
applicants.

## II. TECHNICAL APPLICATION

1. Technical approach: The technical application must set forth in
sufficient detail the conceptual approach, methodology, and techniques
for the accomplishment of the stated objectives.  It should outline
specific, focused activities; explain how the approach is expected to
achieve the proposed objectives, and describe a plan that will enable
the activities to continue after the cooperative agreement is completed.

> Executive Summary ( Not to exceed 3 pages): Provide a clear summary of
> the results to be achieved, total program cost and total amount of
> USAID funding and non-Federal cost share proposed, milestone or
> benchmark measures of progress towards achievement and brief summary
> of applicant's experience in initiating and administering activities
> like those described on the program description.
>
> Implementation Plan: The application must provide an implementation
> plan for achieving expected program results. The implementation plan
> should clearly outline links between the proposed results, conceptual
> approach, performance milestones and a realistic timeline for
> achieving the semi-annual, annual, and end-of-program results. (The
> Recipient will be required to submit an initial annual work plan, 45
> days after the award date.)
>
> Innovative Approach: Particular attention will be paid to innovative
> approaches which take into consideration the issues. This section
> should analyze the health financing issues confronting the Philippines
> today, the policy environment which exists to deal with these issues,
> and the impact that activities under this Agreement will have upon the
> health policy environment in the Philippines. This portion of the
> proposal should demonstrate the applicant's understanding of health
> financing issues, and appreciation for the importance of the
> pluralistic health policy process that will be developed through the
> Agreement.
>
> USAID is committed to gender equality. The application should discuss
> the most significant gender issues involved reflecting on the
> following questions: (i) are men and women involved or affected
> differently by the context or work to be undertaken? (ii) If so, how
> will this difference be addressed in the proposed activities?

2. Institutional Capability: Applicants must provide evidence of their
technical and managerial resources and expertise (or their ability to
obtain such) in program management, grants management and training and
their experience in managing similar programs in the past. Information
in this section should include (but is not limited to) the following:

> \(1\) Brief description of organizational history/expertise;
>
> \(2\) Past experience and examples of accomplishments in developing
> and implementing similar programs;
>
> \(3\) Relevant experience with proposed approaches;
>
> \(4\) Institutional strength as represented by breadth and depth of
> experienced personnel in project relevant disciplines/areas;
>
> \(5\) Sub-awardee or subcontractor capabilities and expertise; and
>
> \(6\) Financial controls

3. Past Performance: Applicants must submit a list of the ten most
recent U.S. Government and/or privately-funded contracts, grants,
cooperative agreements, etc., and the name, address, email address and
telephone number of the Project Officer, activity manager or other
contact person.  Include the following for each award:

> Name of awarding organization or agency;
>
> Address of awarding organization or agency;
>
> Place of performance of services or program;
>
> Award number;
>
> Amount of award;
>
> Term of award (begin and end dates of services/program);
>
> Name, current telephone number, current fax number, and email address
> (if one is available) of a responsible technical representative of
> that organization or agency;
>
> Brief description of the program.

4\. Key Personnel and Professional Staff: Applicants must propose which
positions should be designated as Key Personnel (not to exceed 5
inclusive of the Chief-of-Party and Deputy Chief of Party-Technical
Coordinator) and provide personnel qualifications for key and
professional staff who would be utilized on this program if an award is
made and provide references for the candidates proposed for such
positions.  Specify the qualifications and abilities of proposed key
personnel that are suited to successfully implementing the proposed
technical approach. The Chief of Party should have a proven track record
of managing such programs. The applicant shall also include, in an
annex, resumes for all key personnel candidates and personnel of
significant positions. Resumes may not exceed three pages in length and
shall be in chronological order starting with most recent experience. 
Each resume shall be accompanied by a SIGNED letter of commitment from
each candidate indicating his/her: (a) availability to serve in the
stated position, in terms of days after award; (b) intention to serve
for a stated term of the service; and (c) agreement to the compensation
levels which corresponds to the levels set forth in the cost
application. As references may be checked for all proposed long-term
personnel, a minimum of three references for each proposed long-term
person is required.  Applicants should provide current phone, fax and
email address for each reference contact.

5. Management Plan: The applicant shall describe its proposed management
plan for accomplishing the objectives, results and goals described in
the program description. Applications shall: (1) Specify the composition
and organizational structure of the entire project team and describe
each staff member's role, technical expertise and estimated amount of
time each will devote to the project.  Applicants may propose a mix of
advisors and specialists to cover the full range of objectives and
activities.

6\. Sustainability: The applicants must also submit a sustainability
plan as part of the technical proposal to demonstrate the prospects for
activities and results to continue after the completion of the
Agreement. Applicants must demonstrate how the activity will be
sustainable and empower partners to take over activities at any time
during the Agreement period and especially as the program draws to a
close.

7\. Monitoring Evaluation Plan: Provide a monitoring and evaluation plan
explaining how you will monitor the program and evaluate the activities.

8. Subgrantees/Subcontracts: Organizations may not possess all the
skills required to achieve all the results identified in this RFA.
Organizations may enter into partnerships with other non-profit and for
profit organizations as sub-grantees or sub-contractors to supplement
skills. However, one organization shall be designated to serve as the
prime organization and will be responsible for the achievement of
results and the implementation of the program.  If the applicant plans
to collaborate with other organizations, government agencies or
indigenous organizations for the implementation of the award, the
services to be provided by each agency or organization shall be
described.  Applicants which intend to utilize subgrantees and/or
subcontractors shall indicate the extent intended, the method of
identifying them and the tasks/functions they will be performing. 
Applicants shall state whether or not they have existing relationships
with these other organizations and the nature of the relationship (e.g.,
subgrantee, subcontractor, partnership etc).  The applicant must specify
the technical resources and expertise of proposed
subcontract/subrecipient organizations. Technical plan information for
proposed major subgrantees and/or subcontractors should follow the same
format as that submitted by the applicant.

9\. Other Pertinent Information: Provide any other information that the
applicant believes will add in understanding and evaluating the
Applicant's technical proposal.

10\. Page Limitation:  The length of the Technical proposal shall not
exceed fifty (50) typed pages,

with 1.5 lines of spacing, 11 point Arial font, and standard one inch
margins. The performance monitoring

plan/results framework, past performance information, and personnel
resumes are excluded from this page

limitation. All other parts of the technical proposal are included in
the 50 page limit.  There is no page limitation on the Cost Proposal.
Elaborate art work, expensive paper and bindings, and expensive visual
and other presentation aids are neither necessary nor wanted.

11. Applicants should study the selection/evaluation criteria outlined
in Section B of the RFA and organize the proposal accordingly.

## III. COST APPLICATION FORMAT

Applicant shall submit the Cost Application in a separate volume. There
is no page limit for the Cost Application. It shall include required
forms and whatever schedules and other information is necessary to
support and/or explain the proposed costs. Applicants estimating process
must be clear and concise. Also, financial data and information should
be fully supported and organized in a manner that facilitates review.

Provide the name, address, telephone and facsimile numbers, and email
address of the individual in the Applicant's organization to be
contacted, if necessary, during the evaluation of the application. Also
provide the name(s) of the person(s) who wrote your application, i.e.,
the technical application and cost application.

Certain documents are required to be submitted by an applicant in order
for an Agreement Officer to make a determination of responsibility.
However, it is USAID policy not to burden applicants with undue
reporting requirements if that information is readily available through
other sources.

The following sections describe the documentation that applicants for
Assistance award must submit to USAID prior to award.

1\. A copy of the Applicant's program description on a 3-1/2" diskette,
formatted in Microsoft Word.

2.  Include a budget with an accompanying budget narrative which
    provides in detail the total proposed costs for implementation of
    the program your organization is proposing. The budget shall be
    submitted using Standard Form 424 and 424A which can be downloaded
    from the USAID web site,
    [http://www.usaid.gov/procurement_bus_opp/procurement/forms/sf424](http://www.usaid.gov/procurement_bus_opp/procurement/forms/sf424/;)
    . The following forms must be completed and included in the cost
    proposal application submitted in response to this solicitation:

-   SF-424

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

-   Certifications, Assurances, Statements and other Required Forms (Per
    Section D of the RFA)

-   Additionally, in support of the Applicant's information on the SF
    424A on separate sheets the Applicant shall provide detailed data to
    support each cost element (object class categories) as shown below.

-   Current Negotiated Indirect Cost Rate Agreement (NICRA) or Proposal
    for Indirect Cost Rate (if your organization does not have a NICRA)

a)  Personnel

    1.  Identify, by title and name, each position to be supported under
        the proposed award.

    2.  Provide resumes (not more than 3 pages) for each professional
        assigned to the field who will be compensated by USAID-funds
        under this project. For home office support staff identify who
        will be compensated by USAID and briefly specific duties.

    3.  State the amounts of time, such as months and percent of time
        that will be expended by each position, their base pay rate and
        total direct compensation under this program, e.g.
        Position/Person Time X Rate = \$ XXXXX

    4.  Provide rate verification documentation.

> b\) Fringe Benefits

(1) Indicate the rate(s) used and the base of application for each rate.

(2) Provide a copy of any Government approval of your indirect cost
    rates.

> c\) Travel

(1) Identify total foreign and domestic travel as separate items.

(2) Indicate the estimated number of trips, number of travelers,
    positions of travelers, number of days per trip, point of origin,
    destination and purpose of travel.

(3) For each trip, itemize the estimate of transportation and/or
    subsistence costs, including airfare and per diem.

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d)  Allowances

> Identify and itemize for each eligible or policy covered
> employee/position.

e)  Equipment, Material and Supplies

    1.  Itemize the equipment, materials and supplies and briefly
        justify the need for the items to be purchased as they apply to
        the program description.

    2.  Indicate the estimated unit cost and number of units for each
        item purchased.

    3.  Provide for the basis for the cost estimates, e.g. pro forma
        invoice, published price lists, etc.

f)  Contractual

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(1) For each proposed subagreement provide a statement or work or
    program description and cost proposal.

(2) Provide complete details of costs that may be incurred.

(3) Identify consultant work and cost for consultant. Provide the daily
    rate with basis for rate. Provide resumes.

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g)  Other Direct Costs

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(1) Identify other costs and briefly justify the need for each cost item
    proposed relative to the program description.

(2) Indicate the estimated unit cost and number of units for each item
    proposed,

(3) Provide the basis for the cost estimates. e.g., pro forma invoice,
    etc.

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h)  Indirect Costs

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(1) State the percentages and amounts used for the calculation of
    indirect costs.

(2) Provide a copy of your latest Negotiated Indirect Cost Agreement.

(3) If indirect costs have not been approved by a Federal Agency, state
    the basis for the proposed indirect cost rates, if any.

> \(4\) Applicants who do not currently have a Negotiated Indirect Cost
> Rate Agreement (NICRA) from their cognizant agency shall also submit
> the following information:
>
> a\. Copies of the applicant\'s financial reports for the previous
> 3-year period, which have been audited by a certified public
> accountant or other auditor satisfactory to USAID;

b\. Projected budget, cash flow and organizational chart;

c\. A copy of the organization\'s accounting manual.

i)  Non-Federal contribution

> 1\) Details regarding level of cost share of your organization is
> proposing for this activity. While there is no stated minimum required
> cost share amount, applicants are encouraged to give consideration to
> the amount they propose as a signal of the applicant's commitment to
> the activity (see also Section B below, Selection Criteria, under
> costs).
>
> 2\) Provide a breakdown of the financial (cash) and in-kind
> contributions (services, property, donated supplies and equipment,
> unrecovered indirect costs, etc) of all organizations (prime
> applicant, participant #1, participant #2, etc) that would be involved
> in implementing this Cooperative Agreement.

3\. Evidence of Responsibility - Applicants should submit any additional
evidence of responsibility deemed necessary for the Agreement Officer to
make a determination of responsibility. The information submitted should
substantiate that the Applicant:

> a\. Has adequate financial, management and personnel resources and
> systems or the ability to obtain such resources as required during the
> performance of the award.
>
> b\. Has the ability to comply with the award conditions, taking into
> account all existing and currently prospective commitments of the
> applicant, non-governmental 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; and

e\. Is otherwise qualified and eligible to receive a grant under
applicable laws and regulations (e.g., EEO).

> f\. 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.

4\. Certificate of Compliance: Please submit a copy of your Certificate
of Compliance if your organization's systems have been certified by the
USAID/Washington's Office of Acquisition and Assistance (M/OAA).

**IV. COOPERATIVE AGREEMENT AWARD**

1\. The Government may award one cooperative agreements resulting from
this RFA to the responsible applicant whose application conforming to
this RFA offers the greatest value in terms of the selection criteria
(see Section B of this RFA). The Government may (a) reject any or all
applications, (b) accept other than the lowest cost application, (c)
accept more than one application (see Section B, Selection Criteria),
(d) accept alternate applications, and (e) waive informalities and minor
irregularities in applications received.

2\. The Government may award one or more cooperative agreement(s) on the
basis of initial applications received, without discussions. Therefore,
each initial application should contain the applicant\'s best terms from
a cost and technical standpoint. As part of its evaluation process,
however, USAID may elect to discuss technical, cost or other pre-award
issues with one or more applicants. Alternatively, USAID may proceed
with award selection based on its evaluation of initial applications
received and/or commence negotiations solely with one applicant.

3\. Neither financial data submitted with an application nor
representations concerning facilities or financing, will form a part of
the resulting cooperative agreement unless explicitly stated otherwise
in the agreement.

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

5\. 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 a fully executed Agreement or a
specific, written authorization from the Agreement Officer.

6\. Applicant's Past Performance -- USAID reserves the right to solicit
from available sources relevant information considering an applicant's
past performance and may consider such information in its evaluation.

7\. Applicants are 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
subawards issued under this agreement.

8\. Foreign Government Delegations to International Conferences -- Funds
in this \[contract, agreement, amendment\] 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 Conference
\[http://www.info.usaid.gov/pubs/ads/300/refindx3.html\] or as approved
by the CO/AO/CTO.

# SECTION B - SELECTION CRITERIA

The criteria presented below have been tailored to the requirements of
this particular RFA. Applicants should note that these criteria serve
to: (a) identify the significant matters which must be addressed in the
applications and (b) set the standard against which all applications
will be evaluated. To facilitate the review of applications, applicants
should organize the narrative sections of their application in the same
order as the selection 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. To the extent necessary
(if award is made based on initial applications), negotiations will then
be conducted with all applicants whose application, after discussion and
negotiation, has a reasonable chance of being selected for award. Award
will be made to the responsible applicant whose application offers the
greatest value, cost and other factors considered.

The technical application will be the most important item of
consideration in selection of these assistance awards. It should be
specific, complete, and presented concisely. Applicants should review
all information in the RFA in depth prior to preparing applications,
especially program guidelines, eligibility, and evaluation criteria.

The technical application should be directly responsive to the terms,
conditions, guidelines, provisions of the RFA to be assured of
consideration. Applications not conforming to this RFA may be
categorized as not meeting the minimum requirements of the Government,
thereby eliminating them for further consideration.

The technical application must set forth in detail the conceptual
approach, methodology, and techniques for accomplishment of the stated
program objectives. The application must define results and benchmarks
for monitoring progress in achieving the results.

Technical proposals will be evaluated in accordance with the technical
evaluation criteria set forth below. While technical concerns are
paramount, cost and USAID budget limitations will be considered as a
factor for award.

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

Awards will be made based on the ranking of proposals according to the
technical selection criteria identified below.

**A. Technical Evaluation Criteria:**

**Technical Approach -- (50 points)**

-   The extent to which the Applicant understands the purpose of the
    program as well as the key issues and challenges that must be
    addressed to accomplish program objectives.

-   Extent to which the application demonstrates a clear, concise,
    effective and compelling technical approach to accomplish program
    purposes, objectives and expected results as evidenced by the
    applicant's program and milestone plans.

-   The appropriateness of the technical approach and interventions to
    achieve the objectives and goals of the program, including gender
    issues in a meaningful way and sustainability.

**Key Personnel and Management Plan - (25 points)**

-   The demonstrated capability, experience, education and other
    qualifications of the applicant's proposed staff for the designated
    work.

-   Organizational structure and management plan demonstrating how the
    applicant would be organized, managed and its activities
    coordinated, including lines of communication and authority.

**Past Performance (25 points)**

> Past performance will be evaluated based on the applicant's record in
> implementing related activities and prior success in this type of
> project:  ability to carry out participatory development activities
> and maintaining positive and effective relationships with partners,
> timeliness on meeting milestones and ability to implement activities
> within budget and use of cost efficient measures. The applicant must
> submit listings of all USAID or other grants/contracts performing work
> similar to that described for this activity. Reference information
> must include current email, fax and phone numbers and addresses of
> contact person, award numbers, if available, and brief descriptions of
> work performed. USAID will contact references named in the past
> performance information to determine the applicant's responsibility.

**TOTAL TECHNICAL EVALUATION CRITERIA = 100 POINTS**

**B. COST EVALUATION**:

Cost has not been assigned a score but will be evaluated for cost
reasonableness, allocability, allowability, cost effectiveness and
realism, adequacy of budget detail and financial feasibility and cost
sharing. While cost may be a determining factor in the final decision of
an awardee(s), especially between closely ranked applicants, the
technical merit of applications is substantially more important under
this RFA.

Notes on cost sharing:

> a\. Cost share is defined by USAID as "contributions, both cash and
> in-kind, which are necessary and reasonable to achieve program
> objectives and which are verifiable from the recipient's records."  
> Please take note of the provision on cost sharing in 22 CFR 226.23.
>
> b\. Although there is no requirement that applicants propose a
> specific cost share, USAID policy is that cost sharing is an important
> element of the USAID-recipient relationship. USAID requires applicants
> to demonstrate their commitment to program success by addressing the
> issue of cost-sharing. The amount of cost sharing, i.e. cash and/or
> in-kind contributions will be evaluated in accordance with 22 CFR
> 226.23.

Applications will be evaluated in accordance with the selection criteria
identified above.  USAID reserves the right to determine the resulting
level of funding for any awards made under this RFA.

# 

# 

# 

# 

# 

# SECTION C - PROGRAM DESCRIPTION

I.  **INTRODUCTION**

The United States Agency for International Development Mission in the
Philippines (USAID/Philippines) will issue a Request for Applications
open to only indigenous local organizations in accordance with ADS
303.5.5a(3) to assist the Department of Health (DOH) and related
agencies to strengthen and institutionalize a health policy formulation
process that will improve health sector performance. Through the
Agreement, the selected Recipient will implement provide the technical
assistance, training, research, limited advanced implementation or
demonstration activities, commodities and local cost inputs needed to
achieve the outputs expected from Component 2, "Strengthening Health
Sector Policy Formulation System" of the Health Sector Development
Project (HSDP).

USAID will award a five-year cooperative agreement. Because of the
nature and urgency of synchronizing the various national and local
policies needed to improve health sector performance, it is critical
that the assistance be provided by professionals who know and can
interact easily with national and local level policymakers and who are
intimately familiar with the health policy scene, including the
background and details of current policies, rules and regulations.
Because of the nuances and intricacies of working under an environment
where national agencies such as the DOH are responsible for setting
policies and standards and ensuring that these are adhered to by local
government units (LGUs) which have a degree of autonomy in delivering
health care services, it is important that the program is implemented by
an organization which is not only familiar with the history and
background of health policy formulation as well as health service
delivery in the Philippines, but is also credible and respected by both
national and local government officials and stakeholders. A number of
local Non-governmental organizations (NGOs) have already established
trust and respect among stakeholders for their work in this field, and
thus, a cooperative agreement with a local Philippine organization is
the most appropriate procurement vehicle.

**ii. Purpose and program objectives**

The central purpose of the program is to establish a supportive policy
and financing environment for priority health programs, including
FP/MCH/TB-DOTS/HIV-AIDS as well as other infectious diseases like avian
influenza, malaria and SARS, by encouraging policies and plans that
increase and sustain access to quality health information, services and
products. The main areas of policy work under this Agreement will be in
health financing, ensuring secure supply of contraceptive and other
essential commodities, strengthening salient aspects of *Four*mula One
(the DOH's health sector reform agenda) and resolving specific policy
barriers to health within the Autonomous Region in Muslim Mindanao
(ARMM). The scope will include both national policies/laws with
universal impact on health and narrower regulations which may be
internal to one or more organizations (e.g. DOH or PhilHealth) which
affect specific aspects of health care and delivery.

It is envisioned that the selected Recipient will assume primary
responsibility for providing assistance to the DOH, PhilHealth and
related agencies in making programmatic and policy recommendations to
assure sustainable supplies of contraceptive and other essential
commodities, strengthen appropriate legal and regulatory policies to
promote provision of health services, and mobilize financing and
resources for key health services both at the national and local levels.
In this respect, the Recipient should work in very close collaboration
with host country partners as well as other USAID contractors and
grantees in matters relating to identification of policies and providing
assistance in the operationalization of approved policies. Following the
policy groundwork, the Recipient should work with appropriate
counterparts and partners to plan for institutionalization and
sustainability of these activities. Continued operation of the policy
process by mandated institutions well beyond the Project life should be
a paramount concern of the Recipient in all activities implemented.
Sustainability issues should be addressed from the commencement of the
cooperative agreement and progress toward their resolution should be
monitored periodically.

**III. BACKGROUND**

The program will tackle a variety of policy issues which are still
constraining health performance. Most of the national policy issues are
known at this stage, especially those stemming from decentralization
since the early 1990s, so the focus is more on issue resolution,
implementation of policy change and strengthening a sustainable health
policy formulation process. The main areas of policy work will be in
health financing, implementing other aspects of health sector reform,
ensuring secure contraceptives supply in the face of withdrawal of
donated commodities, identifying and resolving issues in
commodities/supplies for MCH, TB and other infectious diseases, and
resolving particular policy barriers to health within ARMM. The program
will include both national policies/laws with universal impact on health
and narrower regulations which may be internal to one organization (e.g.
DOH or PhilHealth) that also affect specific aspects of health care and
delivery.

The DOH issued Administrative Order 158 in 2005 introducing a policy of
contraceptive self-reliance (CSR) among LGUs nationwide in the face of
declining donations of contraceptive commodities. Problems in financing
the policy and in sourcing new supplies of contraceptives have since
been identified by many LGUs. Surveys have shown that over half of FP
users availing of government-subsidized contraceptive supplies can in
fact afford to pay and continuing government subsidies in the face of
declining supplies of free contraceptives threatens to deprive the
poorer sectors in the community of their only access to contraception.
Thus, the supply of contraceptives at public health facilities needs to
be improved in terms of volume and allocative efficiency.

Many of the national laws, regulations and policy-based programs needed
to support effective health service delivery at the local level are in
place. Among these laws and policies are the Generic Drugs Act, Pharma
50 (parallel importation), Botika sa Barangay, the Local Government Code
of 1991, the National Health Insurance Act, the Philippine AIDS
Prevention and Control Act of 1998 and its implementing rules and
regulations and the Health Sector Reform Agenda (HSRA), now
re-formulated as the *Four*mula *One* Program of the DOH.

This Agreement will focus on identifying and filling remaining policy,
legal and regulatory gaps in the central support for health.

LGUs look to many national policy-makers for changes which can improve
their financing of health care. The DOH, PHIC and the Department of
Finance (DOF) are among the most prominent policy-makers. DOH
regulations affect LGU financing through, for instance, the setting of
standards for health care and through the relationship between the DOH
and the Centers for Health Development (CHDs). Standards set by the DOH
have to be met through activities financed by LGUs, with little
financial contribution from the national level, and many LGUs would like
more say over the standards and their financial implications.
Expenditure against CHD budgets is controlled by the DOH and so, while
CHDs are able to provide appropriate training services to LGU staff,
they are not able to contribute to small-scale refurbishing of LGU
health facilities in need of repair.

PhilHealth plays an increasingly important role in LGU health financing
but the flow of funding depends crucially on accreditations (generally
found to be a slow process with multiple iterations between the DOH and
PhilHealth) and its ability to reimburse facilities' claims (also found
to be generally slow in starting). The DOF has a policy stance which
opposes concessionary financing for LGUs -- even donor loans to the
national government at favorable rates over long periods are passed on
to LGUs at commercial rates. Municipal Development Fund (MDF) loans come
with a small grant component and therefore constitute a mild concession
in terms of loan cost, but most LGUs find the Fund's procedures too slow
and cumbersome for such loans to be considered. National policy on
limiting employment cost share of LGU budgets is another irritant in a
service-intensive sector like health.

During the last couple of years, the DOH initiated a Health Policy
Steering Committee composed of DOH and its attached agencies with USAID
consultants and resource persons. This committee developed a 10-Point
Policy Agenda which contain major policy concerns in FP/TB/MCH/HIV-AIDS
and decentralization of health services. While the Committee meetings
served as a venue for policy discussion, formulation and revision, its
nature is ad hoc and project-based. There is a need to strengthen a
sustainable health policy process that is evidence-based, reliable and
continuous.

The DOH has crafted a Health Sector Reform Agenda (HSRA), recently
reformulated as *Four*mula One (F1), which outlines, among others, the
DOH's objectives and strategies for health financing, health
regulations, health service delivery and health governance. There is a
need to work with partners on policy concerns directly affecting the
major programs being supported by USAID.

**IV. PROGRAM OF ACTIVITIES**

The activities of the program are:

> 1\. Establish an annual benchmark scale for indicators of achievement
> of Agreement objectives. Since the major element of the work concerns
> review/revision and/or strengthening implementation of policies, the
> indicators may be qualitative rather than quantitative. The benchmark
> scale will track progress in the development, adoption and
> implementation of selected policies that contribute to the improved
> and expanded delivery of information, products and services pertaining
> to FP/MCH/TB-DOTS/HIV-AIDS/other infectious diseases.
>
> 2\. Assist in the formulation, adoption and implementation of selected
> policies that contribute to the improved and expanded delivery of
> information products and services pertaining to
> FP/TB/MCH/HIV-AIDS/other infectious diseases.

3.  Assist the DOH and appropriate agencies to strengthen and
    institutionalize a process for evidence-based health policy
    formulation/strengthening which can be accessed by public and
    private entities and individuals.

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3.  Assist in the conduct of comprehensive assessments of policies,
    programs and activities that influence the financing and
    availability of contraceptives for the family planning program and
    essential commodities for key health services.

4.  Assist duly mandated partners in the conduct of a comprehensive
    assessment of policies, programs and activities (both at the
    national and local levels) that will establish and/or strengthen
    appropriate legal and regulatory policies to promote the provision
    of key services. Make recommendations, conduct relevant studies, and
    assist partners in developing and implementing measures that foster
    improved service delivery.

5.  Assist in the designation of partners in the conduct of a
    comprehensive review and assessment of policies, programs and
    activities that influence the allocation, expenditure and
    utilization of funds to finance the improved and expanded provision
    of key services.

6.  Develop strategies and operational plans to address the
    operationalization of key policy areas in ARMM such as the
    institutional compliance of ARMM LGUs with generic financial
    management and administrative safeguards implemented by the national
    government for LGU compliance, considering that ARMM is autonomous,
    yet LGUs are not entirely devolved; inclusion of ARMM health needs
    in the medium-term public expenditure framework for the health
    sector being developed by the DOH and inclusion of ARMM policy
    concerns in the DOH matrix of policy commitment as part of an
    ongoing sector loan financed by the Asian Development Bank.

**Illustrative Activities:**

> The generic illustrative activities needed to ensure program outcomes
> include, but are not limited to:

1.  Advising partners in identifying policy barriers to as well as
    opportunities for improving and expanding health service delivery.

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1.  Facilitating identification of and working with policymakers and
    stakeholders who are in a position to influence policy change in the
    identified areas.

2.  Developing capacity for advocating for policy change using the
    results and consensus achieved once the case for change has been
    demonstrated.

3.  Assisting partners in the preparation of policy instruments and
    policy implementation plan.

    1.  Assisting partners in strengthening mechanisms or a venue for
        generating issues and ideas as well as building consensus on
        necessary and appropriate policies to improve health service
        delivery.

> Beneath these generic activities lie sub-activities very specific to
> the different policy issues inherent in the outcomes sought above --
> e.g., contraceptive supply, health financing, role of the Interlocal
> Health Zones (ILHZ), etc. Much will be done by LGUs themselves but
> this component focuses on how the Project can assist national
> policy-makers to facilitate change -- for example:
>
> 1\. Developing a standard approach to client segmentation as a basis
> for introducing user fees.
>
> 2\. Working with an array of national stakeholders to help them
> increase awareness among LGU managers of the alternative sources of
> contraceptives for those who can afford to pay.
>
> 3\. Working with other USAID projects at the center -- especially
> PRISM and HPC and the TB project -- to promote policies and activities
> that will help clients understand these new sources of contraceptive
> supply.

4.  Facilitating pooled procurement of contraceptives and other
    commodities by several LGUs.

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4.  Assisting in the development of guidelines covering the operation of
    ILHZs, particularly on matters where national government counterpart
    support will be needed.

5.  Assisting in the promotion of policies providing incentives to local
    health workers. The Project will engage associations of public
    health service providers -- especially RHU nurses and midwives -- to
    develop and advocate for policies that will allow its members to
    share in the proceeds of local health operations. This will require
    coordination with the Civil Service Commission.

6.  Helping to develop policies that will simplify procurement of health
    supplies. The Project will coordinate with other donors -- e.g. the
    European Union and GTZ -- and other USAID projects working with
    relevant national government agencies on the improvement of
    procurement policies.

7.  Helping DOH and PHIC to consolidate and simplify accreditation and
    reimbursement processes in order to speed up financial flows to
    LGUs.

8.  Assisting the Department of Budget and Management craft guidelines
    to operationalize performance-based budgeting principles at the
    local level for health planning.

9.  Exploring opportunities for ear-marking revenues for the health
    sector, especially revenues flowing from taxes on use of 'unhealthy'
    products like alcohol and tobacco.

10. Assisting appropriate ARMM agencies to ensure that LGUs are fully
    covered by policy changes affecting health, in some cases with
    preferential treatment in the light of their weaker health
    performance.

> 12\. Ensuring that a venue or mechanism for debating on policy issues,
> generating ideas, and building consensus on necessary and appropriate
> policies to improve health service delivery is established to ensure
> operations in a sustainable manner.

**ANTICIPATED RESULTS**

> 1\. Benchmark scale for indicators of achievement of program
> objectives and reported on an annual basis. (Annual benchmarks are to
> be developed collaboratively among USAID, Recipient and key partners.)
>
> 2\. The continued allegiance of existing FP users to contraception and
> the continued expansion of the FP program to include new users,
> despite the change in supply arrangements. This will include:
> development of workable strategies for securing contraceptive supplies
> in all LGUs; successful transfer of those who can afford to pay for
> contraceptives from free supplies in the public sector to buying
> contraceptives under a variety of public and private sector schemes;
> diversification of sources of contraceptive supply to the Philippines
> market, so that low-cost, unbranded supplies become more readily
> available.

3.  Greater clarity in the devolved relationship between the DOH, CHDs
    and its attached agencies on one hand and between the CHDs and the
    LGUs on the other, leading to better planning of the LGUs' ability
    to leverage the full range of their capabilities.

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3.  Enhanced utilization and an expanded role for ILHZs as a means of
    compensating for the fragmentation of effort and systems that
    decentralization creates.

4.  Greater national policy support for overcoming intervention-specific
    delivery problems -- such as pharmacies providing TB drugs without
    prescriptions, midwives feeling constrained on giving injections,
    secured financing for HIV-AIDS surveillance and prevention
    activities, other items in the DOH's 10-Point Policy Agenda.

5.  National policies and regulations which impede expansion of funding
    sources for LGU health activities are reviewed and selectively
    amended.

6.  National policies and regulations which reduce the flexibility of
    LGUs in making effective and efficient use of their existing
    financing are reviewed and selectively amended.

7.  Institutional compliance of ARMM LGUs with generic financial
    management and administrative safeguards established and implemented
    by the national government.

8.  Increased concessionary finance available to LGUs in particular
    need, especially those in ARMM with the weakest health indicators.

9.  Inclusion of policy areas under this Agreement in the DOH Policy
    Matrix and/or Policy Agenda (e.g., the DOH-ADB policy agreements).

**VI. ILLUSTRATIVE INDICATORS**

Illustrative indicators associated with these activities and which will
measure progress towards desirable policy change include, but are not
limited to:

1\. Number and proportion of LGUs actually purchasing contraceptive
supplies with their own funds.

> 2\. Accreditation policies for public and private health facilities
> and service providers streamlined.
>
> 3\. Percentage of FP clients paying user fees for contraceptives.
>
> 4\. Funding allocation for essential health services on FP, TB-DOTS,
> MCH, HIV-AIDS and other infectious diseases increased.
>
> 5\. Number of LGUs using contraceptive supply initiatives/mechanisms
> for other essential drugs/ commodities.

6.  Number of LGUs procuring technical assistance services from CHDs and
    other appropriate local institutions.

> 7\. Number of operational ILHZs and the proportion with combined
> health budgets.

7.  Percentage of LGUs with a scorecard and agreed performance targets
    in place.

8.  Percentage of LGUs with a client satisfaction index in use and
    regularly reported.

9.  Number of LGUs that have adopted performance-based budgeting.

10. Number of LGUs which have passed new ordinances to reinforce
    national policies which are only weakly enforced (e.g. covering
    prescriptions and dispensing of essential drugs, financing for
    HIV-AIDS prevention activities, TB DOTS services, etc.)

11. Number of financing schemes for key services that support improved
    access to and quality of essential health services.

12. Policies ensuring labor code provisions making FP, TB-DOTS and MCH
    services available in the workplace strengthened.

13. Policies on manufacturing and drug distribution allowing listing of
    additional essential drugs in the Philippine National Drug Formulary
    and streamlining BFAD registration process strengthened.

14. Executive or legislative issuances to ensure sustained adequate
    financing for essential drugs (e.g. multi-year budgets for TB drugs,
    Vitamin A capsules, contraceptives) are in place.

15. Mechanism for accountability for essential drugs and health services
    installed.

**VII. LIFE OF AGREEMENT**

The period of the Agreement will be from October 1, 2006 to September
30, 2011.

# SECTION D

[]{#CL_URFASEDHD_PH000001 .anchor}

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

**CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS OF RECIPIENT
\[1\]\[2\]**

##  PART I - CERTIFICATIONS AND ASSURANCES

**1. ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING
NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS**

\(a\) The recipient hereby assures that no person in the United States
shall, on the bases set forth below, be excluded from participation in,
be denied the benefits of, or be otherwise subjected to discrimination
under, any program or activity receiving financial assistance from
USAID, and that with respect to the grant for which application is being
made, it will comply with the requirements of:

\(1\) Title VI of the Civil Rights Act of 1964 (Pub. L. 88-352, 42
U.S.C. 2000-d), which prohibits discrimination on the basis of race,
color or national origin, in programs and activities receiving Federal
financial assistance;

\(2\) Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794),
which prohibits discrimination on the basis of handicap in programs and
activities receiving Federal financial assistance;

\(3\) The Age Discrimination Act of 1975, as amended (Pub. L. 95-478),
which prohibits discrimination based on age in the delivery of services
and benefits supported with Federal funds;

\(4\) Title IX of the Education Amendments of 1972 (20 U.S.C. 1681, et
seq.), which prohibits discrimination on the basis of sex in education
programs and activities receiving Federal financial assistance (whether
or not the programs or activities are offered or sponsored by an
educational institution); and

\(5\) USAID regulations implementing the above nondiscrimination laws,
set forth in Chapter II of Title 22 of the Code of Federal Regulations.

\(b\) If the recipient is an institution of higher education, the
Assurances given herein extend to admission practices and to all other
practices relating to the treatment of students or clients of the
institution, or relating to the opportunity to participate in the
provision of services or other benefits to such individuals, and shall
be applicable to the entire institution unless the recipient establishes
to the satisfaction of the USAID Administrator that the institution\'s
practices in designated parts or programs of the institution will in no
way affect its practices in the program of the institution for which
financial assistance is sought, or the beneficiaries of, or participants
in, such programs.

\(c\) This assurance is given in consideration of and for the purpose of
obtaining any and all Federal grants, loans, contracts, property,
discounts, or other Federal financial assistance extended after the date
hereof to the recipient by the Agency, including installment payments
after such date on account of applications for Federal financial
assistance which were 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 DRUG-FREE WORKPLACE REQUIREMENTS**

\(a\) Instructions for Certification

\(1\) By signing and/or submitting this application or grant, the
recipient is providing the certification set out below.

\(2\) The certification set out below is a material representation of
fact upon which reliance was placed when the agency determined to award
the grant. If it is later determined that the recipient knowingly
rendered a false certification, or otherwise violates the requirements
of the Drug-Free Workplace Act, the agency, in addition to any other
remedies available to the Federal Government, may take action authorized
under the Drug-Free Workplace Act.

\(3\) For recipients other than individuals, Alternate I applies.

\(4\) For recipients who are individuals, Alternate II applies.

\(b\) Certification Regarding Drug-Free Workplace Requirements

Alternate I

\(1\) The recipient certifies that it will provide a drug-free workplace
by:

\(A\) Publishing a statement notifying employees that the unlawful
manufacture, distribution, dispensing, possession or use of a controlled
substance is prohibited in the applicant\'s/grantee\'s workplace and
specifying the actions that will be taken against employees for
violation of such prohibition;

\(B\) Establishing a drug-free awareness program to inform employees
about\--

1\. The dangers of drug abuse in the workplace;

2\. The recipient\'s policy of maintaining a drug-free workplace;

3\. Any available drug counseling, rehabilitation, and employee
assistance programs; and

4\. The penalties that may be imposed upon employees for drug abuse
violations occurring in the workplace;

\(C\) Making it a requirement that each employee to be engaged in the
performance of the grant be given a copy of the statement required by
paragraph (b)(1)(A);

\(D\) Notifying the employee in the statement required by paragraph
(b)(1)(A) that, as a condition of employment under the grant, the
employee will\--

1\. Abide by the terms of the statement; and

2\. Notify the employer of any criminal drug statute conviction for a
violation occurring in the workplace no later than five days after such
conviction;

\(E\) Notifying the agency within ten days after receiving notice under
subparagraph (b)(1)(D)1, from an employee or otherwise receiving actual
notice of such conviction;

\(F\) Taking one of the following actions, within 30 days of receiving
notice under subparagraph (b)(1)(D)2., with respect to any employee who
is so convicted\--

1\. Taking appropriate personnel action against such an employee, up to
and including termination; or

2\. Requiring such employee to participate satisfactorily in a drug
abuse assistance or rehabilitation program approved for such purposes by
a Federal, State, or local health, law enforcement, or other appropriate
agency;

\(G\) Making a good faith effort to continue to maintain a drug- free
workplace through implementation of paragraphs (b)(1)(A), (b)(1)(B),
(b)(1)(C), (b)(1)(D), (b)(1)(E) and (b)(1)(F).

\(2\) The recipient shall insert in the space provided below the site(s)
for the performance of work done in connection with the specific grant:

Place of Performance (Street address, city, county, state, zip code)

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Alternate II

The recipient certifies that, as a condition of the grant, he or she
will not engage in the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance in conducting any activity
with the grant.

**3. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, AND OTHER
RESPONSIBILITY MATTERS \-- PRIMARY COVERED TRANSACTIONS \[3\]**

\(a\) Instructions for Certification

1\. By signing and submitting this proposal, the prospective primary
participant is providing the certification set out below.

2\. The inability of a person to provide the certification required
below will not necessarily result in denial of participation in this
covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out below.
The certification or explanation will be considered in connection with
the department or agency\'s determination whether to enter into this
transaction. However, failure of the prospective primary participant to
furnish a certification or an explanation shall disqualify such person
from participation in this transaction.

3\. The certification in this clause is a material representation of
fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for
cause or default.

4\. The prospective primary participant shall provide immediate written
notice to the department or agency to whom this proposal is submitted if
at any time the prospective primary participant learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.

5\. The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
\"ineligible,\" lower tier covered transaction,\" \"participant,\"
\"person,\" \"primary covered transaction,\" \"principal,\"
\"proposal,\" and \"voluntarily excluded,\" as used in this clause, have
the meaning set out in the Definitions and Coverage sections of the
rules implementing Executive Order 12549. \[4\] You may contact the
department or agency to which this proposal is being submitted for
assistance in obtaining a copy of those regulations.

6\. The prospective primary participant agrees by submitting this
proposal that, should the proposed covered transaction be entered into,
it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
transaction.

7\. The prospective primary participant further agrees by submitting
this proposal that it will include the clause titled \"Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion\--Lower Tier Covered Transaction,\" \[5\] provided by the
department or agency entering into this covered transaction, without
modification, in all lower tier covered transactions and in all
solicitations for lower tier covered transactions.

8\. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that it
is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is
erroneous. A participant may decide the methods and frequency by which
it determines the eligibility of its principals. Each participant may,
but is not required to, check the Nonprocurement List.

9\. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
dealing.

10\. Except for transactions authorized under paragraph 6 of these
instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for
cause or default.

\(b\) Certification Regarding Debarment, Suspension, and Other
Responsibility Matters\--Primary Covered Transactions

\(1\) The prospective primary participant certifies to the best of its
knowledge and belief, the it and its principals:

\(A\) Are not presently debarred, suspended, proposed for debarment,
declared ineligible, or voluntarily excluded from covered transactions
by any Federal department or agency;

\(B\) Have not within a 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, or receiving stolen property;

\(C\) Are not 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) of this
certification;

\(D\) Have not within a three-year period proceeding this
application/proposal had one or more public transactions (Federal, State
or local) terminated for cause or default.

\(2\) Where the prospective primary participant is unable to certify to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.

**4. 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 grant, 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.

**5. PROHIBITION ON ASSISTANCE TO DRUG TRAFFICKERS FOR COVERED COUNTRIES
AND INDIVIDUALS (ADS 206)**

USAID reserves the right to terminate this \[Agreement/Contract\], to
demand a refund or take other appropriate measures if the \[Grantee/
Contractor\] 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
certification are required for Key Individuals or Covered Participants.

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate
assistance to, or take 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.

The recipient has reviewed and is familiar with the proposed grant
format and the applicable regulations, and takes exception to the
following (use a continuation page as necessary):

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Solicitation No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application/Proposal No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application/Proposal
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Recipient
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Typed Name and Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Date \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\[1\] FORMATS\\GRNTCERT: Rev. 06/16/97 (ADS 303.6, E303.5.6a) \[2\] When
these Certifications, Assurances, and Other Statements of Recipient are
used for cooperative agreements, the term \"Grant\" means \"Cooperative
Agreement\". \[3\] The recipient must obtain from each identified
subgrantee and (sub)contractor, and submit with its
application/proposal, the Certification Regarding Debarment, Suspension,
Ineligibility and Voluntary Exclusion \-- Lower Tier Transactions, set
forth in Attachment A hereto. The recipient should reproduce additional
copies as necessary. \[4\] See ADS Chapter E303.5.6a, 22 CFR 208,
Annex1, App A. \[5\] For USAID, this clause is entitled \"Debarment,
Suspension, Ineligibility, and Voluntary Exclusion (March 1989)\" and is
set forth in the grant standard provision entitled \"Debarment,
Suspension, and Related Matters\" if the recipient is a U.S.
nongovernmental organization, or in the grant standard provision
entitled \"Debarment, Suspension, and Other Responsibility Matters\" if
the recipient is a non-U.S. nongovernmental organization.

## PART II - 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. CONTRACTOR IDENTIFICATION NUMBER - 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 QUANTITY ESTIMATED UNIT COST

(Generic)

\(d\) 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, 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. \"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 does 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/ QUANTITY EST. GOODS PROBABLE GOODS PROBABLE

DESCRIPTION UNIT COMPONENTS SOURCE COMPONENTS ORIGIN

(Generic) COST

\(e\) 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/ QUANTITY ESTIMATED PROBABLE PROBABLE INTENDED

DESCRIPTION UNIT COST SOURCE ORIGIN USE

(Generic)

\(f\) 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/ QUANTITY ESTIMATED PROBABLE NATIONALITY RATIONALE

DESCRIPTION UNIT COST SUPPLIER for

(Generic) (Non-US Only) 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 QUANTITY ESTIMATED PROPOSED DISPOSITION

(Generic) UNIT COST

**6. PAST PERFORMANCE REFERENCES**

On a continuation page, please provide a list of the ten most current
U.S. Government and/or privately-funded contracts, grants, cooperative
agreements, etc., and the name, address, and telephone number of the
Contract/Agreement Officer or other contact person.

**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.

Attachment A

##  CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS

\(a\) Instructions for Certification

1\. By signing and submitting this proposal, the prospective lower tier
participant is providing the certification set out below.

2\. The certification in this clause is a material representation of
fact upon which reliance was placed when this transaction was entered
into. If it is later determined that the prospective lower tier
participant knowingly rendered an erroneous certification, in addition
to other remedies available to the Federal Government, the department or
agency with which this transaction originated may pursue available
remedies, including suspension and/or debarment.

3\. The prospective lower tier participant shall provide immediate
written notice to the person to which this proposal is submitted if at
any time the prospective lower tier participant learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.

4\. The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
ineligible, \"lower tier covered transaction,\" \"participant,\"
\"person,\" \"primary covered transaction,\" \"principal,\"
\"proposal,\" and \"voluntarily excluded,\" as used in this clause, has
the meanings set out in the Definitions and Coverage sections of rules
implementing Executive Order 12549. 1/ You may contact the person to
which this proposal is submitted for assistance in obtaining a copy of
those regulations.

5\. The prospective lower tier participant agrees by submitting this
proposal that, should the proposed covered transaction be entered into,
it shall not knowingly enter into any lower tier covered transaction
with a person who is debarred, suspended, declared ineligible, or
voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this
transaction originated.

6\. The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause titled \"Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion\--Lower Tier covered Transaction,\" 2/ without modification,
in all lower tier covered transactions and in all solicitations for
lower tier covered transactions.

7\. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that it
is not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it
determines the eligibility of its principals. Each participant may, but
is not required to, check the Non procurement List.

8\. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
dealings.

9\. Except for transactions authorized under paragraph 5 of these
instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency with which this transaction
originated may pursue available remedies, including suspension and/or
debarment.

\(b\) Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion\--Lower Tier Covered Transactions

\(1\) The prospective lower tier participant certifies, by submission of
this proposal, that neither it nor its principals is presently debarred,
suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal
department or agency.

\(2\) Where the prospective lower tier participant is unable to certify
to any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.

Solicitation No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application/Proposal No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application/Proposal
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of Applicant/Subgrantee
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Typed Name and Title
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

1/ See ADS Chapter 303, 22 CFR 208.

2/ For USAID, this clause is entitled \"Debarment, Suspension,
Ineligibility, and Voluntary Exclusion (March 1989)\" and is set forth
in the USAID grant standard provision for U.S. nongovernmental
organizations entitled \"Debarment, Suspension, and Related Matters\"
(see ADS Chapter 303), or in the USAID grant standard provision for
non-U.S. nongovernmental organizations entitled \"Debarment, Suspension,
and Other Responsibility Matters\" (see ADS Chapter 303).

## 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.

## 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.

FORMATS\\GRNTCERT: Rev. 06/16/97 (ADS 303.6, E303.5.6a) When these
Certifications, Assurances, and Other Statements of Recipient are used
for cooperative agreements, the term \"Grant\" means \"Cooperative
Agreement\". The recipient must obtain from each identified subgrantee
and (sub)contractor, and submit with its application/proposal, the
Certification Regarding Debarment, Suspension, Ineligibility and
Voluntary Exclusion \-- Lower Tier Transactions, set forth in Attachment
A hereto. The recipient should reproduce additional copies as necessary.
See ADS Chapter E303.5.6a, 22 CFR 208, Annex1, App A. For USAID, this
clause is entitled \"Debarment, Suspension, Ineligibility, and Voluntary
Exclusion (March 1989)\" and is set forth in the grant standard
provision entitled \"Debarment, Suspension, and Related Matters\" if the
recipient is a U.S. nongovernmental organization, or in the grant
standard provision entitled \"Debarment, Suspension, and Other
Responsibility Matters\" if the recipient is a non-U.S. nongovernmental
organization.

## CERTIFICATION REGARDING MATERIAL SUPPORT AND RESOURCES

As a condition of entering into the referenced agreement,
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ hereby certifies that it has
not provided and will not provide material support or resources to any
individual or entity that it knows, or has reason to know, is an
individual or entity that advocates, plans, sponsors, engages in, or has
engaged in terrorist activity, including but not limited to the
individuals and entities listed in the Annex to Executive Order 13224
and other such individuals and entities that may be later designated by
the United States under any of the following authorities: § 219 of the
Immigration and Nationality Act, as amended (8 U.S.C. § 1189), the
International Emergency Economic Powers Act (50 U.S.C. § 1701 et seq.),
the National Emergencies Act (50 U.S.C. § 1601 et seq.), or §
212(a)(3)(B) of the Immigration and Nationality Act, as amended by the
USA Patriot Act of 2001, Pub. L. 107-56 (October 26, 2001)(8 U.S.C.
§1182). \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ further certifies
that it will not provide material support or resources to any individual
or entity that it knows, or has reason to know, is acting as an agent
for any individual or entity that advocates, plans, sponsors, engages
in, or has engaged in, terrorist activity, or that has been so
designated, or will immediately cease such support if an entity is so
designated after the date of the referenced agreement.

For purposes of this certification, \"material support and resources\"
includes currency or other financial securities, financial services,
lodging, training, safe houses, false documentation or identification,
communications equipment, facilities, weapons, lethal substances,
explosives, personnel, transportation, and other physical assets, except
medicine or religious materials.

For purposes of this certification, \"engage in terrorist activity\"
shall have the same meaning as in section 212(a)(3)(B)(iv) of the
Immigration and Nationality Act, as amended (8 U.S.C. § 1182(a)(3)(B)
(iv)).

For purposes of this certification, \"entity\" means a partnership,
association, corporation, or other organization, group, or subgroup.

This certification is an express term and condition 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.

Signature:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTICE:

If you make a false Certification you are subject to U.S. criminal
prosecution under 18 U.S.C. 1001.

##   {#section-6 .unnumbered}

## PART III -- STANDARD PROVISIONS AND OTHER REQUIREMENTS

**1. implementation of E.O. 13224 - Executive Order on Terrorist
Financing:**

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 contractor/recipient to ensure compliance
with these Executive Orders and laws. This provision must be included in
all subcontracts/sub-awards issued under this contract/agreement.

**2. REVISED REGULATIONS CONCERNING DEBARMENT AND SUSPENSION AND
DRUG-FREE WORKPLACE APPLICABLE TO ASSISTANCE**

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

\(1\) The recipient agrees to notify the Agreement Officer immediately
upon learning that it or any of its principals:

\(a\) Are presently excluded or disqualified from covered transactions
by any Federal department or agency;

\(b\) Have been convicted within the preceding three-years 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;

\(c\) 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

\(d\) Have had one or more public transactions (Federal, State, or
local) terminated for cause or default within the preceding three years.

\(2\) 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:

**B. 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.

\(3\) The policies and procedures applicable to debarment, suspension,
and ineligibility under USAID-financed transactions are set forth in 22
CFR Part 208.

**C. DRUG-FREE WORKPLACE (JANUARY 2004)**

\(1\) 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:

\(a\) Tell the employees that the unlawful manufacture, distribution,
dispensing, possession, or use of a controlled substance is prohibited
in its workplace;

\(b\) Specify the actions the recipient will take against employees for
violating that prohibition; and

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

\(1\) Must abide by the terms of the statement, and

> \(2\) 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.

\(2\) The recipient agrees that it will establish an ongoing drug-free
awareness program to inform employees about

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

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

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

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

\(3\) 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.

\(4\) 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.

\(5\) Within 30 calendar days of learning about an employee's
conviction, the recipient must either

> \(a\) 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
>
> \(b\) 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.

\(6\) The policies and procedures applicable to violations of these
requirements are set forth in 22 CFR Part 210.

**3. Anti-Trafficking Activities \-- Limitation on the Use of Funds;
Restriction on Organizations Promoting, Supporting or Advocating
Prostitution:**

> **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 sub-recipients, 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.
>
> **PROHIBITION ON THE USE OF FEDERAL FUNDS TO PROMOTE, SUPPORT, OR
> ADVOCATE FOR THE LEGALIZATION OR PRACTICE OF PROSTITUTION - ASSISTANCE
> (JULY 2004)**
>
> \(a\) The U.S. Government is opposed to prostitution and related
> activities, which are inherently harmful and dehumanizing, and
> contribute to the phenomenon of trafficking in persons. None of the
> funds made available under this agreement may be used to promote,
> support, or advocate the legalization or practice of prostitution.
> Nothing in the preceding sentence shall be construed to preclude
> assistance designed to ameliorate the suffering of, or health risks
> to, victims while they are being trafficked or after they are out of
> the situation that resulted from such victims being trafficked.
>
> \(b\) \[This subsection (b) only applies to foreign non-governmental
> organizations and PIOs receiving U.S. Government funds to carry out
> programs that target victims of severe forms of trafficking as either
> prime awardees or subawardees.\]
>
> \(1\) For programs that target victims of severe forms of trafficking,
> as a condition of entering into this agreement or subagreement, the
> recipient/subrecipient agrees that in its activities outside of the
> United States and its possessions it does not promote, support, or
> advocate the legalization or practice of prostitution. The preceding
> sentence shall not apply to organizations that provide services to
> individuals solely after they are no longer engaged in activities that
> resulted from such victims being trafficked.

\(2\) The following definitions apply for purposes of this clause:

> **FOREIGN NON-GOVERNMENTAL ORGANIZATION** -- The term "foreign
> non-governmental organization" means an entity that is not organized
> under the laws of any State of the United States, the District of
> Columbia or the Commonwealth of Puerto Rico.
>
> **SEVERE FORMS OF TRAFFICKING IN PERSONS**. \-- The term ''severe
> forms of trafficking in persons'' means---
>
> \(A\) sex trafficking in which a commercial sex act is induced by
> force, fraud, or coercion, or in which the person induced to perform
> such act has not attained 18 years of age; or
>
> \(B\) the recruitment, harboring, transportation, provision, or
> obtaining of a person for labor or services, through the use of force,
> fraud, or coercion for the purpose of subjection to involuntary
> servitude, peonage, debt bondage, or slavery.
>
> \(c\) The recipient shall insert this provision in all sub-agreements
> under this award.
>
> \(d\) This provision includes express terms and conditions of the
> agreement and any violation of it shall be grounds for unilateral
> termination, in whole or in part, of the agreement by USAID prior to
> the end of its term.

**4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING E.O.
13224**

Certification

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.

Signed:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

(Typed Name and Title) Date

(Name of Organization)

# 

# 

#  

# 

**5. SUPPORTING USAID'S DISABILITY POLICY IN CONTRACTS, GRANTS AND
COOPERATIVE AGREEMENTS**

**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://www.usaid.gov/about/disability/DISABPOL.FIN.html>.
>
> \(b\) 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.

**6. 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
(ASSISTANCE) (JUNE 2005)**

**ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (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 combatting 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.

**CONDOMS (ASSISTANCE) (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/condomfactsheet.html"

**PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR
PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (ASSISTANCE) (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)

**CERTIFICATION**

This certification requirement only applies to the prime recipient.
Before a U.S. or non-U.S. non-governmental organization receives
FY-04-FY-08 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."

**7. REVISED STANDARD PROVISIONS FOR NON-GOVERNMENTAL ORGANIZATIONS**

> **APPLICABILITY OF 22 CFR PART 226 (MAY 2005)**
>
> \(a\) All provisions of 22 CFR 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 subrecipients 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
    Non-governmental Grantees." Recipients are required to ensure
    compliance with sub-recipient monitoring procedures in accordance
    with OMB Circular A-133.

##### 8. MARKING UNDER ASSISTANCE INSTRUMENTS

**I. 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]{.underline}**

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

[Guidelines:]{.underline} 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]{.underline}**

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

[Guidelines:]{.underline} 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:]{.underline} These include training materials, posters,
pamphlets, Public Service Announcements, billboards, websites, and so
forth.

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

[Guidelines:]{.underline} *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:]{.underline} 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:]{.underline} 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]{.underline}**

*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:]{.underline}** 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 from technical experts while performing the evaluation.

**II. 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)]{.underline}. 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)]{.underline}. 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)]{.underline}. 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)]{.underline}. 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)]{.underline}. USAID marking requirements may
not apply if they would 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)]{.underline}. USAID marking requirements
may not apply if they would conflict with international law (22 C.F.R.
226.91(h)(7)).

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

\(c\) **Submission Requirements**.

The Marking Plan will include the following:

> \(1\) A description of the public communications, commodities, and
> program materials that the recipient will be produced as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity. These include:
>
> \(i\) program, project, or activity sites funded by USAID, including
> visible infrastructure projects or other programs, projects, or
> activities that are physical in nature;
>
> \(ii\) technical assistance, studies, reports, papers, publications,
> audio-visual productions, public service announcements, Web
> sites/Internet activities and other promotional, informational, media,
> or communications products funded by USAID;
>
> \(iii\) events financed by USAID, such as training courses,
> conferences, seminars, exhibitions, fairs, workshops, press
> conferences, and other public activities; and (iv) all commodities
> financed by USAID, including commodities or equipment provided under
> humanitarian assistance or disaster relief programs, and all other
> equipment, supplies and other materials funded by USAID, and their
> export packaging.
>
> \(2\) A table specifying:

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

> \(ii\) the type of marking and what materials the applicant will be
> used to mark the program deliverables with the USAID Identity, and
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking.
>
> \(3\) A table specifying:
>
> \(i\) what program deliverables will not be marked with the USAID
> Identity, and (ii) the rationale for not marking these program
> deliverables.

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

> \(1\) The Apparently Successful Applicant may request a Presumptive
> Exception as part of the overall Marking Plan submission. To request a
> Presumptive Exception, the Apparently Successful Applicant must
> identify which Presumptive Exception applies, and state why, in light
> of the Apparently Successful Applicant's technical proposal and in the
> context of the program description or program statement in the USAID
> Request For Application or Annual Program Statement, marking
> requirements should not be required.
>
> \(2\) Specific guidelines for addressing each Presumptive Exception
> are:
>
> \(i\) For Presumptive Exception (i), identify the USAID Strategic
> Objective, Interim Result, or program goal furthered by an appearance
> of neutrality, or state why the program, project, activity, commodity,
> or communication is 'intrinsically neutral.' Identify, by category or
> deliverable item, examples of program materials funded under the award
> for which you are seeking exception 1.
>
> \(ii\) For Presumptive Exception (ii), state what data, studies, or
> other deliverables will be produced under the USAID funded award, and
> explain why the data, studies, or deliverables must be seen as
> credible.
>
> \(iii\) For Presumptive Exception (iii), identify the item or media
> product produced under the USAID funded award, and explain why each
> item or product, or category of item and product, is better positioned
> as an item or product produced by the cooperating country government.
>
> \(iv\) For Presumptive Exception (iv), identify the item or commodity
> to be marked, or categories of items or commodities, and explain how
> marking would impair the item's or commodity's functionality.

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

> \(vi\) For Presumptive Exception (vi), identify the relevant cultural
> or social norm, and explain why marking would violate that norm or
> otherwise be inappropriate.
>
> \(vii\) For Presumptive Exception (vii), identify the applicable
> international law violated by marking.
>
> \(3\) The Agreement Officer will review the request for adequacy and
> reasonableness.
>
> In consultation with the Cognizant Technical Officer and other agency
> personnel as necessary, the Agreement Officer will approve or
> disapprove the requested Presumptive Exception. Approved exceptions
> will be made part of the approved Marking Plan, and will apply for the
> term of the award, unless provided otherwise.

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

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

**(a) Definitions**

> ***Commodities*** mean any material, article, supply, goods or
> equipment, excluding recipient offices, vehicles, and non-deliverable
> items for recipient's internal use, in administration of the USAID
> funded grant, cooperative agreement, or other agreement or
> sub-agreement.
>
> ***Principal Officer*** means the most senior officer in a USAID
> Operating Unit in the field, e.g., USAID Mission Director or USAID
> Representative. For global programs managed from Washington but
> executed across many countries, such as disaster relief and assistance
> to internally displaced persons, humanitarian emergencies or immediate
> post conflict and political crisis response, the Cognizant Principal
> Officer may be an Office Director, for example, the Directors of
> USAID/W/Office of Foreign Disaster Assistance and Office of Transition
> Initiatives. For non-presence countries, the 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.
>
> ***Sub-recipient*** means any person or government (including
> cooperating country government) department, agency, establishment, or
> for profit or nonprofit organization that receives a USAID sub-award,
> as defined in 22 C.F.R. 226.2.
>
> ***Technical Assistance*** means the provision of funds, goods,
> services, or other foreign assistance, such as loan guarantees or food
> for work, to developing countries and other USAID recipients, and
> through such recipients to sub-recipients, in direct support of a
> development objective -- as opposed to the internal management of the
> foreign assistance program.
>
> ***USAID Identity (Identity)*** means the official marking for the
> United States Agency for International Development (USAID), comprised
> of the USAID logo or seal and new brandmark, with the tagline that
> clearly communicates that our assistance is "from the American
> people." The USAID Identity is available on the USAID website at
> www.usaid.gov/branding and USAID provides it without royalty, license,
> or other fee to recipients of USAID-funded grants, or cooperative
> agreements, or other assistance awards.

**(b) Marking of Program Deliverables**

> \(1\) All recipients must mark appropriately all overseas programs,
> projects, activities, public communications, and commodities partially
> or fully funded by a USAID grant or cooperative agreement or other
> assistance award or sub-award with the USAID Identity, of a size and
> prominence equivalent to or greater than the recipient's, other
> donor's, or any other third party's identity or logo.
>
> \(2\) The Recipient will mark all program, project, or activity sites
> funded by USAID, including visible infrastructure projects (for
> example, roads, bridges, buildings) or other programs, projects, or
> activities that are physical in nature (for example, agriculture,
> forestry, water management) with the USAID Identity. The Recipient
> should erect temporary signs or plaques early in the construction or
> implementation phase. When construction or implementation is complete,
> the Recipient must install a permanent, durable sign, plaque or other
> marking.
>
> \(3\) The Recipient will mark technical assistance, studies, reports,
> papers, publications, audio-visual productions, public service
> announcements, Web sites/Internet activities and other promotional,
> informational, media, or communications products funded by USAID with
> the USAID Identity.
>
> \(4\) 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.
>
> \(9\) Sub-recipients. To ensure that the marking requirements "flow
> down\'\' to sub-recipients of sub-awards, recipients of USAID funded
> grants and cooperative agreements or other assistance awards will
> include the USAID-approved marking provision in any USAID funded
> sub-award, as follows: *"As a condition of receipt of this sub-award,
> marking with the USAID Identity of a size and prominence equivalent to
> or greater than the recipient's, sub-recipient's, other donor's or
> third party's is required. In the event the recipient chooses not to
> require marking with its own identity or logo by the sub-recipient,
> USAID may, at its discretion, require marking by the sub-recipient
> with the USAID Identity."*
>
> \(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
> funded by USAID, in which the content has not been approved by USAID,
> must contain the following disclaimer: *"This
> study/report/audio/visual/other information/media product (specify) is
> made possible by the generous support of the American people through
> the United States Agency for International Development (USAID). The
> contents are the responsibility of \[insert recipient name\] and do
> not necessarily reflect the views of USAID or the United States
> Government."*
>
> \(11\) The recipient will provide the Cognizant Technical Officer
> (CTO) or other USAID personnel designated in the grant or cooperative
> agreement with two copies of all program and communications materials
> produced under the award. In addition, the recipient will submit one
> electronic or one hard copy of all final documents to USAID's
> Development Experience Clearinghouse.

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

> \(1\) When the grant or cooperative agreement contains an approved
> Marking Plan, the recipient will implement the requirements of this
> provision following the approved Marking Plan.
>
> \(2\) When the grant or cooperative agreement does not contain an
> approved Marking Plan, the recipient will propose and submit a plan
> for implementing the requirements of this provision within **45 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 sub-awards unless
> specified otherwise. The waiver may also include the removal of USAID
> markings already affixed, if circumstances warrant.
>
> \(5\) Determinations regarding waiver requests are subject to appeal
> to the Principal Officer's Cognizant Assistant Administrator. The
> recipient may appeal by submitting a written request to reconsider the
> Principal Officer's waiver determination to the Cognizant Assistant
> Administrator.

**(e) Non-retroactivity.** The requirements of this provision do apply
to any materials, events, or commodities produced prior to January 2,
2006. The requirements of this provision do not apply to program,
project, or activity sites funded by USAID, including visible
infrastructure projects (For example, roads, bridges, buildings) or
other programs, projects, or activities that are physical in nature (for
example, agriculture, forestry, water management) where the construction
and implementation of these are complete prior to January 2, 2006 and
the period of the grant does not extend past January 2, 2006.