**Issuance Date: January 29, 2009**

**Closing Date: February 27, 2009**

**Deadline for Questions: February 10, 2009**

**Closing Time: 4.00 p.m (Uganda-Kampala Time)**

**Subject: Request for Applications RFA Number 617-09-005**

> **Community Based HIV/AIDS Prevention, Care and Support**

Dear Prospective Applicants:

The United States Agency for International Development (USAID) is
seeking applications from eligible and qualified local Non-U.S
Organizations and Institutions in the East Africa Region that interested
in implementing a program to improve HIV/AIDS prevention, care and
support services with a focus on community based approaches through non
governmental organizations (NGOs) and community based outreaches and
complements initiatives in public sector where appropriate.

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

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".

This is a limited competition, under which only local and regional
(indigenous) organizations, large or small commercial (for profit)
firms, faith-based, and non-profit organizations in partnerships or
consortia, from Uganda and East African Region, are eligible to compete.
To be eligible, organizations must be independently owned, operated and
managed within the East Africa Region, must have its headquarters
located in the Region, must be licensed or incorporated under the laws
of one of the countries in the region, and must have a majority of it's
assets in the Region. The East African Region consists of the countries
of Burundi, Democratic Republic of the Congo, Djibouti, Ethiopia,
Eritrea, Kenya, Rwanda, Somalia, Sudan Tanzania, and Uganda. In
accordance with the Federal Grants and Cooperative Agreement Act, USAID
encourages competition in order to identify and fund the best possible
applications to achieve program objectives in the program description.
Small NGOs may pair with one or more partners if they wish, and appear
in several applications. USAID encourages applications from potential
new partners.

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 Cooperative
Agreement.

Subject to the availability of funds, USAID intends to award one
cooperative agreement and provide approximately \$22,000,000 in total
USAID funding to be allocated over a five (5) year period.

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

**Section A: Program Description**

**Section B: Award and Administration Information**

**Section C: Grant Application and Submission Instructions**

**Section D: Evaluation Criteria and Selection Process**

**Section E: Required Certifications Assurances and Other Statements of
the Recipient**

**Section F: Mandatory Standard Provisions**

**Forms: - Survey on Ensuring and Equal Opportunity for Applicants**

**- Application for Assistance form SF -- 424**

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

**REQUIRED USAID Certifications, Assurances and**

**Other Statements of the Recipient:**

[ELECTRONIC SUBMISSION OF APPLICATIONS IS REQUIRED]{.underline}. Please
submit your applications by email, up to 5 attachments (2MB limit) per
email compatible with MS WORD, PDF, and Excel in a MS Windows
environment, to all of the email addresses below. Receipt by any one of
these two addresses before the closing date and time will constitute
timely receipt of this RFA. RECEIPT TIME IS WHEN THE APPLICATION IS
RECEIVED BY THE USAID/W INTERNET SERVER.

The addresses for the receipt of proposals are:

1)  Godfrey Kyagaba at: <gkyagaba@usaid.gov>, Primary Contact

2)  Sam Nagwere at <snagwere@usaid.gov>, Secondary Contact

**Applicants are encouraged to obtain confirmation of receipt of the
applications.**

Hard copies of the applications are NOT required and will NOT be
accepted.

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

After you have sent your applications by email, please immediately check
your own email to confirm that the attachments you intended to send were
indeed sent. If you discover an error in your transmission, please send
the material again and note in the subject line of the email that it is
a \"corrected\" submission. Please do not wait for USAID to advise you
that certain documents intended to be sent were not sent, or that
certain documents contained errors in formatting, missing sections, etc.
Each applicant is responsible for its submissions, so please inspect
your own emails.

Please do not send the same email to us more than one time unless there
has been a change, and if so, please note that it is a corrected email.
If you send multiple copies of the same email, we do not know if there
has been any change from one email to the next.

If you send your application by multiple emails, please indicate in the
subject line of the email whether the email relates to the technical or
cost proposal, and the desired sequence of multiple emails (if more than
one is sent) and of attachments (e.g. \"no. 1 of 4\", etc.). For
example, if your organization\'s name is ABXY Consulting, and your cost
proposal is divided and being sent in as two emails, the first email
should have a subject line which says: \"ABXY, Cost Proposal, Part 1 of
2\". If you do not do this clearly, we may not be sure of the correct
order of the separate parts of your application. Our preference would be
that each technical and each cost proposal be submitted as a single
email attachment, e.g. that you consolidate the various parts of a
technical proposal into a single document before sending it. But if this
is not possible, please provide instructions on how the multiple parts
are supposed to fit together, especially the sequence. What is obvious
to you as the preparer of the document may not be obvious to us. Your
application may not get optimal treatment if we are confused regarding
the order and composition of your application.

Your organization should appoint one person to send email submissions.
If we receive email submissions from more than one person in your
organization, we do not know who the authorized person is, and we cannot
tell whether there has been a change from one email to the next without
considerable effort on our part. Applicants should retain for their
records one copy of the application package.

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

Any questions concerning this RFA should be submitted in writing to
Godfrey Kyagaba at <gkyagaba@usaid.gov> (Primary Contact) and Samuel
Nagwere at <snagwere@usaid.gov> (Secondary Contact) not later than
**February 10, 2009**. Answers to questions and any additional
information regarding this RFA will be furnished through an amendment to
this RFA and posted on [www.grants.gov](http://www.grants.gov/).

Thank you for your interest in USAID programs.

Sincerely,

//signed//

Bruce McFarland

Agreement Officer

USAID/Uganda

**Table of Contents**

**SECTION Page**

LIST OF ACRYNOMS 5

A -- PROGRAM DESCRIPTION 7

B -- AWARD AND ADMINISTRATION INFORMATION 13

C -- GRANT APPLICATION AND SUBMISSION INSTRUCTIONS 13

> **I. General Application Preparation Guidelines 13**
>
> **II. Technical Application Guidelines 14**
>
> **III. Cost Application Format 20**
>
> IV\. Cooperative Agreement Award 22
>
> V. Authority to Obligate the Agreement 23

D -- EVALUATION CRITERIA AND SELECTION PROCESS 24

E -- REQUIRED USAID CERTIFICATIONS, ASSURANCES AND OTHER

STATEMENTS OF THE RECIPIENT 26

**- PART I. CERTIFICATION AND ASSURANCES 26**

**- PART II. OTHER STATEMENTS OF RECIPIENT 38**

**F -- STANDARD PROVISIONS AND OTHER REQUIREMENTS 41**

FORMS:

a\) Survey on Ensuring Equal Opportunity for Applicants 60

b\) Application for Federal Assistance, SF424 62

**List of Acronyms**

> AIDS Acquired Immunodeficiency Syndrome

AIM AIDS Integrated Model

AOTR Agreement Officer's Technical Representative

ART Anti Retroviral Therapy

ARV Anti-Retroviral Drugs

CBO Community Based Organization

CSO Civil Society Organizations

CT Counseling and Testing

FBO Faith Based Organizations

EP Emergency Plan

GIPA Greater Involvement of People with HIV/AIDS

GOU Government of Uganda

HCT HIV Counseling and Testing

HSSPII Health Sector Strategic Plan II

IRCU Inter-Religious Council of Uganda

JCRC Joint Clinical Research center

LRA The Lord Resistance Army

MACA Multi-sectoral Approach to Control of HIV/AIDS

MEEP Monitoring and Evaluation of the Emergency Plan Progress

MGLSD Ministry of Gender, Labor and Social Development

MOH Ministry of Health

MOLG Ministry of Local Government

NSP National Strategic Plan

NGO Non Government Organization

NOP National Operational Plan

NSF National Strategic Framework

NSPPI National Strategic Program Plan of Implementation

HSSP Health Sector Strategic Plan.

OVC Orphan and Vulnerable Children

PEPFAR President\'s Emergency Plan for AIDS Relief

PEAP Poverty Eradication Action Plan

PMP Performance Monitoring Plan

PMTCT Prevention of Mother to Child Transmission

PHAs Persons with HIV/AIDS

PRDP Recovery and Development Plan for Northern Uganda

RFA Request for Application

SGBV Sexual and Gender Based Violence

SO Strategic Objective

STI Sexually Transmitted Infections

TASO The AIDS Support Organization

TB Tuberculosis

UAC Uganda AIDS Commission

UBOS Uganda Bureau of Statistics

USG United States Government

UNICEF United Nations Children Fund

UPHOLD Uganda Program for Human and Holistic

USAID Development United States Agency for International Development

WHO World Health Organization

VCT Voluntary Counseling and Testing

# SECTION A - PROGRAM DESCRIPTION

**COMMUNITY BASED HIV/AIDS PREVENTION, CARE AN SUPPORT**

**A.1 Summary**

USAID/Uganda anticipates making a five year award of approximately \$22
million. The recipient will be responsible for improving HIV/AIDS
prevention, care and support services with a focus on community based
approaches through non governmental organizations (NGOs) and community
outreaches, and complement initiatives in public sector where
appropriate. This activity will build on lessons learned and good
practices implemented through USAID and other donor supported HIV/AIDS
programs. The activity will improve access to essential HIV/AIDS care
and support services including: social, psychological, and clinical
care; HIV prevention with emphasis on sexual prevention, STI management,
partner notification, and integration with family planning services.
Working within the framework on the National Strategic Program Plan of
Implementation (NSPPI), the activity will have significant emphasis on
linking orphans and vulnerable children (OVC) to HIV/AIDS services. The
successful applicant will promote national policy and guidelines that
will advance HIV/AIDS prevention, care and support and OVC in Uganda.

This RFA is a follow-on to USAID support to HIV/AIDS prevention, care
and support activities through its cooperative agreement with The AIDS
Support Organization (TASO). This activity will include at a minimum,
the 11 districts hosting TASO centers and their catchment areas. By
doing so, this activity will ensure consistent availability of
prevention and life saving services to the existing clients while
availing resources for new clients in the same or expanded geographic
coverage. The successful applicant will increase access to
aforementioned services by building capacity of other NGOs, Faith Based
Organizations (FBO) and private sector providers.

This activity will build on lessons learned during two decades of an
international HIV/AIDS response and the outstanding leadership by
Ugandan civil society organizations in the nation's HIV/AIDS response.
Credible, innovative and capable indigenous organizations within Uganda
are encouraged to apply individually or as consortia with well defined
roles and value added.

**A.2 Introduction and Background**

Uganda has a population of 28 million people, with 85 percent of the
population living in rural areas. The country has had considerable
success in reducing the prevalence of HIV/AIDS over the past 15 years
from a national average of around 18 percent (up to 30 percent in
selected urban antenatal clinics) to the current level of 6.4 percent.
However, despite initial successes of the late 1980s and early 1990s,
the decline in prevalence has stagnated over the past five years and no
longer shows a downward tendency. Available data and analyses highlight
that sexual transmission accounts for 76% of all new infections,
followed by mother to child transmission at 22%. Women, urban dwellers
and those living in the conflict regions are the most severely affected.
Approximately 1.1 million Ugandans are HIV positive, of which
approximately 100,000 are children under the age of 18. Forty percent of
adults who are HIV positive have an HIV negative spouse.

The prolonged armed conflict in Northern Uganda has had a devastating
effect on the lives of Ugandans. It has created large groups of
internally displaced persons, and negatively affected the health and
social infrastructure, which continues to pose a unique challenge to the
efforts towards reversing infection rates and mitigating the
consequences of HIV/AIDS. In 2005, the HIV prevalence in the
war-affected areas of Northern Uganda stood at 8.3% compared to the
national rate of 6.4%[^1]. Conflict has also disrupted the provision of
health services leading to closure of health facilities and stagnation
of services.

In light of recent developments in northern Uganda, including the
ongoing peace talks between the Government of Uganda and the Lord's
Resistance Army (LRA), improved security and the return home of large
numbers of internally displaced populations; there is a need for
transitioning from relief to recovery and development. Availing
continuity of services to those returning home is critical. USAID is
supporting the people and Government of Uganda (GoU) achieve a
successful transition from humanitarian assistance to sustainable
development in northern Uganda by supporting the official GoU "National
Peace, Recovery and Development Plan for Northern Uganda" (PRDP). The
Mission has increased its response across all programmatic sectors in
the North and mainstreamed conflict sensitivity into all USAID programs
in impacted areas. Activities proposed under this RFA will contribute to
the broader USG support to promote stability, increased access to social
services and economic recovery in northern Uganda.

In the last two decades, the Government of Uganda's HIV/AIDS response
has been guided by key strategic documents including: the Multi-sectoral
Approach to the Control of HIV/AIDS (MACA) in 1992, which formed the
basis for the development of periodic national program priorities and
implementation mechanisms; The National Operational Plan ( NOP ) for
STI/HIV/AIDS Activities 1994-1998, which guided the response for that
period; and the National Strategic Framework (NSF) for HIV/AIDS
Activities of 1998-2000, which was revised in 1999/2000 into the NSF
2000/1-2005/6.

The Government of Uganda (GOU) has started implementation its current
five-year National HIV and AIDS Strategic Plan (NSP) 2007/8-2011/12. The
new NSP was developed based on the key challenges that emerged from the
performance evaluation of the NSF 2000/1-2005/6; the recent evidence
base from National Sero-behavioural Survey 2004/5, which showed no
decline in the trend of the epidemic during the NSF time frame
(2000/1-2005/6); the need for greater effort and resources to scale up
services to achieve universal access; and the need for implementation of
effective interventions to significantly reduce new infections. The NSP
has identified three thematic priority service areas to address the
challenges faced in the delivery of HIV/AIDS programs and the rising new
HIV/AIDS infections. The priority areas are: 1) prevention, 2) care and
treatment; and, 3) social support. These thematic areas will be
supported by a strengthened service delivery system and structure that
ensures quality, equity and timely service provision.

The President's Emergency Plan for AIDS Relief (PEPFAR) has provided an
historic opportunity for Uganda to continue rolling back the HIV/AIDS
epidemic. PEPFAR support enabled USAID to scale up its pre-PEPFAR
HIV/AIDS activities and has initiated a number of interventions, which
have significantly contributed to the rolling back of the HIV/AIDS
epidemic in Uganda. Support has focused on supporting a strong family
and community response; improving service delivery systems and
institutions; and implementing a broad portfolio of both proven
interventions and innovative activities. Within the multi-sectoral and
integrated approach, USAID has been supporting a number of partners in
their effort to scale up the HIV/AIDS response including: support to
civil society organizations; expanding and improving service delivery
through faith based organizations (FBO); expanding the role of PHAs;
and, leveraging the private sector. Additionally, there is concerted
effort to strengthen the health delivery infrastructure at all levels
with a focus on decentralization and support to local government and
local organizations at health sub -district and community levels. This
is in the form of technical assistance, human resource capacity
building, systems strengthening, monitoring and evaluation, and
financial support.

Despite significant achievement in the national response to HIV/AIDS,
significant challenges and gaps remain including: the high HIV incidence
among sexually active couples; low utilization and access to HCT
services with only 23% of Ugandan's aged 15-49 years knowing their HIV
status; only 35% of the estimated PHA in need do access HIV/AIDS care
and support services; less than 50% of those in need of ART access
services, which is worse in rural areas; limited access to pediatric
HIV/AIDS prevention, care and treatment services; low access to
comprehensive and integrated HIV/AIDS services in rural districts; and
human resource and infrastructure constraint.

Through this RFA, USAID seeks to address gaps in HIV/AIDS prevention,
care and support services with emphasis on providing services through
NGO, community structures and outreaches and building capacity of
indigenous organization. The program will build on lessons learned
during two decades of international HIV/AIDS response and the
outstanding leadership by Ugandan Civil Society Organizations in the
nation's HIV/AIDS response.

**A.2.1. The President's Emergency Plan (PEPFAR)**

The President's Emergency Plan for AIDS Relief (PEPFAR) is one of the
most significant global initiatives assisting high prevalence countries
in responding to the HIV/AIDS epidemic.

The second phase of PEPFAR that has been reauthorized and enacted on
July 30, 2008 aims to increase treatment provided to people with
HIV/AIDS over the original PEFPAR target of 2 million by at least the
percentage increase in the amount appropriated for bilateral global
HIV/AIDS assistance in any fiscal year (FY) as compared to FY 2008;
prevent 12 million new HIV infections; care for 12 million, including 5
million orphans and vulnerable children; help partner countries reach
PMTCT coverage target of at least 80% of pregnant women in affected
countries; help partner countries provide care and treatment to children
with HIV/AIDS in proportion to their share of the HIV-infected
population in country; help partner countries train at least 140,000 new
health workers and equip teachers with skills needed to address HIV.
PEPFAR Uganda activities will significantly contribute to the global
target.

Aligning itself with the NSP, HSSP, HSPPI and other key GOU strategies,
PEPFAR Uganda will continue to expand and strengthen the coverage and
scope of HIV/AIDS services in Uganda, while at the same time building
institutional capacity and networked systems for long-term sustainable
support to service delivery. USAID targets will directly support targets
within NSP, HSSP and NSPPI.

[]{.mark}

**A.2.2. USAID Uganda**

The USAID Program in Uganda contributes to GOU's Revised Poverty
Eradication Action Plan (PEAP), which is Uganda's comprehensive
development framework. The PEAP, revised in 2004 and currently under
revision, has guided the formulation of the GOU's policy since its
inception in 1997. USAID's programs in economic growth; support to
social sectors; promotion of democracy and governance; and assistance to
people affected by conflict directly contribute to the five pillars of
the PEAP: 1) Economic Management; 2) Production, Competitiveness and
Incomes; 3) Security, Conflict-Resolution and Disaster Management; 4)
Governance; and 5) Human Development. This activity, which focuses
specifically on improving the health of Ugandans through support to
local governments, falls within USAID's Investing in People portfolio,
and directly supports the human development pillar of the PEAP.

This program will focus on the attainment of all three Intermediate
Results under the strategic objective for Investing in People/Improved
Human Capacity. Under Intermediate Results 8.1, the program will
especially contribute to the attainment of IR 8.1.1 "Improved Quality of
Social Sector Services; IR 8.1.2 "Increased Availability and Access to
Social Services"; and IR 8.1.3 "Positive Behavior Changes Adopted". The
program will contribute to attainment of IR 8.2: "Increased Capacity to
Sustain Social Sector Services" and under IR 8.3, to the attainment of
IR 8.3.2: "Effective Sectoral Policies Developed".

# 

**A3.** **Results, Relative Effort, Indicators and Targets**

Below are expected results, mandatory year 1 PEPFAR targets and
illustrative indicators and targets. Targets are subject to adjustment.

**Result 1: Improved quality of life of HIV positive individuals,
households and families (70% level of effort)**

The successful applicant will provide HIV/AIDS prevention, care and
support services for patients, families, care takers and communities.
The main areas of support will include: medical care including diagnosis
and management opportunistic and sexually transmitted infections;
laboratory support for diagnosis of HIV and common opportunistic
infections including tuberculosis; psychological support through ongoing
counseling of HIV patients, spouses and family members; socioeconomic
support including livelihood support to the most vulnerable households;
assessment and management of pain; and nutrition assessment, counseling
and linkages.

The activity will support expansion of epidemiologically-appropriate,
best-practice HIV prevention interventions to prevent sexual
transmission across different risk groups. It will support intensified
prevention messages to clients, families, and communities including
reduction of concurrent multiple partnerships and other risky behaviors.
This activity will promote national level policies and guidelines in a
number of areas to include evidence based HIV/AIDS prevention activities
among them medical circumcision for HIV negative male partners. It will
also support scaling-up of approaches for HIV secondary prevention
counseling to individuals and couples of persons living with HIV/AIDS.

**Indicators and Targets**

**Mandatory PEPFAR Indicators Year one:**

-   76,000 adults and 4000 children provided with HIV-related care and
    support (excluding TB/HIV)

-   500 individuals trained to provide HIV care and support (excluding
    TB/HIV)

-   Number of tests performed at USG-supported laboratories during the
    reporting period

    -   20,000 rapid HIV diagnostic tests

    -   12,000 TB diagnostics

    -   10,000 syphilis diagnostic tests

-   Support 50 condom service outlets

-   60,000 female and 40,000 male individuals will be reached through
    community outreach that promotes HIV/AIDS prevention through
    behavior change other than abstinence and/or being faithful

-   150 female and 100 male individuals trained to promote HIV/AIDS
    prevention through behavior change other than abstinence and/or
    being faithful

**Illustrative Indicators**

-   Number and percentage of HIV-positive pregnant women newly enrolled
    into HIV care

-   Number and percent of HIV positive persons assessed for pain during
    their last clinical encounter

-   Number of community resource person trained and assisted on
    promoting HIV prevention in their communities

-   Number of clients receiving more than one category of services at
    least one of which is clinical i.e. management of OI and
    psychosocial support.

**Result 2. Increased access to OVC services (15% level of effort)**

This activity will expand access and utilization of key components of
OVC services including: economic strengthening of OVC households,
education support, child protection and ensure basic health care beyond
just HIV care, linking HIV exposed and infected children to pediatrics
care and treatment services. OVC funding is small part of the portfolio
during first year with potential increase in subsequent years based on
availability of funding. This activity will focus on OVC living in PHA
households.

**Indicator and Targets**

Mandatory PEPFAR Target: A total of 5,000 OVC living in PHA households
will be reached with 3 or more OVC services during year one.

**Illustrative Indicators:**

-   Number of HIV exposed children linked to PMTCT, care and treatment
    services

-   Number of HIV positive children identified and referred to HIV care
    and treatment services

-   Number and per cent of OVC receiving food & nutritional
    supplementation through OVC programs

-   Number of HIV+ children receiving 3 or more OVC services

-   Number of OVC caregivers trained in skills to enhance incomes at
    household level and improved knowledge in the areas of food and
    nutrition, and psychosocial support

-   Number of providers/caregivers trained in caring for OVC

-   Number and proportion of OVC under five, with birth registration

-   Number of child abuse cases reported

-   Primary school completion rate for children receiving education
    support

-   Secondary school completion rate

**Result 3. Building capacity of indigenous organizations (15% level of
effort)**

This mechanism will build capacity of selected indigenous organizations
that have demonstrated significant progresses through capacity building
support by other USAID mechanisms like UPHOLD, AIM and others; this will
help consolidate achievements to date. Selection of sub partners will be
through transparent and competitive processes. The selection of
sub-partners will be based on their ability to reach out to the
underserved and most at risk population with quality comprehensive
HIV/AIDS prevention, care and support services. Selected HIV/AIDS
prevention, care and support activities will be sub-granted to these
partners. The prime partner will build technical, financial, and
management capacity of the subs. By the end of the five year period the
sub-partners will be able to independently write competitive proposals
and implement quality programs.

**Illustrative Indicators**

-   Number of supported organizations that have sound short and long
    term strategic plans

-   Number of supported organizations that have a practical accounting
    system in place are able to account for all expenditures in
    accordance with USG and in-country audit requirements

-   Number of organizations that successfully raised funds from non-USG
    sources

-   Proportion of clients accessing services close to home

-   Proportion clients receiving medical care and at least one other
    category of services

-   Number and proportion of organizations with capacity to implement
    activities of more than one program area

**A.4 Requirements and Reporting**

**a. Annual Work plans:**

The recipient shall provide the first annual work plan within one month
of award date; modified, as needed, work plans reflecting specific site
information will be submitted no later than three (3) months after the
award date. The plan will be reviewed and approved by the AOTR within
two weeks of submission. Within one month prior to the end of each
activity year, the recipient shall submit to the AOTR an annual work
plan for the following year.

Annual work plans shall include a narrative describing the strategies,
activities and interventions required to meet the award outputs as well
as a log frame or gantt chart outlining specific activities, the
timetable and responsible persons. Annual budgets are expected to
accompany the annual work plans.

**c. Performance Monitoring Plan (PMP)**

Within 90 days of the signing of the award, the recipient shall submit a
Performance Monitoring Plan (PMP) for the life of the activity that
derives from the activities outlined in the program description.

The Performance Monitoring Plan will outline key program activities,
indicators of achievement, which should support the achievement of the
President's Emergency Plan targets and USAID/Uganda's intermediate
results, baseline data and annual targets as well as indicators specific
to project activities. The Performance Monitoring Plan will be reviewed
and approved by the AOTR.

**d. Progress Reporting**

[Quarterly Reports]{.underline}

Within 30 days after the end of each quarter, the recipient shall submit
quarterly narrative reports which give insight into the progress of
planned activities. The reports shall include qualitative and
quantitative information which describes activities conducted and
specific results achieved during the quarter. Each report should include
quarterly and cumulative (current year and total) data. In addition, the
reports shall indicate key implementation challenges encountered and how
they were or are planned to be resolved. Accrued program costs for the
quarter and planned expenditure for the next one shall also be
indicated. The program reports shall include success stories and
pictures to reflect the real impact of activities on the lives of
beneficiaries.

Following receipt of the report, a "quarterly review" meeting with the
AOTR and other relevant Mission staff will be held to discuss results,
challenges and the way forward.

[Annual Reports]{.underline}

Within one month after the close of each activity year, the recipient
shall submit to the AOTR an annual report, inclusive of the final
quarter report, which reflects the progress of the program activities
over the last year against the work plan. The report should indicate the
outputs and impact the program is having on the target beneficiaries.
Annual and cumulative to date data should be included. Anecdotal stories
and case studies, pictures and any other information that gives insight
into the success of the program should be included.

[End of Activity Report]{.underline}

Within the last month of the program, the recipient shall submit to
USAID/Uganda an end-of activity report, summarizing the major
achievements, impact and issues generated by the activity. The report
should also indicate the contextual opportunities remaining that could
easily be harnessed to sustain the results of the program.

[PEPFAR Reporting]{.underline}

Requirements for PEPFAR Semi-annual reports (March) and Annual reports
(September) will be presented to the mission or any other delegated
partner during the stipulated reporting periods. Ad hoc reports are
periodically requested.

**A.5 Monitoring and Evaluation**

The progress of the program will be monitored in accordance with the
Performance Monitoring Plan. In executing the monitoring and evaluation
functions under this program, the recipient shall collaborate and
coordinate with the AOTR Monitoring and Evaluation of the Emergency Plan
Progress (MEEP) contractor, UMEMS or other designees

USAID/Uganda may request special evaluation studies if deemed necessary
to improve the quality of the services. USAID anticipates the
commissioning of mid-term and end of project evaluations.

**SECTION B -- AWARD AND ADMINISTRATION INFORMATION**

**A. Available funding and award**

Subject to the availability of funds, USAID intends to provide
approximately \$22,000,000 in total USAID funding to be allocated over
the five-year period to support these activities.

**B. Substantial Involvement**

The USAID Agreement Officer's Technical Representative (AOTR) shall be
substantially involved in the following areas:

-   Approval of key personnel.

-   Approval of the Recipient's Annual Work Plans

-   Approval of the recipient's Performance Monitoring Plan (PMP)

[Operational Plan]{.underline}

The Recipient will be requested to provide any information needed to
complete the USAID/Uganda operational plan. This may include submission
of a brief narrative describing the activities conducted in the previous
fiscal year, quantitative data on particular operational plan
indicators, and proposed targets for the next fiscal year for these same
indicators. The indicators collected annually for the operational plan
are listed in the annexes

C.  **Anticipated Award Date**

# 

It is anticipated that a five-year Cooperative Agreement will be awarded
o/a April 16, 2009

**SECTION C - GRANT APPLICATION AND SUBMISSION INSTRUCTIONS**

**I. APPLICATION PREPARATION GUIDELINES**

Application must be submitted in a format as stated below and it must
include the completed form SF-424 which Applicant can download together
with the RFA. Alternatively, the SF-424 and SF-424A "Application for
Federal Assistance" is available for download at USAID's website:
<http://www.usaid.gov/forms/sf424.pdf>.

Applications must be submitted no later than the date and time indicated
on the cover page of this RFA, to the location indicated in the cover
letter accompanying this RFA. 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 incomplete run the risk of not being considered in
the review process. "Late applications will not be considered for award
unless the Agreement Officer determines it is in the best Government's
interest."

Applications shall be submitted in two separate parts: (a) technical and
(b) cost or business application. The application shall be prepared
according to the structural format set forth below.

Explanations to Prospective Recipients: Any prospective applicant
desiring an explanation or interpretation of this RFA must request it in
writing to the Specialist at the email address set forth in the RFA
cover letter. 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.

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:

(a) Mark the title page with the following legend:

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

(a) 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.\"

**II. TECHNICAL APPLICATION GUIDELINES**

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

Technical Applications are limited to thirty (30) pages only; any
application **over 30 pages will not be evaluated**. The 30 pages
consist of applicant response to the Technical Application Sections of
this RFA. Applications shall be written in English, text should be
left-justified using Microsoft Word 2000, 2001, or 2003; Time New Roman,
12 point font on standard 8 ½" X 11" papers, single spaced, with each
page numbered consecutively, and no less than 1" margins on all sides.
Supplementary materials such as the performance monitoring and
evaluation plan, past performance reference information, personnel
resumes and relevant letters of support are excluded from this page
limitation. However, 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 prospective recipient\'s lack of cost
consciousness.

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

**II.1. Technical Understanding and Approach**

**Applicants of this RFA must present how they intend to achieve these
results highlighted in Section A of this document.** Technical
applications must be specific, complete and presented concisely. The
applications must demonstrate the applicant\'s predominant capabilities,
advantages, organizational structures, designs, and expertise with
respect to achieving the stipulated objectives and results of this
program. The application must take into account the technical selection
criteria and evaluation procedures found in Section D

The technical approach will be evaluated on the overall merit and
feasibility of the program approach and strategies proposed to achieve
the results. The technical approach must set forth the conceptual
approach, methodology, and techniques for the accomplishment of the
stated objectives. It should reflect a thorough understanding of the
current context and policy environment in Uganda. The applicant should
discuss how resources will be organized and structured to obtain
expected results and how activities supported through this RFA will
leverage other resources and activities supported through other
mechanisms.

Data, evidence-based interventions and best practices related to
HIV/AIDS prevention, care and support programming are becoming
increasingly available. Applicants shall develop strategies and
technical approaches that are reflective of available data and evidence.
Applicants shall also highlight how new data and information will
effectively be integrated into program strategies and activities as it
becomes available.

This activity will directly support the implementation of the Government
of Uganda\'s, USAID\'s and the Emergency Plan\'s (EP) joint commitment
to strengthen the national response and increase HIV prevention, care
and support services to vulnerable and at risk populations in Uganda.
USAID/Uganda seeks implementing partners to support increases in access
to, coverage of and utilization of quality comprehensive prevention,
care and support services. As this RFA is a follow-on to USAID\'s
support to HIV/AIDS prevention, care and support activities through its
cooperative agreement with The AIDS Support Organization (TASO), the
program will focus on districts covered by TASO in order to ensure
consistent availability of prevention and life saving services to the
existing clients in those districts. This will include but not limited
to Kampala, Wakiso (Masaka), Masaka, Jinja, Tororo, Soroti, Mbale, Gulu,
Masindi, and Rukunguri. Year one support will focus on maintaining
clients those has been enrolled in HIV/AIDS care through USAID support
to TASO. USAID will support expansion of services to more clients,
families and communities based on performance and availability of funds
in years 2-3.

Capacity Building: This activity is not expected to serve as an umbrella
grant mechanism.

**II.2. Essential Design Elements**

Increasing access to, coverage of and utilization of HIV/AIDS
prevention, care and support services will be guided by a set of
principles, particularly gennane to the USG vision of the Emergency Plan
in Uganda as well as USAID Uganda\'s Results Framework for its Improved
Human Capacity Strategic Objective (S08) and the Ugandan HIV/AIDS
National Strategic Plan. Program strategies and approaches should be
guided by and reflect the following principles.

**a. Coordination, Collaboration and Partnership -** Today, more than
ever, the principals of coordination, collaboration and partnership are
needed to ensure a comprehensive, quality response to the HIV/AIDS
epidemic in Uganda. In the past seven years, Uganda has seen substantial
increases in financial and technical resources flowing into the country
for HIV/AIDS. As partners in the response, it is our collective
responsibility to ensure that we are working in partnership with the
GOU, civil society, private sector, development partners and other
stakeholders to maximize use of our resources, harmonize our approaches
and coordinate our activities.

It is expected that this activity will work in close partnership with
the Uganda AIDS Commission (UAC), MOH, Ministry of Gender, Labor Social
Development (MGLSD) and Ministry of Local Government (MOLG).
Coordination and complementarities with other USG and non USG supported
HIV or other activities is critical to ensure that this activity should
not in any way duplicate the support of other partners. Given the
increased amount of HIV resources coming to Uganda and the intensified
roll-out of vertical programming i.e. PMTCT, TB and ART, significant
focus will be placed on developing positive, collaborative relationships
with districts, civil society and other implementing partners (USG and
non-USG) in order to ensure support to districts and their work plans
are complementary and not duplicative or incongruous. Partners are
responsible for ensuring that support is timely, aligned with the
district planning and budgeting processes and integrated into district
development plans and will be captured through the PMP.

**b. The Network Model -** A critical mandate in the President\'s
Emergency Plan legislation is for countries to develop and implement a
network model approach for care and treatment. The USG defines the
network model as a continuum of care focusing on identifying and
supporting HIV positive individuals so that they can receive prevention,
care and treatment services. The network model recognizes that any
institution providing these services operates within a milieu of other
institutions providing complementary services. By networking these
service organizations, the range of services available to patients is
greatly expanded. Through strong referral mechanisms between networked
service facilities (both public and private), an individual who is
identified in one part of the system, for example, a VCT site, will
receive services at a clinic providing HIV care and treatment as well as
psychosocial support at an AIDS support organization or home based care.
PHA, families and communities are at the heart of the network model
because of their instrumental role in identifying individuals needing
care and supporting HIV positive individuals to enter and stay in the
\`network\'.

PHA groups play a central role in motivating HIV + individuals to enter
a networked continuum of care through provision of appropriate and
personalized basic prevention, care and social support services and
through linking HIV+ individuals and their families to service delivery
organizations that provide other elements of care, treatment and social
support. PHA groups liaise with families and communities to create
supportive social environments that encourage people to get tested; to
stay negative through effective prevention strategies; to prevent
further transmission of the virus and to stay healthy when HIV+; to
access care and treatment and other support services; and to adhere to
opportunistic infection and ARV treatment regimens. In this way, PHA
groups are vital to an effective network, creating demand for services
and supporting adherence to these services.

Households with people living with HIV/AIDS are very often the same
households supporting orphans and other vulnerable children.
Understanding this dynamic and identifying effective ways to leverage
support that will benefit all members of the household, particularly HIV
exposed and infected children and OVC, is a critical element of the
network model.

**c. Family and Community -** A focus on families and communities is one
of the pillars of the USG Uganda team\'s strategy to achieve the
Emergency Plan goals. Families and communities are the hub of all
HIV/AIDS interventions, playing roles of service providers as well as
consumers. Families and communities mobilize, refer individuals for
services, and also provide supportive care to those who are HIV
positive. At the same time, families and communities are the primary
beneficiaries of HIV/AIDS interventions, such as prevention, counseling
and testing, care, support, and treatment.

**d. Gender -** Despite strong efforts made by the GOU and its
development partners to address gender inequities, wide variations still
remain between men and women and girls and boys with regard to access to
health services, employment, nutrition, education and economic security.
HIV prevalence for women is nearly twice that of men nationwide,
speaking to biological factors that increase the likelihood of
transmission, but also social factors related to sexual behavior such as
gender violence and alcohol use/abuse. HIV/AIDS has also increased the
burden for family care on women and girls, as they are the first and
often primary responders/care providers to people suffering from the
HIV/AIDS disease. Sexual and Gender Based Violence (SGBV) and sexual
exploitation appear to be widespread and increase the risk of young
girls and women to HIV/AIDS and STIs. Men tend to occupy the vast
majority of leadership and decision making positions. The applicant
should describe how this program will address gender issues, not only
with regard to access to services but also in terms of addressing the
imbalance in leadership and decision making. In addition, the applicant
should present strategies for bolstering male involvement in HIV/AIDS
prevention including abstinence, fidelity, partner reduction, and family
planning, but also in the actual care and support of infected and
affected individuals including children.

**e. Building indigenous capacity --** Uganda is a land of NGOs, FBOs
and private organizations such as: TASO, The AIDS Information Center
(AIC), the Inter-religious Council of Uganda (IRCU), the Joint Clinical
Research Center (JCRC) and others that significantly influenced HIV/AIDS
programming in Uganda and globally. USAID has played a lead role in
building technical, financial, management and administrative capacity of
these organizations by using US based and other international IPs as
mentors and capacity builders. Building indigenous capacity is a
critical element within USAID development agenda. It is time for local
organizations to take the lead in capacity building of other indigenous
organizations. The applicant of this RFA is expected to present concrete
plan and design for building technical and management capacity to other
Ugandan CSO, or private organizations. Where necessary applicants are
encouraged to partner with other international or national partners to
facilitate effective capacity building.

**f. A focus on Sustainability -** One of the vital dimensions of
rapid-scale up of HIV/AIDS prevention, care and treatment services is
ensuring sustainability of not just the program but also the impact. The
sustainability of HIV/AIDS prevention, care and treatment services and
support to their families is dependent on the development of local
capacity to design, manage and maintain these services. This program
will directly contribute to this principle through the direct technical
and institutional capacity building of government counterpart agencies
and Civil Society Organization and other groups to become more involved
in the planning, implementation and monitoring of the HIV/AIDS
activities. The applicant is expected to present a plan that would
enable considerable risk mitigation in the event that donor funding is
significantly reduced or unavailable. This requires significant
alignment with national plan, cost containment, local ownership,
resource mobilization and diversification.

> **g. The Greater Involvement of People with HIV/AIDS (GIPA) in Uganda
> -** The MOH and UAC have boldly acknowledged the important
> contribution of PHAs in the fight against HIV/AIDS. In 1994, the GOU
> signed the Paris Declaration publicly affirming that the greater
> involvement of people living with or affected by HIV/AIDS is critical
> to ethical and effective national responses to the epidemic.
> USAID/Uganda also strongly supports the involvement of PHA networks
> and groups in facilitating access to HIV/AIDS prevention, care and
> treatment services to their members.
>
> **h. Greater involvement and focus on People with Disabilities (PWDs)
> --** The USAID Disability Policy - Assistance (December 2004)^2^
> acknowledges that PWDs are targeted and involved in USAID supported
> programs. This program will promote the participation and equalization
> of opportunities of individuals with disabilities in Uganda in HIVAIDS
> sector strategies, activity designs and implementation. Also,
> increased awareness of issues of people with disabilities within
> Uganda HIVAIDS programs, and foster a climate of nondiscrimination
> against people with disabilities. To that end and to the extent it can
> accomplish, this program within the scope of the program objectives,
> will demonstrate a comprehensive and consistent approach for including
> men, women and children with disabilities.
>
> **Ref: AAPD 04-17 Supporting USAID\'s Disability Policy in Contracts,
> Grants, and Cooperative Agreements**

**II.3. Project Monitoring and Evaluation**

Applicants shall:

-   Provide an illustrative performance monitoring plan for this
    activity that includes meaningful indicators beyond which is
    required through the Presidential Emergency Plan for AIDS Relief.
    The PMP should include ambitious but achievable performance targets
    and benchmarks for HIV/AIDS services that will be achieved by the
    end of one, three and of five years. Targets should align with the
    National Strategic Plan and the Health Sector Strategic Plan.

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-   Identify the data collection method, type, and source of information
    to be collated

-   Describe how USAID reporting requirements will be met.

-   Describe how data generated through this activity will feed into
    national and sectoral/line ministry reporting systems and
    requirements.

-   Describe how the partner proposes to develop, in partnership with
    the two (2) other implementing partners, an analytic agenda for
    assessing operational questions.

**II.4. Management Plan and Personnel**

Full mobilization of staff is expected within 60 days and implementation
of activities within 90 days. Applicants shall provide a management plan
consistent with the project's technical complexity and stakeholders. The
composition and organization structure of the entire implementation team
(including home office support) shall be provided. The staffing pattern
will reflect the minimum number of highly experienced technical staff
sufficient to manage and implement activities under this award.

Key personnel will be proposed by name and position. Each key personnel
position requires USAID approval, as noted in substantial involvement
provisions.

If the applicant presents as a partnership of organizations or groups,
the proposal shall clearly demonstrate the need for participating
partners, including subgrantees, and the unique set of experience and
expertise they bring to strengthen the activities undertaken within this
RFA. At the same time, the management plan needs to be efficient in
response to budgetary constraints.

The applicant should take into consideration USAID's and the Government
of Uganda's desire to have Ugandans and regional nationals in
substantive positions. The guiding principles focusing on Gender and
GIPA shall be applied to the management plan as well.

The section on personnel capability in the main body of the application
will include brief statements of staff member\'s role, technical
expertise, and estimated amount of time each will devote to the project
for each of the key personnel and other senior program staff. Resumes
for key personnel, other senior program staff and any long-term
professional staff/advisors will be limited to 4 pages in length and
should be included in the annexes. The annexes will include letters of
intent to participate for those not already employed by the proposing
organization and letters of commitment from proposed key personnel.

The applicant should include:

-   Organizational chart with roles and responsibilities

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

-   Lines of authority

-   Personnel Management

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

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-   Financial management, reporting and cost containment strategies.

**II.5. Institutional Capacity and Past Performance**

Implementation of activities should be undertaken by a partner(s) with
the relevant strategic, technical and institutional mandates to
facilitate increased utilization of HIV/AIDS services. It is expected
that applicants will have substantive experience working with
communities and CBOs in Uganda. Strong partnerships with health service
providers and civil society organizations needed to facilitate the
increased utilization of comprehensive prevention, care and treatment
services are expected from the start-up of the program. **Key
partnerships with indigenous organizations are strongly encouraged.**

Applicants are required to have a Dun and Bradstreet Data Universal
Numbering System (DUNS) number to apply for a cooperative agreement from
the US Federal government. The DUNS number is a nine-digit
identification number, which uniquely identifies business entities. If
an a local/indigenous organization does not hold a DUNS registration
number at the time of application, a non-indigenous partner with a DUNS
number can be the primary contact recipient. An indigenous/local
organization that does not have a DUNS number can contact the mission
for the appropriate form.

**Past Experience**: Care should be taken to establish the relevance of
past experience to this program and the basis for reliance upon that
experience as an indicator of success on this program. Information in
this section should include (but is not limited to) the following:

-   Brief description of organizational history/expertise;

-   Pertinent work experience and representative accomplishments in
    developing and implementing programs of the type required under the
    proposed RFA;

-   Evidence of a successful record of implementing projects overseas,
    and in Uganda, if applicable;

-   Relevant experience with proposed approaches;

-   Institutional strength as represented by the breadth and depth of
    experienced personnel in projects in relevant disciplines/areas;

-   Sub-recipient capabilities and expertise;

-   Proposed field management structure and financial controls; and

-   Home-office backstopping and its purposes.

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

USAID will contact the named references and use the past performance
data along with other information, to evaluate the applicants\' quality
of performance and responsibility.

**III. COST APPLICATION FORMAT**

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

The Cost/Business application must be completely separate from the
Applicant\'s technical application.  The application must be submitted
using SF-424 and SF-424A "Application for Federal Assistance," which is
available for download at USAID's website:
<http://www.usaid.gov/forms/sf424.pdf>.

The Cost/Business application should be for a period of five years using
the budget format shown in the SF-424A. Graphic/tables must be formatted
in Microsoft Excel 2000-2003 versions. The budget format must not be
locked.

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

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

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

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

> c\. The costs associated with external, expatriate technical
> assistance and those associated with local in-country technical
> assistance.
>
> d\. The breakdown of any financial and in-kind contributions of all
> organizations involved in implementing this agreement.

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

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

The cost application should contain the following budget categories:

> a\. [Salary and Wages]{.underline}:  Direct salaries and wages should
> be proposed in accordance with the Applicant\'s personnel policies.
>
> b.      [Fringe Benefits]{.underline}:  If the Applicant has a fringe
> benefit rate that has been approved by an agency of the U.S.
> Government, such rate should be used and evidence of its approval
> should be provided.  If a fringe benefit rate has not been so
> approved, the application should propose a rate and explain how the
> rate was determined. If the latter is used, the narrative should
> include a detailed breakdown comprised of all items of fringe benefits
> (e.g., unemployment insurance, workers compensation, health and life
> insurance, retirement, FICA, etc.) and the costs of each, expressed in
> dollars and as a percentage of salaries.   
>
> c\. [Travel and Transportation]{.underline}:  The application should
> indicate the number of trips, domestic and international, and the
> estimated costs.  Specify the origin and destination for each proposed
> trip, duration of travel, and number of individuals traveling.  Per
> Diem should be based on the Applicant\'s normal travel policies.
>
> d\. [Equipment]{.underline}: Estimated types of equipment (i.e., model
> #, cost per unit, quantity).
>
> e\. [Supplies]{.underline}: Office supplies and other related supply
> items related to this activity.
>
> f\. [Contractual]{.underline}: Any goods and services being procured
> through a contract mechanism.
>
> g\. [Other Direct Costs]{.underline}:  This includes communications,
> report preparation costs, passports, visas, medical exams and
> inoculations, insurance (other than insurance included in the
> Applicant\'s fringe benefits), equipment, office rent abroad, etc. The
> narrative should provide a breakdown and support for all other direct
> costs.
>
> h\. [Indirect Costs]{.underline}:  The Applicant should support the
> proposed indirect cost rate with a letter from a cognizant U.S.
> Government audit agency, a Negotiated Indirect Cost Recovery Agreement
> (NICRA), or with sufficient information for USAID to determine the
> reasonableness of the rates. (e.g. a breakdown of labor bases and
> overhead pools, the method of determining the rate, etc.).

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

> a\. Copies of the Applicant\'s financial reports for the previous
> 3-year period, which have been audited by a reputable certified public
> accounting firm.
>
> b\. NICRA if applicable (This competition is restricted to Regional
> organizations (see cover letter)). A NICRA from such an organization
> would be unusual. However, if your organization has a NICRA, please
> submit it.

c\. Organizational chart.

> d\. If the Applicant has made a certification to USAID that its
> personnel, procurement and travel policies are compliant with
> applicable OMB circular and other applicable USAID and Federal
> regulations, a copy of the certification should be included with the
> application.  If the certification has not been made to
> USAID/Washington, the Applicant should submit a copy of its personnel
> (especially regarding salary and wage scales, merit increases,
> promotions, leave, differentials, etc.), travel and procurement
> policies, and indicate whether personnel and travel policies and
> procedures have been reviewed and approved by any agency of the
> Federal Government. If so, provide the name, address, and phone number
> of the Cognizant reviewing official.
>
> e\. Applicants that have never received a grant, cooperative agreement
> or contract from the U.S. Government are required to submit a copy of
> their accounting manual.  If a copy has already been submitted to the
> U.S. Government, the Applicant should advise which Federal Office has
> a copy.

The application should include information that substantiates that the
Applicant:

> a\) Has adequate financial resources or the ability to obtain such
> resources as required during the performance of the cooperative
> agreement.
>
> b\) Has the ability to comply with the cooperative agreement
> conditions, taking into account all existing and currently prospective
> commitments of the Applicant, nongovernmental and governmental.
>
> c\) Has a satisfactory record of performance. Past relevant
> unsatisfactory performance is ordinarily sufficient to justify a
> finding of non-responsibility, unless there is clear evidence of
> subsequent satisfactory performance.

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

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

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

**IV. COOPERATIVE AGREEMENT AWARD**

1.  The Government will award only one cooperative agreement resulting
    from this RFA to the responsible applicant whose application
    conforming to this RFA offers the greatest value. The Government
    may (a) reject any or all applications, or (b) accept other than the
    lowest cost application.

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1.  The Government may award a cooperative agreement on the basis of
    initial applications received, without discussion. 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 awardee selection based on its evaluation of
    initial applications received and/or commence negotiations solely
    with one applicant.

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

3.  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.

4.  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 subcontracts/subawards issued under this
    contract/agreement.

5.  Foreign Government Delegations to International Conferences - Funds
    in this prospective agreement may not be used to finance the travel,
    per diem, hotel expenses, meals, conference fees or other conference
    costs for any member of a foreign government\'s delegation to an
    international conference sponsored by a public international
    organization, except as provided in ADS 303 Mandatory Reference
    \"Guidance on Funding Foreign Government Delegations to
    International Conferences
    \[<http://www.info.usaid.gov/pubs/ads/300/refindx3.htm>\] or as
    approved by the Agreement Officer.

6.  "USAID Disability Policy - Assistance (December 2004)

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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>.

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a.  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."

8\. If recommended for award, the Applicant must submit a Branding
Strategy and Marking Plan according to the guidelines in the Standard
Provisions, Branding Strategy and Marking Plan (Attachment I).

**V. 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 cooperative agreement may be incurred before receipt
> of either a fully executed cooperative agreement or a specific,
> written authorization from the Acquisition & Assistance Officer.**

# SECTION D -- EVALUATION CRITERIA AND SELECTION PROCESS

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 evaluated for general reasonableness, allowability,
and allocability. In evaluating the different components of the
technical proposals, the US Government will examine the overall merit
and feasibility of the proposals, as well as examine specific criteria
relevant to each component, as elaborated below.

Each application submitted in response to this RFA will be evaluated in
relation to the evaluation factors set forth in this RFA and which have
been tailored to the requirements of this RFA to allow USAID to choose
the highest quality application. These criteria: (a) identify the
significant matters which applicants should address in their
applications and (b) serve as the standard against which all
applications will be evaluated. To facilitate the review of
applications, applicants should organize the narrative sections of their
applications in the same order as the selection criteria.

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

**Acceptability of Proposed Non-Price Terms and Conditions**

An offer is acceptable when it manifests the Applicant\'s assent,
without exception, to the terms and conditions of the RFA, including
attachments and provides a complete and responsive proposal without
taking exception of the terms and conditions of the RFA. If an Applicant
takes exception to any of the terms and conditions of the RFA, then
USAID will consider its offer to be unacceptable. Applicants wishing to
take exception to the terms and conditions stated within this RFA are
strongly encouraged to contact the Agreement Officer before doing so.
The USAID reserves the right to change the terms and conditions of the
RFA by amendment at any time prior to the Applicant selection decision.

> **A. Technical Evaluation Criteria**
>
> **A.1 Technical Understanding and Approaches (40 points)**

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

-   Understanding of the opportunities and constraints related to
    supporting the planning, implementation and monitoring of the
    proposed activity.

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-   Sound strategic and technical approach(es) that describe how the
    applicant will effectively and efficiently achieve the objectives
    and results outlined in the program description.

-   A comprehensive performance monitoring plan to effectively monitor
    and report on activities and results.

**A.2 Personnel** & **Management Structure (40 points)**

Application demonstrates that key personnel have requisite breadth and
depth of technical expertise and experience in management, planning and
provision of specialized technical assistance necessary for achievement
of program results. The application clearly:

-   Demonstrates an effective and cost-efficient management structure to
    achieve project goals, objectives and targets.

-   Proposes personnel who have relevant professional qualifications and
    experience appropriate to manage and achieve results.

-   Demonstrates commitment to using Ugandan and regional professionals
    and managers who hold significant positions in the management and
    implementation of this program.

**A.3 Institutional Capacity and Past Performance (20 points)**

Applicants will be evaluated on the basis of the extent to which they
can:

-   Demonstrate organizational knowledge and institutional capability to
    support the planning, delivery, monitoring and evaluation of similar
    activities in Uganda.

-   Ability to ensure a smooth transition from currently supported
    activities, where applicable, to this new program.

-   Present relevant work experience and representative accomplishments
    in managing and implementing similar programs.

USAID reserves the right to obtain past performance information from
sources other than those provided in the application.

> **B. Cost**

Not a weighted factor. The cost applications of technically acceptable
applicant(s) will be evaluated for necessity, reasonableness,
allowability, and allocability of cost elements included in the budget.
Cost-effectiveness and cost-realism are the other factors in determining
appropriateness of the application. Proposals that have more efficient
operational systems that reduce operation costs will be more favorably
considered.

**Technical versus Cost considerations:** For this RFA, technical
considerations are more important than cost.

**C. Award**

To the extent that they are necessary (if award is not made based on
initial applications), discussions and negotiations will be conducted
with all the applicants whose applications have a reasonable chance of
being selected for award. Applications will be ranked in accordance with
the selection criteria identified above. USAID reserves the right to
determine the resulting level of funding for the cooperative agreement.
The selection process may involve Oral presentations, which will be
conducted in Kampala, with those applicants whose application, has a
reasonable chance of being selected for award.

Award will then be made to responsible applicant whose application
offers the greatest value, cost and other factors considered.

**SECTION E -- REQUIRED USAID Certifications, Assurances and**

**Other Statements of the Recipient:**

NOTE: When these Certifications, Assurances, and Other Statements of
Recipient are used for cooperative agreements, the term \"Grant\" means
\"Cooperative Agreement\".

**PART I - CERTIFICATIONS AND ASSURANCES**

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

*Note: This certification applies to Non-U.S. organizations if any part
of the program will be undertaken in the United States.*

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

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

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

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

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

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

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

\(c\) This assurance is given in consideration of and for the purpose of
obtaining any and all Federal grants, loans, contracts, property,
discounts, or other Federal financial assistance extended after the date
hereof to the recipient by the Agency, including installment payments
after such date on account of applications for Federal financial
assistance which was approved before such date. The recipient recognizes
and agrees that such Federal financial assistance will be extended in
reliance on the representations and agreements made in this Assurance,
and that the United States shall have the right to seek judicial
enforcement of this Assurance. This Assurance is binding on the
recipient, its successors, transferees, and assignees, and the person or
persons whose signatures appear below are authorized to sign this
Assurance on behalf of the recipient.

**2. CERTIFICATION REGARDING LOBBYING**

The undersigned certifies, to the best of his or her knowledge and
belief, that:

\(1\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal Cooperative Agreement, the making of
any Federal loan, the entering into of any cooperative agreement, and
the extension, continuation, renewal, amendment or modification of any
Federal contract, grant, loan, or cooperative agreement.

\(2\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL,
\"Disclosure of Lobbying Activities," in accordance with its
instructions.

\(3\) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.

This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, United
States Code. Any person who fails to file the required certification
shall be subject to a civil penalty of not less than \$10,000 and not
more than \$100,000 for each such failure.

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief,
that: If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL, \"Disclosure
Form to Report Lobbying,\" in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering
into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required statement shall be subject to a
civil penalty of not less than \$10,000 and not more than \$100,000 for
each such failure.

**3. Prohibition on Assistance to Drug Traffickers for Covered Countries
and Individuals (ADS 206)**

USAID reserves the right to terminate this Agreement, to demand a refund
or take other appropriate measures if the Grantee is found to have been
convicted of a narcotics offense or to have been engaged in drug
trafficking as defined in 22 CFR Part 140. The undersigned shall review
USAID ADS 206 to determine if any certifications are required for Key
Individuals or Covered Participants.

If there are COVERED PARTICIPANTS: USAID reserves the right to terminate
assistance to or take other appropriate measures with respect to, any
participant approved by USAID who is found to have been convicted of a
narcotics offense or to have been engaged in drug trafficking as defined
in 22 CFR Part 140.

**4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING EXECUTIVE
ORDER 13224**

By signing and submitting this application, the prospective recipient
provides the certification set out below:

1\. The Recipient, to the best of its current knowledge, did not
provide, within the previous ten years, and will take all reasonable
steps to ensure that it does not and will not knowingly provide,
material support or resources to any individual or entity that commits,
attempts to commit, advocates, facilitates, or participates in terrorist
acts, or has committed, attempted to commit, facilitated, or
participated in terrorist acts, as that term is defined in paragraph 3.

2\. The following steps may enable the Recipient to comply with its
obligations under paragraph 1:

> a\. Before providing any material support or resources to an
> individual or entity, the Recipient will verify that the individual or
> entity does not (i) appear on the master list of Specially Designated
> Nationals and Blocked Persons, which list is maintained by the U.S.
> Treasury's Office of Foreign Assets Control (OFAC) and is available
> online at OFAC's website :
> <http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf>, or (ii) is
> not included in any supplementary information concerning prohibited
> individuals or entities that may be provided by USAID to the
> Recipient.
>
> b\. Before providing any material support or resources to an
> individual or entity, the Recipient also will verify that the
> individual or entity has not been designated by the United Nations
> Security (UNSC) sanctions committee established under UNSC Resolution
> 1267 (1999) (the "1267 Committee") \[individuals and entities linked
> to the Taliban, Usama bin Laden, or the Al Qaida Organization\]. To
> determine whether there has been a published designation of an
> individual or entity by the 1267 Committee, the Recipient should refer
> to the consolidated list available online at the Committee's website:
> <http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm>.
>
> c\. Before providing any material support or resources to an
> individual or entity, the Recipient will consider all information
> about that individual or entity of which it is aware and all public
> information that is reasonably available to it or of which it should
> be aware.
>
> d\. The Recipient also will implement reasonable monitoring and
> oversight
>
> procedures to safeguard against assistance being diverted to support
> terrorist activity.

3\. For purposes of this Certification-

> a\. "Material support and resources" means currency or monetary
> instruments or financial securities, financial services, lodging,
> training, expert advice or assistance, safe houses, 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 sub national groups or
> clandestine agents; or
>
> \(iii\) any other act intended to cause death or serious bodily injury
> to a civilian, or to any other person not taking an active part in
> hostilities in a situation of armed conflict, when the purpose of such
> act, by its nature or context, is to intimidate a population, or to
> compel a government or an international organization to do or to
> abstain from doing any act.
>
> c\. "Entity" means a partnership, association, corporation, or other
> organization, group or subgroup.
>
> d\. References in this Certification to the provision of material
> support and resources shall not be deemed to include the furnishing of
> USAID funds or USAID-financed commodities to the ultimate
> beneficiaries of USAID assistance, such as recipients of food, medical
> care, micro-enterprise loans, shelter, etc., unless the Recipient has
> reason to believe that one or more of these beneficiaries commits,
> attempts to commit, advocates, facilitates, or participates in
> terrorist acts, or has committed, attempted to commit, facilitated or
> participated in terrorist acts.
>
> e\. The Recipient's obligations under paragraph 1 are not applicable
> to the procurement of goods and/or services by the Recipient that are
> acquired in the ordinary course of business through contract or
> purchase, e.g., utilities, rents, office supplies, gasoline, etc.,
> unless the Recipient has reason to believe that a vendor or supplier
> of such goods and services commits, attempts to commit, advocates,
> facilitates, or participates in terrorist acts, or has committed,
> attempted to commit, facilitated or participated in terrorist acts.

This Certification is an express term and condition of any agreement
issued as a result of this application, and any violation of it shall be
grounds for unilateral termination of the agreement by USAID prior to
the end of its term.

**5. CERTIFICATION OF RECIPIENT**

By signing below the recipient provides certifications and assurances
for (1) the Assurance of Compliance with Laws and Regulations Governing
Non-Discrimination in Federally Assisted Programs, (2) the Certification
Regarding Lobbying, (3) the Prohibition on Assistance to Drug
Traffickers for Covered Countries and Individuals (ADS 206) and (4) the
Certification Regarding Terrorist Financing Implementing Executive Order
13224 above.

RFA/APS No. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

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

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

Date \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**6. 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 Cooperative Agreement. 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 Cooperative Agreement 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 Cooperative
Agreement, 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
Cooperative Agreement:

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

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

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

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

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

Alternate II

The recipient certifies that, as a condition of the Cooperative
Agreement, 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 Cooperative Agreement.

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

\(a\) Instructions for Certification

1\. By signing and submitting this application, 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 which this application 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,\"
\"application,\" 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 application is being submitted for
assistance in obtaining a copy of those regulations.

6\. The prospective primary participant agrees by submitting this
application 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 application 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 Non-procurement 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, that 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 application
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 preceding 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 application.

\[1\] FORMATS: 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.

**8. 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

**9. 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.

**10. 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.

**11. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND
VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS**

\(a\) Instructions for Certification

1\. By signing and submitting this application, 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 whom this application 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,\"
\"application,\" 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 application is submitted for assistance in obtaining a
copy of those regulations.

5\. The prospective lower tier participant agrees by submitting this
application 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 application 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 application, 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 application.

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).

**12. CERTIFICATION OF COMPLIANCE WITH THE STANDARD PROVISIONS ENTITLED
"CONDOMS" AND "PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE
LEGALIZATION OR PRACTICE OF PROSTITUTION OR SEX TRAFFICKING."**

*Applicability: This certification requirement only applies to the prime
recipient. Before a U.S. or non-U.S. non-governmental organization
receives FY04-FY08 HIV/AIDS funds under a grant or cooperative
agreement, such recipient must provide to the Agreement Officer a
certification substantially as follows*:

"\[Recipient\'s name\] certifies compliance as applicable with the
standard provisions entitled "Condoms" and "Prohibition on the Promotion
or Advocacy of the Legalization or Practice of Prostitution or Sex
Trafficking" included in the referenced agreement."

RFA No. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Application No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date of Application
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

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

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

**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. 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. PROCUREMENT INFORMATION**

\(a\) Applicability. This applies to the procurement of goods and
services planned by the recipient (i.e., contracts, purchase orders,
etc.) from a supplier of goods or services for the direct use or benefit
of the recipient in conducting the program supported by the grant, and
not to assistance provided by the recipient (i.e., a subgrant or
subagreement) to a subgrantee or subrecipient in support of the
subgrantee\'s or subrecipient\'s program. Provision by the recipient of
the requested information does not, in and of itself, constitute USAID
approval.

\(b\) Amount of Procurement. Please indicate the total estimated dollar
amount of goods and services which the recipient plans to purchase under
the grant:

\$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\(c\) Nonexpendable Property. If the recipient plans to purchase
nonexpendable equipment which would require the approval of the
Agreement Officer, please indicate below (using a continuation page, as
necessary) the types, quantities of each, and estimated unit costs.
Nonexpendable equipment for which the Agreement Officer\'s approval to
purchase is required is any article of nonexpendable tangible personal
property charged directly to the grant, having a useful life of more
than one year and an acquisition cost of \$5,000 or more per unit.

TYPE/DESCRIPTION(Generic) QUANTITY ESTIMATED UNIT COST

\(d\) Source, Origin, and Componentry of Goods. If the recipient plans
to purchase any goods/commodities which are not of U.S. source and/or
U.S. origin, and/or does not contain at least 50% componentry, which are
not at least 50% U.S. source and origin, please indicate below (using a
continuation page, as necessary) the types and quantities of each,
estimated unit costs of each, and probable source and/or origin, to
include the probable source and/or origin of the components if less than
50% U.S. components will be contained in the commodity. \"Source\" means
the country from which a commodity is shipped to the cooperating country
or the cooperating country itself if the commodity is located therein at
the time of purchase. However, where a commodity is shipped from a free
port or bonded warehouse in the form in which received therein,
\"source\" means the country from which the commodity was shipped to the
free port or bonded warehouse. Any commodity whose source is a non-Free
World country is ineligible for USAID financing. The \"origin\" of a
commodity is the country or area in which a commodity is mined, grown,
or produced. A commodity is produced when, through manufacturing,
processing, or substantial and major assembling of components, a
commercially recognized new commodity result, which is substantially
different in basic characteristics or in purpose or utility from its
components. Merely packaging various items together for a particular
procurement or relabeling items do not constitute production of a
commodity. Any commodity whose origin is a non-Free World country is
ineligible for USAID financing. \"Components\" are the goods, which go
directly into the production of a produced commodity. Any component from
a non-Free World country makes the commodity ineligible for USAID
financing.

TYPE/DESCRIPTION QUANTITY ESTIMATED GOODS PROBABLE GOODS PROBABLE
(Generic) UNIT COST COMPONENTS SOURCE COMPONENTS ORIGIN

\(e\) Restricted Goods. If the recipient plans to purchase any
restricted goods, please indicate below (using a continuation page, as
necessary) the types and quantities of each, estimated unit costs of
each, intended use, and probable source and/or origin. Restricted goods
are Agricultural Commodities, Motor Vehicles, Pharmaceuticals,
Pesticides, Rubber Compounding Chemicals and Plasticizers, Used
Equipment, U.S. Government-Owned Excess Property, and Fertilizer.

TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE INTENDED USE

(Generic) UNIT COST SOURCE ORIGIN

\(f\) Supplier Nationality. If the recipient plans to purchase any goods
or services from suppliers of goods and services whose nationality is
not in the U.S., please indicate below (using a continuation page, as
necessary) the types and quantities of each good or service, estimated
costs of each, probable nationality of each non-U.S. supplier of each
good or service, and the rationale for purchasing from a non-U.S.
supplier. Any supplier whose nationality is a non-Free World country is
ineligible for USAID financing.

TYPE/DESCRIPTION QUANTITY ESTIMATED PROBABLE SLUPPIER NATIONALITY
RATIONALE (Generic) UNIT COST (Non-US Only) for NON-US

\(g\) Proposed Disposition. If the recipient plans to purchase any
nonexpendable equipment with a unit acquisition cost of \$5,000 or more,
please indicate below (using a continuation page, as necessary) the
proposed disposition of each such item. Generally, the recipient may
either retain the property for other uses and make compensation to USAID
(computed by applying the percentage of federal participation in the
cost of the original program to the current fair market value of the
property), or sell the property and reimburse USAID an amount computed
by applying to the sales proceeds the percentage of federal
participation in the cost of the original program (except that the
recipient may deduct from the federal share \$500 or 10% of the
proceeds, whichever is greater, for selling and handling expenses), or
donate the property to a host country institution, or otherwise dispose
of the property as instructed by USAID.

TYPE/DESCRIPTION(Generic) QUANTITY ESTIMATED UNIT COST PROPOSED
DISPOSITION

**5. PAST PERFORMANCE REFERENCES**

On a continuation page, please provide past performance information
requested in the RFA.

**6. 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.

**7. 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.

## SECTION F -- STANDARD PROVISIONS AND OTHER REQUIREMENTS {#section-f-standard-provisions-and-other-requirements .unnumbered}

**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.
>
> \(3\) 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.
>
> \(4\) 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.
>
> \(5\) 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.
>
> \(6\) 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.
>
> \(7\) The policies and procedures applicable to violations of these
> requirements are set forth in 22 CFR Part 210.

**3. 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.

**4. 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**
>
> *What is the intended name of this program, project, or activity?*
>
> Guidelines: USAID prefers to have the USAID Identity included as part
> of the program or project name, such as a \"title sponsor,\" if
> possible and appropriate. It is acceptable to \"co-brand\" the title
> with USAID's and the Apparently Successful Applicant's identities. For
> example: \"The USAID and \[Apparently Successful Applicant\] Health
> Center.\"
>
> If it would be inappropriate or is not possible to \"brand\" the
> project this way, such as when rehabilitating a structure that already
> exists or if there are multiple donors, please explain and indicate
> how you intend to showcase USAID\'s involvement in publicizing the
> program or project*. For example: School #123, rehabilitated by USAID
> and \[Apparently Successful Applicant\]/ \[other donors\].* Note: the
> Agency prefers \"made possible by (or with) the generous support of
> the American People\" next to the USAID Identity in acknowledging our
> contribution, instead of the phrase \"funded by.\" USAID prefers local
> language translations.
>
> *Will a program logo be developed and used consistently to identify
> this program? If yes, please attach a copy of the proposed program
> logo.*
>
> Note: USAID prefers to fund projects that do NOT have a separate logo
> or identity that competes with the USAID Identity.
>
> **(2) Program Communications and Publicity**
>
> *Who are the primary and secondary audiences for this project or
> program?*
>
> Guidelines: Please include direct beneficiaries and any special target
> segments or influencers. *For Example: Primary audience: schoolgirls
> age 8-12, Secondary audience: teachers and parents--specifically
> mothers*
>
> *What communications or program materials will be used to explain or
> market the program to beneficiaries?*
>
> Guidelines: These include training materials, posters, pamphlets,
> Public Service Announcements, billboards, websites, and so forth.
>
> *What is the main program message(s)?*
>
> Guidelines: *For example: \"Be tested for HIV-AIDS\" or \"Have your
> child inoculated.\"* Please indicate if you also plan to incorporate
> USAID's primary message -- this aid is \"from the American people\" --
> into the narrative of program materials. This is optional; however,
> marking with the USAID Identity is required.
>
> *Will the recipient announce and promote publicly this program or
> project to host country citizens? If yes, what press and promotional
> activities are planned?*
>
> Guidelines: These may include media releases, press conferences,
> public events, and so forth. Note: incorporating the message, "USAID
> from the American People", and the USAID Identity is required.
>
> *Please provide any additional ideas about how to increase awareness
> that the American people support this project or program.*
>
> Guidelines: One of our goals is to ensure that both beneficiaries and
> host-country citizens know that the aid the Agency is providing is
> \"from the American people.\" Please provide any initial ideas on how
> to further this goal.
>
> **(3) Acknowledgements**
>
> *Will there be any direct involvement from a host-country government
> ministry? If yes, please indicate which one or ones. Will the
> recipient acknowledge the ministry as an additional co-sponsor*?
>
> Note: it is perfectly acceptable and often encouraged for USAID to
> \"co-brand\" programs with government ministries.
>
> *Please indicate if there are any other groups whose logo or identity
> the recipient will use on program materials and related
> communications.*
>
> Guidelines: Please indicate if they are also a donor or why they will
> be visibly acknowledged, and if they will receive the same prominence
> as USAID.
>
> \(d\) **Award Criteria**. The Agreement Officer will review the
> Branding Strategy for adequacy, ensuring that it contains the required
> information on naming and positioning the USAID-funded program,
> project, or activity, and promoting and communicating it to
> cooperating country beneficiaries and citizens. The Agreement Officer
> also will evaluate this information to ensure that it is consistent
> with the stated objectives of the award; with the Apparently
> Successful Applicant's cost data submissions; with the Apparently
> Successful Applicant's project, activity, or program performance plan;
> and with the regulatory requirements set out in 22 CFR 226.91. The
> Agreement Officer may obtain advice and recommendations from technical
> experts while performing the evaluation.
>
> **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 USAID-funded
> grants, cooperative agreements, or other assistance awards or
> subawards.
>
> ***A Presumptive Exception*** exempts the applicant from the general
> marking requirements for a *particular* USAID-funded public
> communication, commodity, program material or other deliverable, or a
> *category* of USAID-funded public communications, commodities, program
> materials or other deliverables that would otherwise be required to
> visibly bear the USAID Identity. The Presumptive Exceptions are:
>
> [Presumptive Exception (i)]{.underline}. 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 offend local cultural or social norms, or
> be considered inappropriate on such items as condoms, toilets, bed
> pans, or similar commodities (22 C.F.R. 226.91(h)(6)).
>
> [Presumptive Exception (vii).]{.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
> subagreement.
>
> ***Principal Officer*** means the most senior officer in a USAID
> Operating Unit in the field, e.g., USAID Mission Director or USAID
> Representative. For global programs managed from Washington but
> executed across many countries, such as disaster relief and assistance
> to internally displaced persons, humanitarian emergencies or immediate
> post conflict and political crisis response, the cognizant Principal
> Officer may be an Office Director, for example, the Directors of
> USAID/W/Office of Foreign Disaster Assistance and Office of Transition
> Initiatives. For non-presence countries, the cognizant Principal
> Officer is the Senior USAID officer in a regional USAID Operating Unit
> responsible for the non-presence country, or in the absence of such a
> responsible operating unit, the Principal U.S Diplomatic Officer in
> the non-presence country exercising delegated authority from USAID.
>
> ***Programs*** mean an organized set of activities and allocation of
> resources directed toward a common purpose, objective, or goal
> undertaken or proposed by an organization to carry out the
> responsibilities assigned to it.
>
> ***Projects*** include all the marginal costs of inputs (including the
> proposed investment) technically required to produce a discrete
> marketable output or a desired result (for example, services from a
> fully functional water/sewage treatment facility).
>
> ***Public communications*** are documents and messages intended for
> distribution to audiences external to the recipient's organization.
> They include, but are not limited to, correspondence, publications,
> studies, reports, audio visual productions, and other informational
> products; applications, forms, press and promotional materials used in
> connection with USAID funded programs, projects or activities,
> including signage and plaques; Web sites/Internet activities; and
> events such as training courses, conferences, seminars, press
> conferences and so forth.
>
> ***Subrecipient*** means any person or government (including
> cooperating country government) department, agency, establishment, or
> for profit or nonprofit organization that receives a USAID subaward,
> as defined in 22 C.F.R. 226.2.
>
> ***Technical Assistance*** means the provision of funds, goods,
> services, or other foreign assistance, such as loan guarantees or food
> for work, to developing countries and other USAID recipients, and
> through such recipients to subrecipients, in direct support of a
> development objective -- as opposed to the internal management of the
> foreign assistance program.
>
> ***USAID Identity (Identity)*** means the official marking for the
> United States Agency for International Development (USAID), comprised
> of the USAID logo or seal and new brandmark, with the tagline that
> clearly communicates that our assistance is "from the American
> people." The USAID Identity is available on the USAID website at
> <http://www.usaid.gov/branding> and USAID provides it without royalty,
> license, or other fee to recipients of USAID-funded grants, or
> cooperative agreements, or other assistance awards.
>
> **(b) Marking of Program Deliverables**
>
> \(1\) All recipients must mark appropriately all overseas programs,
> projects, activities, public communications, and commodities partially
> or fully funded by a USAID grant or cooperative agreement or other
> assistance award or subaward with the USAID Identity, of a size and
> prominence equivalent to or greater than the recipient's, other
> donor's, or any other third party's identity or logo.
>
> \(2\) The Recipient will mark all program, project, or activity sites
> funded by USAID, including visible infrastructure projects (for
> example, roads, bridges, buildings) or other programs, projects, or
> activities that are physical in nature (for example, agriculture,
> forestry, water management) with the USAID Identity. The Recipient
> should erect temporary signs or plaques early in the construction or
> implementation phase. When construction or implementation is complete,
> the Recipient must install a permanent, durable sign, plaque or other
> marking.
>
> \(3\) The Recipient will mark technical assistance, studies, reports,
> papers, publications, audio-visual productions, public service
> announcements, Web sites/Internet activities and other promotional,
> informational, media, or communications products funded by USAID with
> the USAID Identity.
>
> \(4\) The Recipient will appropriately mark events financed by USAID,
> such as training courses, conferences, seminars, exhibitions, fairs,
> workshops, press conferences and other public activities, with the
> USAID Identity. Unless directly prohibited and as appropriate to the
> surroundings, recipients should display additional materials, such as
> signs and banners, with the USAID Identity. In circumstances in which
> the USAID Identity cannot be displayed visually, the recipient is
> encouraged otherwise to acknowledge USAID and the American people's
> support.
>
> \(5\) The Recipient will mark all commodities financed by USAID,
> including commodities or equipment provided under humanitarian
> assistance or disaster relief programs, and all other equipment,
> supplies, and other materials funded by USAID, and their export
> packaging with the USAID Identity.
>
> \(6\) The Agreement Officer may require the USAID Identity to be
> larger and more prominent if it is the majority donor, or to require
> that a cooperating country government's identity be larger and more
> prominent if circumstances warrant, and as appropriate depending on
> the audience, program goals, and materials produced.
>
> \(7\) The Agreement Officer may require marking with the USAID
> Identity in the event that the recipient does not choose to mark with
> its own identity or logo.
>
> \(8\) The Agreement Officer may require a pre-production review of
> USAID-funded public communications and program materials for
> compliance with the approved Marking Plan.
>
> \(9\) Subrecipients. To ensure that the marking requirements "flow
> down\'\' to subrecipients of subawards, recipients of USAID funded
> grants and cooperative agreements or other assistance awards will
> include the USAID-approved marking provision in any USAID funded
> subaward, as follows:
>
> *"As a condition of receipt of this subaward, marking with the USAID
> Identity of a size and prominence equivalent to or greater than the
> recipient's, subrecipient's, other donor's or third party's is
> required. In the event the recipient chooses not to require marking
> with its own identity or logo by the subrecipient, USAID may, at its
> discretion, require marking by the subrecipient with the USAID
> Identity."*
>
> \(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
> funded by USAID, in which the content has not been approved by USAID,
> must contain the following disclaimer:
>
> *"This study/report/audio/visual/other information/media product
> (specify) is made possible by the generous support of the American
> people through the United States Agency for International Development
> (USAID). The contents are the responsibility of \[insert recipient
> name\] and do not necessarily reflect the views of USAID or the United
> States Government."*
>
> \(11\) The recipient will provide the Cognizant Technical Officer
> (CTO) or other USAID personnel designated in the grant or cooperative
> agreement with two copies of all program and communications materials
> produced under the award. In addition, the recipient will submit one
> electronic or one hard copy of all final documents to USAID's
> Development Experience Clearinghouse.
>
> **(c) Implementation of marking requirements.**
>
> \(1\) When the grant or cooperative agreement contains an approved
> Marking Plan, the recipient will implement the requirements of this
> provision following the approved Marking Plan.
>
> \(2\) When the grant or cooperative agreement does not contain an
> approved Marking Plan, the recipient will propose and submit a plan
> for implementing the requirements of this provision within 60 days
> after the effective date of this provision. The plan will include:
>
> \(i\) A description of the program deliverables specified in paragraph
> (b) of this provision that the recipient will produce as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity.
>
> \(ii\) the type of marking and what materials the applicant uses to
> mark the program deliverables with the USAID Identity,
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking,
>
> \(3\) The recipient may request program deliverables not be marked
> with the USAID Identity by identifying the program deliverables and
> providing a rationale for not marking these program deliverables.
> Program deliverables may be exempted from USAID marking requirements
> when:
>
> \(i\) USAID marking requirements would compromise the intrinsic
> independence or neutrality of a program or materials where
> independence or neutrality is an inherent aspect of the program and
> materials;
>
> \(ii\) USAID marking requirements would diminish the credibility of
> audits, reports, analyses, studies, or policy recommendations whose
> data or findings must be seen as independent;
>
> \(iii\) USAID marking requirements would undercut host-country
> government "ownership" of constitutions, laws, regulations, policies,
> studies, assessments, reports, publications, surveys or audits, public
> service announcements, or other communications better positioned as
> "by" or "from" a cooperating country ministry or government official;
>
> \(iv\) USAID marking requirements would impair the functionality of an
> item;
>
> \(v\) USAID marking requirements would incur substantial costs or be
> impractical;
>
> \(vi\) USAID marking requirements would offend local cultural or
> social norms, or be considered inappropriate;
>
> \(vii\) USAID marking requirements would conflict with international
> law.
>
> \(4\) The proposed plan for implementing the requirements of this
> provision, including any proposed exemptions, will be negotiated
> within the time specified by the Agreement Officer after receipt of
> the proposed plan. Failure to negotiate an approved plan with the time
> specified by the Agreement Officer may be considered as noncompliance
> with the requirements is provision.
>
> **(d) Waivers.**
>
> \(1\) The recipient may request a waiver of the Marking Plan or of the
> marking requirements of this provision, in whole or in part, for each
> program, project, activity, public communication or commodity, or, in
> exceptional circumstances, for a region or country, when USAID
> required marking would pose compelling political, safety, or security
> concerns, or when marking would have an adverse impact in the
> cooperating country. The recipient will submit the request through the
> Cognizant Technical Officer. The Principal Officer is responsible for
> approvals or disapprovals of waiver requests.
>
> \(2\) The request will describe the compelling political, safety,
> security concerns, or adverse impact that require a waiver, detail the
> circumstances and rationale for the waiver, detail the specific
> requirements to be waived, the specific portion of the Marking Plan to
> be waived, or specific marking to be waived, and include a description
> of how program materials will be marked (if at all) if the USAID
> Identity is removed. The request should also provide a rationale for
> any use of recipient's own identity/logo or that of a third party on
> materials that will be subject to the waiver.
>
> \(3\) Approved waivers are not limited in duration but are subject to
> Principal Officer review at any time, due to changed circumstances.
>
> \(4\) Approved waivers "flow down" to recipients of subawards unless
> specified otherwise. The waiver may also include the removal of USAID
> markings already affixed, if circumstances warrant.
>
> \(5\) Determinations regarding waiver requests are subject to appeal
> to the Principal Officer's cognizant Assistant Administrator. The
> recipient may appeal by submitting a written request to reconsider the
> Principal Officer's waiver determination to the cognizant Assistant
> Administrator.
>
> **(e) Non-retroactivity.** The requirements of this provision do not
> apply to any materials, events, or commodities produced prior to
> January 2, 2006. The requirements of this provision do not apply to
> program, project, or activity sites funded by USAID, including visible
> infrastructure projects (for example, roads, bridges, buildings) or
> other programs, projects, or activities that are physical in nature
> (for example, agriculture, forestry, water management) where the
> construction and implementation of these are complete prior to January
> 2, 2006 and the period of the grant does not extend past January 2,
> 2006.

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

.

"ORGANIZATIONS ELIGIBLE FOR TIP ASSISTANCE (MAY 2007)

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. No funds made available under an
agreement resulting from this Request for Application or Annual Program
Statement for the purpose of monitoring or combating trafficking in
persons may be used to promote, support or advocate the legalization or
practice of prostitution. Nothing in the immediately preceding sentence
shall be

construed to preclude assistance designed to combat trafficking in
persons, including programs for prevention, protection of victims, and
prosecution of traffickers, by ameliorating 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. U.S.
and foreign organizations, Public International Organizations and
collaboration agreement non-traditional partners, in each case, whether
prime or sub-recipients, that

receive U.S. Government funds to carry out programs that target victims
of severe forms of trafficking, which means 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,
cannot promote, support or advocate the legalization or practice of
prostitution. The preceding sentence shall not apply to such
organizations or non-traditional partners that provide services to
individuals solely after they are no

longer engaged in activities that resulted from such victims being
trafficked.

In accordance with the information-sharing requirements in Section
105(f)(4) of the 2003 TVPRA and subject to the review procedures of the
Senior Policy Operating Group (SPOG) \-- an inter-agency coordinating
body statutorily established by the 2003 TVPRA \-- before USAID makes
any award for anti-trafficking programs or activities or makes an award
with a significant anti-trafficking component, USAID is required, to the
extent permitted by law, share information on its proposed action with
the other primary grant-making SPOG member agencies (Department of
State, USAID, Department of

Justice, Department of Labor, Department of Health and Human Services,
and Department of Homeland Security). Such information shared by the
awarding SPOG member agency shall include (i) the name of the funding
recipient (including subgrantees or sub-awardees); (ii) location of
proposed project; (iii) proposed amount of the award; and (iv) a one or
two sentence description of the project. SPOG member

agencies shall have the opportunity to comment on (but not clear) any
proposed anti trafficking award of USAID's with respect to (1) whether
the proposed action will duplicate anti-trafficking activities of other
member agencies; (2) whether the proposed action presents opportunities
for partnership with anti-trafficking activities of other member
agencies; or (3) whether the proposed action or award to a funding
recipient is consistent with U.S. Government policies on combating
trafficking in persons. This review and comment process may take
twenty-seven business days or longer.

**6. Homeland Security Presidential Directive-12 (**HSPD-**12)
(September 2006)**

In response to the general threat of unauthorized access to federal
facilities and information systems, the President issued Homeland
Security Presidential Directive-12. HSPD-12 requires all Federal
agencies to use a common Personal Identity Verification (PIV) standard
when identifying and issuing access rights to users of
Federally-controlled facilities and/or Federal Information Systems.
USAID is applying the requirements of HSPD-12 to applicable assistance
awards. USAID will begin issuing HSPD-12 "smart card" IDs to applicable
recipients (and recipient employees), using a phased approach. Effective
October 27, 2006, USAID will begin issuing new "smart card" IDs to new
recipients (and recipient employees) requiring routine access to USAID
controlled facilities and/or access to USAID's information systems.
USAID will begin issuance of the new smart card IDs to existing
recipients (and existing recipient employees) on October 27, 2007.
(Exceptions would include those situations where an existing recipient
(or recipient employee) loses or damages his/her existing ID and would
need a replacement ID prior to Oct 27, 2007. In those situations, the
existing recipient (or recipient employee) would need to follow the PIV
processes described below, and be issued one of the new smart cards.)

Accordingly, before a recipient (including a recipient employee) may
obtain a USAID ID (new or replacement) authorizing him/her routine
access to USAID facilities, or logical access to USAID's information
systems, the individual must provide two forms of identity source
documents in original form and a passport size photo. One identity
source document must be a valid Federal or state government-issued
picture ID. (Overseas foreign nationals must comply with the
requirements of the Regional Security Office.) USAID/W recipients (and
recipient employee) must contact the USAID Security Office to obtain the
list of acceptable forms of documentation, and recipients working in
overseas Missions must obtain the acceptable documentation list from the
Regional Security Officer. Submission of these documents, and related
background checks, are mandatory in order for the recipient (or
employee) to receive a building access ID, and before access will be
granted to any of USAID's information systems. All recipients (or
employees) must physically present these two source documents for
identity proofing at their USAID/W or Mission Security Briefing. The
recipient (or employee) must return any issued building access ID and
remote authentication token to USAID custody upon termination of the
individual's employment with the recipient or completion of the award,
whichever occurs first.

The recipient must comply with all applicable HSPD-12 and PIV
procedures, as described above, as well as any subsequent USAID or
government-wide HSPD-12 and PIV procedures/policies, including any
subsequent applicable USAID General Notices, Office of Security
Directives and/or Automated Directives System (ADS) policy directives
and required procedures. This includes HSPD-12 procedures established in
USAID/Washington and those procedures established by the overseas
Regional Security Office. In the event of inconsistencies between this
clause and later issued Agency or government-wide HSPD-12 guidance, the
most recent issued guidance should take precedence, unless otherwise
instructed by the Agreement Officer.

The recipient is required to include this clause in any subawards
(including subcontracts) that require the subawardee or subawardee
employee to have routine physical access to USAID space or logical
access to USAID's information systems.

**7. VOLUNTARY POPULATION PLANNING ACTIVITIES -- MANDATORY REQUIREMENTS
(MAY 2006)**

Requirements for Voluntary Sterilization Programs

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

Prohibition on Abortion-Related Activities

> \(1\) No funds made available under this award will be used to
> finance, support, or be attributed to the following activities: (i)
> procurement or distribution of equipment intended to be used for the
> purpose of inducing abortions as a method of family planning; (ii)
> special fees or incentives to any person to coerce or motivate them to
> have abortions; (iii) payments to persons to perform abortions or to
> solicit persons to undergo abortions; (iv) information, education,
> training, or communication programs that seek to promote abortion as a
> method of family planning; and (v) lobbying for or against abortion.
> The term "motivate", as it relates to family planning assistance,
> shall not be construed to prohibit the provision, consistent with
> local law, of information or counseling about all pregnancy options.
>
> \(2\) No funds made available under this award will be used to pay for
> any biomedical research which relates, in whole or in part, to methods
> of, or the performance of, abortions or involuntary sterilizations as
> a means of family planning. Epidemiologic or descriptive research to
> assess the incidence, extent or consequences of abortions is not
> precluded.

**VOLUNTARY POPULATION PLANNING ACTIVITIES -- SUPPLEMENTAL REQUIREMENTS
(JANUARY 2009)**

a\. Voluntary Participation and Family Planning Methods:

> \(1\) The recipient agrees to take any steps necessary to ensure that
> funds made available under this award will not be used to coerce any
> individual to practice methods of family planning inconsistent with
> such individual\'s moral, philosophical, or religious beliefs.
> Further, the recipient agrees to conduct its activities in a manner
> which safeguards the rights, health and welfare of all individuals who
> take part in the program.
>
> \(2\) Activities which provide family planning services or information
> to individuals, financed in whole or in part under this agreement,
> shall provide a broad range of family planning methods and services
> available in the country in which the activity is conducted or shall
> provide information to such individuals regarding where such methods
> and services may be obtained.

b\. Requirements for Voluntary Family Planning Projects

\(1\) A Family planning project must comply with the requirements of
this paragraph.

> \(2\) A project is a discrete activity through which a governmental or
> nongovernmental organization or public international organization
> provides family planning services to people and for which funds
> obligated under this award, or goods or services financed with such
> funds, are provided under this award, except funds solely for the
> participation of personnel in short-term, widely attended training
> conferences or programs.
>
> \(3\) Service providers and referral agents in the project shall not
> implement or be subject to quotas or other numerical targets of total
> number of births, number of family planning acceptors, or acceptors of
> a particular method of family planning. Quantitative estimates or
> indicators of the number of births, acceptors, and acceptors of a
> particular method that are used for the purpose of budgeting,
> planning, or reporting with respect to the project are not quotas or
> targets under this paragraph, unless service providers or referral
> agents in the project are required to achieve the estimates or
> indicators.
>
> \(4\) The project shall not include the payment of incentives, bribes,
> gratuities or financial rewards to (i) any individual in exchange for
> becoming a family planning acceptor or (ii) any personnel performing
> functions under the project for achieving a numerical quota or target
> of total number of births, number of family planning acceptors, or
> acceptors of a particular method of contraception. This restriction
> applies to salaries or payments paid or made to personnel performing
> functions under the project if the amount of the salary or payment
> increases or decreases based on a predetermined number of births,
> number of family planning acceptors, or number of acceptors of a
> particular method of contraception that the personnel affect or
> achieve.
>
> \(5\) No person shall be denied any right or benefit, including the
> right of access to participate in any program of general welfare or
> health care, based on the person's decision not to accept family
> planning services offered by the project.
>
> \(6\) The project shall provide family planning acceptors
> comprehensible information about the health benefits and risks of the
> method chosen, including those conditions that might render the use of
> the method inadvisable and those adverse side effects known to be
> consequent to the use of the method. This requirement may be satisfied
> by providing information in accordance with the medical practices and
> standards and health conditions in the country where the project is
> conducted through counseling, brochures, posters, or package inserts.
>
> \(7\) The project shall ensure that experimental contraceptive drugs
> and devices and medical procedures are provided only in the context of
> a scientific study in which participants are advised of potential
> risks and benefits.
>
> \(8\) With respect to projects for which USAID provides, or finances
> the contribution of, contraceptive commodities or technical services
> and for which there is no subaward or contract under this award, the
> organization implementing a project for which such assistance is
> provided shall agree that the project will comply with the
> requirements of this paragraph while using such commodities or
> receiving such services.
>
> \(9\) The recipient shall notify USAID when it learns about an alleged
> violation in a project of the requirements of subparagraphs (3), (4),
> (5) or (7) of this paragraph; the recipient shall investigate and take
> appropriate corrective action, if necessary, when it learns about an
> alleged violation in a project of subparagraph (6) of this paragraph
> and shall notify USAID about violations in a project affecting a
> number of people over a period of time that indicate there is a
> systemic problem in the project.
>
> The recipient shall provide USAID such additional information about
> violations as USAID may request.

c\. Additional Requirements for Voluntary Sterilization Programs

> \(1\) None of the funds made available under this award shall be used
> to pay for the performance of involuntary sterilization as a method of
> family planning or to coerce or provide any financial incentive to any
> individual to practice sterilization.
>
> \(2\) The recipient shall ensure that any surgical sterilization
> procedures supported in whole or in part by funds from this award are
> performed only after the individual has voluntarily appeared at the
> treatment facility and has given informed consent to the sterilization
> procedure. Informed consent means the voluntary, knowing assent from
> the individual after being advised of the surgical procedures to be
> followed, the attendant discomforts and risks, the benefits to be
> expected, the availability of alternative methods of family planning,
> the purpose of the operation and its irreversibility, and the option
> to withdraw consent anytime prior to the operation. An individual\'s
> consent is considered voluntary if it is based upon the exercise of
> free choice and is not obtained by any special inducement or any
> element of force, fraud, deceit, duress, or other forms of coercion or
> misrepresentation.
>
> \(3\) Further, the recipient shall document the patient\'s informed
> consent by (i) a written consent document in a language the patient
> understands and speaks, which explains the basic elements of informed
> consent, as set out above, and which is signed by the individual and
> by the attending physician or by the authorized assistant of the
> attending physician; or (ii) when a patient is unable to read
> adequately a written certification by the attending physician or by
> the authorized assistant of the attending physician that the basic
> elements of informed consent above were orally presented to the
> patient, and that the patient thereafter consented to the performance
> of the operation. The receipt of this oral explanation shall be
> acknowledged by the patient\'s mark on the certification and by the
> signature or mark of a witness who shall speak the same language as
> the patient.
>
> \(4\) The recipient must retain copies of informed consent forms and
> certification documents for each voluntary sterilization for a period
> of three years after performance of the sterilization procedure.

d\. Prohibition on Abortion-Related Activities:

> \(1\) No funds made available under this award will be used to
> finance, support, or be attributed to the following activities: (i)
> procurement or distribution of equipment intended to be used for the
> purpose of inducing abortions as a method of family planning; (ii)
> special fees or incentives to any person to coerce or motivate them to
> have abortions; (iii) payments to persons to perform abortions or to
> solicit persons to undergo abortions; (iv) information, education,
> training, or communication programs that seek to promote abortion as a
> method of family planning; and (v) lobbying for or against abortion.
> The term "motivate", as it relates to family planning assistance,
> shall not be construed to prohibit the provision, consistent with
> local law, of information or counseling about all pregnancy options.
>
> \(2\) No funds made available under this award will be used to pay for
> any biomedical research which relates, in whole or in part, to methods
> of, or the performance of, abortions or involuntary sterilizations as
> a means of family planning. Epidemiologic or descriptive research to
> assess the incidence, extent or consequences of abortions is not
> precluded.

e\. The recipient shall insert this provision in all subsequent
subagreements and contracts involving family planning or population
activities that will be supported in whole or in part from funds under
this award. The term subagreement means subgrants and subcooperative
agreements.

**8. 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**

**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 combating HIV/AIDS, or
to endorse, utilize, or participate in a prevention method or treatment
program to which the organization has a religious or moral objection.

**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 sub agreement, a
non-governmental organization or public international organization
recipient/sub recipient 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 sub agreements.

\(e\) 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.

# 

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# 

[^1]: MoH and ORC Macro (2006) Uganda HIV/AIDS Sero-Behavioural Survey
    2004/2005. March. Ministry of Health and ORC Macro