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**Issuance Date: May 24, 2006**

**RFA Clarification Questions or Comments Due: June 13, 2006 at 5:00
p.m. local time**

**Closing Date and Time: July 10, 2006 at 5:00 p.m. local time**

**Subject: Request for Applications Number M-OAA-EGAT-06-1395**

**Aquaculture & Fisheries Collaborative Research Support Program
(CRSP)**

The United States Agency for International Development (USAID) is
seeking applications from eligible U.S. universities and colleges to
serve as the Management Entity of an Aquaculture & Fisheries
Collaborative Research Support Program (CRSP) as described in this
Request for Applications (RFA). The authority for the RFA is found in
the Foreign Assistance Act of 1961, as amended.

USAID welcomes comments and questions about this RFA package from all
prospective applicants. Written comments and questions regarding this
RFA should be submitted via e-mail to the USAID contact person
identified in the last paragraph of this cover letter no later than the
date and time indicated above. In addition, a public pre-application
conference will be held on Wednesday June 7, 2006 from 2:00 -- 4:00 pm
at the following address:

USAID LPA/Information Center Conference Room, M-18 1300 Pennsylvania
Avenue, NW Washington, DC 20523

The purpose of this pre-application conference is for USAID to discuss
the Aquaculture & Fisheries CRSP RFA and to address questions.
Amendments to this RFA will be made as needed, depending on the response
to the questions received. All potential Aquaculture & Fisheries CRSP
applicants are invited to attend. For those who are unable to attend,
please note that all questions and comments as well as USAID's response
will be issued in writing on http://www.Grants.gov.

Section 269(d) of Title XII of the Foreign Assistance Act, as amended,
defines an eligible university or college as:

> ".. those colleges or universities in each State, territory, or
> possession of the United States, or the District of Columbia, now
> receiving, or which may hereafter receive, benefits under the Act of
> July 2, 1862 (known as the First Morrill Act) or the Act of August 30,
> 1890 (known as the Second Morrill Act), which are commonly known as
> 'land-grant' universities; institutions now designated or which may
> hereafter be designated as sea-grant colleges under the Act of October
> 5, 1966 (known as the National Sea Grant College and Program Act),
> which are commonly known as sea-grant colleges; Native American
> land-grant colleges as authorized under the Equity in Educational
> Land-Grant Status Act of 1994 (7 U.S.C. 301 note); and other United
> States colleges and universities which -- (1) have demonstrable
> capacity in teaching, research, and extension (including outreach)
> activities in the agricultural sciences; and (2) can contribute
> effectively to the attainment of the objectives of this title."

Additionally, to be eligible, applicants must be able to: (1)
demonstrate an established capacity to provide the administrative
services and technical expertise necessary to implement an Aquaculture &
Fisheries CRSP as described in the RFA; (2) have a proven track record
in managing applied research, training and capacity building programs,
and promoting agricultural and rural development; (3) be legally
registered in the United States; and (4) be able to meet USAID financial
management standards.

The award resulting from this RFA will be a Leader with Associates (LWA)
Cooperative Agreement. The competition under this RFA covers the
Aquaculture & Fisheries CRSP Leader Award which will provide leadership
for worldwide activities performed under both the Leader Award funded by
the Office of Agriculture (EGAT/AG) in USAID's Bureau for Economic
Growth, Agriculture and Trade (EGAT) and subsequent Associate Awards
funded by USAID Missions, Washington Bureaus and other offices. The
activities funded through the Leader Award will target the primary
research and capacity building activities described in the Program
Description (Section C) of this RFA. Associate Awards may target the
primary and/or secondary research and capacity building activities
described in Section C. Associate Awards need not be competed, but
rather are awarded under the Leader agreement and are subject to the
provisions of that agreement. For more information on Leader with
Associates Awards, applicants are referred to USAID Contract Information
Bulletin (CIB) 99-10 at
<http://www.usaid.gov/business/business_opportunities/cib/pdf/cib9910.pdf>.

Eligible applicants may choose to partner with other public and private
entities such as other universities, colleges, companies, international
non-government organizations (NGOs), and others with resources and
relevant experience for conducting research, training and outreach
activities, and implementing research results. The award will be made to
the lead institution, as indicated in the application. The lead
institution must meet all eligibility requirements described above.

While for-profit firms may participate as sub-grantees but not as an ME,
pursuant to 22 CFR 226.81, it is USAID policy not to award profit under
assistance instruments such as cooperative agreements. However, all
reasonable, allocable, and allowable expenses, both direct and indirect,
which are related to the grant program and are in accordance with
applicable cost standards (22 CFR 226, OMB Circular A-122 for non-profit
organization, OMB Circular A-21 for universities, and the Federal
Acquisition Regulation (FAR) Part 31 for-profit organizations), may be
paid under the Cooperative Agreement.

Applicants under consideration for an award that have never received
funding from USAID may be subject to a pre-award audit to determine
fiscal responsibility, ensure adequacy of financial controls and
establish an indirect cost rate.

Subject to the availability of funds, USAID intends to issue a five-year
award estimated at \$8,900,000. Associate Awards are anticipated to be
\$3,000,000 over the life of the agreement for a total cumulative
estimated amount at \$11,900,000. Considering current budgetary
constraints, applicants should use an annual core funding level of
\$900,000 for year 1 and approximately \$2,000,000 for years 2 -- 5 for
planning purposes. The Leader and Associate Awards shall specify the
Total Estimated Award (TEA) amount for the Cooperative Agreement
allocated over the five (5) year period. There is some assumption that a
five (5) year extension will be provided based on three criteria: (1) a
record of good performance during the first 5-year period; (2)
availability of Agency funding; and (3) continued relevance of the CRSP
to the overall Agency research portfolio and development priorities.
USAID reserves the right to fund any or none of the applications
submitted. Prospective applicants should note that there is no bias for
or against the current Aquaculture CRSP ME to receive this award.

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

1.  Section A: Cooperative Agreement Application Format;

2.  Section A.1: Acronyms, Definitions and References;

3.  Section B: Selection Criteria;

4.  Section C: Program Description;

5.  Section D: Certifications, Assurances, and Other Statements of
    Applicant/Grantee; and

6.  Section E: Annexes

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".

Issuance of this RFA does not constitute an award commitment on the part
of the Government, nor does it commit the Government to pay for costs
incurred in the preparation and submission of an application. In
addition, final award of any resultant Cooperative Agreement cannot be
made until funds have been fully appropriated, allocated, and committed
through internal USAID procedures. While it is anticipated that these
procedures will be successfully completed, potential applicants are
hereby notified of these requirements and conditions for award.

Applications are submitted at the risk of the applicant. Should
circumstances prevent award of a cooperative agreement, all preparation
and submission costs are at the applicant\'s expense.

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

1.  Section B: Selection Criteria;

2.  Section A: Cooperative Agreement Application Format;

3.  Section C: Program Description; and

4.  This Cover Letter.

Please note that this RFA includes important departures from current
CRSP practice. See the body of this RFA for specific directions.
Applicants should also note that the 2005 Draft CRSP Guidelines are
currently under review and will be amended. These guidelines may be
helpful to organizations seeking to get a general sense of current CRSP
practice; however, the document has neither been approved by nor is
binding on USAID. In responding to this RFA, do not use the CRSP
guidelines as a reference.

The preferred method of distribution of USAID procurement information is
via [http://www.Grants.gov](http://www.Grants.gov/). This RFA and any
future amendments to it can be downloaded from that website. Click on
the "Find Grant Opportunities" tab at the top of the page. On the next
page under "Search Grant Opportunities" select "Browse by Agency".
Finally, select "US Agency for International Development" and search for
this RFA by title. Receipt of this RFA through
[http://www.Grants.gov](http://www.Grants.gov/) must be confirmed by
written notification to the contact person noted below. It is the
responsibility of the Recipient of the RFA document to ensure that it
has been received from [http://www.Grants.gov](http://www.Grants.gov/)
in its entirety and USAID bears no responsibility for data errors
resulting from the transmission or conversion processes.

Applicants must submit both technical and cost portions of their
applications in the manner described in Section A of this RFA. The award
will be made to that responsible applicant whose application offers the
greatest value to the U.S. Government. The maximum point score is 100
for the application. Please see Section B of this RFA for details
regarding selection criteria.

Applications must be received by the closing date and time indicated at
the top of this cover letter via
[http://www.Grants.gov](http://www.Grants.gov/) following the
instruction on the website. If there is a conflict between the original
copy of the application and the electronic version of the application,
the electronic version via grants.gov will be used as the official
application. Applications which are incomplete may not be considered in
the review process. Late applications will not be considered. The
application should also be submitted via e-mail to the USAID contact
person listed below. The date and time the e-mailed submission is
received by Grants.gov will be used as a measure of timeliness. The
technical and cost applications shall be submitted in a single volume
with a divider separating the two. Applicants should retain for their
records one copy of the application and all enclosures which accompany
their application. Erasures or other changes must be initialed by the
person signing the application. In addition, seven bound copies, one of
which should include original signatures, must be submitted via mail,
courier or hand-carried in an envelope with the name and address of the
applicant and RFA number inscribed thereon. Hard copies must be received
within one week (7 days) of the closing date/time, and submitted to the
contact person listed below:

> U.S. Agency for International Development
>
> 1300 Pennsylvania Avenue N.W.; Room 7.10-041
>
> Ronald Reagan Building; M/OAA/EGAT
>
> Washington, DC 20523
>
> Attention: Alicia Harris.

If you have difficulty with accessing the RFA, please contact the
Federal Grants help desk at 1-800-518-4726. Any questions or comments
concerning this RFA should be submitted via e-mail to Ms. Alicia Harris
at aharris@usaid.gov.

Sincerely,

Joseph Schmidt

Agreement Officer

Team Leader, M/OAA/EGAT

Office of Acquisition & Assistance

> **[TABLE OF CONTENTS]{.underline} Page**

SECTION A: COOPERATIVE AGREEMENT APPLICATION
FORMAT\...\...\...\...\...\.... 7

SECTION A.I: ACRONYMS, DEFINITIONS AND
REFERENCES\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...20

SECTION B: SELECTION CRITERIA 22

SECTION C: PROGRAM DESCRIPTION .24

SECTION D: CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS 35

ANNEX 1: MANDATORY STANDARD PROVISIONS FOR U.S. NON-GOVERNMENTAL
RECIPIENTS .40

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

C.2 INELIGIBLE COUNTRIES (MAY 1986)

C.3 NONDISCRIMINATION (MAY 1986)

C.4 INVESTMENT PROMOTION (JANUARY 1994)

C.5 REQUIRED CLAUSE FOR GRAY-AREA ACTIVITIES (NOV 2003)

C.6 NONLIABILITY (NOVEMBER 1985)

C.7 AMENDMENT (NOVEMBER 1985)

C.8 NOTICES (NOVEMBER 1985)

C.9 SUBAGREEMENTS (JUNE 1999)

C.10 OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT(APRIL 1998)

C.11 USAID ELIGIBILITY RULES FOR GOODS AND SERVICES(APRIL 1998)

C.12 REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)

C.13 CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY(NOVEMBER
1985)

C.14 USE OF POUCH FACILITIES (AUGUST 1992)

C.15 INTERNATIONAL AIR TRAVEL AND TRANSPORTATION(JUNE 1999)

C.16 LOCAL PROCUREMENT (APRIL 1998)

C.17 NEGOTIATED INDIRECT COST RATES -- PEDETERMINED (APRIL 1998)

C.18 PUBLICATIONS AND MEDIA RELEASES (JAN 2004)

C.19 TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE)

C.20 PUBLIC NOTICES (AUGUST 1992)

C.21 COMMUNICATIONS PRODUCTS (OCT 1994)

C.22 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS

C.23 COST SHARING (MATCHING) (JAN 2002)

C.24 DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS (JAN 2004)

C.25 DRUG-FREE WORKPLACE (JAN 2004)

C.26 ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (ASSISTANCE) (JUNE 2005) (JAN
2004)

C.27 CONDOMS (JUNE 2005)

C.28 PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR
PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (JUNE 2005)

C.29 USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)

C.30 MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS

(DECEMBER 2005)(AAPD 05-11);

> C.31 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICERS (ADS 206)
>
> C.32 REPORTING OF FOREIGN TAXES (AAPD 03-12).

ANNEX 2: STANDARD FORMS 424 AND 424A .64

ANNEX 3: SAMPLE ASSOCIATE AWARD .74

**[SECTION A -- COOPERATIVE AGREEMENT APPLICATION FORMAT]{.underline}**

**I. [INTRODUCTION]{.underline}**

The activities funded through the Leader Award will target the primary
research and capacity building activities described in the Program
Description (Section C). Associate Awards may target the primary and/or
secondary research and capacity building activities described in Section
C. Additional information about the Leader with Associates (LWA)
mechanism can be found later in Section A.

## II. PREPARATION [GUIDELINES]{.underline}

All applications received by the date and time indicated in the cover
letter will be reviewed for responsiveness to the specifications
outlined in this RFA. The application should be prepared in accordance
with the structural format set forth below and should demonstrate the
applicant's capabilities and expertise with respect to achieving the
goals of the program.

To facilitate the competitive review of the applications, USAID will
consider only applications conforming to the format prescribed below:

> **[Cover Page]{.underline}**: The cover page shall include the name of
> the university applying for the award as well as a point of contact,
> hereafter referred to as the "agent", with the authority to negotiate
> and sign on behalf of the applicant. The individual\'s name (both
> typed and his/her signature), title or position with the university,
> address, telephone and fax numbers, and e-mail address should be
> included
>
> **[Technical Application]{.underline} (See details below)**

A.  Technical Approach (maximum of 20 pages)

B.  Management Approach (maximum of 20 pages)

C.  Sample Solicitation (no page limit)

D.  Past Performance (maximum of 10 pages)

E.  Attachment -- CV

> **[Cost Application]{.underline} (See details below)**

Excluding the Sample Solicitation, the Technical Application shall not
to exceed fifty (50) pages. Pages in excess of the stated limitation
indicated above will not be considered. There are no page limits for the
cost application. Applications should be specific, complete and
presented concisely in the format set out below. While applicants are
expected to follow the format and the instructions contained therein,
they should also be aware of the Selection Criteria (Section B) included
in this RFA and ensure that their applications reflect and address those
criteria. The applicant must also be aware of the various issues
discussed in the Program Description (Section C) included in this RFA.

## III. [TECHNICAL APPLICATION FORMAT]{.underline}

**[A. Technical Approach:]{.underline}** The introductory portion of
this section shall provide a concise summary of the applicant's program
description, program methodology and expected results. Applicants shall
describe an overall vision and approach for implementing a global
research program that includes a portfolio of high quality, innovative
research activities that are designed to achieve long-term development
impact on host country beneficiaries consistent with the Program
Description (Section C) in this RFA. List three to five notional
development impact results and discuss their relationship to the
appropriate focal areas for development impact as well as to USAID
strategies and initiative such as the USAID Policy Framework, IEHA,
biodiversity conservation and/or biotechnology as discussed in Section C
of this RFA. That said it is understandable that research activities may
not achieve measurable gains in these development areas within the
five-year term of the CRSP program. Applicants must describe notional
benchmarks and results, and indicators that will be used to document
progress in reaching these development impact objectives. In addition,
the technical approach must include, but is not limited to, the
following:

1.  [Technical Leadership]{.underline}: Applicants must demonstrate that
    they have the necessary technical expertise to address both the
    primary and secondary research and capacity building areas of
    inquiry described in Section C. The application must:

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a.  Include a summary of the state of knowledge on aquaculture and
    fisheries issues that (1) demonstrates an understanding of recent
    trends and critical issues in aquaculture and fisheries; (2)
    demonstrates an understanding of the role of aquaculture and
    fisheries with regard to food security and poverty reduction in
    developing countries; and (3) demonstrates an understanding of
    recent analyses of critical constraints to sustainable aquaculture
    and improved fisheries management in developing countries;

b.  Describe the primary research areas they will focus on under the
    Leader Award, what will be done and how those activities will be
    implemented. A conceptual framework that shows the
    interrelationships between the substantive areas and establishes
    some priorities for direction research which will include a vision
    and strategy for addressing both the primary and secondary research
    area described in Section C of this RFA;

c.  Explain how the proposed program will capitalize on the lessons
    learned from relevant past and current research and development
    programs, and how it will address emerging issues in aquaculture and
    fisheries over the life of the Aquaculture & Fisheries CRSP award;

d.  Include a strategy for disseminating research results in a manner
    that leads to engagement of and influence on (1) end-users (i.e.,
    farmers, fishers and other end-users in this agro-food system); (2)
    host-country decision makers, researchers, educators and extension
    agents; (3) USAID Missions, Bureaus and other offices; and (4) other
    stakeholders;

> **Note:** Benchmarks should be refined and made more specific once
> research activities are selected.

2.  [Achieving Development Impact]{.underline}: This discussion must
    include a strategy for achieving long-term development impacts
    through the completion of intermediate results and benchmarks as
    discussed in the program description Section C. These benchmarks
    should be general at this time, but should serve as a framework for
    more specific indicators and benchmarks that will be developed once
    the research activities are selected. The applicant should indicate
    the process by which the more specific indicators will be developed.
    The applicant should be on notice that their proposed results and
    indicators may be incorporated in the award document. The applicant
    should frame the discussion using the categories and language of the
    Policy Framework for Bilateral Foreign Assistance, as discussed in
    the program description. The application should show an
    understanding of President's Initiative to End Hunger in Africa
    (IEHA), as discussed in the program description, and the
    relationship of IEHA objectives to the Aquaculture & Fisheries areas
    of inquiry. The applicant should describe a strategy for directing
    at least 25% of core funds in support of IEHA programming interests.
    The application should outline a strategy for dissemination of
    knowledge in a manner that leads to engagement of and influence on
    USAID field Missions and bureaus, host-country policy makers and
    practitioners, as well as other development and donor organizations.

3.  [Focal Areas for Development Results:]{.underline} Applicants
    must: (1) describe the relevance of soil and water quality to this
    CRSP, (2) identify critical issues related to soil and water
    throughout this agro-food system, and (3) indicate how the CRSP will
    address these issues. Applicants must also describe how Integrated
    Pest Management (IPM) might be: (1) relevant to this CRSP, (2) what
    the relevant IPM issues are, and (3) provide some notional
    description of how these relevant issues maybe addressed if it
    becomes necessary to undertake research on prevention, treatment, or
    mitigation of a disease or parasite.

4.  [Training and Capacity Building]{.underline}: Applicants must
    include a strategy to (1) increase the capacity of host country
    universities and/or research institutions to design and implement
    aquaculture and/or fisheries research and outreach activities; (2)
    increase the capacity of host country scientists to conduct research
    on aquaculture and/or fisheries issues; (3) increase the capacity of
    local cooperators, extension services and non-governmental
    organizations (NGOs) to analyze, adapt, disseminate and implement
    aquaculture and/or fisheries technologies and strategies; and (4)
    increase the capacity of host country farmers, fishers and other end
    users in this agro-food system to adopt, adapt and experiment with
    new technologies and strategies, especially those developed by the
    Aquaculture & Fisheries CRSP.

> As such, the application should describe strategies to maximize
> long-term degree training for developing country nationals, as well as
> shorter-term training that will benefit host country researchers,
> decisions makers, extension agents, NGOs, farmers, fishers and other
> end-users in this agro-food system. Plans that leverage funds for
> training from other sources are encouraged. It is hoped that CRSP
> programs will incorporate a variety of approaches for building
> capacity including degree programs, distance learning, web-boards or
> other communications technologies and communities of practice that
> link researchers, policy makers and development practitioners
> struggling with similar topics. Efforts should be made to ensure
> balance in access to training and capacity building opportunities in
> terms of the sex of trainees and other participants, and integrate
> appropriate gender sensitivity into all activities (see ADS 253.3.8).

1.  [Gender:]{.underline} USAID policy requires that gender issues be
    addressed as appropriate in all USAID-funded activities. The
    technical application should describe how gender considerations will
    be integrated throughout the program and into specific activities as
    appropriate. A discussion of important gender issues relevant to
    aquaculture and fisheries should be provided to demonstrate the
    applicant\'s understanding of these issues. ADS Section 303.5.5c
    provides more information regarding USAID's gender policy.

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B.  [**Management Approach**:]{.underline} Effective management,
    communication and coordination are critical to optimizing results
    from a multi-faceted global research program. The applicant must
    describe the organizational structure and approach by which the
    Aquaculture & Fisheries CRSP will be managed, including the
    structure of the CRSP's administrative and advisory bodies. The
    proposed institutional structure at the Recipient University will be
    referred to as the Management Entity (ME). This proposed management
    approach should be consistent with the ME responsibilities described
    in Section C. In addition, the management approach must include, but
    is not limited to the following:

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1.  [Management Plan:]{.underline} The application must:

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a.  Demonstrate the capacity of the proposed Leader Award university to
    manage a multi-institutional, multi-disciplinary, international
    research, capacity building and outreach activity;

b.  Demonstrate an understanding of ME responsibilities as described in
    Section C of this RFA;

c.  Describe the proposed Management Entity structure. This should
    include the roles and responsibilities of proposed staff, proposed
    lines of responsibility, authority and communication, and procedures
    to ensure productivity as well as cost and quality control. A
    streamlined management structure that minimizes administrative costs
    in order to maximize research, outreach, and capacity building
    activities is preferred;

d.  Define the role and responsibilities of the ME and the relationship
    envisioned between the ME and other departments and offices within
    the recipient university. The applicant should also describe the
    roles, responsibilities, relationships and composition of any
    proposed advisory bodies;

e.  Describe the capacity of the ME university to implement Associate
    Awards;

f.  Describe a plan to integrate planning, reporting and synthesis
    across research activities, including the monitoring of both sub and
    Associate Awards, that result in on-going improvement of activities
    and evaluation for lessons learned and reporting of results;

g.  Describe the plan for open and transparent competition, selection,
    and management of sub-awards that will attract broad participation
    of US universities including Minority Served Institutions (MSI) and
    ensure a participatory process between host country researchers and
    development partners, the US university community and other
    stakeholders in defining the research agenda and implementing
    research activities. Specific discussion of how the CRSP will
    encourage Mission engagement in research activities and, at a
    minimum, will avoid awarding activities against a Mission's
    objection should be included. The plan should include safeguards to
    eliminate conflicts of interest in the solicitation, submission,
    evaluation, and awarding of sub-awards to parties of the ME
    university/college and, if appropriate, consortium members.

[Management Entity Staff:]{.underline} Include, within this section of
the application, short biodata summaries for each individual selected to
fill staff positions. Detailed CVs for proposed staff should be provided
as attachments to the application. The biodata and CVs must demonstrate
the capacity of the proposed individuals to perform the described duties
provided by the applicant for each proposed position. The proposed CRSP
Director's CV must demonstrate that she/he has the capacity to manage a
multi-institutional and multi-disciplinary international research,
training and capacity building program. Please note that the biodata
summaries will count toward the page limit for this section of the
application while the CVs do not count toward page limitations.

**C.** **[Sample Solicitation:]{.underline}** Include a one page intro
affixed to the sample solicitation describing the overall solicitation
and pre-award process envisioned by the ME. The application should
include a sample solicitation for research sub-awards. The sample
solicitation should illustrate how the prospective Aquaculture &
Fisheries CRSP Management Entity would organize the areas of inquiry. It
should also indicate how the ME will inform prospective sub-awardees
(i.e. transparency and openness) about the requirements for training,
capacity building and development impact, and to promote Mission and
developing country decision maker engagement in project planning. This
sample solicitation should include cost formats and evaluation criteria.
The sample solicitation should also be complete, thorough, and
consistent with the Leader Award.

**D.** **[Past Performance:]{.underline}** Past performance is a measure
of the degree to which an applicant implemented related work
successfully, satisfied its customers/sponsors and complied with the
terms and conditions of its contract/grant/agreement. The applicant's
technical accomplishments in international research in aquaculture and
fisheries and its ability to form strong partnerships with a range of
research institutions/organizations/private sector in both the U.S. and
host countries will become a crucial element in the evaluation process.
Applications will be evaluated based upon relevant programs/projects
that are ongoing or were completed during the past five years,
demonstrated technical accomplishments in international research, in a
development context, on aquaculture and fisheries, and the applicant\'s
use of strong partnerships with a range of research
institutions/organizations both in the U.S. and in host countries for
conducting research and promoting adoption of research results.

As part of this review, USAID may contact some/all of the applicant's
past or current customers and partners to determine if the applicant (1)
was capable, efficient, and effective in implementing the activity; (2)
conformed to the terms and conditions of its contract/agreement/grant;
(3) was reasonable and responsive to and collaborative with the sponsor
during project implementation; and (4) was committed to customer
satisfaction.

As such, the application must include a maximum of 10 relevant past
performance projects for the applying university or college. Each
project should not exceed one page and should include the following:

1.  Name and brief description of activity;

2.  Results;

3.  Period of performance;

4.  Estimated dollar value;

5.  Name, title, email address and telephone number of person
    responsible for overseeing the work at the funding organization (If
    this person is no longer at the original funding organization,
    please provide their current contact information.); and

6.  Name, title, email address and telephone number of a point of
    contact for relevant partners involved in the activity.

In addition to contacting some of the references provided by the
applicant USAID may also contact other sources of information.

## IV. COST [APPLICATION FORMAT]{.underline}

Certain documents are required to be submitted by an applicant in order
for an Agreement Officer (AO) to make a determination of responsibility.
The following sections describe the documentation that applicants for an
assistance award must submit to USAID prior to award. Applicants are
encouraged to be as concise as possible, but still provide the necessary
detail to address the following:

A.  A copy of the applicant's detailed program description and entire
    application must be submitted via Http://www.Grants.gov and must be
    text accessible.

B.  A budget with an accompanying detailed budget narrative written in
    the third person that provides the total costs for implementation of
    the program your organization is proposing. In addition, please
    provide the following:

    1.  An overall budget for the Leader Award including the ME must be
        submitted using Standard Form 424. The submitted budget should
        be in Microsoft Excel format with formulas;

    2.  Detailed breakdown of each line item captured in SF-424;

    3.  Breakdown of all costs by proposed program element (i.e.,
        research, training, capacity building, outreach, etc.); and

    4.  Breakdown of the financial and in-kind contributions, converted
        to dollar value, of all organizations involved in implementing
        this Cooperative Agreement. Please be clear if the cost share
        will be in-kind or cash in the budget and narrative.

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C.  A current Negotiated Indirect Cost Rate Agreement (NICRA) or rate
    agreement with another federal agency or audited financial
    statements for the ME university and proposed partner organizations
    must be submitted. Applicants that do not currently have a rate
    agreement from a federal agency shall also submit the following
    information:

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1.  Copies of the applicant\'s financial reports for the previous 3-year
    period, which have been audited by a certified public accountant or
    other auditor satisfactory to USAID; and

2.  Projected budget, cash flow and organizational chart.

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D.  Required certifications and assurances (See Section D).

E.  Applicants should submit any additional evidence of responsibility
    for the Agreement Officer to make a determination of responsibility.
    The information submitted should substantiate that the Applicant:

    1.  Has adequate financial resources or the ability to obtain such
        resources as required during the performance of the award;

    2.  Has the ability to comply with the award conditions, taking into
        account all current and prospective commitments of the applicant
        -- governmental and non-governmental;

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

    4.  Has a satisfactory record of integrity and business ethics; and

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

        F.  Applicants that have never received a grant, cooperative
            agreement or contract from the U.S. Government are required
            to submit a copy of their accounting manual.

        G.  The budget must provide a breakdown of the financial and
            in-kind cost share contributions, converted to dollar value,
            of all organizations involved in implementing this
            Cooperative Agreement. Please indicate clearly if the cost
            share will be in-kind or cash in the budget and budget
            narrative.

> Cost share will be required under this RFA. Because the pursuit of
> CRSP research goals is intended to benefit both U.S. universities in
> improving U.S agricultural and economic development as well as USAID
> efforts to achieve development results from its provision of foreign
> assistance, each CRSP is required to provide a cost share contribution
> towards the federal funds provided by USAID. The cost share must
> consist of non-federally funded contributions (in cash or in kind)
> that meet all the criteria detailed in 22CFR 226.23, and should be
> discussed in detail within the budget narrative. The applicant should
> determine the appropriate cost share and the sources for meeting this
> cost share within the overall program. The ME will be held accountable
> for meeting the cost share commitment regardless of intended sources.
> Under this RFA, there are **no cost exclusions** from the cost share
> requirement.

H.  Evaluations:

> The cost application should not budget for any evaluations. (See
> Section K.4 below)

**V. [OTHER IMPORTANT INFORMATION]{.underline}**

In addition to the aforementioned guidelines, the applicant is requested
to take note of the following:

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

B.  [Preparation of Applications:]{.underline}

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

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

3.  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:

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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 cooperative agreement is awarded to this
> applicant as a result of - or in connection with - the submission of
> this data, the U.S. Government shall have the right to duplicate, use,
> or disclose the data to the extent provided in the resulting
> cooperative agreement. This restriction does not limit the U.S.
> Government\'s right to use information contained in this data if it is
> obtained from another source without restriction. The data subject to
> this restriction are contained in sheets; and

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

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

C.  [Explanation to Prospective Applicants:]{.underline} Any prospective
    applicant desiring an explanation or interpretation of this RFA must
    request it in writing by the date and time indicated in the cover
    letter to allow a reply to reach all prospective applicants before
    the submission of their applications. Any information given to a
    prospective applicant concerning this RFA will be furnished promptly
    to prospective applicants on http://www.Grants.gov if that
    information is necessary in submitting applications or if the lack
    of it would be prejudicial to any other prospective applicants.

D.  [Authority to Obligate the Government:]{.underline} 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 Agreement Officer.

E.  [Terrorist Organizations:]{.underline} The Applicant is reminded
    that U.S. Executive Orders and U.S. law prohibits transactions with,
    and the provision of resources and support to, individuals and
    organizations associated with terrorism. It is the legal
    responsibility of the Recipient to ensure compliance with these
    Executive Orders and laws. This provision must be included in all
    sub-contracts/sub-awards issued under this agreement.

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

G.  [Branding Requirements:]{.underline} In an effort to more accurately
    credit the American people for the foreign assistance they finance,
    USAID has engaged in a branding campaign. Effective August 26, 2005,
    all USAID-sponsored assistance awards are required to adhere to
    branding policies and revised marking requirements for grants and
    cooperative agreements in accordance with AAPD 05-11. This includes
    visibly displaying the USAID Standard Graphic Identity that clearly
    communicates assistance is, "From the American people" on all
    programs, projects, activities, publications, public communications,
    and commodities provided or supported through USAID assistance
    awards. AAPD 05-11 requires that, after the evaluation of the
    applications, the USAID Agreement Officer will request the
    Apparently Successful Applicant to submit a Branding Strategy that
    describes how the program, project, or activity is named and
    positioned, how it is promoted and communicated to beneficiaries and
    cooperating country citizens, and identifies all donors and explains
    how they will be acknowledged. USAID will not competitively evaluate
    the proposed Branding Strategy. For more information on USAID's
    Branding Requirements, see
    <http://www.usaid.gov/business/business_opportunities/cib/pdf/aapd05_11.pdf>

H.  [Cooperative Agreement Award:]{.underline}

    1.  The Government intends to award one Cooperative Agreement
        resulting from this RFA to the responsible applicant whose
        application conforms to this RFA offering the best value (see
        also Section B of this RFA). The Government may (a) reject any
        or all applications, (b) accept other than the lowest cost
        application, (c) accept more than one application, (d) accept
        alternate applications, and/or (e) waive informalities and minor
        irregularities in applications received;

    2.  The Government intends to award one Cooperative Agreement on the
        basis of initial applications received, without discussions.
        Therefore, each initial application should contain the
        applicant\'s best terms from a technical and cost standpoint.
        However, the Government reserves the right to hold discussions
        if deemed necessary; and

    3.  Neither financial data submitted with an application nor
        representations concerning facilities or financing will form a
        part of the resulting Cooperative Agreement.

        I.  [Leader with Associates Cooperative Agreement:]{.underline}

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1.  [Leader Award:]{.underline} This RFA is issued for a Leader with
    Associates (LWA) Cooperative Agreement. The competition under this
    RFA covers the Leader Award which will provide leadership for
    worldwide activities implemented under the Leader Award and for
    subsequent Associate Awards providing support to USAID Missions,
    Washington Bureaus and other offices. The Leader Award will be
    managed by the successful applicant and will constitute a worldwide
    program composed of specific research, capacity building and
    outreach activities. The Leader Awardee will be the recipient of all
    funds for this Cooperative Agreement, including any Associate
    Awards. Responsibility for the core program under the Leader Award
    and any Associate Awards remains with the ME as well as sub-awards
    to partners for implementation.

2.  [Competition:]{.underline} USAID Missions, Bureaus or other offices
    may fund additional work through Associate Awards which fall within
    the overall scope of the Leader Program Description. Once the Leader
    Award Recipient is selected pursuant to this RFA, no further
    competition or waiver of competition is required for any Associate
    Awards made within the terms of the Leader Award Program
    Description.

3.  [Associate Awards:]{.underline} Each Associate Award will have its
    own activity description which must fall within the overall scope of
    the Leader Award Program Description., and will otherwise be
    considered to be covered by the terms and conditions of the leader
    agreement.

4.  [Issuance of Associate Awards:]{.underline} For the purposes of this
    paragraph, it is assumed that Associate Awards are done at Missions;
    however, Associate Awards can be executed by Bureaus and Independent
    Offices. After the Leader Award is issued, a copy of the award will
    be sent to all Missions along with any necessary guidance or
    instructions regarding issuance of Associate Awards. Prior to
    issuance of an Associate Award, the requesting Mission, Bureau or
    other office shall consult with the USAID/W Leader Award Cognizant
    Technical Officer (CTO). After receiving concurrence from the Leader
    Award CTO, the appropriate Mission personnel shall request the
    Recipient to provide an application including a specific program
    description and budget to the Mission. The application shall be
    reviewed by the appropriate Mission technical personnel, and the
    Mission Agreement Officer shall be responsible for cost review and
    negotiation of the Associate Award. The Mission has the discretion
    to decide whether or not to issue the Associate Award. The Mission
    Agreement Officer and Associate Award CTO are responsible for the
    administration of the Associate Award.

5.  [Grant vs. Cooperative Agreement]{.underline}: Regardless of whether
    the Leader Award is a grant or cooperative agreement, Associate
    Awards issued by USAID Missions, Washington Bureaus or other office
    may be of the other type (i.e., an Associate Award cooperative
    agreement may be issued under a Leader Award grant and vice versa).

6.  [Period of Performance:]{.underline} The Leader Award will be issued
    for a period of five years. Associate Awards may be issued until the
    Leader Award expires and can be for a period of performance of up to
    five years past the expiration date of the Leader Award.

7.  [Certifications:]{.underline} The required certifications, including
    validation of the umbrella organization as a single entity with a
    single accounting system, shall be obtained from the applicant prior
    to the issuance of the Leader Award Cooperative Agreement. Prior to
    the issuance of an Associate Award, the Recipient must affirm that
    those certifications remain valid, or provide new certifications.
    Note: Please see CIB 99-10 for guidance pertaining to LWAs.

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J.  [Initial Environmental Examination (IEE):]{.underline} The proposed
    Aquaculture & Fisheries CRSP will lead innovative research, training
    and capacity building activities designed to develop and disseminate
    technologies, tools, practices, methodologies and policies that will
    sustainably increase aquaculture production; maintain and restore
    capture fisheries productivity; prevent and reduce poverty among
    subsistence and small-scale farmers and fishers; help prevent
    further degradation of aquatic ecosystem health; and protect
    valuable aquatic biodiversity. It is understood that the actual
    research activities will be determined by a competitive process and,
    as such, it will be incumbent on the Management Entity to ensure
    that environmental issues are considered and incorporated into its
    research, training and outreach activities. To this end, the
    Management Entity should identify the consideration of environmental
    issues, as appropriate, in both solicitations for sub-awards and as
    a selection criterion.

> Activities implemented under the Leader Award resulting from the RFA
> will target aquaculture. Based on the following assumptions regarding
> activities that will be implemented under the Leader Award:

1.  Activities will be conducted primarily on research stations in the,
    as yet to be identified, host-countries;

2.  Research protocols, policies and practices will be established to
    ensure that potential environmental impacts be strictly controlled;

3.  All training programs and outreach materials intended to promote the
    adoption of CRSP-generated research findings will incorporate the
    appropriate environmental recommendations;

4.  All sub-awards made under the Leader Award will be subject to
    stringent review by the ME to ensure compliance with environmental
    standards;

5.  Activities will not procure, use or recommend the use pesticides of
    any kind. This includes but is not limited to algicides, herbicides,
    fungicides, piscicides, parasiticides, and protozoacides.

6.  There are also no plans to use genetically modified organisms (GMO);
    and

7.  There are no plans to use or recommend for use any species that are
    non-endemic to a country or not already well established in its
    local waters, or that is non-endemic and well established but is the
    subject of an invasive species control effort;

> It has been determined that a categorical exclusion for the activities
> implemented under the Leader Award is appropriate. Further, it has
> been determined that a negative environmental threshold determination
> with conditions is appropriate. These conditions relate to the use of
> pesticides, GMO and non-indigenous or non-endemic non-established
> species.
>
> In the event that any activity implemented under the Leader Award
> wishes to use or recommend pesticides, GMOs, or non-indigenous or
> non-endemic non-established species, an amended IEE must be prepared
> and approved by the EGAT Bureau Environmental Officer before the
> activity can be implemented. The cooperating university may use funds
> from this CRSP prior to such approval only to pay for the cost of
> undertaking this IEE amendment.
>
> Separate IEEs shall be required for any subsequent Associate Awards.
> Those IEEs will be prepared by the USAID operating unit that issues
> the Associate Award and in writing jointly by the appropriate Regional
> Bureau Environmental Officer (BEO) and EGAT BEO prior to issuance of
> the Associate Award.

K.  [Reporting Requirements:]{.underline}

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1.  Financial Reporting for the Leader Award:

> The Recipient shall submit an original and one copy. Financial Reports
> shall be in keeping with 22 CFR 226.52.
>
> The Recipient shall list each country included in the program and the
> total amount expended for each country under the award for the
> reporting period in the "Remarks" block on the "Financial Status
> Report" SF 269 or SF-269A, or on a separate sheet of paper with the
> "Request for Advance or Reimbursement" SF 270. [Financial Reports will
> be required on a quarterly basis.]{.underline} The Recipient shall
> submit these forms in the following manner:

a.  The SF 269 shall be submitted to the Cognizant Technical Officer
    with one copy to the Agreement Officer.

b.  The SF 272 and 272a (if necessary) will be submitted via electronic
    format to the U.S. Department of Health and Human Services
    (\<http://www.dpm.psc.gov\>). A copy of this form shall also be
    simultaneously submitted to the Agreement Officer and the Cognizant
    Technical Officer.

c.  In accordance with 22 CFR 226.70-72 the original and two copies of
    final financial reports shall be submitted as follows: M/FM, the
    Agreement Officer, and the CTO.

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2.  Annual Program Performance Reporting for the Leader Award:

    a.  The performance reports are required to be submitted annually
        and shall present the information contained in 22 CFR 226.51(d).
        The Recipient shall submit two originals and an electronic copy
        of the annual report to the Leader Award CTO.

    b.  The format, content and time schedule of the Annual Report and
        Implementation Plan shall be agreed to between the CTO and CRSP
        ME. The first implementation work plan will be submitted within
        90 days of award date and October 31^st^ thereafter. Reporting
        will need to correspond to USAID required indicators (program
        component indicators, SO indicators, and IEHA indicators).

    c.  All country-level and global research activities implemented
        under the Leader Award shall be included in the Recipient's
        annual report and implementation plans. Separate program
        description and budget for an individual country program
        (associate award) shall be required.

    d.  The annual report should include progress made toward achieving
        benchmarks, intermediate results and indicators in meeting
        overall development impact objectives by country as discussed in
        Section C of this RFA. In addition, qualitative descriptions of
        success stories to illustrate the application of CRSP research
        should be included when possible.

    e.  The annual report for the Leader Award should summarize
        activities undertaken, progress made, results achieved, trends,
        problems, etc. overall and by country under both the Leader
        Award and any Associate Awards.

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3.  Final Report for the Leader Award:

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a.  The final performance report shall include information contained in
    22 CFR 226.51(d). The Recipient shall submit a final report that
    replaces the last annual report and includes: an executive summary
    of the Recipient's accomplishments overall and by country in
    achieving results and impact; conclusions about lessons learned;
    future challenges and opportunities; an overall description of the
    Recipient's activities and attainment of results by country or
    region; an assessment of progress made toward accomplishing the
    development impact objectives and expected results; significance of
    these activities; important research findings; comments and
    recommendations; and a fiscal report that describes how the
    Recipient's funds were used.

b.  The final report shall incorporate the findings and results include
    in previous annual reports.

c.  The Recipient shall submit two hard copies and an electronic copy of
    the final report to the Leader Award CTO and one electronic copy to
    the Agreement Officer. In addition, an electronic copy of the final
    report must be submitted to the Development Experience Clearinghouse
    (DEC) via e-mail to: <docsubmit@dec.cdie.org>. Please reference
    <http://www.dec.org/submit_doc.cfm> or contact one of the following
    concerning any questions you may have on the DEC reporting
    requirements:

> DEC: 301-562-0641 or <docsubmit@dec.cdie.org>
>
> USAID/PPC/DEI: 202-712-4696

4.  Evaluation:

> CRSPs will be subject to two evaluations each of which will assess the
> following: (1) the research program; (2) overall management; and (3)
> good performance.
>
> The first will evaluate the implementation of the global research
> program including incorporation of the core program components; the
> quality and progress of the research; the achievement of development
> results and benchmarks; the degree to which the research activities
> achieve integration and are relevant to development in the host
> countries and more broadly; and overall progress on agreed upon
> measurable research, training, outreach/dissemination, and
> institutional strengthening results of the global program.
>
> The second will evaluate the administrative and management
> effectiveness of the CRSP ME including the relationship between the ME
> and sub-award organizations; the relationship and communication with
> USAID/W and Missions; fulfillment of cost-share requirements; and the
> outreach and intellectual leadership activities undertaken by the ME
> in an identified focal area or focal area sub-theme for development
> results.
>
> These two evaluations are related and overlap in areas of inquiry,
> however, the two evaluations are distinct in that they have different
> primary audiences and rely on different types of evaluators. Both
> evaluations are generally conducted in the beginning of the fourth
> year of the five-year award.

5.  Associate Awards: Financial and performance reporting for Associate
    Awards are submitted directly to the USAID Mission, Bureau or other
    office that issues the Associate Award. The reporting frequency,
    content and format will be established in the Associate Agreement
    schedule. One hard copy and an electronic copy of these reports
    should be provided to the Leader Award CTO.

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L.  [Substantial Involvement:]{.underline} The intended purpose of
    Cognizant Technical Officer (CTO) involvement during the performance
    of the Leader Award is to assist the Recipient in achieving the
    supported objectives. After review by the CTO, only the Agreement
    Officer can make changes to the Program Description or the approved
    budget.

    1.  Leader Award substantial involvement will be limited to:

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a.  Review and comment on annual implementation plans for the Leader
    Award;

b.  Approval of specified key personnel. The CRSP Director shall be
    designated as the only key personnel position requiring USAID
    approval.

c.  Agency and Recipient collaboration or joint participation:

    1.  Collaborative involvement in the selection of members of
        advisory committees. USAID may also choose to become a member of
        these committees. Advisory committees shall concern themselves
        only with technical or programmatic issues and not routine
        administrative matters;

    2.  USAID will review and comment the solicitation for research
        activity sub-awards proposals;

    3.  USAID will participate with voice and vote, but no veto, in the
        selection of sub-award Recipients; and

    4.  USAID will approve the Recipient's monitoring and evaluation
        plan.

        2.  Associate Awards: Specific substantial involvement
            provisions will be determined for each Associate Award by
            the USAID operating unit that funds the Associate Award.
            Associate Award substantial involvement will not exceed that
            of the Leader Award but may be less.

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M.  [Geographic Code:]{.underline} In accordance with the limitations on
    USAID's ability to procure goods and services outside the United
    States (see the Foreign Assistance Act of 1961 and 22 CFR 228), the
    source and origin of goods and the nationality of suppliers of goods
    and services under this CRSP will be the United States (Geographic
    Code 000). Local source procurement (Geographic Code 935) is also
    authorized. These Geographic Codes are described below:

> Code 000: The United States of America, any State(s) of the United
> States, the District of Columbia, and areas of U.S. Associated
> sovereignty, including commonwealths, territories and possessions.
>
> Code 935: Any area or country including the cooperating country, but
> excluding the foreign policy restricted countries.

[]{.mark}

> Associate Awards should include the authorized Geographic Code(s) for
> procurement if different from the Leader Award.
>
> **[SECTION A.1 -- ACRONYMS, DEFINITIONS AND REFERENCES]{.underline}**

AAPD: Acquisition and Assistance Policy Directive

AO: Agreement Officer

BIFAD: Board for International Food and Agricultural Development

CIB: Contract Information Bulletin

CGIAR: Consultative Group for International Agricultural Research. For
more information about the CGIAR, visit
[http://www.cgiar.org](http://cgiar.org/)

CRSP: Collaborative Research Support Program. For information about the
CRSPs, visit [http://crsps.org](http://www.crsps.org/)

CTO: Cognizant Technical Officer. An employee designated by the
Agreement Officer to oversee a contract, grant or cooperative agreement.
A CTO is designated for each CRSP

EGAT: Bureau for Economic Growth, Agriculture and Trade

EGAT/AG: EGAT's Office of Agriculture

EGAT/NRM: EGAT's Office of Natural Resources Management

Host Countries: A developing country in which a CRSP has formal
activities

IARC: International Agricultural Research Center

ME: Management Entity of a CRSP

Mission: An independent USAID operating unit in a developing country led
by a Mission Director,

or a Country Representative.

MSI: Minority Serving Institutions. This includes Historically Black
Colleges and Universities (HBCU), Hispanic Serving Institutions (HSI)
and Tribal Colleges and Universities.

NARS: National Agricultural Research Systems

SPARE: Strategic Partnership for Agricultural Research and Education.
SPARE is a sub-committee of BIFAD.

Sub-award or sub-agreement or sub-grant: A document representing an
agreement made between the ME university and a participating institution
under authority of an established agreement between USAID and the ME
university.

Title XII: The Title XII Amendment to the International Development Food
Assistance Act

of 1975 as passed by the United States Congress and subsequently
amended.

USAID: United States Agency for International Development

USAID/W: USAID/Washington -- The Washington headquarters of USAID

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

Listing of federal grants application requests:
[http://www.grants.gov](http://www.grants.gov/)

Standard government forms:
<http://www.usaid.gov/procurement_bus_opp/procurement/forms/SF-424/>

ADS Mandatory Reference \"Guidance on Funding Foreign Government
Delegations to International Conferences:
<http://www.usaid.gov/policy/ads/300/350maa.pdf>

Development Clearinghouse:
<http://www.dec.org/index.cfm?fuseaction=docSubmit.home>.

Leader with Associates Awards, applicants are referred to CIB 99-10:
<http://www.usaid.gov/business/business_opportunities/cib/pdf/cib9910.pdf>\]

USAID's *Policy Framework for Bilateral Foreign Aid*:
<http://pdf.dec.org/pdf_docs/PDACG244.pdf>

Initiative to End Hunger in Africa:
<http://www.usaid.gov/locations/sub-saharan_africa/initiatives/ieha.html>

Comprehensive Africa Agriculture Development Programme:
<http://www.nepad.org/2005/files/caadp.php>

USAID Environmental Procedures:
<http://www.usaid.gov/our_work/environment/compliance/22cfr216.htm>

USAID's Guide on Biodiversity Conservation:
<http://pdf.usaid.gov/pdf_docs/PNADE258.pdf>

The Agricultural Strategy, Title Twelve reports and other documents from
the Office of Agriculture:
<http://www.usaid.gov/our_work/agriculture/index.html>

The agricultural research priority and CRSP portfolio review process
documents: <http://www.usaid.gov/our_work/agriculture/crsp/index.html>;

World Bank Report *Saving Fish and Fishers: Toward Sustainable and
Equitable Governance of the Global Fishing Sector*, Report No 29090-GLB,
May 2004:
<http://www-wds.worldbank.org/servlet/WDS_IBank_Servlet?pcont=details&eid=000011823_20050411130257>;

USAID Branding Requirements:
<http://www.usaid.gov/branding/assistance.html>

**[SECTION B - SELECTION CRITERIA]{.underline}**

The selection criteria presented below have been tailored to the
requirements of this particular RFA. Applicants should note that these
criteria serve to: (a) identify the significant matters which applicants
should address in their applications, and (b) set the standard against
which all applications will be evaluated. To facilitate the review of
applications, applicants should organize the narrative sections of their
applications in the same order as the selection criteria.

The technical applications shall be evaluated in accordance with the
Evaluation Criteria set forth below relative to the information provided
to applicants in Section III and in the Program Description (Section C)
of this RFA. An award will be made to a responsible applicant whose
application offers the best value, cost and other factors considered.
Technical criteria are considered more important than cost factors.

**[Evaluation Criteria (Total: 100 points)]{.underline}**

A.  **[Technical Approach (40 points):]{.underline}** The application
    will be evaluated relative to the elements outlined in the technical
    application format (Section III A.) of this RFA, with point
    distribution for each element as provided below. This criterion must
    incorporate and elaborate upon the applicant's strategy for meeting
    IEHA targets.

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1.  [Technical Leadership (15 points):]{.underline} The application will
    be evaluated for the clarity with which it articulates its
    conceptual framework and articulation of recent trends and critical
    issues related to aquaculture and fisheries as discussed in Section
    III A. and in Section C of this RFA. It will also be judged on its
    vision for the role the U.S. university-led program can play in
    improving developing country research and institutional capacities.

2.  [Achieving Development Impact (10 points)]{.underline}: The
    application will be judged on the logic, feasibility and
    appropriateness of the strategy, notional benchmarks and indicators,
    and expected development results outlined in the applicant's program
    description. This includes the overall approach for achieving
    development impact including a strategy to ensure utilization of
    research findings by (1) end-users (i.e., farmers, fishers and other
    end-users in this agro-food system); (2) host-country decision
    makers, researchers, educators and extension agents; (3) USAID
    Missions, Bureaus and other offices; and (4) other stakeholders. The
    application will also be judged on its discussion of IEHA and
    strategy to meet the 25% IEHA contribution targets, as well as its
    utilization of the core goals in the *Policy Framework of Bilateral
    Foreign Assistance* as described in the program description.

3.  [Focal Areas for Development Results (5 points)]{.underline}:
    Applications will be evaluated based upon the following: (1)
    relevancy of soil and water quality to this CRSP, (2) identification
    of critical issues related to soil and water throughout this
    agro-food system, and (3) indication of how the CRSP will address
    these issues. Applications will also be evaluated on IPM's: (1)
    relevancy to this CRSP, (2) relevant IPM issues, and (3) notional
    description of how these relevant issues may be addressed if it
    becomes necessary to undertake research on prevention, treatment, or
    mitigation of a disease or parasite.

4.  [Training and Capacity Building (5 points):]{.underline} The
    application will be evaluated for the logic, feasibility and
    appropriateness of its proposed strategy for maximizing training and
    capacity building as discussed in the program description.

5.  [Gender (5 points):]{.underline} The technical application should
    describe how gender considerations will be integrated throughout the
    program and into specific activities as appropriate. A discussion of
    important gender issues relevant to aquaculture and fisheries should
    be provided to demonstrate the applicant\'s understanding of these
    issues.

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B.  **[Management Approach (30 points):]{.underline}** The application
    will be evaluated relative to the elements outlined in the technical
    application format (Section III B.) of this RFA, with point
    distribution for each element as follows:

> 1\. [Management Plan (20 points):]{.underline} The application will be
> evaluated upon its logic, transparency and efficacy of the proposed
> management structure and approach. Of particular interest are the
> proposed staffing and organizational structure (including the
> structure and use of advisory bodies in decision making); strategies
> for planning, reporting and synthesis of findings across research
> activities, for competing, selecting and managing research activities
> and for ensuring effective outreach and utilization of research
> findings. With regard to the sub-award competition process, the
> applicant should describe how it will ensure transparency and fairness
> in the evaluation and selection of sub-awardees.
>
> 2\. [Management Entity Staff (10 points):]{.underline} The proposed
> staff will be evaluated based on their credentials and demonstrated
> capacity to perform the duties presented by the applicant for each
> position. Of particular interest in this regard is the proposed CRSP
> Director.

C.  **[Sample Solicitation (10 points):]{.underline}** The application
    will be evaluated relative to the elements outlined in the technical
    application format (Section III C.) of this RFA. The sample
    solicitation will be evaluated for its likelihood of generating a
    portfolio of activities that meet the research, training/capacity
    building and development impact requirements of the CRSP as
    discussed in the program description. It should also indicate how
    the ME will inform prospective sub-awardees about the requirements
    for training, capacity building and development impact, and to
    promote Mission and developing country decision maker engagement in
    project planning.

D.  **[Past Performance (20 Points):]{.underline}** The application will
    be evaluated relative to the elements outlined in the technical
    application format (Section III D.) of this RFA. Applicants will be
    evaluated based on past performance on relevant programs or those
    completed during the past five years. Any past performance
    references older than five years will not be considered. Past
    performance is a measure of the degree to which an applicant
    satisfied its customers and complied with laws and regulations. As
    part of this review, USAID may contact up to ten of the applicant\'s
    references to determine (1) the degree of relevancy; (2) if the
    applicant was capable, efficient, and effective; (3) if the
    applicant's performance conformed to the terms and conditions of its
    contract/agreement/grant; (4) if the applicant was reasonable and
    cooperative during the performance; and (5) if the applicant was
    committed to customer satisfaction. In evaluating past performance,
    USAID may also check other sources of information, including, but
    not limited to other government agencies, better business bureaus,
    published media, and electronic data bases. USAID will also evaluate
    the past performance of proposed key personnel as well as
    organizational past performance of the applicant's key
    sub-contractors/sub-recipients/sub-grantees. Applicants must provide
    contact information as required in the instructions section of this
    RFA.

E.  **[Cost Application (no points):]{.underline}** The application will
    be evaluated relative to the elements outlined in the cost
    application format (Section IV) of this RFA. Applicants shall be
    evaluated on the effectiveness, cost efficiency, and cost-share
    contributions that the Recipient University brings to the
    implementation of the Leader Award, including sub-awards, and
    leveraging of federal funds. The applicant's budget will be
    evaluated based on the reasonableness and accuracy of proposed costs
    and relationship with the activities proposed in the technical
    application. Budgets providing more direct funding towards the
    program instead of administrative costs will receive higher weight
    assuming the technical application provides for a feasible program
    implementation and achievement of development impact objectives.

**[SECTION C -- PROGRAM DESCRIPTION]{.underline}**

I.  **[PREAMBLE]{.underline}**

The United States Agency for International Development (USAID) supported
Collaborative Research Support Program (CRSP) was created in 1977 to
engage the capacities of the U.S. land grant and other eligible
universities in addressing the needs of developing nations worldwide
while taking into account the value to US agriculture. The U.S. Congress
made this possible with the passage of the International Development and
Food Assistance Act of 1975, specifically under Title XII of that Act.
With the passage of the Famine Prevention and Freedom from Hunger
Improvement Act of 2000, Title XII was amended and reauthorized,
enabling the continuation of long-term collaborative research programs
as one of several categories of U.S. university led research efforts
helping "to achieve the mutual goals among nations of ensuring food
security, human health, agricultural growth, trade expansion, and the
wise and sustainable use of natural resources."

With the 2000 amendment of Title XII, Congress has directed that support
be provided to mobilize the capacities of U.S. universities and public
and private partners of universities for 1) global research on problems
affecting food, agriculture, forestry, and fisheries; and 2) improved
human capacity and institutional resource development for the global
application of agriculture and related environmental sciences.

CRSP activities are long-term in nature and emphasize equally: (1) the
development of capacity of the participants to ultimately respond to
their own knowledge requirements; (2) the creation of new technologies
and solutions to existing production, marketing, and consumption
constraints to the topic of the CRSP; and (3) economic, health and
social impacts. Research activities are conducted in collaboration with
host-country researchers and institutions, and are structured to be
directly related to the food and agricultural needs of developing
countries, be adapted to local circumstances, emphasize the improvement
of local systems, and be carried out within the countries to the maximum
extent practicable. There are currently nine CRSPs addressing different
sub-sectors of agriculture one of which is the Aquaculture CRSP which
began in 1982 and is currently managed by Oregon State University.

The EGAT Offices of Agriculture and Natural Resources Management manage
a range of research grants and cooperative agreements that bring the
experience and expertise of U.S. universities, non-governmental
organizations, International Agricultural Research Centers (IARCs), and
U.S. government agencies to bear on critical development issues in the
areas of agriculture and natural resource management. Since January
2005, the two offices have been engaged in a process to define a
coherent vision and set of priorities that will direct future research
investments. The objectives of this research priority setting exercise
have been to: 1) identify a joint research framework that addresses
Administration mandates, global development needs, USAID priorities, and
U.S. comparative advantage; and 2) propose a revised CRSP Portfolio to
be phased in over the next four years. The process included extensive
consultation both internally with USAID Missions and other offices and
externally with stakeholders including university and private sector
representatives. This process consisted of a desktop review followed by
a series of public meetings and electronic comment periods as well as
on-going consultations with the Board for International Food and
Agricultural Development (BIFAD) and its sub-committee, the Strategic
Partnership for Agricultural Research and Education (SPARE). This
process resulted in a research framework, a revised CRSP portfolio that
will be phased in over the next few years, and the development of some
core program components and focal points for development that will be
common among the CRSPs. Finally, the research framework and revised CRSP
portfolio were designed to be compatible with the Millennium Development
Goals, Title XII as amended, the desktop study, and relevant USAID
policies, strategies and objectives, all of which are discussed later in
this section of the RFA.

During program planning and implementation, CRSPs must address a number
of elements common to all of the CRSPs that resulted from the research
priority setting process described above. This includes five **Core
Program Components** which all CRSPs are expected to include in their
global research programs to provide a consistent approach across the
portfolio and helps development practitioners identify common
constraints and practices. These core components are: (1) social,
economic and environmental sustainability; (2) capacity building and
institutional strengthening; (3) outreach, dissemination and adoption;
(5) intellectual leadership; and (5) a systems approach. Research should
use a systems approach that considers the social, political, economic
and environmental influences that ultimately affect adoption of
policies, practices, tools, and technologies. The systems approach
requires that scientists integrate the three elements: livelihoods,
production landscapes, and markets. Further, research activities should
contribute to social, environmental and economic sustainability. While
some research may focus on the farm or enterprise scale, linkages must
be made to potential positive or negative impacts at a broader spatial
scale.

The priority setting process also identified eight **Focal Areas for
Development Results** that are intended to target research towards
ultimate development impact. These focal areas are: (1) improving
nutrition and health; (2) maximizing water and soil quality and
productivity; (3) broadening market access; (4) mitigating post harvest
constraints; (5) enhancing productivity and livelihoods in marginal
areas; (6) advancing integrated pest management practices; (7)
increasing incomes; and (8) improving food quality, processing, and food
safety. The intention is that each CRSP will be held accountable for a
small number of clearly defined and measurable outcomes within some but
not all of these focal areas that each CRSP selects for themselves and
which contribute to USAID's development priorities. Of the above focal
points, all CRSPs are encouraged to include activities related to water
and/or soil quality and productivity as well as integrated pest
management to ensure long-term agricultural productivity and to maintain
the resource base for future generations. Such activities should be
integrated into each CRSP's global program as appropriate.

With this Request for Applications (RFA), USAID is seeking applications
from eligible U.S. universities and colleges to serve as the Management
Entity (ME) of an Aquaculture & Fisheries CRSP. The award resulting from
this RFA will be a Leader with Associates Cooperative Agreement. The
competition under this RFA covers the Leader Award which will provide
leadership for worldwide activities performed under both the Leader
Award Cooperative Agreement funded by the Office of Agriculture
(EGAT/AG) in USAID's Bureau for Economic Growth, Agriculture and Trade
(EGAT) and subsequent Associate Awards funded by USAID Missions,
Washington Bureaus and other offices. The Leader Award Cooperative
Agreement will be managed by EGAT's Office of Natural Resources
Management (EGAT/NRM). The activities funded through the Leader Award
will target the primary research and capacity building activities
described below. Associate Awards may target the primary and secondary
research and capacity building activities described below.

II. **[LINKS TO USAID POLICIES, STRATEGIES AND OBJECTIVES]{.underline}**

USAID has undertaken an intensive effort in recent years to refine its
strategic vision and programming efforts, and to tie them more closely
to U.S. foreign policy objectives. That effort resulted in the
publication of *U.S. Foreign Aid: Meeting the Challenges of the
Twenty-first Century*, an Agency White Paper, in January 2004 followed
by the Fragile States Strategy in January 2005 and finally the Agency's
Policy Framework for Bilateral Foreign Aid in January 2006. Together
these documents signal a change in strategic direction and programming
priorities for the Agency by recognizing the fundamental differences in
weak or fragile states that require a different developmental approach
than that of more traditional transformational development or
humanitarian response situations. Increasingly, the Agency's programming
and resources will be aligned with the following five core goals that
are articulated in the *Policy Framework for Bilateral Foreign Aid*:

1.  [Promote transformational development:]{.underline} Promote
    far-reaching, fundamental changes in governance and institutions,
    human capacity, and economic structure, so that countries can
    sustain further economic and social progress without depending on
    foreign aid. This goal pertains to reasonably stable developing
    countries, with emphasis on those with significant need for
    concessional assistance and with adequate (or better) commitment to
    ruling justly, promoting economic freedom, and investing in people.

2.  [Strengthen fragile states:]{.underline} Reduce fragility and
    establish the foundation for development progress by supporting
    stabilization, security, reform, and capacity development in
    countries characterized by instability and weak governance, when and
    where U.S. assistance can make a significant difference.

3.  [Support strategic states:]{.underline} Help achieve major U.S.
    foreign policy goals in specific countries of especially high
    priority as key allies from a strategic standpoint.

4.  [Provide humanitarian relief:]{.underline} Help meet immediate human
    needs, save lives, and alleviate suffering in countries afflicted by
    violent conflict, crisis, natural disasters, or persistent dire
    poverty.

5.  [Address global issues and other special, self-standing
    concerns:]{.underline} Undertake activities that relate to concerns
    such as HIV/AIDS and other infectious diseases, climate change,
    biodiversity, direct support for international trade agreements, and
    counter narcotics efforts. Almost all of these concerns affect
    development. But these kinds of activities are typically undertaken
    for their own sake (hence "self-standing"). They call for distinct
    approaches to resource allocation and results reporting.

As with all USAID-supported activities, the CRSPs are required to work
in a manner that is consistent with the Agency's strategic goals as
outlined in the *Policy Framework for Bilateral Foreign Aid*. It is
assumed that most of the CRSPs' activities will focus on work related to
issues relevant for transformational and fragile states, with some
contribution to the Agency's global, self-standing issues as well. In
the coming years, USAID will be particularly interested in better
understanding the root causes of and how to best mitigate fragility. The
Agency will also continue to be interested in understanding how best to
support lasting development impact in ways that have significant local
ownership. In framing and reporting on their research activities, the
CRSPs must strive to utilize this framework.

All CRSPs will contribute to USAID's strategic objectives by conducting
rigorous research in broadly defined areas of inquiry, by building
capacity of host country institutions and maximizing training
opportunities for host-country scientists, and by achieving impact
through the application of research findings. More specifically, the
CRSPs will support the strategic themes described in USAID's Agriculture
Strategy and the strategic objectives and intermediate results of the
EGAT Offices of Agriculture (EGAT/AG) and Natural Resources Management
(EGAT/NRM). The four themes of the Agriculture Strategy are:

1.  To expand trade opportunities and improve the trade capacity of
    producers and rural industries;

2.  To improve the social, economic, and environmental sustainability of
    agriculture;

3.  To mobilize science and technology and foster capacity for
    innovation; and

4.  To strengthen agricultural training and education, outreach, and
    adaptive research.

EGAT/AG's strategic objective is to strengthen agriculture's
contribution to broad-based economic growth, better health, and
effective natural resources management. The intermediate results are:

1.  The development and dissemination of innovative food-based
    technologies;

2.  The creation of an enabling policy environment and institutional
    innovations to support rural economic growth, natural resources
    management and private sector investment; and

3.  Improved competitiveness and capacity to access markets.

EGAT/NRM's strategic objective is to improve human well-being through
healthy ecosystems and sustainable resource management. The intermediate
results are:

1.  Improved management and conservation across diverse landscapes
    through science, interdisciplinary approaches and the adoption of
    best practices;

2.  Promotion of equitable natural resources governance and management
    of natural resources conflicts; and

3.  Increased economic opportunities through sustainable production,
    marketing and trade of natural resource-based products and services.

EGAT is committed to the development of gender-sensitive applied
research programs. Each program is expected to identify the key gender
issues that are: 1) important to the formation of the research topic;
and 2) likely to affect the implementation of the research activities it
is proposing and to articulate the approach it will use to address the
identified issues. It is anticipated that the gender issues will not be
addressed as discrete activities in the CRSPs, but will be integrated
throughout the program as appropriate. Applicants should describe their
vision and approach to integrate gender into this CRSP. All people-level
benchmarks and indicators should be disaggregated by sex. USAID policy
on training (ADS 253.3.8) identifies an annual target of fifty percent
women in new training for third-country and US enrollments. Although
this policy does not apply to in-country training, it is expected that
the CRSP will work towards achieving these targets. The CRSP must also
strive towards an equitable balance of men and women in both short and
long-term training and seek to increase the number of men and women in
fields where they have been historically underrepresented.

The activities of the CRSPs also contribute to other USAID strategic
objectives, initiatives and congressional earmarks such as those for
other sectors (i.e., health, nutrition, education, enterprise
development, environment, etc.) and other USAID Missions, Bureaus and
offices. EGAT/AG is responsible for contributing to the targets of the
Presidential Initiative to End Hunger in Africa (IEHA) and the
congressional earmarks focused on biodiversity conservation and
biotechnology described below.

**[IEHA:]{.underline}** IEHA was launched in 2002 to address one of the
greatest development challenges of our time \--hunger driven by
pervasive poverty in Africa. Evidence from Africa and throughout the
world demonstrates that few regions can emerge from poverty without
sustainable agricultural growth. Innovations that increase agricultural
productivity and more competitive markets are essential ingredients of
smallholder agricultural growth. Both offer numerous opportunities for
high-impact USAID investments. Country and regional action plans for
IEHA are structured around six themes for maximum impact:

1.  Scientific and technological applications that harness the power of
    new technology (e.g., information technology and biotechnology) in
    order to raise the productivity of food and export products and
    increase the stability and volume of supplies.

2.  Agricultural trade and market systems that add value to products and
    processes, deliver high-quality safe products, reduce costs for
    consumers, and create a climate and infrastructure that attract
    private and foreign investment to African agricultural businesses.

3.  Community and producer-based organizations that contribute to
    agricultural growth by providing a wide variety of business,
    training, and leadership development services and by giving a
    political voice to the economic interests of farmers who are
    normally too poor and too scattered to be heard.

4.  Development of human capital and institutions that shape and lead
    agricultural policy and research, as well as provide agricultural
    education. Infrastructure development in transportation, energy,
    water/sanitation, and telecommunications is also increasingly
    urgent.

5.  Integration of vulnerable groups and countries in transition into
    sustainable development processes that: (1) help the chronically
    poor and hungry in rural Africa find viable paths out of poverty by
    accumulating assets; (2) reduce the vulnerability of poor people to
    weather-, market-, and conflict-induced shocks; and (3) enhance the
    capacity of countries to manage shocks that have regional and
    national impacts.

6.  Environmental management that contributes to agricultural and rural
    sector growth through conservation and production of environmental
    goods and services that generate public and private economic
    benefits.

The six countries currently included in IEHA are Kenya, Ghana, Mali,
Mozambique, Uganda and Zambia. There are also three regional
platforms\--in West, East and Southern Africa. It is anticipated that
IEHA will expand in 2006 to include three additional countries that are
particularly chronically food insecure/"hunger hotspots".

The Office for Agriculture is responsible for contributing toward
overall USAID IEHA programming. As such, the Office of Agriculture will
look to the CRSPs to direct at least 25% of their total budget to
support IEHA objectives. To this end, research activities that actively
and collaboratively engage researchers, policy makers and development
professionals involved with IEHA and CAADP should be encouraged. In
order for activities to be attributed to the IEHA targets, the CRSPs
will be asked to report on common indicators for these activities.

**[Biodiversity:]{.underline}** Conservation of biodiversity is a
priority objective of USAID. Consonant with this, Congress has directed
the Agency to dedicate substantial funds to this objective. The Agency's
environmental regulations establish safeguards to avoid unwarranted
negative effects of Agency funded activities on biodiversity. The
Congressional mandate and the Agency's own priorities require proactive
consideration of what agency-funded activities can do to advance
conservation. Applicants responding to this RFA are invited to state
what relevance their proposed program has to the conservation of
biodiversity; what biodiversity concerns and opportunities arise with
the applicant's proposed program; and how biodiversity conservation may
be addressed in the implementation of the CRSP. With some CRSPs,
opportunities might predominantly lie in interventions that ameliorate
practices and policies that unnecessarily cause harm to biodiversity.
For example this could be the case in some instances with practices and
policies involving the cutting of forests, the draining of wetlands, the
use of pesticides, etc. To measure the impact and direct Agency
investments the following four criteria have been established to
determine whether or not an activity is advancing biodiversity
conservation:

1.  The program must have an explicit biodiversity objective; it isn't
    enough to have biodiversity conservation result as a positive
    externality from another program;

2.  Activities must be identified based on an analysis of threats to
    biodiversity;

3.  The program must monitor associated indicators for biodiversity
    conservation; and

4.  Site-based programs must positively impact biologically significant
    areas. (Please note that this criterion applies only to site-based
    work).

**[Biotechnology:]{.underline}** A biotechnology component is encouraged
for inclusion in this CRSP.  Applications should describe
how biotechnology is relevant to the program and how biotechnology may
be addressed in the implementation of the CRSP.  Biotechnology is
defined as the support of modern molecular biology research including
marker assisted breeding, molecular diagnostics, genomics, and
genetically engineered crops or livestock vaccines.  This definition
does not include tissue culture, embryo rescue, fermentation,
bio-pesticides or bio-fertilizers, or other non-molecular forms of what
is often called \"traditional biotechnology.\" Long and short term
training in an Agency-defined biotechnology method can be included as
part of the biotechnology component.

Note: Bureaus and Missions must ensure host-country approval/concurrence
before implementing biotechnology programs/activities.

III. **[AQUACULTURE & FISHERIES CRSP]{.underline}**

     A.  **[The Development Problem]{.underline}**

Products from aquaculture and capture fisheries provide a vital source
of food, income, employment, trade and economic well-being in developing
countries. According to FAO, global fish production was about 132.5
million tons in 2003 of which 90.2 million tons (68%) came from capture
fisheries and 42.3 million tons (32%) came from aquaculture. More than
38 million fishers and fish farmers gain their livelihoods from capture
fisheries and aquaculture.

Capture fisheries is the largest extractive use of wildlife in the
world. Production from capture fisheries has been relatively steady
since 1980, although recent FAO data shows 2003 capture fisheries
production 3% below the 2002 level. These trends are due to
over-fishing, habitat loss and environmental degradation. Poor
understanding, planning and management of these "common resources"
jeopardize one of the largest contributions to the world food supply,
international commerce and local food security.

Aquaculture production has increased since 1990 at an annual rate of 11%
and is currently the fastest growing sector in the global agricultural
economy. In 2002, aquaculture accounted for nearly 35% of the fish
consumed by people.

Aquaculture and capture fisheries products are the worlds most widely
traded foods. About 40% of world fish production enters international
trade with a value approaching \$63 billion in 2003. Developing
countries contributed slightly less than 50% of such exports. The
developed countries absorbed more than 80% of total world fisheries
imports in value terms, with Japan and the United States together
accounting for as much as 36% of the total. The importance of fish
exports as a foreign currency earner for developing countries has
increased significantly. Currently, net exports of fish and fish
products from developing countries far exceed export earnings from major
commodities such as coffee, cacao, bananas, sugar, tea, rice and rubber.

Most importantly, fish are the primary source of protein for some 950
million people worldwide and represent an important part of the diet of
many more. Globally, fish provide about 15% of animal protein consumed
which is more than from any other single source and more than from beef
and poultry combined. The percentages vary from an average of 23% in
Asia to 18% in Africa and 7% in Latin America and the Caribbean. Of the
30 countries most dependent on fish as a protein source, all but four
are in the developing world.

In less than 50 years, the world's average per capita consumption of
fish has almost doubled and this trend is expected to continue into the
future. FAO estimates that global fish production will increase to 172
million tons by 2015 with 73% of that increase coming from aquaculture
and 27% from capture fisheries. This represents 72% and 12% increases in
aquaculture and capture fisheries production, respectively. Future
increases in consumption will come primarily from developing nations as
populations increase and disposable incomes rise.

Most experts agree that capture fisheries production may increase in the
future with improved governance and management. Aquaculture currently
fills some of the gap between supply and demand and it is generally
agreed that it will need to play an even larger role in meeting future
demands. To foster global economic, social and environmental security,
aquaculture and fisheries need to be integrated into the comprehensive
management of natural resources in developing countries.

To meet this future demand, innovative programs in both aquaculture and
capture fisheries will be needed to sustainably increase aquaculture
production using environmentally-sound approaches, prevent further
degradation of ecosystem health, prevent and reduce poverty among
subsistence and small-scale fishers and fish farmers, restore capture
fisheries productivity, and protect valuable aquatic biodiversity.

B.  **[Technical Issues]{.underline}**

The goals of the Aquaculture & Fisheries CRSP will be to develop more
comprehensive, sustainable, ecologically and socially compatible, and
economically viable aquaculture systems and innovative fisheries
management systems in developing countries that contribute to poverty
alleviation and food security. To do this, the proposed Aquaculture &
Fisheries CRSP will lead innovative research, training and outreach
activities designed to develop and disseminate technologies, tools,
practices, methodologies and policies that will sustainably increase
aquaculture production; maintain and restore capture fisheries
productivity; prevent and reduce poverty among subsistence and
small-scale farmers and fishers; help prevent further degradation of
aquatic ecosystem health; and protect valuable aquatic biodiversity.

An important objective of the CRSP is to achieve development impact. It
is assumed that this impact will come from the research findings and/or
recommendations that the research activities generate. In order to
ensure relevance, adoption of recommendations and subsequent development
impact, CRSP researchers are encouraged to engage with: (1) end-users
(i.e., farmers, fishers and other end-users of this agro-food system);
(2) host-country decision makers, researchers, educators and extension
agents; (3) USAID Missions, Bureaus, and other offices; and (4) other
stakeholders as appropriate during research design and implementation.
Each research activity is also expected to conduct capacity building,
training and institutional strengthening to enhance skills and expertise
among the four categories listed above. While training has long been a
strength of the CRSPs, USAID anticipates renewed emphasis in this area.

The primary and secondary research areas outlined below are
intentionally broad. The Aquaculture & Fisheries CRSP is not expected to
cover each topic comprehensively, or even to necessarily have a research
activity in each of the topics mentioned. Instead, the research topics
outlined below are illustrative of USAID's interests and set the
parameters within which the ME of the CRSP will be expected to develop a
coherent program.

The following describes a range of illustrative aquaculture and
fisheries issues that could be addressed by the Aquaculture & Fisheries
CRSP. The lists of potential activities are not listed in any particular
order. It is not intended to be exhaustive and it should not be
interpreted as restrictive. It is also not intended to describe issues
that must be addressed. Gender issues must be integrated throughout the
topics selected.

1.  [**Primary Research Areas**:]{.underline} Due to the growing
    importance of aquaculture in meeting current and future demand for
    fish products and in providing alternative employment and income
    generation opportunities for farmers and fishers, the research and
    capacity building activities under the Aquaculture & Fisheries CRSP
    Leader Award will target sustainable aquaculture development. Such a
    target will provide the opportunity for USAID, through the U.S.
    university community and its partners, to play a critical role in
    addressing some of the key constraints facing the rapidly growing
    global aquaculture sector. Also, by targeting aquaculture, the new
    Aquaculture & Fisheries CRSP Leader Award will be able to build upon
    the research, training and capacity building efforts of the current
    Aquaculture CRSP and to strengthen partnerships between U.S. and
    host-country partners. Illustrative primary research topics include:

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a.  Sustainable aquaculture production technologies particularly for low
    trophic level species that require little or no fish meal or fish
    oils in their feeds;

b.  Sustainable and economically viable production systems ranging from
    small open ponds and integrated aquaculture-agriculture systems to
    closed re-circulating systems;

c.  Mitigation of environmental impacts of aquaculture including
    effluent management, biodiversity conservation related issues such
    as the introduction of non-native species and the impact of
    aquaculture on capture fisheries resources. This might also include
    research related to the location and construction of aquaculture
    facilities;

d.  Use of aquaculture as a means to enhance and restock capture
    fisheries resources;

e.  Water use efficiency, watershed management and land use related to
    aquaculture development;

f.  Breeding and culture technologies for alternative culture species
    especially indigenous species;

g.  Genetic improvement;

h.  Fish nutrition, feeds and feeding including efforts to reduce the
    need for fish meal and fish oils in aquaculture feeds;

i.  Prevention, treatment and mitigation of diseases and parasites. Any
    efforts in this regard should be done within the context of the
    generally accepted principles of integrated pest management (IPM);

j.  Food safety and value-added product development;

k.  Economics, marketing and trade;

l.  Social science issues that may influence the adoption of research
    findings and recommendations; and

m.  Policy, governance and trade reform to promote sustainable
    aquaculture development.

    2.  [**S**econdary Research Areas:]{.underline} Given the importance
        of capture fisheries with regard to food security, poverty
        reductions and biodiversity conservation, USAID Missions,
        Washington Bureaus and other offices may access relevant
        research, training and capacity building expertise from eligible
        U.S. universities to address a broad range of small-scale inland
        and coastal capture fisheries issues through Associate Awards.
        These activities could target capture fisheries management and
        policy approaches that promote enhanced governance and secure
        livelihoods. Illustrative research topics include:

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a.  Ecosystem-based approaches to fisheries management that are
    effective, practical and enhance and restore ecosystem productivity
    and function;

b.  Management tools and policy approaches that promote enhanced
    governance and secure livelihoods;

c.  Design and management of marine protected areas and reserves as
    fishery management tools to maintain and enhance production;

d.  Participatory research and assessment methods; economic and
    community-based models, methods and tools;

e.  Economic and community-based models, methods and tools for
    small-scale fisheries management;

f.  Co-management and resource access schemes as fishery management
    tools to maintain and enhance production efficiency and ensure
    livelihoods;

g.  Policy, governance and trade reform to promote sustainable fisheries
    management that captures economic rent from public resources
    (fishery, water and land assets) and ensure equitable benefit;

h.  Coastal resources and coral reef protection and management which are
    critical to at least maintaining marine capture fisheries
    production;

i.  Mitigation of land-based activities on coastal aquatic resources and
    coral reefs;

j.  Fisheries stock assessment;

k.  Food safety and value-added product development;

l.  Economics, marketing and trade;

m.  Social science issues that may influence the adoption of research
    findings and recommendations;

n.  Post-harvest loss reduction and by-catch utilization; and

o.  Stock enhancement.

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C.  **[Management Issues]{.underline}**

> The successful university Recipient of this award will establish a
> Management Entity (ME) that will be the primary liaison with USAID for
> this award, be responsible for the day to day management of the CRSP
> research and outreach activities, and represent the CRSP on the CRSP
> Council (<http://crsps.org/> ). The management structure and practices
> of the CRSP should be consistent with USAID guidance on LWAs (CIB
> 99-10
> <http://www.usaid.gov/business/business_opportunities/cib/pdf/cib9910.pdf>).
> The quality of the work done under this CRSP will depend upon the
> leadership, coordination and administration provided by the ME. One of
> the most important functions of the ME will be to establish and manage
> a portfolio of high quality and innovative research activities that
> address the needs of: (1) end-users (i.e., farmers, fishers and other
> end-users of this agro-food system); (2) host-country decision makers,
> researchers, educators and extension agents; (3) USAID Missions,
> Bureaus, and other offices; and (4) other stakeholders both in the
> host country and more broadly. It will also be the responsibility of
> the ME to translate the potentially diverse portfolio of individual
> research activities into a coherent global program that addresses
> critical gaps in knowledge regarding specific development constraints
> and to synthesize findings across common themes in the research
> portfolio. Each research activity in the CRSP's portfolio should have
> a communication and outreach strategy. The ME supports these
> country-level strategies and ensures communication and outreach to
> policymakers and development professionals for impact more broadly.
>
> USAID envisions that the ME will identify and manage the research that
> will address aquaculture and fisheries priority constraints of a
> global nature, and provide benefits to both host countries and more
> broadly. The goal is the formulation of partnerships between
> scientists at participating U.S. universities and their public and
> private partners such as corporations, host country institutions,
> non-governmental organizations (NGOs), private sector institutions,
> and International Agricultural Research Centers (IARCs) especially
> those supported by the Consultative Group on International Agriculture
> Research (CGIAR).
>
> Principal Management Entity responsibilities under this agreement
> shall be as follows:

1.  The ME will be responsible for putting in place a global research
    program comprised of competitively selected portfolio of research
    activities in the broad areas of inquiry described above. This
    includes issuing a call for applications from eligible universities
    and colleges and public and private partners, managing the selection
    process, awarding sub-grants, and administering the Leader Award and
    any Associate Awards. The research activities should correspond to
    the needs and interests of USAID, the US university community, host
    country institutions, policy makers, practitioners and end-users.
    The ME is encouraged to support research activities that have strong
    USAID Mission interest and involvement. Mission concurrence will
    always be required before any research activity sub-grant is
    awarded. The ME will be responsible for the administration of all
    research sub-awards that result from this competitive process;

2.  The ME will be responsible for managing the global research program
    and its portfolio of research activities. This will include
    facilitating communication across research activities to maximize
    synergies and avoid duplication, especially important where multiple
    research activities are operating in the same host country. The ME,
    working in coordination with the CTO, should also actively support
    efforts to engage the appropriate USAID Missions but may not market
    its services to Missions with federal funds;

3.  The ME will be the primary contact point on behalf of the CRSP to
    USAID. The ME will be responsible for tracking progress of each of
    the research activities, and make current information on research
    activities available through on-line trip reports and/or other
    mechanisms. The ME will be responsible for preparing annual
    implementation work plans and annual reports;

4.  The ME will be responsible for drawing together lessons learned and
    recommendations across research activities from its portfolio to
    form a set of coherent overall program results. It is recommended
    that the ME identify a set of themes that run across the portfolio,
    once the research activities are selected. The ME, working with CRSP
    researchers, will synthesize important findings, lessons learned and
    recommendations across these themes. The ME will collect stories of
    successful integration of research findings into policy, programming
    or practices, and benchmarks towards such integration. The ME will
    implement a plan that promotes the dissemination, adaptation, and
    application of research findings and results by development partners
    and countries;

5.  The ME will be responsible for the implementation and management of
    Associate Awards received from USAID Missions, Washington Bureaus
    and other offices. The ME will hold a competition to identify
    appropriate candidates/partners to implement the Associate Awards;

6.  Within reason, the ME may be asked to act as an "on call" advisor
    and intellectual resource to USAID on aquaculture and fisheries
    issues. It may be asked periodically to comment on strategy
    documents, make presentations to USAID staff, or participate in
    USAID sponsored events related to agriculture, natural resources
    management, and aquaculture and fisheries;

7.  The ME will be expected to participate in the CRSP community. This
    includes involvement in the CRSP Council, which is comprised of the
    CRSP directors or their deputies. It is also advisable that the CRSP
    ME stay appraised of BIFAD (and SPARE) interests and activities, as
    this body advises USAID on how to manage its university
    relationships and the CRSP portfolio;

8.  In addition, each CRSP ME will be asked to take intellectual
    leadership for specific topics that fit logically within the
    framework of USAID's Focal Areas for Development Results as
    described in the research priority setting process materials on the
    USAID website. Each ME, working in collaboration with the CRSP
    Council and USAID, will be asked to identify at least one focal area
    for which it will take leadership on key research
    findings/recommendations from across its own research portfolio and
    any relevant research conducted by other CRSPs. Each CRSP will also
    be asked to link to relevant research conducted by other
    universities, IARCs, NARS and other research institutions, as
    appropriate. The ME will identify the state of the art in
    development approaches emergent from the research, as well as gaps
    in USAID's understanding of the issues that may require additional
    research. CRSPs will be expected to disseminate their findings to
    researchers, development practitioners and donor organizations
    through existing information networks, policy/programming
    conferences and/or communities of practice.

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D.  **[Expected Results, Indicators and Benchmarks]{.underline}**

The CRSP will conduct research that yields concrete and applicable
recommendations for policies, practices and programming in the
substantive areas outlined above. It is encouraged to build outreach
activities into the research design and implementation as a way to
promote decision maker and practitioner engagement and interest in
research outcomes. Additional strategies for ensuring research will be
relevant to and utilized by decision makers, practitioners and
development professionals should be considered. This may include
research activities that compliment and support a planned or existing
development program implemented by a USAID Mission or other donor
organization, or that is being undertaken by the host country government
or private sector. In this instance, research can form the basis for
baseline surveys and can inform project design or refinement.
Alternatively, research activities could be designed as pilot tests of
innovations. Again, support by the appropriate Mission, policy makers
and/or end-user beneficiaries would be critical to ensure replicability
and adoption. Participation in Mission strategy development and
assessments can be a powerful way of bringing research to bear on
development programming directions. At a minimum, research activities,
and the CRSP as a whole, should utilize policy briefs and stakeholder
meetings to make the research more accessible to policy makers,
practitioners, end-users, and development professionals.

The CRSPs must have 3-5 notional development impact results that it will
achieve by the conclusion of its five year award. The ME will be asked
to identify its targeted development results once it has its research
portfolio in place. The CRSP will be evaluated, in part, on its
achievement of its development outcomes. The CRSP should make progress
toward these impacts by generating recommendations and practices that,
when adopted, will lead to these development impact objectives.

In order to be able to show incremental progress toward achievement of
these results, the CRSP must report on a series of notional benchmarks
for both individual research activities and for the overall CRSP
program. These benchmarks will be used to show movement toward and
increased likelihood of having recommendations adopted, and of achieving
development impact. Such benchmarks might include stakeholder/policy
maker engagement in research design, implementation and results
reporting (e.g., measured by active attendance at stakeholder meetings,
participation in training, etc.); researchers are asked to take part in
government panels or commissions; researcher participation in Mission
strategies, assessments, program design, etc.; participation of
development community at CRSP hosted outreach events; and participation
of CRSP supported researchers in development community fora. The
application should propose appropriate general, notional benchmarks in
the response to this RFA.

Finally, it is expected that the CRSP will produce a variety of outputs
over the course of its five-year award period. It is anticipated that
each research activity will yield multiple peer reviewed journal
articles. Synthesis activities and conference events could be encouraged
to pursue publication of special issues of journals dedicated to
research themes. In addition, however, the CRSP is expected to produce
brief articles or other materials that make the research and findings
more accessible to policy makers, development professionals, end-users,
and the general public. The materials must be written in non-academic
language, be geared toward problem solving and contain concrete
recommendations.

**SECTION D**

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

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

a\. The following certifications are required:

> 1\. Certification Regarding Terrorist Financing in accordance with
> AAPD 04-14. (Please note that this certification requires your
> organization to ensure that recipients of subcontracts and grants are
> not listed as Specially Designated Nationals and Blocked Persons by
> the U.S. Treasury's Office of Foreign Assets Control.);
>
> 2\. Assurance of Compliance with Laws and Regulations Governing
> Nondiscrimination in Federally Assisted Programs;

3\. Restrictions of Lobbying (See 22 CFR 227); and

4\. Prohibition on Assistance to Drug Traffickers for Key Individuals
(See ADS 206)

> 5\. Certification Regarding "Condoms" and "Prohibition on the
> Promotion or Advocacy of the Legalization or Practice of Prostitution
> or Sex Trafficking." AAPD 05-04

**1. Certification Regarding Terrorist Financing in accordance with AAPD
04-14**

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

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

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

a\. Before providing any material support or resources to an individual
or entity, the

Recipient will verify that the individual or entity does not (i) appear
on the master list of Specially Designated Nationals and Blocked
Persons, which list is maintained by the U.S. Treasury's Office of
Foreign Assets Control (OFAC) and is available online at OFAC's website:
http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf, or (ii) is not
included in any supplementary information concerning prohibited
individuals or entities that may be provided by USAID to the Recipient.

b\. Before providing any material support or resources to an individual
or entity, the

Recipient also will verify that the individual or entity has not been
designated by the United Nations Security (UNSC) sanctions committee
established under UNSC Resolution 1267 (1999) (the "1267 Committee")
\[individuals and entities linked to the Taliban, Usama bin Laden, or
the Al Qaida Organization\]. To determine whether there has been a
published designation of an individual or entity by the 1267 Committee,
the Recipient should refer to the consolidated list available online at
the Committee's website:
http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm.

c\. Before providing any material support or resources to an individual
or entity, the Recipient will consider all information about that
individual or entity of which it is aware and all public information
that is reasonably available to it or of which it should be aware.

d\. The Recipient also will implement reasonable monitoring and
oversight procedures to safeguard against assistance being diverted to
support terrorist activity.

3\. For purposes of this Certification-

a\. "Material support and resources" means currency or monetary
instruments or financial securities, financial services, lodging,
training, expert advice or assistance, safehouses, false documentation
or identification, communications equipment, facilities, weapons, lethal
substances, explosives, personnel, transportation, and other physical
assets, except medicine or religious materials."

b\. "Terrorist act" means-

\(i\) an act prohibited pursuant to one of the 12 United Nations
Conventions and Protocols related to terrorism (see UN terrorism
conventions Internet site:

http://untreaty.un.org/English/Terrorism.asp); or

\(ii\) an act of premeditated, politically motivated violence
perpetrated against noncombatant targets by subnational groups or
clandestine agents; or

\(iii\) any other act intended to cause death or serious bodily injury
to a civilian, or to any other person not taking an active part in
hostilities in a situation of armed conflict, when the purpose of such
act, by its nature or context, is to intimidate a population, or to
compel a government or an international organization to do or to abstain
from doing any act.

c\. "Entity" means a partnership, association, corporation, or other
organization, group or subgroup.

d\. References in this Certification to the provision of material
support and resources shall not be deemed to include the furnishing of
USAID funds or USAID-financed commodities to the ultimate beneficiaries
of USAID assistance, such as recipients of food, medical care,
micro-enterprise loans, shelter, etc., unless the Recipient has reason
to believe that one or more of these beneficiaries commits, attempts to
commit, advocates, facilitates, or participates in terrorist acts, or
has committed, attempted to commit, facilitated or participated in
terrorist acts.

e\. The Recipient's obligations under paragraph 1 are not applicable to
the procurement of goods and/or services by the Recipient that are
acquired in the ordinary course of business through contract or
purchase, e.g., utilities, rents, office supplies, gasoline, etc.,
unless the Recipient has reason to believe that a vendor or supplier of
such goods and services commits, attempts to commit, advocates,
facilitates, or participates in terrorist acts, or has committed,
attempted to commit, facilitated or participated in terrorist acts.

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

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

(Typed Name and Title) Date

(Name of Organization)

**2. Assurance of Compliance with Laws and Regulations Governing
Nondiscrimination in Federally Assisted Programs**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_(hereinafter called
the \"Applicant\")

(Name of Applicant)

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 AID, and that
with respect to the grant for which application is being made, it will
comply with the requirements of:

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

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

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

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

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

If the Applicant 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 Applicant establishes to the

satisfaction of the AID 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
program.

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 Applicant by the Agency, including installment payments
after such date on account of applications for Federal financial
assistance which were approved before such date. The Applicant
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
Applicant, its successors, transferees, and assignees, and the person or
persons whose signatures appear below are authorized to sign this
Assurance on behalf of the Applicant.

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

(Applicant)

BY (Signature) \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ TITLE
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

TYPED NAME \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ DATE
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**3. Restrictions of Lobbying (See 22 CFR 227)**

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 an agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with the awarding of any Federal contract, the
making of any Federal grant, the making of any Federal loan, the
entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan, or cooperative agreement.

\(2\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative

agreement, the undersigned shall complete and submit Standard Form-LLL,
\`\`Disclosure Form to Report Lobbying,\'\' 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, U.S.
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.

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

(Typed Name and Title) Date

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

(Name of Organization)

**4. Prohibition on Assistance to Drug Traffickers for Key Individuals
(See ADS 206)**

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\. Your organization is 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 your organization makes a false Certification you are subject to
U.S. criminal prosecution under 18 U.S.C. 1001.

**5. Certification Regarding "Condoms" and "Prohibition on the Promotion
or Advocacy of the Legalization or Practice of Prostitution or Sex
Trafficking."**

> "\[Recipient's Name\] 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."

> Annex 1

MANDATORY STANDARD PROVISIONS

FOR U.S., NONGOVERNMENTAL RECIPIENTS

C. STANDARD PROVISIONS FOR U.S., NONGOVERNMENTAL RECIPIENTS

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

C.2 INELIGIBLE COUNTRIES (MAY 1986)

C.3 NONDISCRIMINATION (MAY 1986)

C.4 INVESTMENT PROMOTION (JANUARY 1994)

C.5 REQUIRED CLAUSE FOR GRAY-AREA ACTIVITIES (NOV 2003)

C.6 NONLIABILITY (NOVEMBER 1985)

C.7 AMENDMENT (NOVEMBER 1985)

C.8 NOTICES (NOVEMBER 1985)

C.9 SUBAGREEMENTS (JUNE 1999)

C.10 OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT(APRIL 1998)

C.11 USAID ELIGIBILITY RULES FOR GOODS AND SERVICES(APRIL 1998)

C.12 REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)

C.13 CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY(NOVEMBER
1985)

C.14 USE OF POUCH FACILITIES (AUGUST 1992)

C.15 INTERNATIONAL AIR TRAVEL AND TRANSPORTATION(JUNE 1999)

C.16 LOCAL PROCUREMENT (APRIL 1998)

C.17 NEGOTIATED INDIRECT COST RATES -- PEDETERMINED (APRIL 1998)

C.18 PUBLICATIONS AND MEDIA RELEASES (JAN 2004)

C.19 TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE)

C.20 PUBLIC NOTICES (AUGUST 1992)

C.21 COMMUNICATIONS PRODUCTS (OCT 1994)

C.22 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS

C.23 COST SHARING (MATCHING) (JAN 2002)

C.24 DEBARMENT, SUSPENSION, AND OTHER RESPONSIBILITY MATTERS\
(JAN 2004)

C.25 DRUG-FREE WORKPLACE (JAN 2004)

C.26 ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (ASSISTANCE) (JUNE 2005) (JAN
2004)

C.27 CONDOMS (JUNE 2005)

C.28 PROHIBITION ON THE PROMOTION OR ADVOCACY OF THE LEGALIZATION OR
PRACTICE OF PROSTITUTION OR SEX TRAFFICKING (JUNE 2005)

C.29 USAID DISABILITY POLICY - ASSISTANCE (DECEMBER 2004)

> C.30 MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (DECEMBER
> 2005)(AAPD 05-11);
>
> C.31 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICERS (ADS 206)
>
> C.32 REPORTING OF FOREIGN TAXES (AAPD 03-12).

**C.** **STANDARD PROVISIONS FOR U.S., NONGOVERNMENTAL RECIPIENTS**

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

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

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

## 

## 

## C.2 INELIGIBLE COUNTRIES (MAY 1986)

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

## C.3 NONDISCRIMINATION (MAY 1986)

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

**C.4 INVESTMENT PROMOTION (JANUARY 1994)**

No funds or other support provided hereunder may be used in a project or
activity reasonably likely to involve the relocation or expansion
outside of the United States of an enterprise located in the United
States if non-U.S. production in such relocation or expansion replaces
some or all of the production of, and reduces the number of employees
at, said enterprise in the United States. No funds or other support
provided hereunder may be used in a project or activity the purpose of
which is the establishment or development in a foreign country of any
export processing zone or designated area where the labor,
environmental, tax, tariff, and safety laws of the country would not
apply, without the prior written approval of USAID. No funds or other
support provided hereunder may be used in a project or activity which
contributes to the violation of internationally recognized rights of
workers in the recipient country, including those in any designated zone
or area in that country.

**C.5 REQUIRED CLAUSE FOR GRAY-AREA ACTIVITIES (NOV 2003)**

For gray-area activities or investment-related activities where specific
activities are not identified at the time of obligation but could be for
investment-related activities, the following clause, or a substantive
alternative, is required for grants and cooperative agreements to
private entities, public international organizations and foreign
governments; interagency obligating agreements; and contracts:

**"Investment Promotion**

"(a) Except as specifically set forth in the \[Grant\] or otherwise
authorized by USAID in writing, no funds or other support provided
hereunder may be used for any activity that involves investment
promotion in a foreign country.

"(b) In the event the \[Grantee\] is requested or wishes to provide
assistance in the above area or requires clarification from USAID as to
whether the activity would be consistent with the limitation set forth
above, the \[Grantee\] must notify the \[Agreement Officer\] and provide
a detailed description of the proposed activity. The \[Grantee\] must
not proceed with the activity until advised by USAID that it may do so.

"(c) The \[Grantee\] must ensure that its employees and subcontractors
and sub-recipients providing investment promotion services hereunder are
made aware of the restrictions set forth in this clause and must include
this clause in all subcontracts and other sub-agreements entered into
hereunder."

\*The clause is not required for a permitted activity, but an Operating
Unit may include such a clause at its discretion. The Agreement Officer
or Contracting Officer is authorized to use a substantive alternative
clause or to insert the clause's substance in implementation letters or
comparable subsidiary documents.

**C.6 NONLIABILITY (NOVEMBER 1985)**

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

**C.7 AMENDMENT (NOVEMBER 1985)**

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

**C.8 NOTICES (NOVEMBER 1985)**

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

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

To recipient, at recipient\'s address shown in the award or to such
other address designated within the award Notices shall be effective
when delivered in accordance with this provision, or on the effective
date of the notice, whichever is later.

**C.9 SUBAGREEMENTS (JUNE 1999)**

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

###### C.10 OMB APPROVAL UNDER THE PAPERWORK REDUCTION ACT (APRIL 1998)

Information collection requirements imposed by this grant are covered by
OMB approval number 0412-0510; the current expiration date is
11/30/2000. Identification of the Standard Provision containing the
requirement and an estimate of the public reporting burden (including
time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing
the collection of information) are set forth below.

Standard Provision Burden Estimate

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\-\-\--

Air Travel and Transportation 1 (hour)

Ocean Shipment of Goods .5

Patent Rights .5

Publications .5

Negotiated Indirect Cost Rates - 1

(Predetermined and Provisional)

Voluntary Population Planning .5

Protection of the Individual as a

Research Subject

22 CFR 226 Burden Estimate

\-\-\-\-\-\-\-\-\-- \-\-\-\-\-\-\-\-\-\-\-\-\-\--

22 CFR 226.40-.49 Procurement 1

of Goods and Services

22 CFR 226.30 - .36 1.5

Property Standards

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

###### C.11 USAID ELIGIBILITY RULES FOR GOODS AND SERVICES (APRIL 1998)

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

\(1\) Ineligible Goods and Services. Under no circumstances shall the
recipient procure any of the following under this award:

\(i\) Military equipment,

\(ii\) Surveillance equipment,

\(iii\) Commodities and services for support of police or other law
enforcement activities,

\(iv\) Abortion equipment and services,

\(v\) Luxury goods and gambling equipment, or

\(vi\) Weather modification equipment.

\(2\) Ineligible Suppliers. Funds provided under this award shall not be
used to procure any goods or services furnished by any firms or
individuals whose name appears on the \"Lists of Parties Excluded from
Federal Procurement and Nonprocurement Programs.\" USAID will provide
the recipient with a copy of these lists upon request.

\(3\) Restricted Goods. The recipient shall not procure any of the
following goods and services without the prior approval of the Agreement
Officer:

\(i\) Agricultural commodities,

\(ii\) Motor vehicles,

\(iii\) Pharmaceuticals,

\(iv\) Pesticides,

\(v\) Used equipment,

\(vi\) U.S. Government-owned excess property, or

\(vii\) Fertilizer

Prior approval will be deemed to have been met when:

\(i\) the item is of US source/origin;

\(ii\) the item has been identified and incorporated in the program
description or schedule of the award (initial or revisions), or
amendments to the award; and

\(iii\) the costs related to the item are incorporated in the approved
budget of the award.

Where the item has not been incorporated into the award as described
above, a separate written authorization from the Agreement Officer must
be provided before the item is procured.

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

\(1\) For DFA funded awards or when the total procurement element during
the life of this award is valued at \$250,000 or less, the following
rules apply:

\(i\) The authorized source for procurement of all goods and services to
be reimbursed under the award is USAID Geographic Code 935, \"Special
Free World,\" and such goods and services must meet the source, origin
and nationality requirements set forth in 22 CFR Part 228 in accordance
with the following order of preference:

\(A\) The United States (USAID Geographic Code 000),

\(B\) The Cooperating Country,

\(C\) USAID Geographic Code 941, and

\(D\) USAID Geographic Code 935

\(ii\) Application of order of preference: When the recipient procures
goods and services from other than U.S. sources, under the order of
preference in paragraph (b)(1)(i) above, the recipient shall document
its files to justify each such instance. The documentation shall set
forth the circumstances surrounding the procurement and shall be based
on one or more of the following reasons, which will be set forth in the
grantee\'s documentation:

\(A\) The procurement was of an emergency nature, which would not allow
for the delay attendant to soliciting U.S. sources,

\(B\) The price differential for procurement from U.S. sources exceeded
by 50% or more the delivered price from the non-U.S. source,

\(C\) Compelling local political considerations precluded consideration
of U.S. sources,

\(D\) The goods or services were not available from U.S. sources, or

\(E\) Procurement of locally available goods and services, as opposed to
procurement of U.S. goods and services, would best promote the
objectives of the Foreign Assistance program under the award.

\(2\) When the total procurement element exceeds \$250,000 (unless
funded by DFA), the following applies: Except as may be specifically
approved or directed in advance by the Agreement Officer, all goods and
services financed with U.S. dollars, which will be reimbursed under this
award must meet the source, origin and nationality requirements set
forth in 22 CFR Part 228 for the authorized geographic code specified in
the schedule of this award. If none is specified, the authorized source
is Code 000, the United States.

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

\(1\) The United States (USAID Geographic Code 000),

\(2\) The Cooperating Country,

\(3\) \"Selected Free World\" countries (USAID Geographic Code 941), and

\(4\) \"Special Free World\" countries (USAID Geographic Code 899).

\(d\) If USAID determines that the recipient has procured any of these
goods or services under this award contrary to the requirements of this
provision, and has received payment for such purposes, the Agreement
Officer may require the recipient to refund the entire amount of the
purchase.

This provision must be included in all subagreements which include
procurement of goods or services which total over \$5,000.

**C.12 REGULATIONS GOVERNING EMPLOYEES (AUGUST 1992)**

\(a\) The recipient\'s employees shall maintain private status and may
not rely on local U.S. Government offices or facilities for support
while under this grant.

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

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

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

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

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

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

###### C.13 CONVERSION OF UNITED STATES DOLLARS TO LOCAL CURRENCY (NOV 1985)

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

**C.14 USE OF POUCH FACILITIES (AUGUST 1992)**

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

\(1\) Recipients and their employees are authorized use of the pouch for
transmission and receipt of up to a maximum of .9 kgs per shipment of
correspondence and documents needed in the administration of assistance
programs.

\(2\) U.S. citizen employees are authorized use of the pouch for
personal mail up to a maximum of .45 kgs per shipment (but see (a)(3)
below).

\(3\) Merchandise, parcels, magazines, or newspapers are not considered
to be personal mail for purposes of this standard provision and are not
authorized to be sent or received by pouch.

\(4\) Official and personal mail pursuant to a.1. and 2. above sent by
pouch should be addressed as follows:

Name of individual or organization (followed by letter symbol \"G\")
City Name of post (USAID/\_\_\_\_\_\_) Agency for International
Development Washington, D.C. 20523-0001

\(5\) Mail sent via the diplomatic pouch may not be in violation of U.S.
Postal laws and may not contain material ineligible for pouch
transmission.

\(6\) Recipient personnel are NOT authorized use of military postal
facilities (APO/FPO). This is an Adjutant General\'s decision based on
existing laws and regulations governing military postal facilities and
is being enforced worldwide.

\(b\) The recipient shall be responsible for advising its employees of
this authorization, these guidelines, and limitations on use of pouch
facilities.

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

**C.15 INTERNATIONAL AIR TRAVEL AND TRANSPORTATION (JUNE 1999)**

\(a\) PRIOR BUDGET APPROVAL

In accordance with OMB Cost Principles, direct charges for foreign
travel costs are allowable only when each foreign trip has received
prior budget approval. Such approval will be deemed to have been met
when:

\(1\) the trip is identified. Identification is accomplished by
providing the following information: the number of trips, the number of
individuals per trip, and the destination country(s).

\(2\) the information noted at (a)(1) above is incorporated in: the
application, the program description or schedule of the award, the
implementation plan (initial or revisions), or amendments to the award;
and

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

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

\(b\) NOTIFICATION

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

\(i\) the primary purpose of the trip is to work with USAID Mission
personnel, or

\(ii\) the recipient expects significant administrative or substantive
programmatic support from the Mission. Neither the USAID Mission nor the
Embassy will require Country Clearance of employees or contractors of
USAID Recipients.

\(2\) Where notification is required in accordance with paragraph (1)(i)
or (ii) above, the recipient will observe the following standards:

\(i\) Send a written notice to the cognizant USAID Technical Office in
the Mission. If the recipient\'s primary point of contact is a Technical
Officer in USAID/W, the recipient may send the notice to that person. It
will be the responsibility of the USAID/W Technical Officer to forward
the notice to the field.

\(ii\) The notice should be sent as far in advance as possible, but at
least 14 calendar days in advance of the proposed travel. This notice
may be sent by fax or e-mail. The recipient should retain proof that
notification was made.

\(iii\) The notification shall contain the following information: the
award number, the cognizant Technical Officer, the traveler\'s name (if
known), date of arrival, and the purpose of the trip.

\(iv\) The USAID Mission will respond only if travel has been denied. It
will be the responsibility of the Technical Officer in the Mission to
contact the recipient within 5 working days of having received the
notice if the travel is denied. If the recipient has not received a
response within the time frame, the recipient will be considered to have
met these standards for notification, and may travel.

\(v\) If a subrecipient is required to issue a Notification, as per this
section, the subrecipient may contact the USAID Technical Officer
directly, or the prime may contact USAID on the subrecipient\'s behalf.

\(c\) SECURITY ISSUES

Recipients are encouraged to obtain the latest Department of State
Travel Advisory Notices before traveling. These Notices are available to
the general public and may be obtained directly from the State
Department, or via Internet. Where security is a concern in a specific
region, recipients may choose to notify the US Embassy of their presence
when they have entered the country. This may be especially important for
long-term posting.

\(d\) USE OF U.S.-OWNED LOCAL CURRENCY

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

\(e\) THE FLY AMERICA ACT

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

\(f\) COST PRINCIPLES

The recipient will be reimbursed for travel and the reasonable cost of
subsistence, post differentials and other allowances paid to employees
in international travel status in accordance with the recipient\'s
applicable cost principles and established policies and practices which
are uniformly applied to federally financed and other activities of the
grantee. If the recipient does not have written established policies
regarding travel costs, the standard for determining the reasonableness
of reimbursement for overseas allowance will be the Standardized
Regulations (Government Civilians, Foreign Areas), published by the U.S.
Department of State, as from time to time amended. The most current
subsistence, post differentials, and other allowances may be obtained
from the Agreement Officer.

\(g\) SUBAWARDS.

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

**C.16 LOCAL PROCUREMENT (APRIL 1998)**

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

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

\(1\) Locally available commodities of U.S. origin, which are otherwise
eligible for financing, if the value of the transaction is estimated not
to exceed \$100,000 exclusive of transportation costs.

\(2\) Commodities of geographic code 935 origin if the value of the
transaction does not exceed the local currency equivalent of \$5,000.

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

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

\(5\) Commodities and services available only in the local economy (no
specific per transaction value applies to this category). This category
includes the following items:

\(i\) Utilities including fuel for heating and cooking, waste disposal
and trash collection;

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

\(iii\) Rental costs for housing and office space;

\(iv\) Petroleum, oils and lubricants for operating vehicles and
equipment;

\(v\) Newspapers, periodicals and books published in the cooperating
country;

\(vi\) Other commodities and services and related expenses that, by
their nature or as a practical matter, can only be acquired, performed,
or incurred in the cooperating country, e.g., vehicle maintenance, hotel
accommodations, etc.

\(c\) The coverage on ineligible and restricted goods and services in
the mandatory standard provision entitled, \"USAID Eligible Services,\"
also apply to local procurement.

\(d\) This provision will be included in all subagreements where local
procurement of goods or services is a supported element.

## C.17 NEGOTIATED INDIRECT COST RATES - PROVISIONAL (NONPROFIT) (APRIL 1998)

\(a\) Provisional indirect cost rates shall be established for each of
the recipient\'s accounting periods during the term of this award.
Pending establishment of revised provisional or final rates, allowable
indirect costs shall be reimbursed at the rates, on the bases, and for
the periods shown in the schedule of the award.

\(b\) Within the earlier of 30 days after receipt of the A-133 audit
report or nine months after the end of the audit period, the recipient
shall submit to the cognizant agency for audit the required OMB Circular
A-133 audit report, proposed final indirect cost rates, and supporting
cost data. If USAID is the cognizant agency or no cognizant agency has
been designated, the recipient shall submit four copies of the audit
report, along with the proposed final indirect cost rates and supporting
cost data, to the Overhead, Special Costs, and Closeout Branch, Office
or Procurement, USAID, Washington, DC 20523-7802. The proposed rates
shall be based on the recipient\'s actual cost experience during that
fiscal year. Negotiations of final indirect cost rates shall begin soon
after receipt of the recipient\'s application.

\(c\) Allowability of costs and acceptability of cost allocation methods
shall be determined in accordance with the applicable cost principles.

\(d\) The results of each negotiation shall be set forth in a written
indirect cost rate agreement signed by both parties. Such agreement is
automatically incorporated into this award and shall specify (1) the
agreed upon final rates, (2) the bases to which the rates apply, (3) the
fiscal year for which the rates apply, and (4) the items treated as
direct costs. The agreement shall not change any monetary ceiling, award
obligation, or specific cost allowance or disallowance provided for in
this award.

\(e\) Pending establishment of final indirect cost rate(s) for any
fiscal year, the recipient shall be reimbursed either at negotiated
provisional rates or at billing rates acceptable to the Agreement
Officer, subject to appropriate adjustment when the final rates for the
fiscal year are established. To prevent substantial overpayment or
underpayment, the provisional or billing rates may be prospectively or
retroactively revised by mutual agreement.

\(f\) Failure by the parties to agree on final rates is a 22 CFR 226.90
dispute.

**C.18 PUBLICATIONS AND MEDIA RELEASES (JAN 2004)**

(This provision is applicable when publications are financed under

the award.)

\(a\) USAID shall be prominently acknowledged in all publications,
videos or other information/media products funded or partially funded
through this award, and the product shall state that the views expressed
by the author(s) do not necessarily reflect those of USAID.
Acknowledgements should identify the sponsoring USAID Office and Bureau
or Mission as well as the U.S. Agency for International Development
substantially as follows:

\"This \[publication, video or other information/media
product(specify)\] was made possible through support provided by the
Office of \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, Bureau for
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, U.S. Agency for International
Development, under the terms of Award No. \_\_\_\_\_\_\_\_\_.

The opinions expressed herein are those of the author(s) and do not
necessarily reflect the views of the U.S. Agency for International
Development.\"

\(b\) Unless the recipient is instructed otherwise by the Cognizant

Technical Officer, publications, videos or other information/media
products funded under this award and intended for general readership or
other general use will be marked with the USAID logo and/or U.S. AGENCY
FOR INTERNATIONAL DEVELOPMENT appearing either at the top or at the
bottom of the front cover or, if more suitable, on the first inside
title page for printed products, and in equivalent appropriate location
in videos or other information/media products. Logos and markings of
co-sponsors or authorizing institutions should be similarly located and
of similar size and appearance.

\(c\) The recipient shall provide the USAID Cognizant Technical

Officer one copy of all published works developed under the award with
lists of other written work produced under the award. In addition, the
recipient shall submit one electronic (preferred) or one paper copy of
final documents to USAID's Development Experience Clearinghouse (DEC) in
to one of the following: (A) Via E-mail: docsubmit@dec.cdie.org ; (B)
Via U.S. Postal Service: Development Experience Clearinghouse, 8403
Colesville Road, Suite 210, Silver Spring, MD 20910, USA; (C) Via Fax:
(301) 5887787; or (D) Online:
<http://www.dec.org/index.cfm?fuseaction=docSubmit.home>.

\(d\) Electronic documents may be submitted on 3.5" diskettes or as
e-mail attachments, and should consist of only one electronic file that
comprises the complete and final equivalent of the paper copy;
otherwise, a paper copy must be sent. Acceptable software formats for
electronic documents include Microsoft Word, WordPerfect, Microsoft
Excel and Portable Document Format (PDF).

\(e\) Each document submitted should include the following
information: 1) descriptive title; 2) author(s) name; 3) award number;
4) sponsoring USAID office; 5) date of publication; 6) software name and
version (if electronic document is sent).

\(f\) In the event award funds are used to underwrite the cost of
publishing, in lieu of the publisher assuming this cost, as is the
normal practice, any profits or royalties up to the amount of such cost
shall be credited to the award unless the schedule of the award has
identified the profits or royalties as program income.

\(g\) Except as otherwise provided in the terms and conditions of the
award, the author or the recipient is free to copyright any books,
publications, or other copyrightable materials developed in the course
of or under this award, but USAID reserves a royalty-free nonexclusive
and irrevocable right to reproduce, publish, or otherwise use, and to
authorize others to use the work for Government purposes.

**C.19 TITLE TO AND CARE OF PROPERTY (COOPERATING COUNTRY TITLE)**

\(a\) Except as modified by the schedule of this grant, title to all
equipment, materials and supplies, the cost of which is reimbursable to
the recipient by USAID or by the cooperating country, shall at all times
be in the name of the cooperating country or such public or private
agency as the cooperating country may designate, unless title to
specified types or classes of equipment is reserved to USAID under
provisions set forth in the schedule of this award. All such property
shall be under the custody and control of recipient until the owner of
title directs otherwise or completion of work under this award or its
termination, at which time custody and control shall be turned over to
the owner of title or disposed of in accordance with its instructions.
All performance guarantees and warranties obtained from suppliers shall
be taken in the name of the title owner.

\(b\) The recipient shall maintain and administer in accordance with
sound business practice a program for the maintenance, repair,
protection, and preservation of Government property so as to assure its
full availability and usefulness for the performance of this grant. The
recipient shall take all reasonable steps to comply with all appropriate
directions or instructions which the Agreement Officer may prescribe as
reasonably necessary for the protection of the Government property.

\(c\) The recipient shall prepare and establish a program, to be
approved by the appropriate USAID Mission, for the receipt, use,
maintenance, protection, custody and care of equipment, materials and
supplies for which it has custodial responsibility, including the
establishment of reasonable controls to enforce such program. The
recipient shall be guided by the following requirements:

\(1\) Property Control: The property control system shall include but
not be limited to the following:

\(i\) Identification of each item of cooperating country property
acquired or furnished under the award by a serially controlled
identification number and by description of item. Each item must be
clearly marked \"Property of (insert name of cooperating country).\"

\(ii\) The price of each item of property acquired or furnished under
this award.

\(iii\) The location of each item of property acquired or furnished
under this award.

\(iv\) A record of any usable components which are permanently removed
from items of cooperating country property as a result of modification
or otherwise.

\(v\) A record of disposition of each item acquired or furnished under
the award.

\(vi\) Date of order and receipt of any item acquired or furnished under
the award.

\(vii\) The official property control records shall be kept in such
condition that at any stage of completion of the work under this award,
the status of property acquired or furnished under this award may be
readily ascertained. A report of current status of all items of property
acquired or furnished under the award shall be submitted yearly
concurrently with the annual report.

\(2\) Maintenance Program: The recipient\'s maintenance program shall be
consistent with sound business practice, the terms of the award, and
provide for:

\(i\) disclosure of need for and the performance of preventive
maintenance,

\(ii\) disclosure and reporting of need for capital type rehabilitation,
and

\(iii\) recording of work accomplished under the program:

\(A\) Preventive maintenance - Preventive maintenance is maintenance
generally performed on a regularly scheduled basis to prevent the
occurrence of defects and to detect and correct minor defects before
they result in serious consequences.

\(B\) Records of maintenance - The recipient\'s maintenance program
shall provide for records sufficient to disclose the maintenance actions
performed and efficiencies discovered as a result of inspections.

\(C\) A report of status of maintenance of cooperating country property
shall be submitted annually concurrently with the annual report.

\(d\) Risk of Loss:

\(1\) The recipient shall not be liable for any loss of or damage to the
cooperating country property, or for expenses incidental to such loss or
damage except that the recipient shall be responsible for any such loss
or damage (including expenses incidental thereto):

\(i\) Which results from willful misconduct or lack of good faith on the
part of any of the recipient\'s directors or officers, or on the part of
any of its managers, superintendents, or other equivalent
representatives, who have supervision or direction of all or
substantially all of the recipient\'s business, or all or substantially
all of the recipient\'s operation at any one plant, laboratory, or
separate location in which this award is being performed;

\(ii\) Which results from a failure on the part of the recipient, due to
the willful misconduct or lack of good faith on the part of any of its
directors, officers, or other representatives mentioned in (i) above:

\(A\) to maintain and administer, in accordance with sound business
practice, the program for maintenance, repair, protection, and
preservation of cooperating country property as required by (i) above,
or

\(B\) to take all reasonable steps to comply with any appropriate
written directions of the Agreement Officer under (b) above;

\(iii\) For which the recipient is otherwise responsible under the
express terms designated in the schedule of this award;

\(vi\) Which results from a risk expressly required to be ensured under
some other provision of this award, but only to the extent of the
insurance so required to be procured and maintained, or to the extent of
insurance actually procured and maintained, whichever is greater; or

\(v\) Which results from a risk which is in fact covered by insurance or
for which the grantee is otherwise reimbursed, but only to the extent of
such insurance or reimbursement;

\(vi\) Provided, that, if more than one of the above exceptions shall be
applicable in any case, the recipient\'s liability under any one
exception shall not be limited by any other exception.

\(2\) The recipient shall not be reimbursed for, and shall not include
as an item of overhead, the cost of insurance, or any provision for a
reserve, covering the risk of loss of or damage to the cooperating
country property, except to the extent that USAID may have required the
recipient to carry such insurance under any other provision of this
award.

\(3\) Upon the happening of loss or destruction of or damage to the
cooperating country property, the recipient shall notify the Agreement
Officer thereof, shall take all reasonable steps to protect the
cooperating country property from further damage, separate the damaged
and undamaged cooperating country property, put all the cooperating
country property in the best possible order, and furnish to the
Agreement Officer a statement of:

\(i\) The lost, destroyed, or damaged cooperating country property;

\(ii\) The time and origin of the loss, destruction, or damage;

\(iii\) All known interests in commingled property of which the
cooperating country property is a part; and

\(iv\) The insurance, if any, covering any part of or interest in such
commingled property.

\(4\) The recipient shall make repairs and renovations of the damaged
cooperating country property or take such other action as the Agreement
Officer directs.

\(5\) In the event the recipient is indemnified, reimbursed, or
otherwise compensated for any loss or destruction of or damage to the
cooperating country property, it shall use the proceeds to repair,
renovate or replace the cooperating country property involved, or shall
credit such proceeds against the cost of the work covered by the award,
or shall otherwise reimburse USAID, as directed by the Agreement
Officer. The recipient shall do nothing to prejudice USAID\'s right to
recover against third parties for any such loss, destruction, or damage,
and upon the request of the Agreement Officer, shall, at the Governments
expense, furnish to USAID all reasonable assistance and cooperation
(including assistance in the prosecution of suits and the execution of
instruments or assignments in favor of the Government) in obtaining
recovery.

\(e\) Access: USAID, and any persons designated by it, shall at all
reasonable times have access to the premises wherein any cooperating
country property is located, for the purpose of inspecting the
cooperating country property.

\(f\) Final Accounting and Disposition of Cooperating Country Property:
Within 90 days after completion of this award, or at such other date as
may be fixed by the Agreement Officer, the recipient shall submit to the
Agreement Officer an inventory schedule covering all items of equipment,
materials and supplies under the recipient\'s custody, title to which is
in the cooperating country or public or private agency designated by the
cooperating country, which have not been consumed in the performance of
this award. The recipient shall also indicate what disposition has been
made of such property.

\(g\) Communications: All communications issued pursuant to this
provision shall be in writing.

**C.20 PUBLIC NOTICES (AUGUST 1992)**

It is USAID\'s policy to inform the public as fully as possible of its
programs and activities. The recipient is encouraged to give public
notice of the receipt of this award and, from time to time, to announce
progress and accomplishments. Press releases or other public notices
should include a statement substantially as follows:

\"The U.S. Agency for International Development administers the U.S.
foreign assistance program providing economic and humanitarian
assistance in more than 80 countries worldwide.\"

The recipient may call on USAID\'s Office of External Affairs for advice
regarding public notices. The recipient is requested to provide copies
of notices or announcements to the cognizant technical officer and to
USAID\'s Office of External Affairs as far in advance of release as
possible.

**C.21 COMMUNICATIONS PRODUCTS (OCT 1994)**

\(a\) Definition - Communications products are any printed material
(other than non-color photocopy material), photographic services or
video production services.

\(b\) Standards - USAID has established standards for communications
products. These standards must be followed unless otherwise specifically
provided in the agreement or approved in writing by the agreement
officer. A copy of the standards for USAID-financed publications and
video productions is attached.

\(c\) Communications products which meet any of the following criteria
are not eligible for USAID financing under this agreement unless
specifically authorized in the agreement schedule or in writing by the
Agreement Officer:

\(1\) Any communication products costing over \$25,000, including the
costs of both preparation and execution. For example, in the case of a
publication, the costs will include research, writing and other
editorial services (including any associated overhead), design, layout
and production costs.

\(2\) Any communication products that will be sent directly to, or is
likely to be seen by, a Member of Congress or Congressional staffer.

\(3\) Any publication that will have more than 50 percent of its copies
distributed in the United States (excluding copies provided to PPC/CDIE
and other USAID/W offices for internal use).

**C.22 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICKERS (JUNE 1999)**

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

\(b\) (1) For any loan over \$1000 made under this agreement, the
recipient shall insert a clause in the loan agreement stating that the
loan is subject to immediate cancellation, acceleration, recall or
refund by the recipient if the borrower or a key individual of a
borrower is found to have been convicted of a narcotics offense or to
have been engaged in drug trafficking as defined in 22 CFR Part 40.

\(2\) Upon notice by USAID of a determination under section (1) and at
USAID\'s option, the recipient agrees to immediately cancel, accelerate
or recall the loan, including refund in full of the outstanding balance.
USAID reserves the right to have the loan refund returned to USAID.

(c)(1) The recipient agrees not to disburse, or sign documents
committing the recipient to disburse, funds to a subrecipient designated
by USAID (\"Designated Subrecipient\") until advised by USAID that:

\(i\) any United States Government review of the Designated Subrecipient
and its key individuals has been completed;

\(ii\) any related certifications have been obtained; and

\(iii\) the assistance to the Designated Subrecipient has been approved.
Designation means that the subrecipient has been unilaterally selected
by USAID as the subrecipient. USAID approval of a subrecipient, selected
by another party, or

\(2\) The recipient shall insert the following clause, or its substance,
in its agreement with the Designated Subrecipient:

\"The recipient reserves the right to terminate this \[Agreement/
Contract\] or take other appropriate measures if the \[Subrecipient\] or
a key individual of the \[Subrecipient\] is found to have been convicted
of a narcotic offense or to have been engaged in drug trafficking as
defined in 22 CFR Part 140.\"

**C.23 COST SHARING (MATCHING) (JAN 2002)**

\(a\) If at the end of any funding period, the recipient has expended an
amount of non-Federal funds less than the agreed upon amount or
percentage of total expenditures, the Agreement Officer may apply the
difference to reduce the amount of USAID incremental funding in the
following funding period. If the award has expired or has been
terminated, the Agreement Officer may require the recipient to refund
the difference to USAID.

\(b\) The source, origin and nationality requirements and the restricted
goods provision established in the Standard Provision entitled \"USAID
Eligibility Rules for Goods and Services\" do not apply to cost sharing
(matching) expenditures.

**C.24** **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 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, 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:

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

\(1\) The recipient agrees that it will publish a drug-free workplace
statement and provide a copy to each employee who will be engaged in the
performance of any Federal award. The statement must: (a) Tell the
employees that the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance is prohibited in its
workplace; (b) Specify the actions the recipient will take against
employees for violating that prohibition; and

\(c\) Let each employee know that, as a condition of employment under
any award, he or she: (1) Must abide by the terms of the statement, and
(2) Must notify you in writing if he or she is convicted for a violation
of a criminal drug statute occurring in the workplace, and must do so no
more than five calendar days after the conviction.

\(2\) The recipient agrees that it will establish an ongoing drug-free
awareness program to inform employees about: (a) The dangers of drug
abuse in the workplace; (b) Your policy of maintaining a drug-free
workplace; (c) Any available drug counseling, rehabilitation and
employee assistance programs; and; (d) The penalties that you may impose
upon them for drug abuse violations occurring in the workplace.

\(3\) Without the Agreement Officer's expressed written approval, the
policy statement and program must be in place as soon as possible, no
later than the 30 days after the effective date of this award, or the
completion date of this award, whichever occurs first.

\(4\) The recipient agrees to immediately notify the Agreement Officer
if an employee is convicted of a drug violation in the workplace. The
notification must be in writing, identify the employee's position title,
the number of each award on which the employee worked. The notification
must be sent to the Agreement Officer within ten calendar days after the
recipient learns of the conviction.

\(5\) Within 30 calendar days of learning about an employee's
conviction, the recipient must either: (a) Take appropriate personnel
action against the employee, up to and including termination, consistent
with the requirements of the Rehabilitation Act of 1973 (29 USC 794), as
amended, or (b) Require the employee to participate satisfactorily in a
drug abuse assistance or rehabilitation program approved for these
purposes by a Federal, State or local health, law enforcement, or other
appropriate agency.

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

**C.26 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.

**C.27 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>

**C.28 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.

**C.29 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.

**C.30** **MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (DECEMBER
2005)(AAPD 05-11);**

\(a\) Definitions

**Commodities** mean any material, article, supply, goods or equipment,
excluding recipient offices, vehicles, and non-deliverable items for
recipient's internal use, in administration of the USAID funded grant,
cooperative agreement, or other agreement or subagreement.

**Principal Officer** means the most senior officer in a USAID Operating
Unit in the field, e.g., USAID Mission Director or USAID Representative.
For global programs managed from Washington but executed across many
countries, such as disaster relief and assistance to internally
displaced persons, humanitarian emergencies or immediate post conflict
and political crisis response, the cognizant Principal Officer may be an
Office Director, for example, the Directors of USAID/W/Office of Foreign
Disaster Assistance and Office of Transition Initiatives. For
non-presence countries, the cognizant Principal Officer is the Senior
USAID officer in a regional USAID Operating Unit responsible for the
non-presence country, or in the absence of such a responsible operating
unit, the Principal U.S Diplomatic Officer in the non-presence country
exercising delegated authority from USAID.

**Programs** mean an organized set of activities and allocation of
resources directed toward a common purpose, objective, or goal
undertaken or proposed by an organization to carry out the
responsibilities assigned to it.

**Projects** include all the marginal costs of inputs (including the
proposed investment) technically required to produce a discrete
marketable output or a desired result (for example, services from a
fully functional water/sewage treatment facility).

**Public communications** are documents and messages intended for
distribution to audiences external to the recipient's organization. They
include, but are not limited to, correspondence, publications, studies,
reports, audio visual productions, and other informational products;
applications, forms, press and promotional materials used in connection
with USAID funded programs, projects or activities, including signage
and plaques; Web sites/Internet activities; and events such as training
courses, conferences, seminars, press conferences and so forth.

**Subrecipient** means any person or government (including cooperating
country government) department, agency, establishment, or for profit or
nonprofit organization that receives a USAID subaward, as defined in 22
C.F.R. 226.2.

**Technical Assistance** means the provision of funds, goods, services,
or other foreign assistance, such as loan guarantees or food for work,
to developing countries and other USAID recipients, and through such
recipients to subrecipients, in direct support of a development
objective -- as opposed to the internal management of the foreign
assistance program.

**USAID Identity (Identity)** means the official marking for the United
States Agency for International Development (USAID), comprised of the
USAID logo or seal and new brandmark, with the tagline that clearly
communicates that our assistance is "from the American people." The
USAID Identity is available on the USAID website at

www.usaid.gov/branding and USAID provides it without royalty, license,
or other fee to recipients of USAID-funded grants, or cooperative
agreements, or other assistance awards

**(b) Marking of Program Deliverables**

\(1\) All recipients must mark appropriately all overseas programs,
projects, activities, public communications, and commodities partially
or fully funded by a USAID grant or cooperative agreement or other
assistance award or subaward with the USAID Identity, of a size and
prominence equivalent to or greater than the recipient's, other donor's,
or any other third party's identity or logo.

\(2\) The Recipient will mark all program, project, or activity sites
funded by USAID, including visible infrastructure projects (for example,
roads, bridges, buildings) or other programs, projects, or activities
that are physical in nature (for example, agriculture, forestry, water
management) with the USAID Identity. The Recipient should erect
temporary signs or plaques early in the construction or implementation
phase. When construction or implementation is complete, the Recipient
must install a permanent, durable sign, plaque or other marking.

\(3\) The Recipient will mark technical assistance, studies, reports,
papers, publications, audio-visual productions, public service
announcements, Web sites/Internet activities and other promotional,
informational, media, or communications products funded by USAID with
the USAID Identity.

\(4\) The Recipient will appropriately mark events financed by USAID,
such as training courses, conferences, seminars, exhibitions, fairs,
workshops, press conferences and other public activities, with the USAID
Identity. Unless directly prohibited and as appropriate to the
surroundings, recipients should display additional materials, such as
signs and banners, with the USAID Identity. In circumstances in which
the USAID Identity cannot be displayed visually, the recipient is
encouraged otherwise to acknowledge USAID and the American people's
support.

\(5\) The Recipient will mark all commodities financed by USAID,
including commodities or equipment provided under humanitarian
assistance or disaster relief programs, and all other equipment,
supplies, and other materials funded by USAID, and their export
packaging with the USAID Identity.

\(6\) The Agreement Officer may require the USAID Identity to be larger
and more prominent if it is the majority donor, or to require that a
cooperating country government's identity be larger and more prominent
if circumstances warrant, and as appropriate depending on the audience,
program goals, and materials produced.

\(7\) The Agreement Officer may require marking with the USAID Identity
in the event that the recipient does not choose to mark with its own
identity or logo.

\(8\) The Agreement Officer may require a pre-production review of
USAID-funded public communications and program materials for compliance
with the approved Marking Plan.

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

subrecipients of subawards, recipients of USAID funded grants and
cooperative agreements or other assistance awards will include the
USAID-approved marking provision in any USAID funded subaward, as
follows:

*"As a condition of receipt of this subaward, marking with the USAID
Identity of a size and prominence equivalent to or greater than the
recipient's, subrecipient's, other donor's or third party's is required.
In the event the recipient chooses not to require marking with its own
identity or logo by the subrecipient, USAID may, at its discretion,
require marking by the subrecipient with the USAID Identity."*

\(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
funded by USAID, in which the content has not been approved by USAID,
must contain the following disclaimer:

*"This study/report/audio/visual/other information/media product
(specify) is made possible by the generous support of the American
people through the United States Agency for International Development
(USAID). The contents are the responsibility of \[insert recipient
name\] and do not necessarily reflect the views of USAID or the United
States Government."*

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

USAID personnel designated in the grant or cooperative agreement with
two copies of all program and communications materials produced under
the award. In addition, the recipient will submit one electronic or one
hard copy of all final documents to

USAID's Development Experience Clearinghouse.

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

\(1\) When the grant or cooperative agreement contains an approved
Marking Plan, the recipient will implement the requirements of this
provision following the approved Marking Plan.

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

Plan, the recipient will propose and submit a plan for implementing the
requirements of this provision within **30** 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.

**C. 31 PROHIBITION OF ASSISTANCE TO DRUG TRAFFICERS (May 1999)(ADS
206);**

USAID reserves the right to terminate this Cooperative Agreement to
demand a refund or take other appropriate measures if the Recipient 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.

**C.32 REPORTING OF FOREIGN TAXES (AAPD 03-12)**

Reporting of Foreign Taxes

\(a\) Final and Interim Reports. The \[contractor/recipient\] must
annually submit two reports:

\(i\) an interim report by November 17; and

\(ii\) a final report by April 16 of the next year.

\(b\) Contents of Report. The reports must contain:

\(i\) Contractor/recipient name.

\(ii\) Contact name with phone, fax and email.

\(iii\) Agreement number(s).

\(iv\) Amount of foreign taxes assessed by a foreign government \[each
foreign government must be listed separately\] on commodity purchase
transactions valued at \$500 or more financed with U.S. foreign
assistance funds under this agreement during the prior U.S. fiscal year.
NOTE: For fiscal year 2003 only, the reporting period is February 20,
2003 through September 30, 2003.

\(v\) Only foreign taxes assessed by the foreign government in the
country receiving U.S. assistance is to be reported. Foreign taxes by a
third party foreign government are not to be reported. For example, if
an assistance program for Lesotho involves the purchase of commodities
in South Africa using foreign assistance funds, any taxes imposed by
South Africa would not be reported in the report for Lesotho (or South
Africa).

\(vi\) Any reimbursements received by the \[Contractor/Recipient\]
during the period in (iv) regardless of when the foreign tax was
assessed plus, for the interim report, any reimbursements on the taxes
reported in (iv) received by the recipient through October 31 and for
the final report, any reimbursements on the taxes reported in (iv)
received through March 31.

\(vii\) The final report is an updated cumulative report of the interim
report.

\(viii\) Reports are required even if the contractor/recipient did not
pay any taxes during the report period.

\(ix\) Cumulative reports may be provided if the contractor/recipient is
implementing more than one program in a foreign country.

\(c\) Definitions. For purposes of this clause:

\(i\) "Agreement" includes USAID direct and country contracts, grants,
cooperative agreements and interagency agreements.

\(ii\) "Commodity" means any material, article, supply, goods, or
equipment.

\(iii\) "Foreign government" includes any foreign governmental entity.

\(iv\) "Foreign taxes" means value-added taxes and custom duties
assessed by a foreign government on a commodity. It does not include
foreign sales taxes.

\(d\) Where. Submit the reports to: \[insert address and point of
contact at the Embassy, Mission or FM/CMP as appropriate. see b. below\]
\[optional with a copy to \]

\(e\) Subagreements. The \[contractor/recipient\] must include this
reporting requirement in all applicable subcontracts, subgrants and
other subagreements.

\(f\) For further information see http://www.state.gov/m/rm/c10443.htm.

ANNEX 2

STANDARD FORMS 424 AND 424A

The following object class categories are those required on USAID Form
424A (Section B -- Budget Categories):

[Personnel]{.underline}

The category includes the salary of each long-term and short-term, paid
position for the total estimated life-of-project, except consultants,
and the projected cost-of-living or bonus/merit increase for each
position.

[Fringe Benefits]{.underline}

This category includes the amount and percentage of fringe benefits for
each headquarters and field personnel identified above. Include here all
allowances such as housing, schooling, leave benefits and other items.

[Travel]{.underline}

This category includes all projected travel, per diem and other related
costs for personnel except consultants. Include the method by which
airfare costs were determined; i.e. quotes for coach and if per diems
are based on established policies.

[Equipment]{.underline}

In accordance with 22 CFR 226, 'equipment' means tangible non-expendable
personal property, including exempt property charged directly to the
award having a useful life of more than one year and an acquisition cost
of \$5,000 or more per unit. Information should be included in the
application on how pricing was determined for each piece of the
equipment.

There are statutory constraints relating to the purchase of agricultural
commodities, motor vehicles, pharmaceuticals, pesticides, rubber
compounding chemicals and plasticizers, used equipment and fertilizer
with USAID project funds. Applicants may obtain specific information on
these regulations on USAID Web Site at <http://www.usaid.gov/pubs/ads>.

[Supplies]{.underline}

In accordance with 22 CFR 226, 'supplies' means all personal property
excluding equipment, intangible property, debt instruments and
interventions.

[Contractual Services]{.underline}

This category is for all subcontractors with organizations, which will
provide services to the project and any short- or long-term consultant
cost including fees, travel and per diem. This category is not to be
used for sub-grant, which should be included in other.

[Construction]{.underline}

N/A

[Other]{.underline}

Applicants are to identify all costs associated with training of project
personnel.

Applicants planning to use USAID funds to send project staff or local
counterparts for training in the U.S. or a country other than the host
country, will be required to follow the guidance on USAID Participant
Training Regulations, which may be found on the USAID Web Site
<http://www.usaid.gov/pubs/ads>.

The Applicant should provide information on any costs attributed to the
project not associated above; i.e., communications, facilitate, fuel
vehicles, repair, maintenance and insurance.

Include in this budget class category all subgrants.

[Indirect Charges]{.underline}

Include a copy of the Applicant's most recent negotiated indirect cost
rate agreement (NICRA)

from the cognizant audit agency showing the overhead and/or general
administrative rate. In the absence of a NICRA all costs must be charged
as direct costs.

USAID Form 424A, Section C should reflect the Applicant's and other
sources' cash contribution to this program, if applicable. A cash match
means that funds are used to support the budget elements discussed
above. The cash value of donated equipment or supplies, must be
documental.

A narrative that justifies the costs as appropriate and necessary for
the successful completion of the program should be attached to USAID
Form 424. The narrative must provide clear explanations for cost
reasonableness, particularly when proposed costs exceed market rates.

The Cooperative Agreement Budget generally has four (4) different
categories called Budget Cost Elements: Program, Training, Procurement,
and Indirect Costs. A sample Agreement Budget is included below. On
Standard Form 424A, Section B-Budget Categories, all eleven Object Class
Categories have a footnote number next to them. The footnote numbers
next to the Object Class Categories correspond to one of the four Cost
Elements of the Cooperative Agreement Budget. The 11 Object Class
Categories fit within the four Cost Elements of the Cooperative
Agreement Budget. For this application, submit only the Standard Form
424 and 424A, with the corresponding eleven (11) Object Class
Categories, supported by a detailed narrative.

SAMPLE COOPERATIVE AGREEMENT BUDGET

SF 424, Sec. B, Item 6

Budget Cost Element Object Class Category Budget Amount

Program Line a, b, c, & h \$ \_\_\_\_\_\_\_\_\_\_

Procurement Line d, e and f \$ \_\_\_\_\_\_\_\_\_\_

Training Line h \$ \_\_\_\_\_\_\_\_\_\_

Indirect Costs Line j \$ \_\_\_\_\_\_\_\_\_\_

Program's Total Budget \$ \_\_\_\_\_\_\_\_\_\_

Funding arrangement:

Total USAID Amount \$ \_\_\_\_\_\_\_\_\_\_

Recipient's Cost Share, if applicable \$ \_\_\_\_\_\_\_\_\_\_

Total Program Funding \$ \_\_\_\_\_\_\_\_\_\_

SAMPLE ASSOCIATE AWARD FORMAT AND SCHEDULE ANNEX 3

Mr. John Doe

President

XYZ, Organization

Anywhere, U.S.A.

Subject: Award Number \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Dear Mr. Doe:

Pursuant to the authority contained in the Foreign Assistance Act of
961, as amended, the U.S. Agency for International Development
(hereinafter referred to as 'USAID" or "Grantor") hereby awards to the
XYZ Organization (herein after referred to as "XYZ" or "Recipient'), the
sum of \$\_\_\_\_\_\_\_\_\_\_\_\_\_ to provide support for a program in
\_\_\_\_\_\_\_\_\_\_\_\_ as described in the Schedule of this agreement
and the Attachment 2, entitled "Program Description."

This agreement is effective and obligation is made as of the date of
this letter and shall apply to commitments made by the Recipient in
furtherance of program objectives during the period beginning with the
effective date and ending \_\_\_\_\_\_\_\_\_\_. USAID shall not be
liable for reimbursing the Recipient for any costs in excess of the
obligated amount.

This agreement is made to the XYZ, on condition that the funds will be
administered in accordance with the terms and conditions as set forth in
22 CFR 226, entitled \"Administration of Assistance Awards to U.S.
Non-Governmental Organizations\"; Attachment 1, entitled \"Schedule\";
Attachment 2, entitled \"Program summary\"; and Attachment 3 entitled
\"Standard Provisions.\"

\[NOTE - Do not include reference to 22 CFR 226 if Agreement is with a
Non-US Organization\]

Please sign the original and each copy of this letter to acknowledge
your organization's receipt of the grant, and return the original and
all but one copy to the Agreement Officer.

Sincerely yours,

Agreement Officer

Attachments:

1\. Schedule

2\. Program summary

3\. Standard Provisions

ACKNOWLEDGED:

XYZ Organization

By:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

FISCAL DATA

A. GENERAL

1\. Total Estimated USAID Amount: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\. Total Obligated USAID Amount: \$\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Cost-Sharing Amount (Non-Federal): \$\_\_\_\_\_\_\_\_\_\_\_

4\. Project
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. USAID Project
Office:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6\. Tax I.D.
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7\. CEC
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8\. LOC
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

B. SPECIFIC

(as appropriate)

1\. MAARD
Number:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2\.
Appropriation:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\.
Allocation:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Part II Sample Associate Award Format

A. Purpose of Agreement

The purpose of this Agreement is to provide support for the program
described in Attachment 2 to this Agreement entitled \"Program
Description.\"

B. Period of Agreement

1\. The effective date of this Agreement is \_\_\_\_\_\_\_\_. The
estimated completion date of this Agreement is
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_.

\[Note - For incrementally funded agreements or where pre-award expenses
are authorized, add the following sentence:\]

2\. Funds obligated hereunder are available for program expenditures for
the estimated period \_\_\_\_\_\_\_\_\_\_\_ to \_\_\_\_\_\_\_\_\_\_\_ as
shown in the Agreement budget below.

C. Amount of Award and Payment

\[Note - For fully funded agreements use the following:\]

1\. USAID hereby obligates the amount of \$ \_\_\_\_\_\_\_\_\_\_\_\_ for
purposes of this Agreement.

2\. Payment shall be made to the Recipient by \_\_\_\_\_\_\_\_ (Note -
state method) in accordance with procedures set forth
in\_\_\_\_\_\_\_\_\_\_\_\_\_ \[Note - for U.S. Organizations cite 22 CFR
226; for Non-US Organizations reference attached Standard Provisions.
Agreement Officer must select a method of payment in accordance with the
applicability requirements set forth in 22 CFR 226; i.e., letter of
credit, advance payment, or reimbursement.\]

\- or -

\[For incrementally funded awards use the following in lieu of the
above:\]

1\. The total estimated amount of this Award for the period shown in B.1
above is \$ \_\_\_\_\_\_\_\_\_\_\_\_.

2\. USAID hereby obligates the amount of \$ \_\_\_\_\_\_\_\_\_\_\_\_ for
program expenditures during the period set forth in B.2. above and as
shown in the Budget below. The recipient will be given written notice by
the Agreement Officer if additional funds will be added. USAID is not
obligated to reimburse the recipient for the expenditure of amounts in
excess of the total obligated amount.

3\. Payment shall be made to the Recipient by \_\_\_\_\_\_\_\_(Note -
state method) in accordance with procedures set forth
in\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_. \[Note - for U.S. Organizations cite
22 CFR 226; for Non-US Organizations reference attached Standard
Provisions. Agreement Officer must select a method of payment in
accordance with the applicability requirements set forth in 22 CFR 226;
i.e., letter of credit, advance payment, or reimbursement.\]

4\. Additional funds up to the total amount of the grant shown in C.1
above may be obligated by USAID subject to the availability of funds,
satisfactory progress of the project and continued relevance to USAID
programs.

D. Budget

\[Note - the items included in the Budget, including local cost
financing items, should relate to the results, activities or functions
described in Attachment 2 - Program summary, not to specific cost items
(such as salaries or travel) except for those listed at items 4-6 below.
However, at the discretion of the Agreement Officer, an alternative
budget may be appropriate.\]

The following is the Agreement Budget, including local cost financing
items, if authorized. Revisions to this budget shall be made in
accordance with\_\_\_\_\_\_\_\_\_\_\_\_\_\_. \[Note - For U.S.
Organizations cite 22 CFR 226.25; for Non-US refer to Standard Provision
entitled \"Revision of Grant Budget.\"\]

Total\*

From\*\*\_\_to\*\*\_\_ From\*\*\_\_to\*\*\_\_ From\*\*\_\_to\*\*\_\_

Cost Element \$U.S. Local \$U.S. Local \$U.S. Local

Currency Currency Currency

1\.

2\.

3\.

4\. Training

5\. Procurement

6\. Indirect Costs

overhead \_\_\_\_ \_\_\_\_\_\_\_\_ \_\_\_\_\_\_ \_\_\_\_\_\_\_\_
\_\_\_\_\_ \_\_\_\_\_\_\_

7\. Total \$\_\_\_\_ \_\_\_\_\_\_\_\_ \_\_\_\_\_\_ \_\_\_\_\_\_\_\_
\_\_\_\_\_ \_\_\_\_\_\_\_

\* Use all three columns for incrementally funded grants, otherwise use
only this column.

\*\* Insert effective and expiration dates of grant or
obligation/funding dates.

E. Reporting and Evaluation

1\. Financial Reporting

The Recipient shall submit \_\_\_ (an original and two copies of
\_\_\_\_\_\_\_\_\_) \[Note - Agreement Officer to determine type of
report, frequency of reporting periods and address\]. Financial Reports
shall be in keeping with \_\_\_\_\_\_\_\_\_\_\_\_\_\[Note - for US
Organizations add: 22 CFR 226.52; for Non-US refer to appropriate
Standard Provision\]. For U.S. Organizations under Letter of Credit the
following language shall be used:

104

"In accordance with 22 CFR 226.52 the SF 269 and 272 will be required on
a quarterly basis. The recipient shall submit these forms in the
following manner:

1\) The SF 272 and 272a (if necessary) will be submitted via electronic
format to the U.S. Department of Health and Human Services
([http://www.dpm.psc.gov)]() . A copy of this form shall also be
simultaneously submitted to the Agreement Officer \[NOTE: if Agreement
Officer desires a copy\] and the Cognizant Technical Officer.

> 2\) The SF 269 or 269a (as appropriate) shall be submitted to

the Cognizant Technical officer with one copy to the Agreement Officer
\[NOTE: if Agreement Officer desires\]

\* 3) In accordance with 22 CFR 226.70 - 72 \[Note: for Non-US
organizations refer to appropriate Standard Provision\] the original and
two copies of final financial reports shall be submitted as follows:
M/FM, the Agreement Officer (if requested) and the CTO. The electronic
version of the final SF 272 or 272a shall be submitted to HHS in
accordance with paragraph (1) above.

2\. Program Reporting

The Recipient shall submit \_\_\_\_ \[Note - specify number of copies,
not to exceed the original and two copies\] of a performance report to
\_\_\_\_\_ \[Note - specify name and title of Cognizant Technical
Officer and the Agreement Officer, if desired, along with address\]. The
performance reports are required to be submitted \_\_\_\_ \[Note - state
frequency, not to exceed quarterly\] and shall contain the following
information \_\_\_\_\_\_\_\_\_\_\_\_ \[Note - state reporting
requirements, as related to the Program Description\].

Final Report

The Recipient shall submit the original and one copy to \_\_\_\_\_
\[Note - specify name and title of Cognizant Technical Officer and the
Agreement Officer, if desired, along with address\] and one copy to
USAID Development Experience Clearinghouse, ATTN: Document Acquisitions,
1611 N. Kent Street, Suite 200, Arlington, VA 22209-2111 (or e-mail:
<docsubmit@dec.cdie.org>). (NOTE -- Agreement Officer to verify ADS 540
for detailed information on which categories of development experience
documents should or should not be submitted to CDIE and appropriate
format for electronic transmission.\]

The final performance report shall contain the following information
\_\_\_\_\_\_\_\_\_\_\_\_ \[Note - state reporting requirements, as
related to the Program Description\].

F. Special Provisions

\[Note - Use this paragraph to delete inapplicable Standard Provisions
or to add provisions of special applicability as authorized. Included
should be waivers, including authorized local cost financing, and any
alterations to the Standard Provisions or 22 CFR 226 which have been
approved as deviations for the specific award.\]

G. Indirect Cost Rate

\[Note - Establish the applicable indirect cost rate(s), base(s) on
which they apply, and the Grantee\'s accounting period(s) they cover, as
provided in the appropriate Standard Provision. If an Indirect Cost Rate
Agreement has been executed by USAID or a cognizant Federal agency, such
rate(s) are required to be incorporated herein if such costs are covered
by the grant. The most current overhead information should be obtained
from the Overhead and Special Costs and Contract Close-Out Branch
(M/OP/PS/OCC).\]

H. Title to Property

\[Note - Specify to whom title will vest for property, by category if
appropriate.\]

\[Note - For awards having a procurement element greater than \$250,000,
add the following:\]

I. Authorized Geographic Code

The authorized geographic code for procurement of goods and services
under this grant is \_\_\_\_\_\_\_\_\_\_.

\[Note - For awards with a cost-share element add the following:\]

J. Cost Sharing

The Recipient agrees to expend an amount not less than\_\_\_\_\_\_\_\_\_
\[Note - put in percentage\] of the total activity costs.

\[For awards with US or Non-US Organizations which may generate Program
Income add the following:\]

K. Program Income

The Recipient shall account for Program Income in accordance with 22 CFR
226.24 (or the Standard Provision entitled Program Income for non-U.S.
organizations).

Program Income earned under this award shall be applied and used as
follows: \[Note - Agreement Officers in consultation with the Technical
Officer must decide how Program Income will be applied: 1) added to the
Project; 2) used to finance the non-Federal share; or 3) deducted from
the total Federal share. All three may be picked as long as a descending
order (i.e., \"excess amounts may be applied to another alternative\")
is established in accordance with 22 CFR 226.24. Agreement Officers are
encouraged to be as specific as possible in detailing the appropriate
types of activities Program Income may be applied for when using the
additive option as described at 226.24(b)(1).