> Issuance Date: May 1, 2006

Closing Date: May 31, 2006

Closing Time: 4:00 p.m., Bangkok local time

> Subject: USAID-RDM/A-Vietnam-486-06-006-RFA
>
> HIV/AIDS Prevention, Care and Treatment (Vietnam)

The United States Agency for International Development (USAID), is
seeking applications (proposals for funding) from U.S. or non-U.S.
non-profit or for-profit nongovernmental organizations (NGOs), public
international organizations (PIO or IO), and other qualified non-USG
organizations to implement a program in HIV / AIDS in Vietnam. The
authority for the RFA is found in the Foreign Assistance Act of 1961, as
amended.

The chosen recipient will be responsible for ensuring achievement of the
program objectives to expand and strengthen HIV/AIDS prevention, care
and support, treatment and policy/system strengthening and strategic
information services in Vietnam. Please refer to the Program Description
(RFA Section C) for a complete statement of goals and expected results.

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

Subject to the availability of funds, USAID plans to provide
approximately \$25 million in total USAID funding for this activity to
be allocated over a five-year period. The estimated amount for year 1 is
estimated to be \$3,180,000. USAID reserves the right to fund any or
none of the applications submitted. Although it is planned to make an
award of one cooperative agreement under this RFA, USAID in its
discretion may make awards to more than one organization.

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

1\. Section A - Application Format;

2\. Section B - Selection Criteria;

3\. Section C -- Program Description;

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

5\. Section E -- Annexes/Appendices to the Program Description

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

Any questions regarding this RFA should be submitted in writing and sent
via email to Ms. Maria Rosario M. Arenas at <marenas@usaid.gov>. If you
decide to submit an application, it must be received by the closing date
and time indicated at the top of this cover letter at the place
designated below for receipt of applications.

The federal grant process is now web-enabled. As of December 19, 2005,
grant and cooperative agreement Request for Application (RFA) and Annual
Program Statement (APS) announcements, modifications to the
announcements, and the corresponding application packages must be posted
via Grants.gov on the World Wide Web (www) to allow for electronic
submission of applications. Applicants may upload applications to
[www.grants.gov](http://www.grants.gov/), however, hard copy submissions
or email attachments are still preferred by USAID RDM/A. This RFA and
any future amendments can be downloaded from this website
[www.grants.gov](http://www.grants.gov/). It is the responsibility of
the recipient of the application document to ensure that it has been
received from [www.grants.gov](http://www.grants.gov/) in its entirety.
USAID bears no responsibility for data errors resulting from
transmission or conversion processes associated with electronic
submissions.

Faxed proposals are not acceptable. Applicants may also submit their
applications by e-mail attachment formatted in Microsoft Word (up to 2MB
limit per email), with hard copies to follow. [Important:]{.underline}
please see Section A.IV.E of the RFA for detailed instructions regarding
submission of applications via email. Applications and modifications
thereof shall be submitted with the name and address of the applicant
and the RFA number (referenced above) inscribed thereon, via email, to
<marenas@usaid.gov> and kjenchiewchan@usaid.gov.

Applicants shall confirm with Ms. Arenas that their e-mail submissions
were successfully received by the required due date. In addition to the
submission of applications via email, an original and one hard copy of
the technical applications, and an original and one hard copy of the
cost proposals, in envelopes with the name and address of the applicant
and RFA number (referenced above) inscribed thereon, shall be sent to:

(By U.S. Mail) (By All Other Means of Delivery)

Mr. Carey N. Gordon Mr. Carey N. Gordon

Regional Agreement Officer, USAID Regional Agreement Officer

Box 47, Bangkok USAID Regional Development Mission/Asia

APO, AP 96546 5th Floor Diethelm Towers A

93/1 Wireless Road

Bangkok, Thailand 10330

If an application has been timely submitted by email, the hard copies
are not required to be received by the due date specified above. It is
recommended that applicants use courier service instead of international
mail for the hard copies. Applications will be accepted for
consideration as long as they arrive in USAID RDM/A, Bangkok by the time
stipulated. See RFA Section A.1 regarding late applications. Applicants
are requested to submit both technical and cost portions of their
applications in separate volumes. Award will be made to the responsible
applicant(s) whose application(s) best meets the requirements of this
RFA and the selection criteria contained herein.

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

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

\(a\) Section B - Selection Criteria;

\(b\) Section A - Application Format;

\(c\) Section C - Program Description;

\(d\) This Cover Letter.

Applicants should take account of the expected delivery time required by
the proposal transmission method they choose, and are responsible to
ensure that proposals are received at USAID RDM/A, Bangkok (and not at
another location) by the due date and time specified above.

Applicants should retain for their records one copy of all enclosures
which accompany their application.

Thank you for your interest in USAID's activities.

> Sincerely,
>
> Carey N. Gordon
>
> Regional Agreement Officer
>
> USAID Regional Development Mission/Asia
>
> Bangkok, Thailand

Table of Contents Page

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

PREPARATION GUIDELINES [5](#CL_URFASEA_PH000002)

COST APPLICATION FORMAT [7](#CL_URFASEA_PH000014)

SECTION B - SELECTION CRITERIA [12](#CL_URFASEBHD_PH000001)

SECTION C - PROGRAM DESCRIPTION [15](#CL_URFASECHD_PH000001)

SECTION D [36](#CL_URFASEDHD_PH000001)

PART I - CERTIFICATIONS AND ASSURANCES [36](#CL_URFASED1_PH000002)

PART II - OTHER STATEMENTS OF RECIPIENT [41](#CL_URFASED2_PH000002)

CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND\
VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS
[45](#CL_URFAATT_A_PH000004)

KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES\
AND DRUG TRAFFICKING [46](#CL_URFACERT100_PH000002)

PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING
[47](#CL_URFACERT200_PH000002)

CERTIFICATION REGARDING MATERIAL SUPPORT AND RESOURCES
[47](#CL_URFACERT300_PH000003)

SECTION E - ANNEXES [51](#CL_URFASEEHD)

#   {#section .unnumbered}

# SECTION A - APPLICATION FORMAT

[]{#CL_URFASEAHD_PH000001 .anchor}

## 1. PREPARATION GUIDELINES

[]{#CL_URFASEA_PH000002 .anchor}

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

Applications shall be submitted in two separate parts: (a) technical and
(b) cost or business application. An original and one (1) hard copy of
the technical application and an original and one (1) hard copy of the
cost application shall be submitted in addition to the email submission,
as described in the cover letter of this RFA.

The application should be prepared according to the structural format
set forth below. Applications must be submitted no later than the date
and time indicated on the cover page of this RFA, to the location
indicated in the cover letter accompanying this RFA.

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

Applicants should retain for their records one copy of the application
and all enclosures which accompany it. Erasures or other changes must be
initialed by the person signing the application.

The length of the Technical Application shall not exceed 25
single-spaced typed pages. Past performance references, the performance
monitoring and evaluation plan, and personnel resumes are excluded from
the 25-page limitation and may be included as annexes to the technical
application. There is no page limitation on the Cost Proposal. However,
unnecessarily elaborate brochures or other presentations beyond those
sufficient to present a complete and effective application in response
to this RFA are not desired and may be construed as an indication of the
prospective recipient\'s lack of cost consciousness. Elaborate art work,
expensive paper and bindings, and expensive visual and other
presentation aids are neither necessary nor wanted.

## TECHNICAL APPLICATION FORMAT

A. The Technical Approach must include a clear description of the
conceptual approach and the general strategy (i.e. methodology and
techniques) being proposed; a description of the target population
(including geographical location and proposed number of beneficiaries)
or a detailed description of the process by which the target population
will be identified. It should outline specific, focused activities;
explain how the approach is expected to achieve the proposed objectives;
and describe a plan that will enable the activities to continue after
the cooperative agreement is completed. Applicants are encouraged to
propose innovative programs designed to reach the desired
outcomes/results.

B. The application shall include a draft annual work plan for the first
year, including a detailed Implementation Schedule for achieving
expected program results. The applicant is encouraged to propose
innovative implementation mechanisms to reach the desired results and an
aggressive but realistic schedule of performance milestones as steps
toward achieving proposed results. The implementation plan should
clearly outline the links between the proposed results, conceptual
approach, and performance milestones, and should include a realistic
timeline for achieving the semi-annual, annual, and end-of-program
results.

C. The Management Plan should provide a brief summary of the history of
the respondent\'s work HIV/AIDS prevention, care, and treatment. The
application also must provide evidence of the organization\'s technical
resources, expertise and capabilities for implementing similar programs.
The organization should describe its comparative advantage in
implementing the proposed activities. The application must specify the
composition and organizational structure of the program team (including
home office support) and describe the role of each proposed staff member
and the amount of time the staff member will be devoted to the program.
The application must also describe the role of the partner-organizations
or consortium members and the comparative advantage of the team in
implementing the proposed activities.

D. The Performance Monitoring Plan must describe applicant's system to
measure the progress of the proposed activities and the achievement of
results in compliance with Section II.E, p.33 of the Program
Description.

E. Applications will be evaluated based upon both the level of
achievement proposed and the realism of the plan for reaching that level
of achievement. Post-award recipient performance will be evaluated
against the standards proposed by the applicant and accepted by the
USAID, so well-documented realism in the statement of these program
objectives is essential.

F. It is recommended that an applicant carefully review the
selection/evaluation criteria outlined in Section B of the RFA and
organize its proposal accordingly.

G. Applications shall discuss how resources will be organized to obtain
expected results. The applicant should discuss fully the \"what\" and
the \"how\" of its plan. The purpose of this approach is to allow the
applicant greater creative freedom to develop a plan for resource
organization and use.

H. Additional Information about the institutional capability (which
includes past performance) and staffing components of the technical
plan. The institutional capability and staffing components of the
technical plan shall include the information specified in paragraphs 1 -
4, as follows:

1\. Personnel Proposed. Specify the composition and organizational
context of the entire implementation team (including home office
support) and describe each staff member\'s role, technical expertise and
estimated amount of time each will devote to the project. Indicate the
names and provide resumes of all important managerial and technical
personnel to be assigned to this program activity. Proposed personnel
not yet identified may be shown as \"TBD\" (to be determined).

2\. Organizational Capability. Applicants must offer evidence of their
technical resources and expertise in addressing relevant problems and
issues. Care shall be taken to establish the relevance of past
experience to this program and the basis for reliance upon that
experience as an indicator of success on this program. Information in
this section should include (but is not limited to) the following:

a\. Brief description of organizational history/expertise;

> b\. Pertinent work experience and representative accomplishments in
> developing and implementing programs of
>
> the type required under the proposed RFA;

c\. Evidence of a successful record of implementing projects overseas,
and in the region, if applicable;

d\. Relevant experience with proposed approaches;

> e\. Institutional strength as represented by breadth and depth of
> experienced personnel in project relevant
>
> disciplines/areas;

f\. Sub-recipient capabilities and expertise;

g\. Proposed field management structure and financial controls; and

h\. Home-office backstopping and its purposes.

3\. Past Performance References. Applications must include a complete
list of all U.S. Governmental and/or privately funded contracts, grants,
cooperative agreements, etc. received by your organization in the last
three years involving programs similar to the program proposed in your
application. Include the following for each award listed:

a\. Name of awarding organization or agency;

b\. Address of awarding organization or agency;

c\. Place of performance of services or program;

d\. Award number;

e\. Amount of award;

f\. Term of award (start and end dates of services/program);

> g\. Name, current telephone number, current fax number and e-mail
> address (if one is available) of a responsible
>
> technical representative of that organization or agency; and
>
> h Brief description of the program. USAID may contact references and
> use the past performance data, along with
>
> other information to determine the applicant's responsibility. The
> Government reserves the right to obtain
>
> information for use in the evaluation of past performance from any and
> all sources inside or outside the
>
> Government.

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

I. The suggested outline for the technical application is:

I. Table of Contents, listing all page numbers and attachments;

II\. Executive Summary;

III. Goal and Objectives;

> IV\. Technical Approach;
>
> V. Proposed Outcomes/Results;
>
> VI\. Implementation Schedule;

VII. Management Plan (include partnership and subaward arrangements
     where applicable);

VIII. Annexes: a. Relevant Past Performance Information (Recipient and
      Key Partner Organizations, if applicable); b. Curriculum Vitae for
      Key Personnel; c. Performance Monitoring Plan.

J. Substantial Involvement: USAID considers collaboration with the
recipient crucial for the successful implementation of this program.
Substantial involvement under the proposed award shall include the
following:

1\. Approval of key personnel (the applicant shall propose which
positions are deemed "key" for its proposed program).

2\. Approval of the initial and annual work plans, including the
Performance Monitoring and Evaluation Plan; any significant changes to
the approved work-plan or the performance monitoring plan will require
additional approval.

3\. Approval of all sub-awards except those covered by 22 CFR
225.25(c.8)

## 

K. Marking Under Assistance Instruments. See Section E, Attachment A for
the full text of the Branding and Marking provisions under Assistance
Instruments.

## III COST APPLICATION FORMAT

The Cost or Business Application is to be submitted under separate cover
from the technical application. Certain documents are required to be
submitted by an applicant in order for a Grant Officer to make a
determination of responsibility. However, it is USAID policy not to
burden applicants with undue reporting requirements if that information
is readily available through other sources.

The following sections describe the documentation that applicants for an
assistance award must submit to USAID prior to award. While there is no
page limit for this portion, applicants are encouraged to be as concise
as possible, but still provide the necessary detail to address the
following:

A. Include a budget with an accompanying budget narrative which provides
in detail the total costs for implementation of the program your
organization is proposing. In addition to the detailed budget, a summary
of the budget must be submitted using Standard Form 424 and 424A which
can be downloaded from the USAID web site,
<http://www.usaid.gov/procurement_bus_opp/procurement/forms/sf424/>. The
detailed budget shall include:

1\. the breakdown of all costs associated with the program according to
costs of, if applicable, headquarters, regional

and/or country offices;

2\. the breakdown of all costs according to each partner organization
involved in the program;

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

assistance;

4\. the breakdown of the financial and in-kind contributions of all
organizations involved in implementing this

Cooperative Agreement;

5\. potential contributions of non-USAID or private commercial donors to
this Cooperative Agreement;

6\. your procurement plan for commodities.

B. A current Negotiated Indirect Cost Rate Agreement if your
organization has such an agreement with an agency or department of the
U.S. Government.

C.  Required certifications and representations (as attached).

D.  Details regarding the level of cost share your organization is
    proposing for this activity. While there is no stated minimum
    required cost share amount, applicants are encouraged to give
    serious consideration to the amount they propose as a signal of the
    applicant\'s commitment to the activity (see also sec. B below,
    selection criteria, under costs).

E. Applicants who do not currently have a Negotiated Indirect Cost Rate
Agreement (NICRA) from their cognizant agency shall also submit the
following information:

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;

2\. projected budget, cash flow and an organizational chart for the
applicant; and,

3\. a copy of the organization\'s accounting manual.

F. Applicants should submit any additional evidence of responsibility
deemed necessary for the Grant 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 existing and currently prospective commitments of the
applicant, nongovernmental and 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).

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

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

## IV. APPLICATION SUBMISSION PROCEDURES 

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

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

B. Receipt of Applications - Applications must be received at the place
designated and by the date and time specified in the cover letter of
this RFA, to the location stated in the cover letter accompanying this
RFA. Applications which are received late or are incomplete run the risk
of not being considered in the review process. Such late or incomplete
applications will be considered in USAID's sole discretion depending on
the status of USAID's application review process as of the time of
receipt and the quality of other applications received.

C. Submission of Applications:

1\. See RFA cover letter. Hard copies of applications and modifications
thereof shall be submitted in sealed envelopes or packages (1) addressed
to the office specified in the Cover Letter of this RFA, and (2) showing
the time specified for receipt, the RFA number, and the name and address
of the applicant.

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

D. Preparation of Applications:

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 (SF 424)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:

a\. Mark the title page with the following legend:

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

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

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

E. Submission of Applications by Email (Important):

1\. Preferred software for email attachment: Microsoft Word (for
narrative text) or Excel (for tables). Please convert your documents to
one of these software programs before sending them to USAID, or provide
scanned copies of pages if they include signatures or forms.

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

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

4\. Your organization should appoint one person to send in the email
submissions. If we receive email submissions from more than one person
in your organization, we do not know who the authorized person is, and
we cannot tell whether there has been a change from one email to the
next without considerable effort on our part.

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

6\. The hard copies of applications and modifications thereof shall be
submitted in sealed envelopes or packages addressed to the office
specified in the cover letter of this RFA, with the RFA number, the name
and address of the applicant, and whether the contents contain technical
and/or cost proposals noted on the outside of the envelopes/packages.

F. Explanations to Prospective Recipients: Any prospective applicant
desiring an explanation or interpretation of this RFA must request it in
writing to the Agreement Specialist at the email address set forth in
the RFA cover letter. The questions and answers (Q&A) will be posted as
an amendment to the RFA on [www.grants.gov](http://www.grants.gov/). The
deadline for receipt of questions is May 15, 2006, 4:00 PM, local
Bangkok time. Oral explanations or instructions given before award of a
Cooperative Agreement will not be binding. Any information given to a
prospective grantee concerning this RFA will also be furnished to all
other prospective grantees as an amendment to this RFA, if that
information is necessary in submitting applications or if the lack of it
would be prejudicial to any other prospective grantees.

G. Grant Award:

1\. The Government may award one or more cooperative agreements
resulting from this RFA to the responsible applicant(s) whose
application(s) conforming to this RFA offers the greatest value (see
also Section B of this RFA on evaluation criteria). 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 (e) waive informalities and minor
irregularities in applications received.

2\. The Government may award one or more cooperative agreements on the
basis of initial applications received, without discussions. Therefore,
each initial application should contain the applicant\'s best terms from
a cost and technical standpoint. As part of the application evaluation
and award process, USAID may enter into discussions and negotiations
with one or more applicants, but is not required to do so.

3\. Neither financial data submitted with an application nor
representations concerning facilities or financing, will form a part of
the resulting Grant(s).

H. Authority to Obligate the Government - The Grant Officer is the only
individual who may legally commit the Government to the expenditure of
public funds. No costs chargeable to the proposed Grant may be incurred
before receipt of either a fully executed Grant or a specific, written
authorization from the Grant Officer.

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

J. Foreign Government Delegations to International Conferences - Funds
in the 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 Agreement Officer.

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# SECTION B - SELECTION CRITERIA

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The criteria presented below have been tailored to the requirements of
this particular RFA. Applicants should note that these criteria serve
to: (a) identify the significant matters which 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 are requested to organize the narrative
sections of technical proposals according to the evaluation criteria set
forth below.

A technical evaluation committee will review the applications based upon
the criteria set forth below. Approximate weighted points indicate the
relative importance of each technical criterion, of which 100 points are
possible and against which technical applications shall be evaluated.
Thereafter, the cost application of all applicants submitting a
technically acceptable application will be reviewed and costs will be
evaluated for general reasonableness, allowability, and allocability. To
the extent that they are necessary (if award is not made based on
initial applications), negotiations will then be conducted with the
applicant or applicants whose application(s), has a reasonable chance of
being selected for award. Award will be made to responsible applicant or
applicants whose applications offer the greatest value, cost and other
factors considered.

Indigenous organizations are strongly encouraged to apply either as
prime applicant, subgrantee or subcontractor, if they feel they have the
experience and expertise to undertake the program. As a condition for
approval for an award, a review of an organization will be undertaken to
confirm that it has the systems, internal controls, staffing and
financing to be determined as responsible in terms of its ability to
implement the award.

Applications will be evaluated in accordance with the evaluation
criteria set forth below:

**1. PROGRAM STRATEGY AND APPROACH [\[40 points\]]{.underline}**

a.  Demonstrated understanding of how activities will contribute
    substantially to the objectives of this RFA.

b.  A clear and feasible plan showing how proposed activities can
    produce rapid results and how and where targets will be achieved.

c.  Demonstrated clear understanding of affected and people living with
    HIV/AIDS (PLWHA) populations in Vietnam is demonstrated.

d.  Clear evidence is provided that the proposed activities follow and
    support the Government of Vietnam\'s defined strategies, policies,
    guidelines, priorities, and procedures for HIV/AIDS response.

e.  The themes of gender, community capacity building, and stigma have
    been considered and addressed.

f.  Innovativeness, flexibility, pragmatism, and creativity in the
    overall strategy and approach to achieving results within the
    timeframe of the project.

g.  Approach to institutional development of local organizations;

h.  Demonstrated understanding of the appropriate, cost-effective
    systems/approaches most likely to have a significant impact on
    achieving the objectives of this program;

i.  Merits of the proposed illustrative implementation plans in terms of
    their ability to achieve the objective, taking into consideration
    the needs of the effected population;

j.  Strength of the illustrative work plan to ensure a smooth and
    effective launch of program implementation, i.e. strength of
    analysis of potential obstacles, risks and problems that could be
    encountered during program implementation and feasibility of the
    proposed solutions for addressing the identified problems;

k.  Explicit plans for linkages to and referral mechanisms for existing
    programs;

l.  Merit of the Applicant\'s exit strategy and approach to ensure that
    the program results can be independently sustained after completion
    of the five-year implementation program;

m.  Application clearly indicates how a transition plan will be
    established to avoid any gaps in services that are currently being
    implemented with an included timeline from project initiation after
    the award.

**2. MANAGEMENT, IMPLEMENTATION, AND STAFFING \[[30
points\]]{.underline}**

a.  The extent to which the proposed management structure and approach
    will ensure program effectiveness and efficiency in order to achieve
    maximum benefits and results;

b.  The extent to which the proposal presents an efficient and effective
    system for measuring, monitoring and reporting on program results
    and indicators;

c.  Implementation plan clearly and concisely describes first year
    activities, including mobilization, and presents illustrative
    description of follow-on year activities.

d.  Staffing plan and proposed personnel complement each othe, and are
    appropriate for the proposed activities.

e.  Qualifications of Key Staff: appropriate technical experience for
    the position; appropriate educational background for the position
    proposed; previous work in the Southeast Asia region, or other
    background, that demonstrates the ability to work effectively;
    demonstrated networks with key stakeholders in Vietnam; ability to
    work effectively in the local language and English.

f.  Clarity of overall organizational structure and relationships,
    including planned interactions with other USAID grantees;

g.  Extent to which the partner can rapidly mobilize after the award.

**3. INSTITUTIONAL CAPABILITIES [\[15 points\]]{.underline}**

a.  Demonstrated effectiveness in organization and management of
    relevant overseas development programs in the area of prevention,
    care, and treatment;

b.  Evidence of past achievement of measurable successful results in the
    subjects covered by this RFA and clear demonstration that the
    proposed program reflects incorporation of lessons learned;

c.  Experience in coordinating diverse activities that produced
    documented results;

d.  Experience and demonstrated results in program monitoring and
    evaluation;

**4. PAST PERFORMANCE OF THE APPLICANT [\[15 points\]]{.underline}**

Past performance will be evaluated based on the applicant's record in
implementing related activities and prior success in this type of
project:  ability to carry out participatory development activities and
maintaining positive and effective relationships with partners,
timeliness on meeting milestones and ability to implement activities
within budget and use of cost efficient measures.

**Total Technical Evaluation Criteria : 100 points**

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

Notes on cost sharing:

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

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

# SECTION C - PROGRAM DESCRIPTION

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**I. BACKGROUND**

**A. The HIV/AIDS Epidemic in Vietnam**

#### Vietnam's first case of HIV was identified in 1990 in the southern province of Ho Chi Minh City (HCMC) through premarital screening. By the end of August 2004, all 64 provinces in Vietnam reported HIV cases. Currently, there are just over 100,000 known HIV cases in Vietnam, with approximately 17,000 reported AIDS cases and approximately 10,000 reported AIDS-related deaths. In 2005, the Government of Vietnam (GVN) estimated that 263,000 people are living with HIV/AIDS (among a national population of 82 million.) These estimates may under-represent the epidemic given that surveillance is not routine among the general population and neglects to include some most-at-risk populations (MARPs). The GVN currently reports an estimated population prevalence of 0.44% in the general population, categorizing Vietnam's epidemic as "concentrated" (according to UNAIDS and WHO criteria), as prevalence is less than 1% among adults aged 15-49 but relatively high among selected most-at-risk populations (i.e. 37% prevalence among intravenous drug users , and 6.5% prevalence among commercial sex workers). HIV prevalence among males is 2.3 times higher than among females (Estimates and Projections 2004).[^1] 

Data regarding HIV prevalence in Vietnam is primarily obtained through
HIV Sentinel Surveillance (HIV SS) conducted annually in 40 provinces
for six sentinel populations: injection drug users, female sex workers,
antenatal women, sexually transmitted infection clinic patients,
tuberculosis patients and military recruits. Data from 1996 through 2003
indicate an epidemic disproportionately distributed among two sentinel
groups---injection drug users and female sex workers--- who primarily
drive the epidemic in Vietnam, as detailed below.

+-----------------------------------------------------------------------+
| **Table 1: Vietnam HIV/AIDS Epidemic Indicators**                     |
|                                                                       |
| HIV prevalence in IDU: 30%\*                                          |
|                                                                       |
| HIV prevalence in FSW: 4% (Hanoi 15%; HCMC 11%; Can Tho 11%; An Giang |
| 15%)\*                                                                |
|                                                                       |
| Number of HIV-infected adults (15-49): 215,000\*\*                    |
|                                                                       |
| HIV Prevalence in adults: 0.51% \*\*                                  |
|                                                                       |
| HIV Prevalence in pregnant women: 0.3%\*                              |
|                                                                       |
| Number of AIDS deaths: 9,862\*\*\*                                    |
|                                                                       |
| Number of individuals on anti-retroviral therapy (ART): 4,000\*\*\*   |
|                                                                       |
| HIV prevalence in STI clinic patients: 2.2%\*                         |
|                                                                       |
| HIV prevalence in TB patients: 3.7% (Quang Ninh 22%; Hai Phong 12%;   |
| HCMC 10%)\*                                                           |
|                                                                       |
| HIV prevalence in military recruits: 0.64%\*                          |
|                                                                       |
| \*GVN HIV Sentinel Surveillance 2003; \*\* GVN Estimate 2004; \*\*\*  |
| GVN reported January 2006                                             |
+-----------------------------------------------------------------------+

1.  Injection drug users (IDU**).** The HIV epidemic in Vietnam has been
    driven by a co-existing epidemic of injection heroin use. To date,
    roughly 60% of reported HIV/AIDS cases have been among IDU. Drugs
    transit the coastal cities of Vietnam and South China to North
    America and Australia, making heroin widely available and
    inexpensive. Crude HIV prevalence in IDU was estimated at 30% (HIV
    SS, 2003). However in 2003, prevalence approached or exceeded 50% in
    IDU in urban areas in HCMC (54%), Hai Phong (61%) and Quang Ninh
    (75%). IDU in Vietnam are young (e.g., mean age 19.5 years in Quang
    Ninh Province and 21 years in Hanoi (both 2000 street-based
    samples). IDU appear primarily in the rising middle class and
    commonly share needles and equipment. Behavioral surveillance and
    qualitative studies indicate injection drug use is occurring
    increasingly among women and that female IDU frequently turn to sex
    work for financial support. In a 2004 respondent-driven sample of
    300 street-based sex workers, 50% reported drug use (mainly heroin
    injection) and 45% were HIV positive. Recent data also suggest that
    many drug users go back and forth between injecting and
    non-injecting and that many non-injectors become injectors. These
    data underscore that all drug users should be considered in the
    category of most-at-risk.

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1.  Commercial sex workers (CSW). A growing sex work industry (street
    based as well as bar/restaurant/karaoke-based) has played an
    important role in HIV transmission. Sex workers are primarily female
    (FSW), however male sex workers (MSW) are increasingly observed in
    urban centers. HIV sentinel data also show increasing prevalence
    rates in FSW in several of the 40 provinces. Overall HIV prevalence
    in FSW was 4% (HIV SS, 2003), but approached or exceeded 10% in
    certain urban areas rates (e.g., Hanoi (15%) and HCMC (11%)) and the
    Mekong Delta region (e.g., Can Tho Province (11%) and An Giang
    Province (15%)). MSW are increasingly common, but no data exist
    regarding HIV in MSW.

2.  Antenatal women (ANW). Overall HIV prevalence in ANW was 0.3%, but
    ranged from 0% in nine provinces to over 1.3% in Quang Ninh (HIV SS,
    2003).

3.  Sexually transmitted infection (STI) clinic patients. Overall HIV
    prevalence in STI patients was 2.2% with a range: 0-10% (HIV SS
    2003).

4.  Tuberculosis (TB) patients. Overall HIV prevalence in TB patients
    was 3.7%; however, HIV prevalence in TB patients has climbed to over
    7% in seven provinces, including HCMC (10%), Hai Phong (12%) and
    Quang Ninh (22%) (HIV SS 2003).

5.  Military recruits. The overall HIV prevalence in military recruits
    was 0.64%, but exceeded 1% in seven provinces including HCMC (2.5%)
    (HIV SS, 2003). Conversion rates in active duty forces are unknown,
    as no routine testing takes place.

Two additional important populations are blood donors and men who have
sex with men (MSM). Currently neither of these populations is included
in the sentinel surveillance system. Studies of blood donors indicated
2/10,000 donors screened positive for HIV (15% tested positive for
Hepatitis B). Information remains limited for MSM in Vietnam and they
are still widely unrecognized. However, a 2001 survey of 219 MSM in HCMC
found MSM reported multiple sex partners and generally low condom use.

**B. Government Response**

#### 

#### The national response to the HIV epidemic began in 1987 with the establishment of an AIDS Prevention Committee within the Ministry of Health (MOH). The body gained national coordinating authority in 1994 as the National AIDS Committee (NAC), which stood apart from the MOH to include other sectors across the government. The National AIDS Bureau served as the administrative and programmatic arm of the NAC, as well as the government partner for several large bilateral and multilateral organizations. Parallel AIDS committees were created in all 64 provinces, as well as at the district level. These committees, together with their member organizations, including the Vietnam Women's Union, the Vietnam Youth Union and the Vietnam Red Cross, became focal points for planning and delivering HIV/AIDS-related services. 

In 2000, the inter-ministerial coordinating authority shifted to a new
body that established the National Committee for AIDS, Drug and
Prostitution Prevention and Control. Also in 2000, the National AIDS
Bureau (renamed the National AIDS Standing Bureau, NASB) returned to the
MOH and in a 2003 reorganization merged with the Preventive Medicine
Department to create the General Department for Preventive Medicine and
HIV/AIDS Prevention and Control. The MOH thus regained overall
responsibility for HIV/AIDS programs and coordination.

In 2005, the GVN restructured its AIDS program again with the creation
of the Vietnam Administration for AIDS Control, considered a new
department within the Ministry of Health, and responsible for
coordinating HIV/AIDS activities. While this new department does not
have multi-ministerial coordination jurisdiction, it is the focal point
for technical coordination for the PEPFAR program in Vietnam.

**C. GVN National HIV/AIDS Strategy**

In March 2004, the GVN released the *National Strategic Plan on HIV/AIDS
Prevention for 2004-2010 with a Vision to 2020*. The strategy provides
the vision and plan for a comprehensive national response to the
epidemic, calling for mobilization of government, party and community
level organizations across multiple sectors. The strategy takes a
progressive and proactive approach to reducing drug-related HIV
transmission and calls for efforts to diminish HIV/AIDS-related stigma,
including de-linking HIV/AIDS from 'social evils' such as drug use and
prostitution. The strategy calls for nine Action Plans to be developed,
which will constitute operational HIV/AIDS policy. The Action Plans will
cover the following areas: behavior change communication (BCC), harm
reduction, care and support, surveillance, monitoring and evaluation,
access to treatments, prevention of mother to child transmission
(PMTCT), STI management and treatment, blood supply safety and HIV/AIDS
capacity building and international cooperation. At the time of writing,
the government is collaborating with national and international
stakeholders on the development of these documents.

**D. Enabling Environment**

The policy environment in Vietnam remains complex, and strategic,
multi-sectoral approaches are limited. However, significant achievements
have been made in HIV/AIDS policy development, especially in terms of
addressing stigma and discrimination. These achievements include the
development of the 2004 National Strategy and related reforms of
HIV/AIDS legislation, as well as the development of the upcoming
National HIV/AIDS law , which is currently being debated within the
government. However, additional policy reforms are needed, and
operational procedures and feedback mechanisms need to be put in place
to help ensure appropriate implementation of HIV/AIDS related policies,
including enforcement of non-discriminatory policies. These measures are
essential to helping ensure effective advocacy for the rights of PLHA in
Vietnam.

There is limited flexibility and capacity for local organizations to
advocate for their constituencies or develop innovative prevention, care
and support interventions. One considerable challenge in addressing the
combined drug and HIV epidemics, is that the majority of current drug
rehabilitation programs are ineffective, resulting in a high rate of
recidivism among drug users.

E.  **Stigma and Discrimination**

Negative perceptions of most-at-risk populations are common in Vietnam:
IDU and CSW remain highly stigmatized groups, and discrimination against
them is common. In addition, misperceptions about HIV/AIDS transmission,
as well as negative, stereotyped perceptions of people living with
HIV/AIDS, result in substantial discrimination against PLHA and their
families, including in the health care setting. These negative views are
especially prevalent in Vietnam in provinces with low rates of HIV
infection.

Stigma and discrimination pose a major challenge to fighting the HIV
epidemic, as they negatively impact people's willingness to openly seek
prevention, care and treatment services and adversely affect the quality
of HIV/AIDS services. It is increasingly recognized by PLHA and
caregivers alike that stigma and discrimination act as barriers to
long-term ARV treatment success, as they discourage care-seeking as well
as limit crucial PLHA involvement in treatment adherence and self-care.

**F. The President's Emergency Plan for AIDS Relief**

Vietnam is one of 15 focus countries supported by the President's
Emergency Plan for AIDS Relief (PEPFAR), a program of the U.S. State
Department under the direction of Global AIDS Coordinator. In the
Socialist Republic of Vietnam, the Emergency Plan encompasses all U.S.
supported HIV/AIDS programs including those of the U.S. Agency for
International Development (USAID), the Department of Health and Human
Services/Centers for Disease Control and Prevention (DHHS/CDC) and the
Department of Defense (DOD). In-country support for the Emergency Plan
is provided by a team of representatives from each of these agencies
under the direction of U.S. Ambassador to Vietnam. The U.S. HIV/AIDS
Team in Vietnam works directly with the Ambassador and Deputy Chief of
Mission in Vietnam.

The global goals of The Emergency Plan are to:

1.  Prevent 7 million new HIV infections;

2.  Treat at least 2 million HIV-infected people with ARV drugs; and

3.  Care for 10 million HIV-affected individuals and AIDS orphans and
    vulnerable children.

The U.S. Emergency Plan Five-Year Strategy supports Vietnam in building
a sustainable, comprehensive national HIV/AIDS control program based on
the Vietnam National Strategy with a focus in HIV prevention, care and
treatment. The Strategy includes support to multiple sectors in
achieving this goal, including the Government of Vietnam (e.g., Ministry
of Health and other ministries involved in HIV/AIDS issues),
international and local organizations, mass organizations and the
private health sector. Strategic areas include human capacity
development, building sustainable systems and the use of new partners
including non-governmental organizations (NGOs), faith-based
organizations (FBOs) and public-private partnerships.

The programs and interventions proposed in the Emergency Plan strategy
are built on principles consistent with Vietnam's National Strategy,
including provision of voluntary client-centered services, reduction of
stigma and discrimination associated with HIV, a focus on comprehensive
and high quality services, government ownership of programs, and greater
involvement of people living with HIV and AIDS.

Vietnam-specific targets for March 2008 include the provision of safe
and effective anti-retroviral treatment to 22,000 patients and the
provision of care to 110,000 people infected and affected by HIV/AIDS
including orphans and vulnerable children. Achieving these targets means
programs must be targeted toward people at high risk for HIV. In
Vietnam, these are: injection drug users, sex workers, men who have sex
with men, people already identified with HIV and sex partners of these
most-at-risk populations in provinces and urban areas with the highest
burden of HIV. Other populations at risk, including orphans and
vulnerable children and mobile workers, are also of concern and must be
addressed via prevention, care and support programs. Current Emergency
Plan programs focus on high burden communities including the
provinces/urban areas of Hanoi, Quang Ninh, Hai Phong, An Giang, Can
Tho, and Ho Chi Minh City. In collaboration with the Government of
Vietnam, additional focus provinces may be included in subsequent years
based on HIV/AIDS burden, institutional and local capacity, and
established relationships with implementing partners.

In the area of prevention, programs targeted toward most-at-risk
populations include community outreach, peer education, behavior change
communication and prevention interventions with HIV-infected people.
Programs are now moving more toward addressing prevention via peers and
family members of at-risk populations and programming targeting young
men in particular. Consistent and correct condom use messages as well as
provision of condoms to high-risk populations are critical components of
these programs. In addition, support is provided for certain general
population prevention activities in focus provinces, including
prevention of mother-to-child HIV transmission programs, and healthy
living messages including those on abstinence, delay of sexual debut and
"being faithful" to one partner aimed at vulnerable youth.

In the area of treatment, the Emergency Plan supports the procurement,
distribution and provision of safe and effective anti-retroviral drugs
for adults and children, laboratory equipment and tests related to
HIV/AIDS treatment, laboratory quality control and monitoring,
development of drug procurement, management and drug distribution
systems.

HIV/AIDS care supported by the Emergency Plan refers to a broad spectrum
of activities involving HIV-infected persons including voluntary HIV
counseling and testing, palliative care, and provision of drugs to
prevent or treat opportunistic infections and certain treatment
interventions for injection drug users. HIV/AIDS care also encompasses
activities supporting orphans and vulnerable children infected or
affected by HIV/AIDS. Areas of focus in the five-year strategy include
support for coordination of national guidelines and strengthening access
and support for HIV voluntary counseling and testing services; support
for diagnosis and treatment of sexually transmitted infections among
most-at-risk populations; support for test results disclosure and
partner counseling and referral for HIV-infected clients; expanded
access to opportunistic infection preventive therapies; expanded
diagnosis and treatment of opportunistic infections; access to pain
management interventions; promoting integration of tuberculosis (TB) and
HIV programs; pilot studies of drug replacement programs; innovative
strategies to improve the quality of life of people living with
HIV/AIDS; and enhancing referral networks for comprehensive HIV/AIDS
prevention, care and treatment services.

Currently, large populations at risk for acquiring or transmitting HIV
in Vietnam are those detained in provincial drug treatment
rehabilitation centers. The Emergency Plan is also addressing this issue
through the development of a program that coordinates prevention-to-care
services for residents inside rehabilitation centers that link to
parallel services outside government (06) rehabilitation centers for
residents who return to their communities -- an on-going pilot in Ho Chi
Minh City (HCMC) in partnership with the HCMC Provincial AIDS Committee
(PAC). Discrete elements of the strategy bridge the prevention, care and
treatment continuum to ensure residents receive addiction counseling,
peer outreach, the opportunity to learn their HIV status, and medical
care. Limited ARV treatment will extend the lives of selected patients
and will be expanded as evidence identifies best practices for adherence
and stability. Where feasible, the team will employ pharmacological
treatment for substance abuse. As residents are discharged from
rehabilitation centers, a network of community-based counselors,
physicians, peer workers, social workers, hospitals and clinics will
continue to meet residents' psycho-social and medical needs. Recognizing
that family members of former residents are also often at greater risk
for HIV, community team members will strive to include families in the
continuum of care. Careful evaluation of early successes and obstacles
will inform expansion of the model to include more residents, additional
sites, and increased capacity for ART.

Detailed information about the Emergency Plan is available online;
applicants are encouraged to consult the following websites regularly:

1.  [http://www.state.gov/s/gac/](http://www.state.gov/gac/)

2.  <http://www.usaid.gov/pop_health/aids/>

**II. PROGRAM DESCRIPTION**

**A. PURPOSE**

The purpose of this Request for Applications (RFA) is to solicit
applications for a Cooperative Agreement to expand and strengthen
HIV/AIDS prevention, care and support, treatment and policy/system
strengthening and strategic information services in Vietnam. Both new
and existing PEPFAR implementing agencies (and/or consortia) are invited
to submit applications in response to this RFA; it is anticipated only
one agreement will be awarded for approximately \$25 million over a
five-year period. Available funding for YEAR ONE is estimated to be
\$3,180,000.

Services must be delivered in a manner consistent with policies,
standards and practices of the Emergency Plan. The applicant should
demonstrate sufficient familiarity with the policies and reporting
requirements of PEPFAR. Building ownership of programs is important to
ensure that programs can be taken up by host governments after the US
Government ends funding of this program.

Of US Government development assistance programs focusing on HIV/AIDS
worldwide, Emergency Plan countries are unique in that they have
congressionally established targets for provision of services in
prevention, care and treatment. This RFA details below how proposed
activities must contribute to the provision of services to the
most-in-need as defined by Emergency Plan indicators and associated
targets. Applicants must address these three activity areas in their
application with clearly defined strategies indicating how targets for
this particular cooperative agreement will be reached. Activity areas
and targets below are based on the first year of program implementation
(to be achieved by the close of the 2006 fiscal year) though it is
anticipated that target values will increase yearly through the life of
the agreement (years 2--5).

In addressing the activity areas defined in this RFA, it is important to
include strategies that link services in this program with related
services at the national and provincial levels. As the Emergency Plan
expands its support in Vietnam, the Emergency Plan Team has placed great
importance on ensuring that services provided via implementing agencies
support a network of integrated prevention, care and treatment services.

In addition, USAID recognizes that many indigenous national, regional
and faith-based NGOs have the networks and infrastructure to create a
robust platform to expand prevention, care and support programs but gaps
still remain. The applicant will make every effort to build and
strengthen the technical and organizational capacity of the GVN entities
and the non-government partners, CBOs, FBOs and other institutions to
design, implement, measure and replicate prevention and care and support
interventions.

The technical approach of the applicant should include a discussion of
proposed partners and arrangements for working with partner
organizations, including maximizing the role of indigenous organizations
and building indigenous technical and management capacity to carry out
and monitor the programs in the longer term.

B.  ACTIVITY AREAS

The remainder of the RFA described below is broken into the five major
activity areas that comprise the Emergency Plan for Vietnam. This
categorization will assist applicants in understanding how programs must
support the overall goals of the Emergency Plan. However, applicants
should develop their applications keeping in mind the importance of the
prevention-to-care continuum, in addition to increasing access to
quality services, especially for vulnerable groups.

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

**ACTIVITY AREA 1: CARE**

USAID has identified program approaches which are expected to be common
to each component. They will form the guiding principles for applicants
around which the program is designed and implemented. The applicant is
strongly encouraged to consider the below principles in developing their
proposals.

**Activity 1.1: Care - Counseling and Testing**

Evidence suggests that user-friendly, client-focused counseling and
testing services not only provide essential linkages to HIV care and
treatment for those who test positive, but also provide an important
source of motivation for behavioral change for all clients. VCT services
currently exist in all US government Emergency Plan focus provinces,
however they are currently unavailable in the majority of 06
rehabilitation centers. In addition, it is anticipated that current VCT
sites will be unable to meet increased demand for services upwith the
anticipated release of approximately 15,000 IDU from government drug
rehabilitation centers.

In FY05, USG through USAID supported the expansion of HIV counseling and
testing services to six sites in four focus provinces (Hanoi, Hai Phong,
Quang Ninh, and Ho Chi Minh City). The VCT sites are integrated with
prevention interventions targeting MARPs, and community-based care and
treatment services at the district level. These links ensure that MARPs
have access to client-oriented VCT and immediate care and treatment
support, if HIV positive.

Activities in this program area should include, but not be limited to:

1.  follow-on support to the 6 centers receiving support via the Family
    Health International (FHI) IMPACT project in order to ensure
    provision of high-quality VCT services

2.  provision of appropriate access to VCT for most-at-risk populations
    and strong referral links to other prevention, care and treatment
    services (including PMTCT) supported by the USG and other
    organizations

3.  close collaboration with the US CDC to support the MOH in the
    development of national guidelines on VCT and a standard VCT
    training curriculum

4.  collaboration with additional USG partners to market VCT services
    through mass media and other communication channels

5.  training of counselors for VCT

6.  provision of technical assistance to other USG partners on
    counseling and testing

In addition to ongoing support for these existing sites, applicants
should include strategies for the provision of VCT services inside
select government drug rehabilitation centers (06 centers) in HCMC, as
well as VCT services for residents returning to their home communities
in HCMC Districts 8 and Binh Thanh. These services should complement VCT
currently offered through existing comprehensive care centers, which
will not be able to adequately meet the increased demand for VCT
services upon the anticipated release of residents from the 06 centers.
Activities should include development of VCT facilities, training,
provision of testing supplies and reagents and referral to appropriate
relapse prevention services and health care for HIV positive
individuals. (For detailed information on the HCMC 06 Pilot Model,
please refer to the description in Activity Area 5).

Targets for Activity 1.1: Care - Year 1 - Counseling and Testing

  ---------------------------------------------------------- ------------
  Number of service outlets providing counseling and testing 6
  according to national or international standards           

  Number of individuals who received counseling and testing  \>12,500
  for HIV and received their test results                    

  Number of individuals trained in counseling and testing    \>135
  according to national or international standards           
  ---------------------------------------------------------- ------------

Geographic Areas for Activity 1.1 - Year 1 - Care - Counseling and
Testing:

1.  Quang Ninh

2.  Hai Phong

3.  Hanoi

4.  Ho Chi Minh City

**Activity Area 1.2 Year 1: Care - Orphans and Vulnerable Children**

While there is still limited information on the situation of OVC in
Vietnam, OVC must be an integral part of all care and support programs
that address families affected by HIV/AIDS. A 2005 MOLISA/UNICEF report
(Situation of Families and Children Affected by HIV/AIDS in Vietnam)
estimated that there are over 280,000 children affected by HIV/AIDS. The
applicant will support ongoing OVC activities previously implemented
under the previous cooperative agreement in the 6 focal provinces of
Hanoi, Quang Ninh, Hai Phong, HCMC, and Can Tho.

Community-based care and support programs should address children
infected and affected by HIV/AIDS through a comprehensive set of
activities that should include, but not be limited to:

1.  regular home-based care visits

2.  assessments of nutritional health status, education and emotional
    needs

3.  support to parents with HIV in succession planning including the
    preparation of wills and the appointment of guardians

4.  collaboration with the Vietnam Women's Union, Youth Union and other
    partners to develop community-based therapeutic play and counseling
    for OVCs

5.  collaboration with the Ministry of Labor, Invalids and Social
    Affairs (MoLISA) and the Committee for Population, Family and
    Children to ensure routine monitoring and protection for children
    placed in foster care

In addition, the incumbent organization should demonstrate how it will
work in partnership with UNICEF, MOLISA, MOH, UNAIDS and the Save the
Children Alliance to support advocacy for the development and
implementation of national OVC protection and care giving guidelines.
The incumbent organization will also assist USG in developing a training
curriculum for HIV providers in pediatric adherence and produce
pediatric adherence support materials and care booklets.

Activities in this application should also include follow-on support for
local NGOs that are receiving sub-grants in FY05 through the IMPACT
cooperative agreement to implement OVC activities in an effort to expand
psychosocial support, education, and nutritional and health care to OVCs
in Hanoi and Hai Phong provinces.

Targets for Activity 1.2: Care - Orphans and Vulnerable Children

  ---------------------------------------------------------- ------------
  Number of OVC served by OVC programs                       700

  Number of providers/caretakers trained in caring for OVC   10
  ---------------------------------------------------------- ------------

Geographic Areas for Activity 1.2: Care - Orphans and Vulnerable
Children:

1.  Quang Ninh

2.  An Giang

3.  Can Tho

4.  Hai Phong

5.  Hanoi

6.  Ho Chi Minh City

**Activity Area 1.3: Care - Basic Health Care and Support**

In 2006, collaborative work to bolster the continuum-of-care from the
community to the tertiary level will continue with USG partners
supporting all levels of service delivery. HIV clinical care and support
activities will focus on improving the capacity to provide
non-antiretroviral therapy (ART) and opportunistic infection (OI) care
and treatment, and linking non-ART care to counseling, testing, and
referral services. Palliative care activities range from clinical
services to home and community-based services. The incumbent
organization will support the provision of high-quality HIV/AIDS care
and support services at both clinical and community levels, including
provision of care and support to current and former residents of 06
rehabilitation and social labor camps.

Following on activities supported through the IMPACT agreement in FY05,
applicants should include, but not be limited to, strategies to:

1.  support district level ambulatory and in-patient care services
    through district health centers in focal provinces with the
    provision of secondary and primary clinical care services for adult
    and pediatric PWA (via ambulatory day care services at the district
    health center, and when appropriate, via in-patient care at the
    secondary level)

2.  support integrated outpatient services into existing district health
    center services, including TB screening and treatment

3.  provide HIV/AIDS care and support services at the community level,
    including regular follow-up care through home visits for all PWA who
    request them, and through PWA self-help groups

4.  increase access to home-based care (HBC) through HBC teams using the
    case-management model, facilitating access to a range of supportive
    services including support for children of PWA, education and
    counseling for nutrition and self-care, ARV treatment adherence
    support, spiritual guidance and risk reduction assistance for IDU
    PWAs

5.  promote ART and methadone adherence for those sites providing
    methadone through home care, PWA groups and health center staff (See
    Methadone Pilot and 06 Pilot Model descriptions for more
    information)

6.  increase referral of PWA clients who experience complicated
    opportunistic infections to tertiary care through referral networks
    managed by the district health center staff and home care teams, as
    well as to provincial hospitals supported by the Emergency Plan

7.  provision of technical assistance to other USG partners on care and
    support

Strategies should incorporate USG-supported existing innovative models
which utilize the continuum-of-care (CoC) network approach to ensure
comprehensive care and treatment services are well-coordinated and
delivered through a linked network of programs. Through this approach,
services are planned and coordinated through a CoC committee made up of
Provincial Health Authorities, Provincial AIDS Authorities, party
officials, PWA, high level religious leaders, provincial, district,
commune and home care providers, and NGO representatives. These
committees meet monthly and advise on the implementation of provincial
care and treatment activities, facilitate problem solving for referral,
management and resource related challenges, and provide a mechanism
through which PWA can provide information about their needs as well as
give feedback about the care they receive. Select members of this
committee also serve on ART selection committees. These three CoC models
include an urban based model in Ho Chi Minh City, a rural model for

HIV care treatment and support in An Giang, Can Tho and Quang Ninh and
an integrated prevention, care and treatment model for IDU in Hai Phong
and Quang Ninh.

[06 Pilot Model]{.underline}: The applicant will support comprehensive
and integrated prevention, care and treatment services for current and
former residents of government drug rehabilitation (06) centers serving
the Ho Chi Minh City area. Pre- and post-release services will be
provided primarily, but not exclusively, to persons living with
HIV/AIDS. As part of comprehensive care, the applicant will develop a
menu of high quality drug rehabilitation and addictions management tools
applicable to the Vietnamese situation. This menu may include, but is
not limited to, substance abuse education, relapse prevention, cognitive
behavioral therapy, 12-Step groups, case management, and other key
elements of an integrated drug abuse treatment program. An initial group
of 28 case managers has been selected to work with former drug users in
the centers and in Districts 1, 4, 8, and Binh Thanh. The applicant will
ensure this group completes addiction counselor training and will
facilitate practical experience with former drug users. (For more
information, please refer to the 06 Pilot Model program description, on
page 29). The applicant will work closely with the USG team in
developing and implementing the 06 center programs. Likewise, they will
collaborate with multiple partners including the CDC, private sector
hospitals, and CBOs on ART-related activities.

[Methadone Substitution Pilot]{.underline}: As a means of extending
prevention services beyond traditional IEC/BCC, the Emergency Plan seeks
to reduce drug relapse among IDU. The Emergency Plan began a pilot drug
dependence treatment and rehabilitation program for IDU in 2005, which
is still pending approval by the GVN. The incumbent organization will
support a pilot methadone substitution program for HIV-infected IDU at a
district center in Hai Phong, with the possibility of expansion of
services to An Giang or Quang Ninh in partnership with WHO and DFID. The
successful applicant will also take on the responsibility of
administering the methadone treatment program, including provision of
care and support services to HIV-infected IDU served by the project.
These comprehensive models will serve as an advocacy tool for national
policies on substitution therapy scale-up in the country. \[Note: A full
description and rationale for this pilot is provided in Appendix 1\].

Finally, the successful applicant will also contribute to the
development of policies, guidelines and tools for HIV/AIDS care and
support services, including continuing on-going work on the development
of the National Palliative Care Guidelines and advocacy for
opioid-inclusive policies for pain care in cooperation with other
agencies.

Targets for Activity 1.3 Care: Basic Health Care and Support

  ---------------------------------------------------------- ------------
  Number of service outlets providing HIV-related palliative 14
  care (excluding TB/HIV)                                    

  Number of individuals provided with HIV-related palliative 4000
  care (excluding TB/HIV)                                    

  Number of individuals trained to provide HIV-related       \>800
  palliative care (excluding TB/HIV)                         
  ---------------------------------------------------------- ------------

Geographic Area for Activity 1.3: Care: Basic Health Care and Support:

1.  Quang Ninh

2.  An Giang

3.  Can Tho

4.  Hai PHong

5.  Hanoi

6.  Ho Chi Minh City

**ACTIVITY AREA 2*:* TREATMENT - ARV SERVICES**

Quality AIDS treatment is a relatively new option for people living with
AIDS in Vietnam, and has proven to be complicated in terms of systems
development, patient management, clinical capacity, procurement and
distribution of drugs, adherence and follow up, and the politics of
access and advocacy. The Emergency Plan is supporting a comprehensive
range of activities in establishing a sound ARV treatment program, from
procurement and distribution of drugs to patient monitoring and training
for health care workers, and laboratory support, to treatment literacy
for PWA. Additional activities include development of policy and
guidelines and effective monitoring and evaluation systems.

The applicant will be expected to continue to support provision of ART,
clinical care, referral to TB treatment and supportive services to PWA
adults and children, as part of comprehensive care and treatment
services at selected sites. These services are currently offered through
district level ambulatory care centers integrated into district health
centers. ART will also be provided through the 06 Pilot Model to provide
comprehensive HIV/AIDS and addictions management services to current and
former residents of 06 rehabilitation and social labor camps (please
refer to 06 Pilot Model program description for more information).
District health centers are located at select sites in PEPFAR focal
provinces (Long Bien of Hanoi, Cam Pha and Van Don of Quang Ninh, Binh
Thanh and District 8 of HCMC, Le Chan of Hai Phong, and Tan Chau of An
Giang) and service provision may be expanded to additional sites.

Treatment service provision should include, but not be limited to, the
following:

1.  a strong focus on adherence counseling and support for most-at-risk
    populations, particularly current or former injection drug users

2.  home-based care offering support, case management and referral
    services through multi-disciplinary teams as a complement to
    clinical district health center care

3.  provision of quality, accessible ART literacy training,
    preparedness, and adherence brokered between health center staff and
    PWA

4.  strong referral links from district level sites to provincial
    tertiary care for PLWHA on ART who experience immune-reconstitution
    syndrome or serious side effects, including at provincial hospitals
    supported by USG and other donors/GVN

5.  lab referral and analysis (such as CD4) to the provincial hospital
    level with USG- or other procured laboratory equipment where
    applicable

6.  provision of technical assistance to other USG partners on treatment
    services

In addition, the applicant will also maintain the principal role in
supporting a comprehensive package of care, treatment and support
services at a pilot treatment site offering methadone substitution
therapy in Hai Phong, with the possibility of expansion of services to
An Giang or Quang Ninh in partnership with WHO and DFID. This package of
services will include the provision of ARV and related services to IDU.
\[Note: For more information, see Sections on Basic Care and Support,
Appendix 1 on the Methadone Substitution Pilot, as well as description
of the 06 Pilot Model program\].

Targets for Activity 2 Treatment: ARV Services

  ---------------------------------------------------------- ------------
  Number of service outlets providing antiretroviral therapy 7

  Number of individuals newly initiating antiretroviral      180
  therapy during the reporting period                        

  Number of individuals who ever received antiretroviral     540
  therapy by the end of the reporting period                 
  ---------------------------------------------------------- ------------

Geographic Areas for Activity 2: ARV Services:

1.  Quang Ninh

2.  Hai Phong

3.  Hanoi

4.  Ho Chi Minh City

5.  An Giang

6.  Can Tho

**ACTIVITY AREA 3: PREVENTION**

Given the concentrated nature of the epidemic in Vietnam, the Emergency
Plan has prioritized HIV prevention interventions for persons at high
risk for infection. Most-at-risk populations include injection drug
users; commercial sex workers and their clients; men having sex with
men; and mobile populations, including migrant workers, truck drivers,
and members of the uniformed services. Interventions must take into
account that there is considerable variation in the HIV-risk behaviors
and HIV prevalence across the populations included in the "MARPs"
category, and that some sub-groups within the MARPs populations are at
higher risk than others, and are more likely to bridge to lower risk
populations.

In order to increase the efficacy of prevention programming, programs
should monopolize on social linkages between at-risk and lower risk
populations by extending prevention services to peers and family members
of most-at-risk populations and through linkages with community-based
care and support programs.

The applicant should be prepared to collaborate with the USG interagency
team on the ground -- CDC, DOD, HHS and USAID regarding prevention
coordination activities. In addition, where appropriate, the applicant
will be expected to participate in the USG interagency technical working
group meetings.

Note: applicants should refer to the ABC Guidance for prevention
programming in the development of their applications (Appendix 2).

[Targeted Interventions for Most-At-Risk Populations]{.underline}

To achieve the Emergency Plan prevention targets in Vietnam, the
applicant must introduce combinations of interventions to reach, engage,
and provide the means to enable at-risk populations to reduce their
risk-taking behaviors in a range of settings (community- and
facility-based).

Interventions should include, but are not limited to, the following:

1.  community-based peer and/or health worker outreach

2.  referral to anonymous and confidential voluntary testing and
    counseling

3.  behavior-change programs, including targeted condom distribution for
    those who practice high-risk sexual behavior

4.  diagnosis and treatment  of sexually transmitted infections, and
    treatment of HIV for people living with HIV/AIDS (PLWHA)

5.  referrals to substance-abuse services

6.  linkages through referral networks with other health care

7.  programs that link prevention of alcohol/drug-related sexual
    risk-taking behaviors with HIV prevention

8.  prevention for HIV positives

** **

Applicants are encouraged to demonstrate how interventions link to care
and treatment programs across the continuum of services supported by the
Emergency Plan, other donors and organizations, and the government.

[Interventions for Injection Drug Users (IDU)]{.underline}

Applicants must demonstrate how interventions will target IDU and their
peer and family networks to reduce HIV risk behaviors in up to six focus
provinces, through a variety of possible interventions including ongoing
support to:

1.  IMPACT-established drop-in centers

2.  peer and health worker outreach with linkages to job placement

3.  linkages to voluntary counseling and testing and care and support

4.  relapse prevention and drug treatment for HIV positive drug addicts
    in Hai Phong and Ho Chi Minh City

The incumbent will also assume the partnership role working with the
HCMC PAC to implement the 06 pilot model for individuals released from
06 rehabilitation centers. The goals of this program are to prevent
relapse to injection drug use and to link HIV+ individuals to care and
treatment services in their home communities. (Please refer to the 06
Pilot Model description following the Policy/Systems Strengthening
section).

In addition, the applicant will also take the lead on the ongoing
methadone substitution therapy program to be piloted in Hai Phong. At
present, this pilot is awaiting GVN approval for implementation. Please
refer to Appendix 1 for details on the proposed program.

[Interventions for Female Sex Workers (FSW) and their
clients]{.underline}

Applicants must demonstrate how interventions will reduce HIV
transmission to and from FSW through a variety of innovative and
targeted behavior change interventions in up to six focus provinces,
including but not limited to support for:

1.  IMPACT-established drop-in centers and peer and health worker
    outreach linked to job placement

2.  skills development for women who wish to leave commercial sex work

3.  training in condom negotiation skills

4.  linkages to STI treatment and HIV VCT

5.  linkages to other partner reduction interventions for clients of
    FSW's not funded by this activity

It is essential for services targeting FSW to be linked to male client
interventions to maximize impact by reducing frequency of visitation to
(and/or number of) sex workers while making sex work safer for those
individuals who continue to engage in it. Applicants should identify
effective strategies for linking prevention interventions for commercial
sex workers to those of their clients while avoiding further
stigmatization of FSW.

[Interventions for Men who have Sex with Men (MSM)]{.underline}

Given MSM programming is still in its early stages in Vietnam,
interventions supported by the applicant should be built on the success
of ongoing interventions (supported by IMPACT, the US Centers for
Disease Control and Prevention, and UNESCO). Proposed interventions must
be targeted and accessible for this relatively hidden population, and
could include, but not be limited to:

1.  peer-driven interventions (peer outreach and drop-in center services
    (i.e. modeled on the IMPACT-supported Blue Sky Club in Ho Chi Minh
    City)

2.  promotion of a supportive environment for behavior change and
    reduction of stigma and discrimination for MSM

3.  increased availability and promotion of condoms and water-based
    lubricant

4.  increased availability and access to "MSM-friendly" services for STI
    treatment, VCT and HIV care

5.  provision of technical assistance to other USG partners in
    interventions for MARPS

[Prevention for Positives]{.underline}

Interventions in this comprehensive program must also include IEC and
BCC for positives to reduce the chance of transmission from positives to
their partners. Prevention interventions should extend to peer and
family networks and should ensure referral to and provision of
discordant couple counseling and support groups in VCT sites and OPC
clinics.

Targets for Activity 3 - Prevention

  ---------------------------------------------------------- ------------
  Number of individuals reached with community outreach that \>30,000
  promotes HIV/AIDS prevention through other behavior change 
  beyond abstinence and/or being faithful                    

  Number of individuals trained to promote HIV/AIDS          150
  prevention through other behavior change beyond abstinence 
  and/or being faithful                                      

  Number of targeted condom service outlets                  200
  ---------------------------------------------------------- ------------

Geographic Areas for Activity 3 - Prevention:

-   Can Tho

-   Quang Ninh

-   An Giang

-   Hai Phong

-   Hanoi

-   Ho Chi Minh City

**ACTIVITY AREA 4*:* POLICY/SYSTEM STRENGTHENING & STRATEGIC
INFORMATION**

**Activity Area 4.1 - Policy/System Strengthening**

Providing technical assistance at the provincial, district and community
levels has enhanced USG partner understanding of macro level issues in
HIV/AIDS care and support. Emergency Plan-supported partners have
developed a number of consortia to collaborate on the provision of
uniform technical assistance on the development of GVN policies in
HIV/AIDS. In 2005, a joint USG technical team working with Harvard, CDC,
FHI, POLICY Project, and USAID assessed the situation of palliative care
in Vietnam and concluded that there remain perceptions among top
leadership in the health sector that people living with HIV/AIDS are not
in pain. The team also concluded that strong advocacy would be necessary
to incorporate morphine in the palliative care guidelines for PWA care.
The applicant will be expected to collaborate with Emergency Plan
partners to support public advocacy for the revision and dissemination
of the Palliative Care Guidelines. In addition, the applicant will be
expected to support public advocacy for substitution therapy (methadone)
and alternative drug rehabilitation programs piloted in Hai Phong and
potentially in other provinces, based on funding and demand, and to
enhance public acceptance of these alternatives. Target audiences should
include:

1.  Provincial Health Departments

2.  Ministry of Health leadership

3.  members of appropriate Party Commissions

4.  the Ministries of Labor, Invalids and Social Affairs and Public
    Security

5.  the National Assembly

Targets for Activity 4.1 -- Policy/System Strengthening

  ---------------------------------------------------------- ------------
  Number of local organizations provided with technical      6
  assistance for HIV-related institutional capacity building 

  Number of individuals trained in HIV-related policy        200
  development                                                

  Number of individuals trained in HIV-related institutional 50
  capacity building                                          
  ---------------------------------------------------------- ------------

Geographic Areas for Activity 4.1 Policy/System Strengthening:

1.  National Level

2.  Appropriate provinces

**Activity Area 4.2 - Strategic Information**

[Analysis and Advocacy (A²)]{.underline}**:** In an effort to develop
local capacity to plan effectively to mitigate the effects of the
HIV/AIDS epidemic, the Emergency Plan in Vietnam is supporting the Asia
Regional Integrated Analysis and Advocacy Project. This project is
designed specifically to merge the strengths of country-specific
analysis of epidemic dynamics and innovative advocacy approaches to
improve the prevention and care responses of countries in
resource-constrained settings. The acronym of this initiative -- the
A^2^ Project -- is designed to highlight the linkage between two
traditionally separate fields to promote the following:

1.  Increased political commitment and improved decision making through
    expanded use of local evidence

2.  Improved quality and design of national surveillance systems

3.  Better monitoring and understanding of epidemic dynamics

4.  Improved evaluation and direction of national responses

5.  Increased resource allocation

6.  Reduced stigma and discrimination

The applicant will be expected to supervise, in partnership with PDI
(Futures Group), FHI Regional, USG staff and the East West Center,
Vietnam-based activities to advocate for appropriate responses to the
HIV/AIDS epidemic. The ultimate goals of this activity are to 1) provide
outcome indicators and coverage information for USG-supported prevention
programming among MARPs in Vietnam (specifically Ho Chi Minh City and
potentially Hai Phong); 2) strengthen the capacity of government staff
on data utilization; 3) provide information to explain changes in HIV
prevalence, including the impact of USG-funded prevention programming;
4) provide epidemiologic and behavioral data in specialized formats
tailored for advocacy to policymakers; and 5) develop a clear
understanding of the HIV/AIDS epidemic in Vietnam so that that effective
national policies and appropriately targeted programs can be developed.

Specifically, the incumbent organization will strategize with the
consortium to:

1.  continue national and provincial-level data collection so that
    implications of surveillance, survey, targeted evaluation, and
    program assessment results and other data are fully utilized for
    modeling the HIV/AIDS epidemic, policy implications, and
    interventions

2.  conduct workshops in collaboration with the PDI on the use of data

3.  provide concrete programmatic implications to the USG team as well
    as USG partners

4.  collaborate with other international and local partners to continue
    supporting MOH in integrated analysis and advocacy under the
    framework of A2---this project will utilize the strengths of both
    organizations for the appropriate use of data in policy-making and
    intervention development

5.  apply the A2 framework to implement advocacy activities in other
    focus provinces based on demand and resources (potentially including
    Hanoi, Quang Ninh, Can Tho and An Giang)

[Size Estimation of Most-at-Risk Populations:]{.underline} In
partnership with a local implementing agency, this activity will include
follow-up support for size estimations of most-at-risk populations,
including commercial sex workers, injection drug users, and men having
sex with men, in six to seven Emergency Plan focus provinces of the
Emergency Plan.

Targets for Activity 4.1 Strategic Information

  ---------------------------------------------------------- ------------
  Number of local organizations provided with technical      8
  assistance for strategic information activities            

  ---------------------------------------------------------- ------------

Geographic Area for Activity 4.1: Strategic Information:

1.  Quang Ninh

2.  Hai Phong

3.  An Giang

4.  Can Tho

5.  Hanoi

6.  Ho Chi Minh City

**ACTIVITY AREA 5: PREVENTION, CARE & TREATMENT PILOT FOR 06 CENTER
RESIDENTS TRANSITIONING TO COMMUNITIES**

Injection drug use is the predominant mode of HIV transmission in
Vietnam. Overall, the HIV prevalence among intravenous drug users (IDU)
is roughly 30% - but the prevalence is much higher in areas such as Ho
Chi Minh City (HCMC) and Hai Phong. Heroin is the main drug used. The
number of registered drug users in Vietnam is 160,000. However, the true
number of drug users is unknown and believed to be higher. Recent data
show that drug users in urban areas are getting younger with around
three-quarters of them in the 18-35 age group. Injection drug use is
reportedly on the rise in many urban areas. Similarly, there are
increasing reports of a high prevalence of drug injecting among women
who practice prostitution, especially in HCMC and Hai Phong.

Injection drug use is illegal in Vietnam and IDU are subjected to
community stigma and prosecution by law enforcement with mandatory time
in rehabilitation centers. The largest number of accessible IDU reside
in government rehabilitation centers and there is a countrywide network
of these centers. Each province has at least one rehabilitation center
and district level centers also exist. Currently there are approximately
83 "06" centers in Vietnam. The average capacity of each center ranges
from 1000 to 1500 drug users in a major city or large provincial level
centers, to 300 to 500 residents in small provinces or district level
centers. HCMC has the largest population of drug users in the country.
An estimated 30,000 IDU are currently undergoing treatment in 18
rehabilitation centers in the city. Nationwide the centers can serve
about 60,000 IDU at any point in time though some may be over capacity.
This accounts for over 25 percent of the registered IDU in Vietnam.

The population of IDU in 06 rehabilitation centers is accessible to
prevention and treatment programs within the existing rehabilitation
program. In many centers the systems are in place for peer education,
determining HIV status, and limited clinical services. However, these
activities need to be upgraded, expanded, and made more effective,
especially through linkages with community resources. Unfortunately,
current HIV management within the rehabilitation centers is failing to
prevent transmission and it is likely that HIV transmission in the
centers continues through drug use and unprotected sex. Additionally,
the recidivism rate after discharge is over 90%.

[a. Prevention, Care and Treatment Services for 06 Center
Residents]{.underline}

Currently, the Emergency Plan is supporting the development of a pilot
program linking technical assistance from the US Centers for Disease
Control and Prevention and technical assistance from the IMPACT program
to assist HCMC PAC to link services in 06 centers to parallel services
in communities where residents will return. This pilot program will
provide effective HIV prevention services; an opportunity for 06 center
residents to know their HIV status; access to antiretroviral therapy
(ART); treatment of opportunistic infections (OI) and sexually
transmitted diseases; and discharge planning with referrals to
community-based care and support. The incumbent will assume the role of
the principal technical assistance agency working in conjunction with
CDC and HCMC PAC in implementing the following interventions.

The applicant should be prepared to collaborate with the USG interagency
team on the ground -- CDC, DOD, HHS and USAID regarding prevention, care
and treatment coordination activities. In addition, where appropriate,
the applicant will be expected to participate in the USG interagency
technical working group meetings. The applicant will also work under the
direction of the USG interagency country team.

[b. Palliative Care: Basic health care and support]{.underline}

The selected partner will support palliative care services to returning
residents through HCMC District 8 and Binh Thanh Outpatient Care Centers
(OPC). Services should include:

1.  OI prophylaxis and treatment

2.  healthy living counseling

3.  ARV adherence support

4.  risk reduction counseling

5.  referrals to other HIV support services

These services will also be offered to residents' family members who may
be at greater risk for HIV infection.

[c. Social Worker Training & Support for Addictions
Counseling:]{.underline} Social workers employed by the Department of
Labor, War Invalids, and Social Affairs (DOLISA) will play a key role in
assisting residents to make successful transition into their home
communities. To affect a shift from law enforcement to public health
approach, the incumbent should consider strategies to include
experienced international agencies or individuals with extensive
integrated addictions management expertise. The incumbent will decide
which groups or individuals will be best suited to develop a menu of
potential addictions management tools applicable to the Vietnamese
situation, in consultation with the USG Team. Such tools may include,
but are not limited to:

1.  substance abuse education

2.  relapse prevention

3.  cognitive behavioral therapy

4.  12-Step programs

5.  case management

6.  other key pieces of an integrated drug abuse treatment plan

In addition to DOLISA social workers, rehabilitation center staff
clinicians at OPCs, and many others will require appropriate training on
addictions treatment, clinical counseling, case management and other key
integrated drug treatment tools. While all training mechanisms/partners
have not been determined, it is reasonable to expect that DOLISA social
workers and other treatment professionals will require training in
similar substance abuse/addictions techniques, theories, technologies,
and models. These tools should be developed throughout the 2006 program
year.

[d. Prevention:]{.underline}

All residents of the 05 and 06 Centers should be offered risk reduction
and prevention support, including peer support and addiction counseling.
Residents should also be given the opportunity to meet with trained peer
educators (peer educators already exist in some of the centers) who will
provide accurate information about HIV transmission, assist development
of problem solving skills and counsel residents regarding the need for
HIV counseling and testing. Support groups based on western models do
not yet exist in Vietnam. The Emergency Plan team will work with the GVN
to develop culturally appropriate models of support to assist residents
before and after release, including drug treatment counseling.

Proposed activities should support integrated prevention and treatment,
pre-release and post-release services for newly released residents from
06 rehabilitation centers and their families. It is expected that
activities under this program area will 1) reduce relapse rates, 2)
reduce risk behaviors, 3) avert new infections and 4) ensure access to a
support network and relapse prevention services.

Specific activities might include, but not be limited to:

1.  risk reduction and prevention education inside Nhi Xuan Centers

2.  identifying and securing technical assistance for the training of
    drug abuse counselors (these counselors will provide drug education,
    psycho-social counseling, relapse prevention and referral to
    maintenance therapy when indicated)

3.  community outreach based at two OPC in HCMC districts 8 and Binh
    Thanh (these community based efforts will reach many IDU returning
    from government drug rehabilitation centers)

4.  support for the development of self-help groups modeled on the AA
    12-Step program to assist former residents maintain drug free lives

[e. VCT]{.underline}**:**

In this pilot program, center residents must be given the opportunity to
know their HIV status through the introduction of voluntary,
confidential counseling and testing (VCT). Peer educators will be
trained to counsel Center residents on the benefits of and how to access
voluntary, confidential counseling and testing. Participation will be
the choice of each individual resident. Counseling and testing will be
performed by outside (non-Center) staff in order to ensure
confidentiality and to reassure residents that their status will not be
shared with others in the Centers. HIV-negative residents, and those who
do not wish to know their status, will be provided with a core package
of prevention services including drug, alcohol and risk reduction
counseling, HIV prevention education, and, when ready for release,
information about the availability of support networks and substitution
therapy opportunities in their home communities. HIV-positive residents
will be offered the same preventive services as those who are HIV
negative. In addition, they will be linked to care and treatment
services, including ART, in the Center and the community.

The applicant will be responsible for ensuring availability of
accessible VCT services for residents of government drug rehabilitation
centers returning to communities in HCMC Districts 8 and Binh Thanh. In
each district, existing OPCs currently provide counseling and testing
however, the pending release of 15,000 residents from rehabilitation
centers threatens to overwhelm current capacity. This program should
build capacity to ensure testing is available for returning IDU and
their family members who may be at increased risk. Activities should
include:

1.  ensuring appropriate facilities exist for VCT services (outside of
    06 centers)

2.  training of VCT counselors

3.  provision of testing supplies and reagents

4.  referral to appropriate health care for HIV-positive individuals

[f. ARV services:]{.underline}

Although many of the Centers have clinic facilities, none of them
currently offer ART. Consequently, only those with advanced, symptomatic
disease are generally treated. HIV-positive residents will be offered
clinical staging and, if eligible, ART and treatment for OIs. Initiation
of ART within the controlled environment of the Centers will reduce the
likelihood of irregular dosing and the development of drug resistance,
and allow close monitoring of drug toxicity. It is likely that an ART
program with high coverage in a rehabilitation center will improve the
quality of life and longevity of HIV-positive residents and also
decrease the rate of HIV transmission in the center. HIV-positive
residents requiring treatment for opportunistic infections and other
AIDS- related conditions will be treated in Center clinics whenever
possible. Residents who do not meet the criteria for ART will be offered
a package of prevention services (including condoms, drug and sexual
risk reduction counseling and support services) and OI prophylaxis.

In order to ensure HIV treatment for residents returning from government
drug rehabilitation (06) centers, the incumbent organization must work
closely with ART providers and beneficiaries in Nhi Xuan Center to:

1.  ensure the residents receiving ART care will not be lost to
    follow-up on leaving the center

2.  ensure that linkages to follow up care at OPCs in HCMC districts 8
    and Binh Thanh are strong and will provide follow on treatment, ARV
    service, and adherence counseling

[g. Care and Treatment Services in the Centers]{.underline}

g.1. Discharge Planning Services:

Release dates for individual residents are determined by government
authorities and discharge planning will begin as the resident's release
date approaches. Families and peer educators, as well as community
resources, will need to be engaged in pre-discharge planning to ensure
smooth reintegration from a custodial to a community setting.

The applicant will ensure that teams of trained non-drug-using community
peer educators' smooth transition to the community by partnering with
soon-to-be-released residents and their families to provide emotional
support and prepare them for re-entry into their home communities.
Families provide the primary support network in Vietnam and, whenever
possible, will be involved in preparation for discharge from the Center.
If possible, pre-discharge community visits should be arranged, during
which the resident, family member(s) and a peer support counselor will
visit clinical and support service sites and make appointments for
follow-up medical care and support services. These services will
include:

a.  VCT

b.  access to ART and palliative care

c.  family counseling

d.  crisis support for housing and employment

e.  appropriate substitution therapies (if available)

f.  relapse prevention support

If former residents do relapse, peer educators should be available to
assist the former resident and family with risk reduction and addiction
management support.

Former residents experiencing difficulty reintegrating into the
community should receive support from specially trained peer support
staff that will act as advocates for former residents and their
families, and ensure prompt assistance with emergency housing and
employment needs, referral to relapse prevention services and additional
drug treatment and counseling if necessary.

g.2. Expected Outcomes from 06 Program:

a.  reduced HIV transmission in centers and after release

b.  commencement of ART within a controlled environment will reduce the
    likelihood of irregular dosing and the development of drug
    resistance and allow close monitoring of toxicity

c.  increased acceptance of VCT, promoting targeted prevention and care

d.  reduced recidivism rates post discharge

**C. CROSS-CUTTING ISSUES**

Applications must include activities that address all three
cross-cutting issues of gender, community capacity building, and stigma.

1\. Gender: Successful applicants will respond to the different gender
norms, inequalities and practical realities that affect women's and
men's different behaviors. Some challenges include women's need for
socioeconomic advancement so they need not turn to sex work or stay in
unhealthy relationships or changing gender norms around expectation of
masculinity, sexual behavior and use of violence.

2\. Community Capacity Building: As community leadership and ownership
is essential to develop culturally appropriate responses to these
sensitive issues, applicants need to demonstrate their ability to
partner with indigenous groups, such as respected faith-based and
community networks that have the moral authority to mobilize communities
in support of more positive behaviors. Strengthening the ability of
communities, households, schools, clinics, faith-based and
community-based organizations, which are themselves struggling to cope
with poverty and other stresses, to care for and protect the vulnerable
is a challenge on every level.

3\. Stigma: Successful applications will include communications and
training that contribute to the reduction of HIV/AIDS-related fear,
stigma and discrimination in the community, because there are important
barriers to health seeking behavior or community based discourse on
HIV/AIDS. Promising approaches may include involving PLWHA in community
prevention programs, mobilizing communities to address stigma and
discrimination, and establishing psychological and/or spiritual support
groups for promoting faithfulness for and healthy positive living for
PLWHA and their families.

**D. IMPLEMENTATION**

Proposed interventions should address specific needs with practical,
pragmatic implementation plans. Applications may consider both scale-up
of existing, successful programs and new approaches. Applicants are
encouraged to develop proposals that build on their current strengths
and comparative advantages, rather than to move into new areas where
they are untested.

Applications should ensure that community-based prevention activities
focus in high-prevalence areas with significant populations and where
HIV/AIDS care, support and treatment services are or will become
available.

Applications should include the following elements:

1.  A commitment to reach significant numbers of individuals with
    services within the first 12 months of the program.

2.  Implementation in Emergency Plan priority districts or town that are
    already benefiting from other USG-supported HIV/AIDS services

3.  Clear linkages to the overarching strategies and policies of the
    Government of Vietnam for HIV/AIDS response.

4.  Partnerships that link organizations or programs with complementary
    skills, capabilities and resources to enhance outcomes and conserve
    resources.

5.  A discussion of the proposed activity's impact on cross cutting
    themes of gender, community capacity building and stigma .

6.  Involvement of indigenous community-based organizations as
    implementing partners.

7.  06 Pilot Model: Applications must present a plan on how applicants
    will execute a seamless transition plan from existing project
    implementation to avoid any gaps in services.

**E. MONITORING AND REPORTING REQUIREMENTS**

All applications must include specific detailed plans to monitor and
document program performance. The U.S. Government will assess progress
semi-annually against required indicators (*Emergency Plan Prevention
Indicators)* in relation to the program objectives specified in this
Program Description. The U.S. Government will also assess progress in
relation to the program objectives of the RFA through brief quarterly
progress reports. Further guidance on these reports will be provided
once an award is made. Applications should state clearly how proposed
activities relate to the program objectives described in this RFA, and
how data will be tracked, collected, verified and reported. Applicants
should be prepared for revisions in required program indicators and
reporting requirements during the lifetime of the award, if the guidance
for monitoring the Emergency Plan activities is modified. Applicants
also should be committed to sharing their results with the National
Government and when requested when a country-wide monitoring system is
developed for the HIV/AIDS response.

Applicants should indicate what systems they have or will establish to
gather data and to use program data on an ongoing basis to guide
decision-making and improve program effectiveness. To the extent
feasible, systems for data collection and analysis should be designed
with an emphasis on building local capacity and long-term
institutionalization. Monitoring systems will need to be tailored to the
design of each program.

# SECTION D

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

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

##  PART I - CERTIFICATIONS AND ASSURANCES

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

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

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

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

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

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

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

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

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

2\. CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS

\(a\) Instructions for Certification

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

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

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

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

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

Alternate I

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Alternate II

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

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

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

\(B\) Have not within a three-year period preceding this proposal been
convicted of or had a civil judgment rendered against them for
commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (Federal, State or local)
transaction or contract under a public transaction; violation of Federal
or State antitrust statutes or commission of embezzlement, theft,
forgery, bribery, falsification or destruction of records, making false
statements, or receiving stolen property;

\(C\) Are not presently indicted for or otherwise criminally or civilly
charged by a governmental entity (Federal, State or local) with
commission of any of the offenses enumerated in paragraph (1)(B) of this
certification;

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

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

4\. CERTIFICATION REGARDING LOBBYING

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

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

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

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

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

Statement for Loan Guarantees and Loan Insurance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

##  PART II - OTHER STATEMENTS OF RECIPIENT

[]{#CL_URFASED2_PH000002 .anchor}

1\. AUTHORIZED INDIVIDUALS

The recipient represents that the following persons are authorized to
negotiate on its behalf with the Government and to bind the recipient in
connection with this application or grant:

Name Title Telephone No. Facsimile No.

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

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

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2\. TAXPAYER IDENTIFICATION NUMBER (TIN)

If the recipient is a U.S. organization, or a foreign organization which
has income effectively connected with the conduct of activities in the
U.S. or has an office or a place of business or a fiscal paying agent in
the U.S., please indicate the recipient\'s TIN:

TIN: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. CONTRACTOR IDENTIFICATION NUMBER - DATA UNIVERSAL NUMBERING SYSTEM
(DUNS) NUMBER

\(a\) In the space provided at the end of this provision, the recipient
should supply the Data Universal Numbering System (DUNS) number
applicable to that name and address. Recipients should take care to
report the number that identifies the recipient\'s name and address
exactly as stated in the proposal.

\(b\) The DUNS is a 9-digit number assigned by Dun and Bradstreet
Information Services. If the recipient does not have a DUNS number, and
is located within the United States, they can obtain their DUNS number
(at no charge) by calling Dun and Bradstreet (D&B) at 1-866-705-5711 or
via the internet at http://www.dnb.com. For those located outside of the
United States, D&B has Information Service offices worldwide. To obtain
the location and contact information of the local D&B office, those
contractors can also visit [http://www.dnb.com](http://www.dnb.com/).
The recipient should be prepared to provide the following information:

\(1\) Recipient\'s name.

\(2\) Recipient\'s address.

\(3\) Recipient\'s telephone number.

\(4\) Line of business.

\(5\) Chief executive officer/key manager.

\(6\) Date the organization was started.

\(7\) Number of people employed by the recipient.

\(8\) Company affiliation.

The DUNS system is distinct from the Federal Taxpayer Identification
Number (TIN) system and is required.

DUNS:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. LETTER OF CREDIT (LOC) NUMBER

If the recipient has an existing Letter of Credit (LOC) with USAID,
please indicate the LOC number:

LOC:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5\. PROCUREMENT INFORMATION

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

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

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

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

TYPE/DESCRIPTION QUANTITY ESTIMATED UNIT COST

(Generic)

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

TYPE/ QUANTITY EST. GOODS PROBABLE GOODS PROBABLE

DESCRIPTION UNIT COMPONENTS SOURCE COMPONENTS ORIGIN

(Generic) COST

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

TYPE/ QUANTITY ESTIMATED PROBABLE PROBABLE INTENDED

DESCRIPTION UNIT COST SOURCE ORIGIN USE

(Generic)

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

TYPE/ QUANTITY ESTIMATED PROBABLE NATIONALITY RATIONALE

DESCRIPTION UNIT COST SUPPLIER for

(Generic) (Non-US Only) NON-US

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

TYPE/DESCRIPTION QUANTITY ESTIMATED PROPOSED DISPOSITION

(Generic) UNIT COST

6\. PAST PERFORMANCE REFERENCES

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

7\. TYPE OF ORGANIZATION

The recipient, by checking the applicable box, represents that -

\(a\) If the recipient is a U.S. entity, it operates as \[ \] a
corporation incorporated under the laws of the State of, \[ \] an
individual, \[ \] a partnership, \[ \] a nongovernmental nonprofit
organization, \[ \] a state or loc al governmental organization, \[ \] a
private college or university, \[ \] a public college or university, \[
\] an international organization, or \[ \] a joint venture; or

\(b\) If the recipient is a non-U.S. entity, it operates as \[ \] a
corporation organized under the laws of
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ (country), \[
\] an individual, \[ \] a partnership, \[ \] a nongovernmental nonprofit
organization, \[ \] a nongovernmental educational institution, \[ \] a
governmental organization, \[ \] an international organization, or \[ \]
a joint venture.

8\. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS

The following are the estimate(s) of the cost of each separate
communications product (i.e., any printed material \[other than non-
color photocopy material\], photographic services, or video production
services) which is anticipated under the grant. Each estimate must
include all the costs associated with preparation and execution of the
product. Use a continuation page as necessary.

9\. IMPLEMENTATION OF THE UNITED STATES LEADERSHIP AGAINST HIV/AIDS,
TUBERCULOSIS AND MALARIA ACT OF 2003

ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (ASSISTANCE) (JUNE 2005)

An organization that is otherwise eligible to receive funds under this
agreement to prevent, treat, or monitor HIV/AIDS shall not be required
to endorse or utilize a multisectoral approach to combatting HIV/AIDS,
or to endorse, utilize, or

participate in a prevention method or treatment program to which the
organization has a religious or moral objection.

CONDOMS (ASSISTANCE) (JUNE 2005)

Information provided about the use of condoms as part of projects or
activities that are funded under this agreement shall be medically
accurate and shall include the public health benefits and failure rates
of such use and shall be consistent with USAID's fact sheet entitled,
"USAID: HIV/STI Prevention and Condoms. This fact sheet may be accessed
at:

http://www.usaid.gov/our_work/global_health/aids/TechAreas/prevention/condomfactsheet.html

CERTIFICATION

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

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

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

[]{#CL_URFAATT_A_PH000004 .anchor}

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/ See ADS Chapter 303, 22 CFR 208.

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

## 11. KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

(To be completed by all individuals identified as key personnel in the
applications.)

[]{#CL_URFACERT100_PH000002 .anchor}

I hereby certify that within the last ten years:

1\. I have not been convicted of a violation of, or a conspiracy to
violate, any law or regulation of the United States or any other country
concerning narcotic or psychotropic drugs or other controlled
substances.

2\. I am not and have not been an illicit trafficker in any such drug or
controlled substance.

3\. I am not and have not been a knowing assistor, abettor, conspirator,
or colluder with others in the illicit trafficking in any such drug or
substance.

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

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

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

Title/Position: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Organization:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

Date of Birth:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTICE:

1\. You are required to sign this Certification under the provisions of
22 CFR Part 140, Prohibition on Assistance to Drug Traffickers. These
regulations were issued by the Department of State and require that
certain key individuals of organizations must sign this Certification.

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

## PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

> (To be completed after award.)

[]{#CL_URFACERT200_PH000002 .anchor}

1\. I hereby certify that within the last ten years:

a\. I have not been convicted of a violation of, or a conspiracy to
violate, any law or regulation of the United States or any other country
concerning narcotic or psychotropic drugs or other controlled
substances.

b\. I am not and have not been an illicit trafficker in any such drug or
controlled substance.

c\. I am not or have not been a knowing assistor, abettor, conspirator,
or colluder with others in the illicit trafficking in any such drug or
substance.

2\. I understand that USAID may terminate my training if it is
determined that I engaged in the above conduct during the last ten years
or during my USAID training.

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

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

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

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

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

Date of Birth:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

NOTICE:

1\. You are required to sign this Certification under the provisions of
22 CFR Part 140,Prohibition on Assistance to Drug Traffickers. These
regulations were issued by the Department of State and require that
certain participants must sign this Certification.

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

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

[]{#CL_URFACERT300_PH000003 .anchor}13. CERTIFICATION REGARDING MATERIAL
SUPPORT AND RESOURCES

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

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

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

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

This certification is an express term and condition of the agreement and
any violation of it shall be grounds for unilateral termination of the
agreement by USAID prior to the end of its term.

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

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

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

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

NOTICE:

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

[]{#CL_URFASEEHD .anchor}

#   {#section-3 .unnumbered}

# SECTION E - ANNEXES

Annex A: Attachment A -- Marking under Assistance Instruments

Appendices:

1.  Methadone Pilot Program Description

2.  OGAC ABC Guidance

3.  Description of A2 Project

4.  Summary 2006 Targets for this Project

5.  Vietnam Five Year Strategy

6.  Vietnam 2005 Annual Report and 2006 Country Targets

7.  PEPFAR Vietnam 2005 Country Operational Plan by Partner

Annex A- Attachment A -- Marking under Assistance Instruments

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

\(a\) **Definitions**

> ***Branding Strategy*** means a strategy that is submitted at the
> specific request of a USAID Agreement Officer by an Apparently
> Successful Applicant after evaluation of an application for USAID
> funding, describing how the program, project, or activity is named and
> positioned, and how it is promoted and communicated to beneficiaries
> and host country citizens. It identifies all donors and explains how
> they will be acknowledged.
>
> ***Apparently Successful Applicant(s)*** means the applicant(s) for
> USAID funding recommended for an award after evaluation, but who has
> not yet been awarded a grant, cooperative agreement or other
> assistance award by the Agreement Officer. The Agreement Officer will
> request that the Apparently Successful Applicants submit a Branding
> Strategy and Marking Plan. Apparently Successful Applicant status
> confers no right and constitutes no USAID commitment to an award.
>
> ***USAID Identity (Identity)*** means the official marking for the
> Agency, comprised of the USAID logo and new brandmark, which clearly
> communicates that our assistance is from the American people. The
> USAID Identity is available on the USAID website and is provided
> without royalty, license, or
>
> other fee to recipients of USAID-funded grants or cooperative
> agreements or other assistance awards or subawards.

\(b\) **Submission.**

The Apparently Successful Applicant, upon request of the Agreement
Officer, will submit and negotiate a Branding Strategy. The Branding
Strategy will be included in and made a part of the resulting grant or
cooperative agreement. The Branding Strategy will be negotiated within
the time that the Agreement Officer specifies. Failure to submit and
negotiate a Branding Strategy will make the applicant ineligible for
award of a grant or cooperative agreement. The Apparently Successful
Applicant must include all estimated costs associated with branding and
marking USAID programs, such as plaques, stickers, banners, press events
and

materials, and the like.

\(c\) **Submission Requirements**

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

**[(1) Positioning]{.underline}**

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

[Guidelines:]{.underline} USAID prefers to have the USAID Identity
included as part of the program or project name, such as a \"title
sponsor,\" if possible and appropriate. It is acceptable to \"co-brand\"
the title with USAID's and the Apparently Successful Applicant's
identities. For example: \"The USAID and \[Apparently Successful
Applicant\] Health Center.\"

If it would be inappropriate or is not possible to \"brand\" the project
this way, such as when rehabilitating a structure that already exists or
if there are multiple donors, please explain and indicate how you intend
to showcase USAID\'s involvement in publicizing the program or project*.
For example: School #123, rehabilitated by USAID and \[Apparently
Successful Applicant\]/ \[other donors\].* Note: the Agency prefers
\"made possible by (or with) the generous support of the American
People\" next to the USAID Identity in acknowledging our contribution,
instead of the phrase \"funded by.\" USAID prefers local language
translations.

*Will a program logo be developed and used consistently to identify this
program? If yes, please attach a copy of the proposed program logo.*

Note: USAID prefers to fund projects that do NOT have a separate logo or
identity that competes with the USAID Identity.

**[(2) Program Communications and Publicity]{.underline}**

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

[Guidelines:]{.underline} Please include direct beneficiaries and any
special target segments or influencers. *For Example: Primary audience:
schoolgirls age 8-12, Secondary audience: teachers and
parents--specifically mothers.*

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

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

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

[Guidelines:]{.underline} *For example: \"Be tested for HIV-AIDS\" or
\"Have your child inoculated.\"* Please indicate if you also plan to
incorporate USAID's primary message -- this aid is \"from the American
people\" -- into the narrative of program materials. This is optional;
however, marking with the USAID Identity is required.

*Will the recipient announce and promote publicly this program or
project to host country citizens? If yes, what press and promotional
activities are planned?*

[Guidelines:]{.underline} These may include media releases, press
conferences, public events, and so forth.

Note: incorporating the message, "USAID from the American People", and
the USAID Identity is required.

*Please provide any additional ideas about how to increase awareness
that the American people support this project or program.*

[Guidelines:]{.underline} One of our goals is to ensure that both
beneficiaries and host-country citizens know that the aid the Agency is
providing is \"from the American people.\" Please provide any initial
ideas on how to further this goal.

**[(3) Acknowledgements]{.underline}**

*Will there be any direct involvement from a host-country government
ministry? If yes, please indicate which one or ones. Will the recipient
acknowledge the ministry as an additional co-sponsor*?

Note: it is perfectly acceptable and often encouraged for USAID to
\"co-brand\" programs with government ministries.

*Please indicate if there are any other groups whose logo or identity
the recipient will use on program materials and related communications.*

**[Guidelines:]{.underline}** Please indicate if they are also a donor
or why they will be visibly acknowledged, and if they will receive the
same prominence as USAID.

\(d\) **Award Criteria**. The Agreement Officer will review the Branding
Strategy for adequacy, ensuring that it contains the required
information on naming and positioning the USAID-funded program, project,
or activity, and promoting and communicating it to cooperating country
beneficiaries and citizens. The Agreement Officer also will evaluate
this information to ensure that it is consistent with the stated
objectives of the award; with the Apparently Successful Applicant's cost
data submissions; with the Apparently Successful Applicant's project,
activity, or program performance plan; and with the regulatory
requirements set out in 22 CFR 226.91. The Agreement Officer may obtain
advice and from technical experts while performing the evaluation.

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

(a)**Definitions**

***Marking Plan*** means a plan that the Apparently Successful Applicant
submits at the specific request of a USAID Agreement Officer after
evaluation of an application for USAID funding, detailing the public
communications, commodities, and program materials and other items that
will visibly bear the USAID Identity. Recipients may request approval of
Presumptive Exceptions to marking requirements in the Marking Plan.

***Apparently Successful Applicant(s)*** means the applicant(s) for
USAID funding recommended for an award after evaluation, but who has not
yet been awarded a grant, cooperative agreement or other assistance
award by the Agreement Officer. The Agreement Officer will request that
Apparently Successful Applicants submit a Branding Strategy and Marking
Plan. Apparently Successful Applicant status confers no right and
constitutes no USAID commitment to an award, which the Agreement

Officer must still obligate.

***USAID Identity (Identity)*** means the official marking for the
Agency, comprised of the USAID logo and new brandmark, which clearly
communicates that our assistance is from the American people. The USAID
Identity is available on the USAID website and USAID provides it without
royalty, license, or other fee to recipients of USAIDfunded grants,
cooperative agreements, or other assistance awards or subawards.

A ***Presumptive Exception*** exempts the applicant from the general
marking requirements for a *particular* USAID-funded public
communication, commodity, program material or other deliverable, or a
*category* of USAID-funded public communications, commodities, program
materials or other deliverables that would otherwise be required to
visibly bear the USAID Identity. The Presumptive Exceptions are:
Presumptive Exception (i). USAID marking requirements may not apply if
they would

compromise the intrinsic independence or neutrality of a program or
materials where independence or neutrality is an inherent aspect of the
program and materials, such as election monitoring or ballots, and voter
information literature; political party support or public policy
advocacy or reform; independent media, such as television and radio
broadcasts, newspaper articles and editorials; and public service
announcements or public opinion polls and surveys (22 C.F.R.
226.91(h)(1)).

[Presumptive Exception (ii)]{.underline}. USAID marking requirements may
not apply if they would diminish the credibility of audits, reports,
analyses, studies, or policy recommendations whose data or findings must
be seen as independent (22 C.F.R. 226.91(h)(2)).

[Presumptive Exception (iii)]{.underline}. USAID marking requirements
may not apply if they would undercut host-country government "ownership"
of constitutions, laws, regulations, policies, studies, assessments,
reports, publications, surveys or audits, public service announcements,
or other communications better positioned as "by" or "from" a
cooperating country ministry or government official (22 C.F.R.
226.91(h)(3)).

[Presumptive Exception (iv)]{.underline}. USAID marking requirements may
not apply if they would impair the functionality of an item, such as
sterilized equipment or spare parts (22 C.F.R. 226.91(h)(4)).

[Presumptive Exception (v)]{.underline}. USAID marking requirements may
not apply if they would incur substantial costs or be impractical, such
as items too small or otherwise unsuited for individual marking, such as
food in bulk (22 C.F.R. 226.91(h)(5)).

[Presumptive Exception (vi)]{.underline}. USAID marking requirements may
not apply if they would local cultural or social norms, or be considered
inappropriate on such items as condoms, toilets, bed pans, or similar
commodities (22 C.F.R. 226.91(h)(6)).

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

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

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

The Marking Plan will include the following:

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

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

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

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

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

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

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

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

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

**(a) Definitions**

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

**45 days** after the effective date of this provision. The plan will
include:

> \(i\) A description of the program deliverables specified in paragraph
> (b) of this provision that the recipient will produce as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity.
>
> \(ii\) the type of marking and what materials the applicant uses to
> mark the program deliverables with the USAID Identity,
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking,
>
> \(3\) The recipient may request program deliverables not be marked
> with the USAID Identity by identifying the program deliverables and
> providing a rationale for not marking these program deliverables.
> Program deliverables may be exempted from USAID marking requirements
> when:
>
> \(i\) USAID marking requirements would compromise the intrinsic
> independence or neutrality of a program or materials where
> independence or neutrality is an inherent aspect of the program and
> materials;
>
> \(ii\) USAID marking requirements would diminish the credibility of
> audits, reports, analyses, studies, or policy recommendations whose
> data or findings must be seen as independent;
>
> \(iii\) USAID marking requirements would undercut host-country
> government "ownership" of constitutions, laws, regulations, policies,
> studies, assessments, reports, publications, surveys or audits, public
> service announcements, or other communications better positioned as
> "by" or "from" a cooperating country ministry or government official;

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

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

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

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

> \(4\) The proposed plan for implementing the requirements of this
> provision, including any proposed exemptions, will be negotiated
> within the time specified by the Agreement Officer after receipt of
> the proposed plan. Failure to negotiate an approved plan with the time
> specified by the Agreement Officer may be considered as noncompliance
> with the requirements is provision.

**(d) Waivers.**

> \(1\) The recipient may request a waiver of the Marking Plan or of the
> marking requirements of this provision, in whole or in part, for each
> program, project, activity, public communication or commodity, or, in
> exceptional circumstances, for a region or country, when USAID
> required marking would pose compelling political, safety, or security
> concerns, or when marking would have an adverse impact in the
> cooperating country. The recipient will submit the request through the
> Cognizant Technical Officer. The Principal Officer is responsible for
> approvals or disapprovals of waiver requests.
>
> \(2\) The request will describe the compelling political, safety,
> security concerns, or adverse impact that require a waiver, detail the
> circumstances and rationale for the waiver, detail the specific
> requirements to be waived, the specific portion of the Marking Plan to
> be waived, or specific marking to be waived, and include a description
> of how program materials will be marked (if at all) if the USAID
> Identity is removed. The request should also provide a rationale for
> any use of recipient's own identity/logo or that of a third party on
> materials that will be subject to the waiver.
>
> \(3\) Approved waivers are not limited in duration but are subject to
> Principal Officer review at any time, due to changed circumstances.
>
> \(4\) Approved waivers "flow down" to recipients of 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 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.

[^1]: Prevalence data based on the Ministry of Health 2005 Report on
    HIV/AIDS