**Issuance Date: January 30, 2009**

**Deadline for Questions: March 12, 2009**

**Closing Time: February 06, 2009**

**Subject: Request for Applications RFA Number 617-09-001**

> **Securing Uganda's Right to Essential Medicine (SURE)**

Dear Prospective Applicants:

The United States Agency for International Development (USAID) Mission
at Kampala, Uganda intends to enter into a cooperative agreement to
strengthen the national supply chain system for health commodities to
ensure access of the population of Uganda to essential medicines and
health supplies The recipient will be responsible for working
collaboratively with the Government of Uganda and other key partners to
strengthen the Government of Uganda's capacity and performance in
managing the key components of the supply chain including financing of
health commodities, forecasting and quantification of program needs,
procurement, quality assurance, storage and distribution to end user
health facilities, and logistics information management systems at all
levels of the supply chain.

To this end USAID is seeking applications from eligible U.S and Non-U.S
organizations and institutions, in the form of partnerships or consortia
that include Ugandan organizations, interested in providing the services
described in Section A, entitled "Program" Description of this RFA.

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

This is a full and open competition, under which any type of
organizations, large or small commercial (for profit) firms,
faith-based, and non-profit organizations in partnerships or consortia,
from geographic code 935, are eligible to compete. In accordance with
the Federal Grants and Cooperative Agreement Act, USAID encourages
competition in order to identify and fund the best possible applications
to achieve program objectives in the program description. USAID strongly
discourages local Non-Governmental Organizations (NGOs) from exclusive
relationships with prime applicants in the application process, i.e.,
small NGOs may pair with one or more prime partners if they wish, and
appear in several applications. USAID encourages applications from
potential new partners.

Subject to the availability of funds, USAID intends to award one
cooperative agreement and provide approximately \$40,000,000 in total
USAID funding to be allocated over a five (5) year period.

A cost share minimum rangeof **3-5% of USAID-funded amount** is required
for this program

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

The resulting award will be administered in accordance with OMB
Circulars, 22 CFR 226, and USAID's Automated Directives Systems (ADS)
Chapter 303, "Grants and Cooperative Agreements with Non-Governmental
Organizations". These policies and regulations can be viewed or
downloaded from USAID's Web Site
[http://www.usaid.gov/pubs/ads/]{.underline}

USAID will be substantially involved in the performance and
implementation of the award, and the specific nature of our substantial
involvement is specified herein in Section B, Sub-section D.

This RFA consists of this cover letter and the following:

1\. Section A -- Program Description;

2\. Section B -- Award and Administration Information;

3\. Section C -- Grant Application and Submission Instructions;

4\. Section D - Evaluation Criteria and Selection Process;

5\. Section E -- Required Certifications, Assurances, and Other
Statements of Applicant/Grantee.

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

[SUBMISSION OF APPLICATIONS:]{.underline}

If your organization decides to submit an application(s), it must be
received by the closing date and time indicated at the top of this cover
letter, i.e., on or before 4:00 p.m//1600 hours March 12, 2009 Uganda
time.

**[Electronic submission of applications is required.]{.underline}**
Please submit your applications by email, up to five (5) attachments
(2MB limit) per email compatible with MS WORD, PDF, and Excel in a MS
Windows environment, to all of the email addresses mentioned hereafter.
Receipt by any one of these two addresses before the closing date and
time will constitute timely receipt of the application. Receipt Time is
when the application is received by the USAID/W Internet Server.

The addresses for the receipt of applications are:

1)  Josephine Kitongo, <jkitongo@usaid.gov>. Primary Contact

2)  Godfrey Kyagaba at <gkyagaba@usaid.gov>. Secondary Contact

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

Hard copies of the applications are NOT required. Telegraphic or fax
applications are NOT authorized for this RFA and will not be accepted.

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

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

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

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

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

Any questions concerning this RFA should be submitted in writing to
Josephine Kitongo at <jkitongo@usaid.gov> and Sam Nagwere at
<snagwer@usaid.gov> not later than February 6, 2009. Answers to
questions and any additional information regarding this RFA will be
furnished through an amendment to this RFA posted on grants.gov.

Thank you for your interest in USAID programs.

Sincerely,

//signed//

Bruce McFarland

Regional Agreement Officer

**Table of Contents**

**SECTION Page**

LIST OF ACRYNOMS 5

A -- PROGRAM DESCRIPTION 7

B -- AWARD AND ADMINISTRATION INFORMATION 19

C -- GRANT APPLICATION AND SUBMISSION INSTRUCTIONS 22

> **I. General Application Preparation Guidelines 22**
>
> **II. Technical Application Guidelines 23**
>
> **III. Cost Application Format 31**

D -- EVALUATION CRITERIA AND SELECTION PROCESS 36

E -- REQUIRED USAID CERTIFICATIONS, ASSURANCES AND OTHER

STATEMENTS OF RECIPIENT 39

**PART I. CERTIFICATION AND ASSURANCES 39**

**PART II. OTHER STATEMENTS OF RECIPIENT 52**

**PART III. STANDARD PROVISIONS AND OTHER REQUIREMENTS 56**

**ATTACHMENTS 60**

**LIST OF ACRONYMS**

ACP AIDS Control Program

ACTs Artemesinin-based Combination Therapy

AHSPR Annual Health Sector Performance Report

ARVs Antiretroviral drugs

CPHL Central Public Health Laboratory

CT Counseling and Testing

EMHS Essential medicines and health supplies

GFATM Global Fund for HIV/AIDS, Tuberculosis and Malaria

GOU Government of Uganda

ITN Insecticide-Treated Nets

JMS Joint Medical Store

MOH Ministry of Health

NDA National Drug Authority

NMCP National Malaria Control Program

NMS National Medical Stores

NTLP National Tuberculosis and Leprosy Program

PEAP Poverty Eradication Action Plan

PMI President's Malaria Initiative

PMTCT Prevention of mother to child transmission

PPDA public procurement and disposal authority

UNEPI Uganda National Expanded Program of Immunization

UNMHCP Uganda National Minimum Health Care Package

# 

**SECTION A -- PROGRAM DESCRIPTION**

**A.1 Summary**

The U.S. Agency for International Development/Uganda (USAID/Uganda) is
issuing this Request for Applications (RFA) for one Cooperative
Agreement to strengthen the national supply chain system for health
commodities to ensure access of the population of Uganda to essential
medicines and health supplies. The recipient will be responsible for
working collaboratively with the Government of Uganda and other key
partners to strengthen the Government of Uganda's capacity and
performance in managing the key components of the supply chain including
financing of health commodities, forecasting and quantification of
program needs, procurement, quality assurance, storage and distribution
to end user health facilities, and logistics information management
systems at all levels of the supply chain.

**The overall goal of the program is to ensure that the population of
Uganda has access to adequate quantities of good quality essential
medicines and health supplies by strengthening the national supply chain
for essential health commodities.**

**Objectives**:

1.  Improved policy, legal and regulatory framework to provide for
    longer-term stability and sustainability of public sector health
    commodities (commodity security)

2.  Improved capacity and performance of central GOU entities in their
    supply chain management roles and responsibilities

3.  Improved capacity and performance of target Districts and USAID
    Implementing Partners in their supply chain management roles and
    responsibilities

USAID anticipates making a five-year cooperative agreement award for up
to \$40,000,000 pending the availability of funds. A total of
\$2,571,000 has been programmed for the first year of the project.
Additional activities and funding are expected in year two and later
years of the project to scale up and sustain activities. Project
continuation and activities are subject to availability of funding.

Funding for this activity for Year 1 will be through President's
Emergency Program for AIDS Relief (PEPFAR), President's Malaria
Initiative (PMI), Child Survival and Health (CSH), and Population (POP)
resources. A "buy-in" mechanism is being considered to be able to
receive additional funding from other donors.

**A.2 Introduction**

The Health Sector Strategic Plan (HSSP) provides the framework to guide
health development interventions of all parties at all levels of the
national health system, including investments and support provided by
donors. The overall priority of the current HSSP II (2005/06-2009/10) is
"t*o fulfil the health sector's contribution to the Poverty Eradication
Action Plan (PEAP) and Millennium Development goals (MDG) of reducing
maternal and child mortality; to reducing fertility; malnutrition; the
burden of HIV/AIDS, tuberculosis and malaria; and to reducing
disparities in health outcomes among the lowest and highest income
quintiles by at least 10 percent over the HSSP II period".*

The HSSP II builds upon the lessons learned in HSSP I (2000-2004) one of
which was that the coherent and balanced planning and sequencing of
Health System Inputs, including essential medicines and health supplies,
must be an underlying principle for implementing the strategic plan. The
HSSP II component of Essential Medicines and Health Supplies (EMHS**)**
takes a comprehensive approach including drug policy development,
coordinated selection and quantification of needs, procurement, storage
and distribution, rational use, cost recovery, quality control and
regulation to reach the goal of the uninterrupted availability of
adequate quantities of good quality EMHS. The objectives of EMHS
component of the HSSP II are to ensure:

1.  Implementation of the National Drug Policy through an effective
    pharmaceutical management structure in the MoH headquarters and
    within the districts

2.  Constant availability and accessibility of key items required for
    the provision of priority core UNMHCP interventions at each level of
    the health system through a comprehensive, integrated and harmonized
    EMHS procurement, financing and logistics system (including any
    third party contributions)

3.  Required quality and safety of EMHS (including herbal medicines) and
    standards of pharmaceutical practice by strengthening the national
    pharmaceutical regulatory system

4.  And to promote the appropriate use of EMHS by health professionals,
    patients and the general public through the implementation of
    effective interventions including provision of appropriate
    information on medicines to the community.

This project will focus support on achieving HSSP II Objective 2. The
key GOU and other central structures that are currently engaged in
achieving these objectives include the technical programs and Pharmacy
Division of the MOH, Local governments (District Health Offices and
lower levels), National Medical Stores (parastatals), National Drug
Authority (NDA), Joint Medical Stores (private-not-for-profit), and
Ministry of Finance, Planning and Economic Development (MOFPED).
Development partners (donors) and Global Health Initiatives such as
Global Alliance for Vaccines and Immunization (GAVI), Global Fund for
HIV/AIDS, Tuberculosis and Malaria (GFATM), and PEPFAR play a major role
in contributing funds, resources and health commodities to the health
sector.

**Background**

Progress has been made under the HSSP I and II in strengthening the
national supply chain for health commodities and harmonize procurement
and financing including: the establishment of a facility-ordering system
and Essential Drugs Account (EDA) to service credit lines for essential
medicines and laboratory supplies at National Medical Stores (NMS) and
Joint Medical Stores (JMS); development of an integrated Rolling
Three-Year Medicines and Health Supplies Procurement Plan to coordinate
GOU and donor inputs; establishment of national logistics management
systems for ARVs, anti-TB drugs, PMTCT and HIV test kits, and laboratory
reagents and supplies; training of thousands of health staff on these
systems and basic logistics management and strengthening support
supervision; creation of Medicines and Therapeutic Committees (MTC) in
districts and hospitals; upgrading the Pharmacy Section to a Division;
and infrastructure improvements at NMS (new warehouse) and JMS (new
warehouse management information system).

The overall funding situation for EMHS has not however improved. The
percentage of the total GOU budget allocated to health (9.6%) is
substantially below the HSSP II target (13.2%) and Abuja target (15%).
Overall expenditure for EMHS was \$0.72 per capita in FY2006/07,
one-third of the estimated \$2.40 that is required for basic medicines
to manage the commonest illnesses of the UNMHCP (excluding Coartem,
ITNs, and ARVs). In FY 2007/08 GOU funding available for EMHS was 0.86
per capita, less than 15 percent of the \$5.80 per capita required for
the UNMHCP in its third year. EMHS expenditure including funding from
Global Initatives for Coartem, ART and ITNs was \$4.06 against a planned
\$6.9 per capita in FY 2006/07.

Government funding for EMHS in districts (including hospital,
private-not-for-profit and primary health care units), channelled
through the Primary Health Care non-wage (PHC) grants and Credit Line
(CL) budgets, has also declined over the past three years. The
utilization of these funds by districts and hospitals has also declined
as have sales at NMS and JMS. Overall, approximately one-third of
available funds for EMHS are either not spent on EMHS or are not spent
at NMS and/or JMS as instructed by MOH guidelines (AHSPR, 2008).
Although adequate information is lacking, the concern is that districts
are procuring more EMHS in the private sector where quality may be
substandard. Declining sales at NMS, which is the primary supplier
authorized to fulfill CL orders for GOU facilities, negatively affects
its ability to procure EMHS as per its mandate. The causes of the
decline need to be identified and corrective actions taken.

Low per capita funding for EMHS and inefficient use of available
resources impacts on the availability of medicines at end-user health
facilities. Data from the 2007 Uganda Service Provision Assessment
Survey showed that, on the day of the survey visit, 20 to 25 percent of
facilities did not have the essential medicines and supplies to provide
key services (MOH Uganda and Macro International Inc., 2008).

One of the HSSP II output targets is to increase the percentage of
health facilities without any stock outs of six indicator products over
a six month period[^1] Data collected as part of the Annual Health
Sector Performance Report from six sampled districts showed in FY
2007/08 only 28 percent of the 72 health units surveyed had continuous
availability of all six indicator products, a decline from 35 percent in
the previous year.

The table below shows the performance of the two EMHS indicators against
the HSSP II FY 2009/10 targets (80%) for the stock outs and EMHS budget
utilization. The targets will be unachievable unless major interventions
are undertaken to address the multiple underlying causes of supply chain
failures.

Achievements against HSSP II Targets, FY 2004-2007/08

+-------------------------+----------+----------+----------+---------+
| HSSP II indicators      | Baseline | FY 06-07 | FY 07/08 | HSSP II |
|                         |          |          |          | target  |
|                         | FY 04-05 |          |          | FY      |
|                         |          |          |          | 2009/10 |
+-------------------------+----------+----------+----------+---------+
| Percentage of health    | 35%      | 35%      | 28%      | 80%     |
| units without monthly   |          |          |          |         |
| stock out of any        |          |          |          |         |
| indicator medicines     |          |          |          |         |
+-------------------------+----------+----------+----------+---------+
| Percentage of           | 51%      | 60%      | 58%      | 80%     |
| indicative cash budget  |          |          |          |         |
| for medicines spent at  |          | (Target  | (Target  |         |
| NMS and JMS by          |          | 80%)     | 80%)     |         |
| districts               |          |          |          |         |
+-------------------------+----------+----------+----------+---------+

Source: Annual Health Sector Performance Report FY2007/08, Oct. 2008

Although Global Initiatives (GI) have vastly increased the quantities of
urgently needed health commodities they have also strained the fragile
supply chain related systems within the country. The GI and some
development partners maintain separate procurement mechanisms but rely
on NMS for storage and distribution, creating an additional burden on
their infrastructure, the costs of which may only partially be
recovered. GOU procurement processes are long and cumbersome, made
longer by lack of adequately trained personnel and regulations that do
not adequately address the special nature of and requirements for
pharmaceutical procurement. Payment delays by the MOH to NMS reduces the
latter's working capital and ability to procure EMHS.

Without adequate funding of its own, the GOU relies on resources from
GFATM and other external sources where because of political, financial
or other issues, funding and supplies are not always forthcoming as
planned. The MOH has yet to fully implement its Three-Year Rolling
Procurement Plan for essential health commodities which would help to
prevent gaps and reduce the importation of unnecessary or inappropriate
products and make procurement and financial planning more predictable.
District health authorities and facility personnel also contribute to
stock outs in health facilities because of lack of proper planning and
coordination, lack of vehicles or funds to transport supplies, lack of
sufficient staff to manage commodities, and the inability to properly
quantify needs and place timely appropriate orders.

Stock outs of critical medicines and other health commodities continue
to occur frequently at the national level and health facilities with
adverse affects on service delivery and consumer confidence. Leakage to
the private sector is also a major well-publicized problem, with a
significant proportion of commodities being taken out of the system at
some point along the supply chain from central level to health
facilities. Despite some success in improving supply chain management
over the past 8-10 years, there are still many improvements needed. Some
of the problems can be resolved in the short-term such as improved
communications between the parties and better storage infrastructure and
inventory management at NMS. Other improvements will take longer, such
as removing the regulatory and financial obstacles that currently impede
the performance of the NMS.

**Relationship to Other Programs and Partners**

**A.2.1 Government of Uganda**

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

All USAID health projects contribute to the GOU's Health Sector
Strategic Plan (HSSP II) and the National Development Plan (NDP). Both
of these are currently being re-drafted, but the SURE partner should be
prepared to contribute to the goals and objectives of these plans in
areas relevant to supply chain of essential medicines through project
implementation and technical assistance to the government as
appropriate.

**A.2.2 USAID Uganda**

This project fits under USAID Uganda's Strategic Objective 8 of
"Improved Human Capacity." This program will focus on the attainment of
all three Intermediate Results under this strategic objective Under
Immediate Results 8.1, the program will especially contribute to the
attainment of IR 8.1.2 "Increased Availability and Access to Social
Services". The program will contribute to attainment of IR
8.2:"Increased Capacity to Sustain Social Sector Services" and under IR
8.3, to the attainment of IR 8.3.2: "Effective Sectoral Policies
Developed". As new strategies for the Mission are designed, this project
will be expected to contribute to appropriate results.

**A.2.3 USAID Supply Chain Strengthening Programs**

Since 2000, USAID has been one of the major development partners
providing technical assistance to strengthen Uganda's supply chain
system and improving access to essential health commodities. USAID
assistance over the last eight years has focused on providing technical
assistance to central MOH programs in designing/revising logistics
management systems, forecasting and quantification commodity needs,
establishing logistics management information systems (LMIS) to provide
data on consumption and stock levels at all levels, and training of
district and health facility personnel in basic skills including
inventory management, quantification of needs, placing orders, and
reporting. The programs receiving technical assistance include the AIDS
Control Program (ACP), National Malaria Control Program (NMCP), Pharmacy
Division, Reproductive Health Division, Central Public Health Laboratory
(CPHL), National Tuberculosis and Leprosy Program (NTLP), and the Uganda
National Expanded Program of Immunization (UNEPI). Selected PEPFAR
partners have received technical assistance in logistics management and
procurement services for antiretroviral drugs. Support, primarily
training and infrastructure inputs, have been provided to the NMS, NDA
and JMS to improve their operations. Activities in this project are
expected to build upon this work by employing lessons learned and best
practices.

**A.2.4 President's Emergency Plan for HIV/AIDS Relief (PEPFAR),
President's Malaria Initiative (PMI), and other USAID-supported Health
Programs**

Uganda is a focus country for both PEPFAR and PMI to scale-up access to
HIV/AIDS prevention, care and treatment and malaria prevention and
treatment interventions respectively. In FY 2008 the United States
Government (USG) spent \$36 million alone on procuring antiretroviral
drugs (ARVs) as well as procuring HIV test kits, drugs for treatment of
opportunistic infections, and laboratory reagents and other supplies to
achieve unprecedented access to HIV/AIDS services. An additional \$1.2
million worth of condoms were procured. In this same period
approximately \$2.7 million of PMI funds were used to procure
insecticide-treated nets and artemesinin-based combination therapy
(ACTs) for malaria prevention. In subsequent years, USAID/Uganda expects
to continue to receive similar or even higher levels of funding to
achieve PEPFAR and PMI goals. USAID is soliciting and managing this
activity on behalf of USG agencies supporting HIV/AIDS elements of
supply chain management, including the Centers for Disease Control and
Prevention (CDC) and Walter Reed.

In FY 2008, support in commodity procurement for other USAID health
programs in Uganda included \$4.2 million for contraceptive procurement
for the public and not-for-profit sector, \$70,000 for avian flu
commodities, and \$815,000 for medicines for Neglected Tropical
Diseases.

The ultimate success of these initiatives and other USAID and
USG-supported health programs depends upon on having an uninterrupted
supply of health commodities. This activity will directly support the
implementation of the GOU's and USAID's joint commitment to ensure the
uninterrupted availability of adequate quantities of good quality
essential medicines and health supplies to provide the UNMHCP for the
population of Uganda. USAID/Uganda seeks implementing partners to
support the strengthening of the national supply chain and improved
availability of essential medicines and health supplies within public
sector health facilities. Under the guidance of the Health Sector
Strategic Plan II, this program will work with central government, local
government health delivery systems, the private sector where
appropriate, and development partners to achieve this goal.

**A.2.5 Other Donor Partners**

The World Bank recently approved a \$USD 100 million loan to Uganda for
infrastructure, but which includes inputs into human resources and
strengthening the supply chain. While these activities have not yet
begun, the SURE partner is expected to work in collaboration with this
activity, and at every opportunity, leverage funding from this.

DANIDA, formerly the lead donor in strengthening the supply chain in
Uganda, is leaving the health sector in 2010. USAID, through the SURE
project, is the new lead donor in this area, but other health donors
also have inputs, such as the Swedish SIDA. The SURE partner is expected
to remain informed about other donor activities and collaborate where
appropriate.

**A.3 Results, Relative Effort, Illustrative Activities and Expected
Results**

Achieving the results of this cooperative agreement are contingent upon
collaboration with and commitment from the GOU (including MOH, NMS and
MOFPED) to address key areas in financing, governance, policy and
procurement, and others. GOU ownership and reforms are essential for the
progress of this activity and longer-term commodity security.

As such, we anticipate a Memorandum of Understanding (MOU) between
USAID, GOU entities and the SURE implementing partner to clarify roles,
inputs and commitments to facilitate achievement of SURE objectives.

In anticipation of this, the applicant should propose both a "primary"
strategy for this project, as well as an "alternative" program with
alternative strategic approaches and partners in the event that the GOU
does not meet the obligations/benchmarks as stated in the MOU. The
alternative program (or elements of a program) would be executable
independent of the GOU. If the GOU reforms or actions are achieved at a
later point in time, the partner could return back to the 'primary'
program (or elements of that program). The applicant should indicate
examples of what would trigger these alternative approaches (i.e. event
and/or timeline).

The MOU will include key GOU obligations, which the applicant should
propose in their application. Illustrative examples of what could be
included are:

-   Increased financing for procurement of essential medicines and
    health supplies specifically for Credit Line and PHC grants

-   Improved timeliness of disbursement of district Credit Line and PHC
    grants

-   NMS statute and MOU with MOH revised to establish greater/full
    independence of NMS

-   Direct and/or advance financing to NMS for procurement of Credit
    Line products

  ----------------------- ----------------------- -----------------------
  **Activity Objective:                           
  Strengthen Uganda                               
  Supply Chain for                                
  Essential Health                                
  Commodities**                                   

  **[Result               **[Result               **[Result
  1]{.underline}:         2]{.underline}:         3]{.underline}:
  Improved policy, legal  Improved capacity and   Improved capacity and
  and regulatory          performance of central  performance of target
  framework to provide    GOU entities in their   Districts and USAID
  for longer-term         supply chain management Implementing Partners
  stability and           roles and               in their supply chain
  sustainability of       responsibilities**      management roles and
  public sector health                            responsibilities**
  commodities**                                   

  1.1 GOU demonstrates    2.1 Improved capacity   3.1 Improved capacity
  commitment to improving of National Medical     of target districts and
  financing of health     Stores to procure,      health facilities in
  commodities             store and distribute    planning, distributing,
                          national supplies of    managing and monitoring
                          EMHS                    EMHS

  1.2 Legal, regulatory   2.2 Improved capacity   3.2 Improved capacity
  and policy framework    of MOH program managers of selected
  revised to promote      and technical staff to  Implementing Partners
  cost-effective,         plan and monitor        in quantifying,
  efficient, equitable,   national supplies of    managing and monitoring
  appropriate use of      EMHS                    EMHS
  available funds and                             
  health commodities                              

                          2.3 Supply chain system 3.3 Overall access to
                          cost-effectiveness and  EMHS improved through
                          efficiency improved     innovative
                          through innovative      district-level
                          approaches              interventions
  ----------------------- ----------------------- -----------------------

In achieving the Results, the recipient shall work closely with the MOH,
NMS, NDA, PPDA, districts, private sector, and other in-country
implementing partners and donors working to improve the supply chain,
including new partners who can effectuate positive change in the system.
The work shall be planned and implemented in accordance with Uganda's
strategies and priorities for HSSP II and other relevant documents (HSSP
III and NDP and PEAP).

If the alternative program alters the expected results, these should be
noted, and new or revised results suggested for the alternative program
or elements of this program. The activity objective will not change.

**Result 1: Improved policy, legal and regulatory framework to provide
for longer-term stability and sustainability of public sector health
commodities** **(20% Level of Effort)**

Under this objective, the recipient will work with the MOH, NMS, NDA,
MOFPED, and Public Procurement and Disposal Authority (PPDA) in
determining the best approaches and revising policies, regulations,
guidelines and mechanisms to improve financing for essential health
commodities and provide a solid framework for a sustainable, well
regulated, transparent, cost-effective, and efficient national supply
chain.

**1.1 GOU demonstrates commitment to improving financing of health
commodities**

Under this objective, the recipient is expected to work with the MOH,
MOFPED, and NMS to revise and implement policies, regulations and
financing mechanisms to increase level of funding available for
procurement and management of EMHS. For example, NMS requires sufficient
capital to enable it to implement annual procurement plans on schedule
at competitive prices from quality suppliers. At the district level, to
improve planning and compliance with existing regulations on EMHS
procurement, the recipient should work with the MOH to update funding
allocation formulas and develop solutions to reduce delays in MOH and
MOFPED disbursements for EMHS. For longer-term stability, the recipient
is expected to work with the GOU, donors and other stakeholders to
develop and implement strategies to narrow the existing gap in funding
for EMHS for provision of the UNMHCP.

**Illustrative Activities:**

-   Review of DANIDA experience and study of feasibility of establishing
    a sustainable, accountable revolving Capital Working Fund for NMS

-   Work to update and streamline system and formulas for financing
    district Credit Line and Primary Health Care budgets

-   Analysis of applicability of different models for financing supply
    chain of public sector commodities in Uganda

**Expected Results:**

-   Increased capacity of NMS to fulfill procurement plan for Credit
    Line products and other key commodities on schedule

-   Increased capacity of districts to order or procure EMHS on timely
    basis

-   Modifications, as appropriate, to structure/system of financing
    public sector commodities agreed upon by GOU and other stakeholders

**1.2 Legal, regulatory and policy framework revised to promote
cost-effective, efficient, equitable, appropriate use of available funds
and health commodities**

There are numerous legal, regulatory and policies issues that have been
cited in country supply chain related assessments that lead to
inefficiencies and waste. One is the lack of clear roles and
responsibilities of the NMS, MOH and NDA with respect to governance,
product selection and procurement of health commodities which has cause
problems with communication and coordination. The recipient will work
with these organizations to revise as needed the memoranda of
understanding, statutes and policies governing their relations and
responsibilities and develop mechanisms to monitor performance of each
in fulfilling financial and other commitments. Another is the
inflexibility of PPDA regulations with respect to the special needs for
procurement of health commodities, e.g. the national HIV test algorithm
that specifies specific products that are required. Improving public
confidence in NMS procurement practices will facilitate changes in
relevant policies regulations and laws. As part of this the recipient
will work with NMS to review and revise procurement practices and
systems to maximize appropriate use of resources to ensure that quality
products are procured, including pre-qualification systems for supplier
selection and information on supplier performance. Finally, compliance
with regulations regarding the district use of public funds for EMHS
must also be strengthened to increase the appropriate utilization of
these resources and reduce procurements from unauthorized suppliers that
may provide poor quality products.

**Illustrative Activities:**

-   Develop and implement monitoring mechanisms to ensure NMS compliance
    with good procurement practices and share information on performance

-   Work with MOH and PPDA to amend Public Procurement and Disposal Act
    to accommodate special considerations of procuring public sector
    health commodities by NMS and MOH while maintaining compliance to
    competition and transparency etc.

**Expected Results:**

-   Increased transparency, cost-effectiveness and efficiency of central
    and district-level EMHS procurements

-   Wastage of EMHS (through expiration, inappropriate product
    selection, poor quality) and stock outs of key commodities at
    central level reduced

-   Governance, roles and responsibilities of MOH,NMS and NDA clarified
    and communication and collaboration improved

**[Result 2]{.underline}: Improved capacity and performance of central
GOU entities in their supply chain management roles and responsibilities
(40% Level of Effort)**

Under this objective, the recipient will work with the MOH programs,
NMS, as well as NDA and other GOU entities as appropriate, to develop
and implement a package of interventions for systems strengthening,
including appropriate tools, technical assistance and training, to each
organization to institutionalize greater capacity in the areas of
forecasting/quantification, financial management, procurement, training,
management information systems, product registration, storage, inventory
management, security, distribution, communications, and support
supervision. Innovative approaches should be explored and used where
appropriate to reduce costs and maximize efficiency and
cost-effectiveness in specific operational areas.

**2.1 Improved capacity of National Medical Stores to procure, store and
distribute national EMHS supplies**

Under this sub-result the recipient will work with NMS to identify and
implement interventions to improve systems and capacity at NMS to
improve transparency, efficiency, cost-effectiveness, and security. The
interventions could include training of key staff to improve management
and technical knowledge and skills; new tools and systems to improve
efficiency of warehouse operations, transport management and
distribution; cost analysis studies to provide data on most
cost-effective approaches; new technologies and procedures to improve
security and reduce damage and theft of products; establishing capacity
for electronic ordering; implementing a performance monitoring program;
and establishing an effective communications and customer service
program at headquarters (and possibly regional sites) to enable
districts and health facilities to place orders, obtain information on
product stock levels, track balances, and plan for deliveries. The
integrity of the procurement processes is critical and interventions are
needed to ensure the elimination of any corruption in this area.

**Illustrative Activities**

-   Conduct cost analysis studies to determine best solutions for cost
    containment of transport/distribution operations

-   Design and implementation of effective communication system between
    NMS and districts to communicate orders, delivery schedule, budget,
    and stock information

-   Review of procurement performance and training of procurement staff
    on best practices and procedures

-   Warehouse and financial management information system(s) upgraded
    for better functionality

**Expected Results**

-   Significant reduction in lead time from receipt to delivery of
    orders

-   Improved customer satisfaction with NMS services

-   No central level stock outs of core Credit Line items

-   Waste and leakage of commodities reduced

**2.2 Improved capacity of MOH program managers and technical staff to
plan and monitor national supplies of EMHS**

Under this sub-result, the recipient will work with the MOH program
staff to identify and implement a package of interventions including
appropriate tools, technical assistance and training to improve systems
and institutionalize greater capacity to perform supply chain
operations. The potential areas of focus include: product selection,
forecasting/quantification, procurement planning, management information
systems, integration of logistics management into pre-service health
worker training curricula, and support supervision. Cost-effective
information systems linking MOH, NDA, and NMS are needed to improve
monitoring, streamline transactions and share information on
commodities. Where needed, additional technical personnel can be
seconded to organizations to enhance performance including office
equipment and supplies. The pay of these staff should be commensurate
with the government pay scale to ensure that these positions can become
permanent.

The MOH programs targeted under this objective include HIV/AIDS programs
(CT, PMTCT, Condoms, ART), NMCP, Reproductive Health Division, NTLP,
CPHL, and UNEPI.

**Illustrative Activities:**

-   Seconding technical staff as needed to Pharmacy Division and
    technical programs to provide logistics management technical
    assistance

-   Existing logistics management systems assessed and updated, new
    logistics management systems developed to provide health facility
    level information

-   Logistics management training in quantification and pipeline
    monitoring software and supervision tools that include supplies
    management

-   Facilitate procurement coordination with donors, e.g. through
    Three-Year Rolling Procurement Plan

**Expected Results:**

-   MOH programs managing logistics management information systems and
    producing regular stock status reports with minimal external
    technical assistance

-   Improved coordination of MOH and donor procurement of EMHS including
    ARVs and ACTs

-   Logistics management training programs/modules integrated into pre
    and in-service training programs for health workers and managers

**2.3 Supply chain system cost-effectiveness and efficiency improved
through innovative approaches**

Innovative approaches are needed to expand access to EMHS given the
current limitations in public sector capacity and coverage. The
recipient should engage public sector institutions,
private-not-for-profit organizations and the private sector to develop
and test potential models of partnerships at the national level for
improving cost-effectiveness and efficiency of the supply chain system
to increase public access to quality EMHS at an affordable cost on a
sustainable basis. Proper oversight, quality assurance, regulatory and
accreditation issues must be considered in developing the innovative
approaches.

**Illustrative Activities:**

-   Review Uganda examples of public-private partnerships to determine
    feasibility of alternate models to increasing access to essential
    medicines and health supplies

**Expected Results:**

-   Increased access to EMHS through innovative channels and
    partnerships

**[Result 3]{.underline}: Improved capacity and performance of target
Districts and USAID Implementing Partners in their supply chain
management roles and responsibilities (40%)**

Under this objective, the recipient will provide support a selected
number of target Districts and USAID Implementing Partners to improve
availability of essential medicines and health supplies in health
facilities by accurate planning and budgeting including quantification
of requirements, cost-effective use of available resources, improved
security and management of supplies, timely ordering, efficient
distribution systems, and improved monitoring of logistics management
practices and supplies at health facility level.

**3. 1 Improved capacity of target districts and health facilities in
planning, distributing, managing and monitoring EMHS**

Under this objective, the Recipient will work closely with local
government and District Health Office (DHO) authorities of selected
districts to develop and implement interventions that serve to improve
their systems and performance in logistics management on a sustainable
basis. The district selection criteria and number of districts will
established in conjunction with and approved by USAID and aligned with
other USG support at the district level. The support given to each
district will be tailored to their needs and the guiding principle is
that districts should first make the best use of what resources they
already have available. Logistics system assessments will be carried out
in the selected districts to identify the tools, technical assistance
and training needed to enable them to develop a well organized and
efficient logistics management system within their district with limited
additional resources. The support will focus on improving all aspects of
district and facility-level logistics management: including
quantification, procurement, communications, data management, facility
ordering, storage, distribution, inventory management, record keeping,
reporting, and performance monitoring. A key outcome of this support
will be a set of district-level interventions demonstrated to have been
effective in improving access to EMHS in health facilities. Lessons
learned and best practices can be potentially rolled out to other
districts.

The lack of sufficient numbers of health workers is a key constraint
affecting logistics management at all levels of the system, including
DHOs, HSDs and health facilities. The recipient should work with the USG
and non-USG implementing partners who are assisting the MOH on human
resource issues to explore ways of addressing this issue at the district
level.

**Illustrative Activities**

-   Conduct logistics management assessments in target districts and
    develop improvement plans including performance monitoring and
    evaluation indicators

-   Communication system between district and health facilities in place
    and functioning

-   Design and implement cost-effective and efficient district-to-health
    facility distribution system

-   Develop and implement policies and procedures to prevent
    leakage/theft of commodities

-   Support supervision tools and visits to include logistics management
    monitoring

-   Establish formal partnerships with USG implementing partners
    supporting supply chain management at district level

**Expected Results**

-   Increased percentage of district and health sub-district appropriate
    budget expenditures for EMHS

-   Increased percentage of health facilities submitting logistics
    management information system reports and orders

-   Reduced lead time between facility placement and receipt of orders

-   Package of interventions tested to improve district and
    facility-level logistics management

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-   Health facility stock outs of EMHS significantly reduced

**3.2 Improved capacity of selected Implementing Partners in
quantifying, managing and monitoring commodities**

The recipient will provide support to USAID-supported Implementing
Partners to build capacity in forecasting and quantifying their program
commodity requirements, managing their inventory and monitoring stock
levels in program sites. The recipient will work closely with the USG
procurement partner to develop and implement timely procurement plans to
ensure an uninterrupted supply of ARVs and other HIV/AIDS commodities as
needed.

**Illustrative Activities**

-   Training in quantification and pipeline monitoring software

-   Promote use of support supervision tools that include logistics
    management components

**Expected Results**

-   Uninterrupted availability of key medicines and health supplies in
    health facilities

**3.3 Overall access to EMHS improved through innovative district-level
interventions**

Innovative approaches are needed to expand access to EMHS given the
current limitations in public sector capacity and coverage. The
recipient should engage public sector institutions,
private-not-for-profit organizations and the private sector to develop
and test models of partnerships at the district level for improving to
increase public access to quality EMHS at an affordable cost on a
sustainable basis. Proper oversight, quality assurance, regulatory and
accreditation issues must be considered in developing the innovative
approaches.

**Illustrative Activities:**

-   Review Uganda and East Africa models of public-private partnerships
    to determine feasibility of adoption or scaling up to increase
    population's access to EMHS

**Expected Results:**

-   Increased access to EMHS through innovative channels and
    partnerships

**A.4 Essential Program Elements**

The Recipient should develop a project that is in accordance with the
following principles:

**a. Coordination, collaboration and partnership**

Given the substantial increase in financial resources and commodities
flowing into the country's supply chain system for HIV/AIDS, malaria, TB
and other diseases, coordination and collaboration is critical to
maximizing opportunities and avoiding duplication. All activities
implemented under this project should be consistent with MOH and HSSP
II/III priorities and policies. Coordination and communication with
central Ministry of Health counterparts is essential through regular
meetings and membership of MOH technical working groups. In target
districts, the recipient is expected to fully participate in the
district planning and budgeting process and inform the districts of
relevant information in a timely manner.  All program recipients of
assistance from the project should be consulted and involved as
appropriate in the development of project work plans.

Coordination with other USG and non-USG supported activities is critical
for ensuring appropriate design and implementation of support
activities. The project will work in close partnership with the selected
districts to ensure that support is timely, aligned with district
planning and budgeting processes and integrated into district
development plans.

The project will work equally closely with respective GOU counterparts,
donors, and other implementing partners to support national initiatives
at the district level through complementary efforts including but not
limited to supply chain management, leadership, management and
governance, human resources for health (task shifting), strategic
information systems including Health Management Information Systems
(HMIS), infrastructure strengthening, provision of equipment and
laboratory strengthening.

**b. Local capacity building**

To ensure that improvements made as a result of this project will
continue after the support ends it is essential that interventions to
increase capacity are designed to address demonstrated needs, that they
are locally appropriate and maintainable, and that they are focused on
improving performance. Thus performance-based training will be followed
up as much as possible with site visits and other types of support, and
on-the-job training and trainee participation in design, implementation
and monitoring of activities should be included where possible. Capacity
here is also taken to mean material inputs such as computers, internet
connection, etc. where work output and performance can be improved.
Performance after both types of capacity building inputs should be
monitored and measured and results used to refine the approach as
needed.

**c. Adapting old and incorporating new tools and approaches**

USAID has invested in logistics/pharmaceutical management for at least
20 years and various tools and approaches have been developed, tested
and implemented in many countries. The project is expected to have a
thorough knowledge of the results from past experience and apply those
lessons learned, tools and approaches that have proven to be most
effective in achieving results. Equally important is the
adoption/adaptation of tools and approaches from the private sector,
particularly in areas such as warehousing, where the products, knowledge
and skills may be superior to that in the public sector.

**d. Strategic partnerships that promote harmonization and effectiveness
of strategies and inputs**

Partnerships should be developed with international donors, regional and
in-country groups to coordinate and maximize the effectiveness of
efforts to strengthen the supply chain and address issues of
transparency, cost-containment, and improving overall availability and
end user access to essential medicines and health supplies.

**d. Anti-corruption measures**

The recipient shall develop and implement anti-corruption measures for
this project. These measures should be consistent with best practices
within the donor community that minimize corruption. Anti-corruption
reporting and remediation measures should be developed for all aspects
of the program, starting with the implementing partner's staff and
operations, to sub-contractors, grantees, government partners, and
vendors. An anti-corruption plan should be annexed to the application,
which includes specific strategies to mitigate the opportunities for
corruption within the project, as well as with project partners
(including GOU counterparts), as well as plans on how to address corrupt
practices if they are discovered.

**e. Cost share**

The cost share is the portion of the budget covered by non-U.S.
Government funds. Recipients should propose a cost share of between
three and five (5) percent of the total value of the award either in
cash or in-kind. The cost share is intended to demonstrate investment by
the implementing partner and to build sustainability of the project
activities. Cost share details should be in the cost proposal, but the
amount proposed, and from which project partners, will be evaluated and
must be included in the technical application.

**A.5. Requirements and Reporting**

**a. Annual Work Plans**:

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

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

The SURE partner will be expected to contribute appropriately to PEPFAR
and PMI and other strategic annual planning by the USAID Uganda Mission.

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

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

The PMP will outline key program activities, indicators of achievement,
which should support the achievement of USAID/Uganda's intermediate
results, baseline data and annual targets. PMPs will be reviewed and
approved by the AOTR.

**c. Progress Reporting**

[Quarterly Reports]{.underline}

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

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

[Annual Reports]{.underline}

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

[End of Activity Report]{.underline}

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

[COP, MOP, OP and Ad Hoc Reports]{.underline}

USAID is required to report annually on our PEPFAR, PMI, and other
health programs. The SURE partner may be asked to contribute to these
reports. Occasionally USAID is required to provide additional reports to
Congress or other stakeholders. The SURE partner should be able to
respond to ad hoc requests as appropriate.

**A.6 Monitoring and Evaluation**

The progress of the project will be monitored in accordance with the
PMP. In executing the monitoring and evaluation functions under this
project, the recipient shall collaborate and coordinate with the
USAID/Uganda's Monitoring and Evaluation Management Services (MEMS) and
the Monitoring and Evaluation of the Emergency Plan Progress (MEEPP)
contractors or other designees. An analytic agenda and implementation
plan to assess operational questions will be approved by USAID.

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

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

**A. ANTICIPATED AWARD DATE**

USAID/Uganda anticipates that the Cooperative Agreement will be awarded
on or about May 30, 2009.

**B. FUNDING**

Subject to the availability of funds, the estimated Award ceiling is
\$40,000,000.

**C. AUTHORIZED GEOGRAPHIC CODE**

The authorized geographic code for procurement of goods and services
under the Cooperative Agreement is 935.

**D. SUBSTANTIAL INVOLVEMENT**

USAID/Uganda shall be substantially involved during the implementation
of this Cooperative Agreement in the following ways:

a.  Approval of the recipient's Implementation Plan

b.  Approval of Specified Key Personnel

c.  Agency and Recipient collaboration of Joint Participation

    1.  Collaborative involvement in selection of districts, interaction
        and communication with GOU and other participating partners on
        technical or programmatic issues;

    2.  Approval of the recipient's monitoring and evaluation plans; and

    3.  Agency coordination with other USAID projects in the program
        description.

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

**A. APPLICATION PREPARATION GUIDELINES**

Application must be submitted in a format as stated below and it must
include the completed form SF-424 which Applicant can download together
with the RFA.

Applications must be submitted no later than the date and time indicated
on the cover page of this RFA, to the location indicated in the cover
letter accompanying this RFA. All applications received by the deadline
will be reviewed for responsiveness to the specifications outlined in
these guidelines and the application format. Section B addresses the
technical evaluation procedures for the applications. Applications which
are submitted late or incomplete run the risk of not being considered in
the review process. "Late applications will not be considered for award
unless the Agreement Officer determines it is in the best Government's
interest."

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

Explanations to Prospective Recipients: Any prospective applicant
desiring an explanation or interpretation of this RFA must request it in
writing to the Specialist at the email address set forth in the RFA
cover letter. Oral explanations or instructions given before award of a
Cooperative Agreement will not be binding. Any information given to a
prospective applicant concerning this RFA will be furnished promptly to
all other prospective applicants as an amendment of this RFA, if that
information is necessary in submitting applications or if the lack of it
would be prejudicial to any other prospective applicants.

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

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

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

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

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

**B. TECHNICAL APPLICATION GUIDELINES**

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

Technical Applications are limited to thirty five (35) pages only; any
application **over 35 pages will not be evaluated.** The 35 pages
consist of applicant response to the Technical Application Sections of
this RFA. Applications shall be written in English, text should be
left-justified using Microsoft Word 2000, 2001, or 2003.; Times New
Roman, 12 point font on standard 8 ½ X 11" paper, 1.5 spacing with each
page numbered consecutively, and no less than 1" margins on all sides.
Supplementary materials such as the performance monitoring and
evaluation plan, past performance reference information, personnel
resumes and relevant letters of support are excluded from this page
limitation. However, unnecessarily elaborate brochures or other
presentations beyond those sufficient to present a complete and
effective application in response to this RFA are not desired and may be
construed as an indication of the prospective recipient's lack of cost
consciousness.

**B.1 Technical Application Guidelines**

The technical approach will be evaluated on the overall merit
(creativity, clarity, analytical depth, state-of-the-art technical
knowledge, and responsiveness) and feasibility of the program approach
and strategies proposed to achieve the results. The technical approach
must set forth the conceptual approach, methodology, and techniques for
the accomplishment of the stated objectives. It should reflect a
thorough understanding of the current context and policy environment in
Uganda. The applicant should discuss how resources will be organized to
obtain expected results.

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

[Executive Summary:]{.underline} This section should be a succinct 1-2
page summary of the proposed project and contain information that the
applicant believes best represents the highlights and rationale for the
project. The applicant should also specify the proposed start date, the
level of funding requested for the project, and the proposed cost share
amount. This section is to be a summary of the application content, and
not contain information not included elsewhere in the application.

[Project Context]{.underline}: This section of the application is
intended to demonstrate the Applicants overall understanding of the
constraints and challenges in environment in which the proposed project
will operate, both nationally and in selected districts, while providing
a concise description and rationale for selection of the project's
proposed approaches to strengthening the supply chain and improving
availability and access to essential medicines and health supplies. The
Applicant should focus on identifying innovative and viable strategies
and approaches to addressing the constraints and challenges in the
country.

[Strategy and Technical Interventions]{.underline}: This section should
provide a clear picture of the proposed project and implementation
strategies. Details on the proposed technical interventions and
corresponding activities should be included. It is important to clearly
describe how the proposed approaches will achieve the objectives
outlined in the program description. This section should include:

-   How the proposed project will meet its objectives and results

-   How the proposed strategy is consistent with official MOH policies
    and strategies for EMHS

-   How the proposed interventions will improve the GOU's capacity

-   How the project will take up and build upon existing supply chain
    strengthening activities of USAID Implementing Partners to ensure
    minimal disruption

-   Demonstrate that the recipient has reviewed literature from the
    region on best practice and innovative models

-   Detail of the activities under the Results Framework and how the
    approaches will be implemented over the life of the project

-   Strong rational for the selected approaches

-   Work plan matrix with a timeline for activities during the first
    year, which reflect the overall program approach

-   Recommendations for GOU collaboration to ensure program success

-   "Alternative" planning if GOU collaboration is not achieved

-   Summary of Anti-corruption plan (full plan in annex)

[Project Monitoring and Evaluation]{.underline} Applicants shall:

-   Describe how they would develop a cost-effective, results-oriented
    monitoring and evaluation system that will provide USAID/Uganda and
    the project itself with information to track progress, improve
    performance and effectiveness, and contribute to HSSP II monitoring
    indicators.

-   Provide an illustrative performance monitoring plan for this
    activity that includes meaningful, measurable indicators and targets
    under each result.

The full performance monitoring plan will be developed after award.

[Management Plan and Personnel]{.underline}

Management Plan:

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

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

The applicant should show how it plans to manage a program that includes
activities at central level and across several districts, with a
multitude of Ugandan, USG and other partners focusing on strengthening
the health service delivery. It should take into consideration USAID's
and the Government of Uganda's desire to have Ugandans and regional
nationals in substantive positions.

[Key personnel]{.underline}

Key personnel will include a Project Director, two Technical Advisors
and a Financial Manager. Each key personnel position requires USAID
approval, as noted in substantial involvement provisions.

> [Project Director:]{.underline} This is an international position. The
> Project Director should have, at a minimum, the following
> qualifications:

-   A Master's Degree or higher in Public Health, Pharmacy or equivalent
    related field;

-   At least ten (10) years experience in management positions
    implementing programs of similar size and scope in international
    health.

-   At least 4 years management experience on programs supporting
    national health commodity supply chain management in developing
    countries, preferably with experience in Africa

-   Strong knowledge and technical skills in one or more key areas of
    health supply chain management (e.g. policy, forecasting,
    procurement)

-   Demonstrated leadership skills in working and collaborating with
    other donors, host country institutions, international organizations

-   At least five years relevant supervisory experience of professional
    (technical) staff

-   Working knowledge of and experience with USAID project management

-   Excellent organizational, analytical, oral and written communication
    skills

-   Excellent Past Performance references (contacts should be provided)

> [Technical Advisors (2). These are local, regional or international
> positions]{.underline}
>
> Together, the two Technical Advisors should have expertise (higher
> education degrees and experience) in the following areas appropriate
> to lead and give technical advice to the project in these areas:

-   Supply chain system assessment approaches and tools

-   Policy reform related to health supply chain systems, including
    health financing

-   Product selection

-   Forecasting and quantification methods and tools

-   Procurement processes

-   Inventory control and distribution systems

-   Management information systems

-   Maternal and child health, HIV/AIDS, infectious disease (malaria and
    TB) programs and commodities

-   Monitoring and evaluation related to supply chain management

-   Excellent organizational, analytical, oral and written communication
    skills

> [Financial Manager.]{.underline} This is an international position.
> The Finance Manager should have the following qualifications:

-   Master's Degree or higher in Business Administration, Finance,
    Accounting or other relevant field

-   Eight (8) years experience in administrative and financial
    management of large international projects including experience in
    management of USG projects.

-   Familiarity with compliance to Federal Acquisition Regulations

-   Demonstrated experience and skills in developing and managing large
    budgets

-   Proficient in relevant computer applications and databases

-   Strong analytical, oral and written communication skills

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

The application should include:

-   Organizational chart with roles and responsibilities

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

-   Lines of authority

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

-   Financial management, reporting and cost containment strategies.

-   Affiliation of each personnel with partner or sub-grantee
    organizations if any

-   List of short-term technical assistance (STTA) staff and their LOE
    and how this fits in with the strategy, cost effectiveness, and
    management plan of the project.

[Organization Capacity]{.underline}

This section of the application provides information about the applicant
organization(s) and any sub-partners. This section provides evidence
that the applicant has the ability to carry out a successful project to
strengthen the supply chain management system and improve availability
of essential medicines and health supplies.

[Past Experience:]{.underline} Information in this section should
include (but is not limited to) the following:

-   Brief description of organizational history/expertise

-   Relevant work experience and representative accomplishments in
    developing and implementing projects similar to that proposed in
    this RFA

-   Evidence of a successful record of implementing projects overseas,
    and in Sub Saharan Africa

-   Relevant experience with proposed approaches

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

-   Sub-recipient capabilities and expertise

-   Propose field management structure and financial controls; and

-   Home office backstopping and its purposes.

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

dates; brief description of the project/assistance activity and key
project accomplishments/results achieved.

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

**Resources and References**

-   MOH report: Task Force on National Medical Stores, 2008

-   Privatization and Utility Sector Reform Project report, Policy
    Review of the Role of the NMS in the Public and Private Health Care
    System in Uganda, 2006

-   SCMS report: Assessment of the Warehouses, Distribution and MIS of
    the National Medical Stores, Kampala, Uganda, for Operational and
    Physical Enhancements, 2007

-   Public Procurement and Disposal Authority report, Procurement Audit
    and Disposal Report of NMS, 2005

**C. COST APPLICATION FORMAT**

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

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

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

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

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

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

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

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

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

The cost application should contain the following budget categories:

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

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

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

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

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

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

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

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

i.  [Cost share]{.underline}: the applicant should indicate the
    percentage of cost share, and its details (whether cash or in-kind),
    and over what time period. The prime applicant is expected to bear
    the majority of this share

The application should include information that substantiates that the
Applicant:

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

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

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

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

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

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

**On specific request by the Agreement Officer during the evaluation**
**phase,** applicant(s) may be required to submit information on the
organization\'s financial status and management including:

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

b\. Organizational chart.

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

**D. COOPERATIVE AGREEMENT AWARD**

1.  The Government will award three cooperative agreements resulting
    from this RFA to the responsible applicants whose applications
    conforming to this RFA offer the greatest value for each region of
    focus. Although applicants may bid on one or more geographic regions
    as prime, sub, or both, they are advised that no single organization
    may receive more than one award as a prime, sub or both. In case an
    applicant who submitted multiple applications is evaluated the best
    in more than one region of focus, USAID reserves the right to choose
    the region of focus that best suits the applicant. The Government
    may (a) reject any or all applications, or (b) accept other than the
    lowest cost application.

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

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

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

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

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

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

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a.  The objectives of the USAID Disability Policy are (1) to enhance the
    attainment of United States foreign assistance program goals by
    promoting the participation and equalization of opportunities of
    individuals with disabilities in USAID policy, country and sector
    strategies, activity designs and implementation; (2) to increase
    awareness of issues of people with disabilities both within USAID
    programs and in host countries; (3) to engage other U.S. government
    agencies, host country counterparts, governments, implementing
    organizations and other donors in fostering a climate of
    nondiscrimination against people with disabilities; and (4) to
    support international advocacy for people with disabilities. The
    full text of the policy paper can be found at the following website:
    <http://www.usaid.gov/about/disability/DISABPOL.FIN.html>.

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a.  USAID therefore requires that the recipient not discriminate against
    people with disabilities in the implementation of USAID funded
    programs and that it make every effort to comply with the objectives
    of the USAID Disability Policy in performing the program under this
    grant or cooperative agreement. To that end and to the extent it can
    accomplish this goal within the scope of the program objectives, the
    recipient should demonstrate a comprehensive and consistent approach
    for including men, women and children with disabilities."

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

**E. AUTHORITY TO OBLIGATE THE GOVERNMENT**

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

**SECTION D - EVALUATION CRITERIA AND SELECTION PROCESS**

**A. Overview**

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

**B. Technical Evaluation Criteria**

The technical application evaluation criteria are presented below. The
relative importance of each criterion is indicated by the points
allotted to the assigned score. Sub-criteria under each primary
criterion are not broken down with specific point values, but constitute
the whole section. These criteria have been tailored to the requirements
of this particular RFA and serve (a) to identify the significant matters
that applicants should address in their applications and (b) set
standards against which all applicants will be evaluated. To facilitate
the review of applications, applicants should organize the narrative
portions of their application in the same order as the broad evaluation
criteria and should refer to detailed guidelines found above, Technical
Application Guidelines.

**Technical Understanding and Approaches**

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

**Project Context (10 points)**

-   Clear and comprehensive understanding of the Ugandan national supply
    chain for health commodities and the opportunities and challenges
    related to working across the different stakeholders and at national
    and district level.

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-   Clear description of other programs and activities underway in the
    country, including in the public, private and not-for-profit
    sectors, identifying those that provide opportunities for synergies
    in the proposed program interventions and strategies.

**Strategy and Technical Interventions (30 points)**

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

-   Technical interventions are evidence-based, innovative where
    necessary, and appropriate, and demonstrate appropriate linkages
    with other programs

-   Proposed roles and expectations of GOU are clearly presented, and a
    reasonable "alternative program" is described along with triggers
    for its implementation

-   Each of the Essential Program Elements is clearly addressed
    (including cost share)

-   Anti-corruption plan is appropriate and addresses all elements as
    described in the RFA

**Plan for Monitoring and Evaluation (10 points)**

-   The plan for monitoring and evaluation looks feasible and is cost
    effective, using existing data from various sources. The plan should
    include plans for collecting data, plans for quality assurance of
    data, and how the data will be analyzed and used. The plan should
    include examples of illustrative indicators that are appropriate to
    effectively monitor and report on activities and results, including
    sustainability.

**Personnel & Management Structure**

Application demonstrates that key personnel have requisite breadth and
depth of management and technical expertise and experience as
appropriate to their positions, and the management structure is clear
and appropriate to the size of the project to ensure achievement of its
results.

**Key Personnel (10 points)**

-   Key personnel meet criteria, have complementary skills, and are
    well-matched to the program approach.

> **Other Personnel (10points)**

-   Core technical staff is appropriate to the proposed project
    approach. Staff from partnering organizations are included

-   Staffing matrix -- all the necessary skills are available to achieve
    project goals and results while still being cost effective.

-   STTA is appropriate to the program size and to achievement of
    project results.

**Management Plan (10 points)**

-   Clear organizational structure in place with identified roles and
    responsibilities of staff and partner organizations.

-   Plan for rapid startup and smooth transition from currently
    supported activities is appropriate and realistic

-   Clear plan for coordination and communication with the GOU and other
    key stakeholders

**Institutional Capacity (10 points)**

-   Demonstrated organizational knowledge and institutional capability
    to support the strengthening of the various elements of the supply
    chain (including policy, product selection, procurement,
    warehousing, distribution, inventory management, and logistics
    management information systems) in Africa within the public sector.

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

-   Relevant work experience and representative accomplishments
    presented in managing, implementing, monitoring, and evaluating
    similar national supply chain strengthening projects.

**Past Performance (10 points)**

-   Past performance checks related to past contracts/agreements rank
    the organization as good or better in standard areas of performance.

**C. Cost**

Not a weighted factor. The cost applications of technically acceptable
applicant(s) will be evaluated for necessity, reasonableness,
allowability, and allocability of cost elements included in the budget.
Cost-effectiveness and cost-realism are the other factors in determining
appropriateness of the application.

**D. Award**

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

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

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

**Other Statements of the Recipient:**

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

**PART I - CERTIFICATIONS AND ASSURANCES**

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

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

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

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

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

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

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

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

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

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

**2. CERTIFICATION REGARDING LOBBYING**

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

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

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

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

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

Statement for Loan Guarantees and Loan Insurance

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

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

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

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

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

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

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

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

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

3\. For purposes of this Certification-

> a\. "Material support and resources" means currency or monetary
> instruments or financial securities, financial services, lodging,
> training, expert advice or assistance, safehouses, false documentation
> or identification, communications equipment, facilities, weapons,
> lethal substances, explosives, personnel, transportation, and other
> physical assets, except medicine or religious materials."
>
> b\. "Terrorist act" means-
>
> \(i\) an act prohibited pursuant to one of the 12 United Nations
> Conventions and Protocols related to terrorism (see UN terrorism
> conventions Internet site:
> http://untreaty.un.org/English/Terrorism.asp); or
>
> \(ii\) an act of premeditated, politically motivated violence
> perpetrated against noncombatant targets by subnational groups or
> clandestine agents; or
>
> \(iii\) any other act intended to cause death or serious bodily injury
> to a civilian, or to any other person not taking an active part in
> hostilities in a situation of armed conflict, when the purpose of such
> act, by its nature or context, is to intimidate a population, or to
> compel a government or an international organization to do or to
> abstain from doing any act.
>
> c\. "Entity" means a partnership, association, corporation, or other
> organization, group or subgroup.
>
> d\. References in this Certification to the provision of material
> support and resources shall not be deemed to include the furnishing of
> USAID funds or USAID-financed commodities to the ultimate
> beneficiaries of USAID assistance, such as recipients of food, medical
> care, micro-enterprise loans, shelter, etc., unless the Recipient has
> reason to believe that one or more of these beneficiaries commits,
> attempts to commit, advocates, facilitates, or participates in
> terrorist acts, or has committed, attempted to commit, facilitated or
> participated in terrorist acts.
>
> e\. The Recipient's obligations under paragraph 1 are not applicable
> to the procurement of goods and/or services by the Recipient that are
> acquired in the ordinary course of business through contract or
> purchase, e.g., utilities, rents, office supplies, gasoline, etc.,
> unless the Recipient has reason to believe that a vendor or supplier
> of such goods and services commits, attempts to commit, advocates,
> facilitates, or participates in terrorist acts, or has committed,
> attempted to commit, facilitated or participated in terrorist acts.

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

**5. CERTIFICATION OF RECIPIENT**

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

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

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

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

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

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

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

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

**6. CERTIFICATION REGARDING DRUG-FREE WORKPLACE REQUIREMENTS**

\(a\) Instructions for Certification

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

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

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

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

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

Alternate I

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Alternate II

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

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

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

**8. CERTIFICATION REGARDING MATERIAL SUPPORT AND RESOURCES**

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

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

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

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

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

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

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

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

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

NOTICE:

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

**9. KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG
TRAFFICKING**

I hereby certify that within the last ten years:

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

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

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

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

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

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

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

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

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

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

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

NOTICE:

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

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

**10. PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG
TRAFFICKING**

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

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

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

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

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

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

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

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

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

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

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

NOTICE:

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

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

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

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/ See ADS Chapter 303, 22 CFR 208.

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

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

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

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

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

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

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

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

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

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

**PART II - OTHER STATEMENTS OF RECIPIENT**

**1. AUTHORIZED INDIVIDUALS**

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

Name Title Telephone No. Facsimile No.

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

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

**2. TAXPAYER IDENTIFICATION NUMBER (TIN)**

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

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

**3. DATA UNIVERSAL NUMBERING SYSTEM (DUNS) NUMBER**

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

\(b\) The DUNS is a 9-digit number assigned by Dun and Bradstreet
Information Services. If the recipient does not have a DUNS number, the
recipient should call Dun and Bradstreet directly at 1-800-333-0505. A
DUNS number will be provided immediately by telephone at no charge to
the recipient. The recipient should be prepared to provide the following
information:

\(1\) Recipient\'s name.

\(2\) Recipient\'s address.

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

\(4\) Line of business.

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

\(6\) Date the organization was started.

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

\(8\) Company affiliation.

\(c\) Recipients located outside the United States may obtain the
location and phone number of the local Dun and Bradstreet Information
Services office from the Internet Home Page at
http://www.dbisna.com/dbis/customer/custlist.htm. If an offeror is
unable to locate a local service center, it may send an e-mail to Dun
and Bradstreet at globalinfo@dbisma.com.

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

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

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

TYPE/ QUANTITY EST. GOODS PROBABLE GOODS PROBABLE

DESCRIPTION UNIT COST COMPONENTS SOURCE COMPONENTS ORIGIN

(Generic)

\(e\) 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 (Non US Only)

\(g\) 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 past performance information
requested in the RFA.

**7. TYPE OF ORGANIZATION**

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

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

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

**8. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS**

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

## PART III -- STANDARD PROVISIONS AND OTHER REQUIREMENTS {#part-iii-standard-provisions-and-other-requirements .unnumbered}

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

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

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

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

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

> \(a\) Are presently excluded or disqualified from covered transactions
> by any Federal department or agency;
>
> \(b\) Have been convicted within the preceding three-years period
> preceding this proposal been convicted of or had a civil judgment
> rendered against them for commission of fraud or a criminal offense in
> connection with obtaining, attempting to obtain, or performing a
> public (Federal, State, or local) transaction or contract under a
> public transaction; violation of Federal or State antitrust statutes
> or commission of embezzlement, theft, forgery, bribery, falsification
> or destruction of records, making false statements, tax evasion,
> receiving stolen property, making false claims, or obstruction of
> justice; commission of any other offense indicating a lack of business
> integrity or business honesty that seriously and directly affects your
> present responsibility;
>
> \(c\) Are presently indicted for or otherwise criminally or civilly
> charged by a governmental entity (Federal, State, or local) with
> commission of any of the offenses enumerated in paragraph (1)(b); and
>
> \(d\) Have had one or more public transactions (Federal, State, or
> local) terminated for cause or default within the preceding three
> years.

\(2\) The recipient agrees that, unless authorized by the Agreement
Officer, it will not knowingly enter into any subagreements or contracts
under this grant with a person or entity that is included on the
Excluded Parties List System (http://epls.arnet.gov). The recipient
further agrees to include the following provision in any subagreements
or contracts entered into under this award:

**B. DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY EXCLUSION
(DECEMBER 2003)**

The recipient/contractor certifies that neither it nor its principals is
presently excluded or disqualified from participation in this
transaction by any Federal department or agency.

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

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

\(1\) The recipient agrees that it will publish a drug-free workplace
statement and provide a copy to each employee who will be engaged in the
performance of any Federal award. The statement must:

> \(a\) Tell the employees that the unlawful manufacture, distribution,
> dispensing, possession, or use of a controlled substance is prohibited
> in its workplace;
>
> \(b\) Specify the actions the recipient will take against employees
> for violating that prohibition; and
>
> \(c\) Let each employee know that, as a condition of employment under
> any award, he or she
>
> \(1\) Must abide by the terms of the statement, and
>
> \(2\) Must notify you in writing if he or she is convicted for a
> violation of a criminal drug statute occurring in the workplace, and
> must do so no more than five calendar days after the conviction.
>
> \(3\) The recipient agrees that it will establish an ongoing drug-free
> awareness program to inform employees about
>
> \(a\) The dangers of drug abuse in the workplace;
>
> \(b\) Your policy of maintaining a drug-free workplace;
>
> \(c\) Any available drug counseling, rehabilitation and employee
> assistance programs; and
>
> \(d\) The penalties that you may impose upon them for drug abuse
> violations occurring in the workplace.
>
> \(4\) Without the Agreement Officer's expressed written approval, the
> policy statement and program must be in place as soon as possible, no
> later than the 30 days after the effective date of this award, or the
> completion date of this award, whichever occurs first.
>
> \(5\) The recipient agrees to immediately notify the Agreement Officer
> if an employee is convicted of a drug violation in the workplace. The
> notification must be in writing, identify the employee's position
> title, the number of each award on which the employee worked. The
> notification must be sent to the Agreement Officer within ten calendar
> days after the recipient learns of the conviction.
>
> \(6\) Within 30 calendar days of learning about an employee's
> conviction, the recipient must either
>
> \(a\) Take appropriate personnel action against the employee, up to
> and including termination, consistent with the requirements of the
> Rehabilitation Act of 1973 (29 USC 794), as amended, or
>
> \(b\) Require the employee to participate satisfactorily in a drug
> abuse assistance or rehabilitation program approved for these purposes
> by a Federal, State or local health, law enforcement, or other
> appropriate agency.
>
> \(7\) The policies and procedures applicable to violations of these
> requirements are set forth in 22 CFR Part 210.

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

**USAID Disability Policy - Assistance (December 2004):**

\(a\) The objectives of the USAID Disability Policy are (1) to enhance
the attainment of United States foreign assistance program goals by
promoting the participation and equalization of opportunities of
individuals with disabilities in USAID policy, country and sector
strategies, activity designs and implementation; (2) to increase
awareness of issues of people with disabilities both within USAID
programs and in host countries; (3) to engage other U.S. government
agencies, host country counterparts, governments, implementing
organizations and other donors in fostering a climate of
nondiscrimination against people with disabilities; and (4) to support
international advocacy for people with disabilities. The full text of
the policy paper can be found at the following website:
<http://www.usaid.gov/about/disability/DISABPOL.FIN.html>.

\(b\) USAID therefore requires that the recipient not discriminate
against people with disabilities in the implementation of USAID funded
programs and that it make every effort to comply with the objectives of
the USAID Disability Policy in performing the program under this grant
or cooperative agreement. To that end and to the extent it can
accomplish this goal within the scope of the program objectives, the
recipient should demonstrate a comprehensive and consistent approach for
including men, women and children with disabilities.

**4. MARKING UNDER ASSISTANCE INSTRUMENTS**

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

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

\(b\) **Submission.**

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

\(c\) **Submission Requirements**

> At a minimum, the Apparently Successful Applicant's Branding Strategy
> will address the following:
>
> **(1) Positioning**
>
> *What is the intended name of this program, project, or activity?*
>
> Guidelines: USAID prefers to have the USAID Identity included as part
> of the program or project name, such as a \"title sponsor,\" if
> possible and appropriate. It is acceptable to \"co-brand\" the title
> with USAID's and the Apparently Successful Applicant's identities. For
> example: \"The USAID and \[Apparently Successful Applicant\] Health
> Center.\"
>
> If it would be inappropriate or is not possible to \"brand\" the
> project this way, such as when rehabilitating a structure that already
> exists or if there are multiple donors, please explain and indicate
> how you intend to showcase USAID\'s involvement in publicizing the
> program or project*. For example: School #123, rehabilitated by USAID
> and \[Apparently Successful Applicant\]/ \[other donors\].* Note: the
> Agency prefers \"made possible by (or with) the generous support of
> the American People\" next to the USAID Identity in acknowledging our
> contribution, instead of the phrase \"funded by.\" USAID prefers local
> language translations.
>
> *Will a program logo be developed and used consistently to identify
> this program? If yes, please attach a copy of the proposed program
> logo.*
>
> Note: USAID prefers to fund projects that do NOT have a separate logo
> or identity that competes with the USAID Identity.
>
> **(2) Program Communications and Publicity**
>
> *Who are the primary and secondary audiences for this project or
> program?*
>
> Guidelines: Please include direct beneficiaries and any special target
> segments or influencers. *For Example: Primary audience: schoolgirls
> age 8-12, Secondary audience: teachers and parents--specifically
> mothers*
>
> *What communications or program materials will be used to explain or
> market the program to beneficiaries?*
>
> Guidelines: These include training materials, posters, pamphlets,
> Public Service Announcements, billboards, websites, and so forth.
>
> *What is the main program message(s)?*
>
> Guidelines: *For example: \"Be tested for HIV-AIDS\" or \"Have your
> child inoculated.\"* Please indicate if you also plan to incorporate
> USAID's primary message -- this aid is \"from the American people\" --
> into the narrative of program materials. This is optional; however,
> marking with the USAID Identity is required.
>
> *Will the recipient announce and promote publicly this program or
> project to host country citizens? If yes, what press and promotional
> activities are planned?*
>
> Guidelines: These may include media releases, press conferences,
> public events, and so forth. Note: incorporating the message, "USAID
> from the American People", and the USAID Identity is required.
>
> *Please provide any additional ideas about how to increase awareness
> that the American people support this project or program.*
>
> Guidelines: One of our goals is to ensure that both beneficiaries and
> host-country citizens know that the aid the Agency is providing is
> \"from the American people.\" Please provide any initial ideas on how
> to further this goal.
>
> **(3) Acknowledgements**
>
> *Will there be any direct involvement from a host-country government
> ministry? If yes, please indicate which one or ones. Will the
> recipient acknowledge the ministry as an additional co-sponsor*?
>
> Note: it is perfectly acceptable and often encouraged for USAID to
> \"co-brand\" programs with government ministries.
>
> *Please indicate if there are any other groups whose logo or identity
> the recipient will use on program materials and related
> communications.*
>
> Guidelines: Please indicate if they are also a donor or why they will
> be visibly acknowledged, and if they will receive the same prominence
> as USAID.
>
> \(d\) **Award Criteria**. The Agreement Officer will review the
> Branding Strategy for adequacy, ensuring that it contains the required
> information on naming and positioning the USAID-funded program,
> project, or activity, and promoting and communicating it to
> cooperating country beneficiaries and citizens. The Agreement Officer
> also will evaluate this information to ensure that it is consistent
> with the stated objectives of the award; with the Apparently
> Successful Applicant's cost data submissions; with the Apparently
> Successful Applicant's project, activity, or program performance plan;
> and with the regulatory requirements set out in 22 CFR 226.91. The
> Agreement Officer may obtain advice and recommendations from technical
> experts while performing the evaluation.
>
> **II MARKING PLAN -- ASSISTANCE (December 2005)**
>
> \(a\) **Definitions**
>
> ***Marking Plan means*** a plan that the Apparently Successful
> Applicant submits at the specific request of a USAID Agreement Officer
> after evaluation of an application for USAID funding, detailing the
> public communications, commodities, and program materials and other
> items that will visibly bear the USAID Identity. Recipients may
> request approval of Presumptive Exceptions to marking requirements in
> the Marking Plan.
>
> ***Apparently Successful Applicant(s)*** means the applicant(s) for
> USAID funding recommended for an award after evaluation, but who has
> not yet been awarded a grant, cooperative agreement or other
> assistance award by the Agreement Officer. The Agreement Officer will
> request that Apparently Successful Applicants submit a Branding
> Strategy and Marking Plan. Apparently Successful Applicant status
> confers no right and constitutes no USAID commitment to an award,
> which the Agreement Officer must still obligate.
>
> ***USAID Identity (Identity)*** means the official marking for the
> Agency, comprised of the USAID logo and new brandmark, which clearly
> communicates that our assistance is from the American people. The
> USAID Identity is available on the USAID website and USAID provides it
> without royalty, license, or other fee to recipients of USAID-funded
> grants, cooperative agreements, or other assistance awards or
> subawards.
>
> ***A Presumptive Exception*** exempts the applicant from the general
> marking requirements for a *particular* USAID-funded public
> communication, commodity, program material or other deliverable, or a
> *category* of USAID-funded public communications, commodities, program
> materials or other deliverables that would otherwise be required to
> visibly bear the USAID Identity. The Presumptive Exceptions are:
>
> [Presumptive Exception (i)]{.underline}. USAID marking requirements
> may not apply if they would compromise the intrinsic independence or
> neutrality of a program or materials where independence or neutrality
> is an inherent aspect of the program and materials, such as election
> monitoring or ballots, and voter information literature; political
> party support or public policy advocacy or reform; independent media,
> such as television and radio broadcasts, newspaper articles and
> editorials; and public service announcements or public opinion polls
> and surveys (22 C.F.R. 226.91(h)(1)).
>
> [Presumptive Exception (ii)]{.underline}. USAID marking requirements
> may not apply if they would diminish the credibility of audits,
> reports, analyses, studies, or policy recommendations whose data or
> findings must be seen as independent (22 C.F.R. 226.91(h)(2)).
>
> [Presumptive Exception (iii)]{.underline}. USAID marking requirements
> may not apply if they would undercut host-country government
> "ownership" of constitutions, laws, regulations, policies, studies,
> assessments, reports, publications, surveys or audits, public service
> announcements, or other communications better positioned as "by" or
> "from" a cooperating country ministry or government official (22
> C.F.R. 226.91(h)(3)).
>
> [Presumptive Exception (iv).]{.underline} USAID marking requirements
> may not apply if they would impair the functionality of an item, such
> as sterilized equipment or spare parts (22 C.F.R. 226.91(h)(4)).
>
> [Presumptive Exception (v).]{.underline} USAID marking requirements
> may not apply if they would incur substantial costs or be impractical,
> such as items too small or otherwise unsuited for individual marking,
> such as food in bulk (22 C.F.R. 226.91(h)(5)).
>
> [Presumptive Exception (vi)]{.underline}. USAID marking requirements
> may not apply if they would offend local cultural or social norms, or
> be considered inappropriate on such items as condoms, toilets, bed
> pans, or similar commodities (22 C.F.R. 226.91(h)(6)).
>
> [Presumptive Exception (vii).]{.underline} USAID marking requirements
> may not apply if they would conflict with international law (22 C.F.R.
> 226.91(h)(7)).
>
> \(b\) **Submission.** The Apparently Successful Applicant, upon the
> request of the Agreement Officer, will submit and negotiate a Marking
> Plan that addresses the details of the public communications,
> commodities, program materials that will visibly bear the USAID
> Identity. The marking plan will be customized for the particular
> program, project, or activity under the resultant grant or cooperative
> agreement. The plan will be included in and made a part of the
> resulting grant or cooperative agreement. USAID and the Apparently
> Successful Applicant will negotiate the Marking Plan within the time
> specified by the Agreement Officer. Failure to submit and negotiate a
> Marking Plan will make the applicant ineligible for award of a grant
> or cooperative agreement. The applicant must include an estimate of
> all costs associated with branding and marking USAID programs, such as
> plaques, labels, banners, press events, promotional materials, and so
> forth in the budget portion of its application. These costs are
> subject to revision and negotiation with the Agreement Officer upon
> submission of the Marking Plan and will be incorporated into the Total
> Estimated Amount of the grant, cooperative agreement or other
> assistance instrument.
>
> \(c\) **Submission Requirements**. The Marking Plan will include the
> following:
>
> \(1\) A description of the public communications, commodities, and
> program materials that the recipient will be produced as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity. These include:
>
> \(i\) program, project, or activity sites funded by USAID, including
> visible infrastructure projects or other programs, projects, or
> activities that are physical in nature;
>
> \(ii\) technical assistance, studies, reports, papers, publications,
> audio-visual productions, public service announcements, Web
> sites/Internet activities and other promotional, informational, media,
> or communications products funded by USAID;
>
> \(iii\) events financed by USAID, such as training courses,
> conferences, seminars, exhibitions, fairs, workshops, press
> conferences, and other public activities; and
>
> \(iv\) all commodities financed by USAID, including commodities or
> equipment provided under humanitarian assistance or disaster relief
> programs, and all other equipment, supplies and other materials funded
> by USAID, and their export packaging.
>
> \(2\) A table specifying:
>
> \(i\) the program deliverables that the recipient will mark with the
> USAID Identity,
>
> \(ii\) the type of marking and what materials the applicant will be
> used to mark the program deliverables with the USAID Identity, and
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking.
>
> \(3\) A table specifying:
>
> \(i\) what program deliverables will not be marked with the USAID
> Identity, and
>
> \(ii\) the rationale for not marking these program deliverables.
>
> \(d\) **Presumptive Exceptions.**
>
> \(1\) The Apparently Successful Applicant may request a Presumptive
> Exception as part of the overall Marking Plan submission. To request a
> Presumptive Exception, the Apparently Successful Applicant must
> identify which Presumptive Exception applies, and state why, in light
> of the Apparently Successful Applicant's technical proposal and in the
> context of the program description or program statement in the USAID
> Request For Application or Annual Program Statement, marking
> requirements should not be required.
>
> \(2\) Specific guidelines for addressing each Presumptive Exception
> are:
>
> \(i\) For Presumptive Exception (i), identify the USAID Strategic
> Objective, Interim Result, or program goal furthered by an appearance
> of neutrality, or state why the program, project, activity, commodity,
> or communication is 'intrinsically neutral.' Identify, by category or
> deliverable item, examples of program materials funded under the award
> for which you are seeking exception 1.
>
> \(ii\) For Presumptive Exception (ii), state what data, studies, or
> other deliverables will be produced under the USAID funded award, and
> explain why the data, studies, or deliverables must be seen as
> credible.
>
> \(iii\) For Presumptive Exception (iii), identify the item or media
> product produced under the USAID funded award, and explain why each
> item or product, or category of item and product, is better positioned
> as an item or product produced by the cooperating country government.
>
> \(iv\) For Presumptive Exception (iv), identify the item or commodity
> to be marked, or categories of items or commodities, and explain how
> marking would impair the item's or commodity's functionality.
>
> \(v\) For Presumptive Exception (v), explain why marking would not be
> cost-beneficial or practical.
>
> \(vi\) For Presumptive Exception (vi), identify the relevant cultural
> or social norm, and explain why marking would violate that norm or
> otherwise be inappropriate.
>
> \(vii\) For Presumptive Exception (vii), identify the applicable
> international law violated by marking.
>
> \(3\) The Agreement Officer will review the request for adequacy and
> reasonableness. In consultation with the Cognizant Technical Officer
> and other agency personnel as necessary, the Agreement Officer will
> approve or disapprove the requested Presumptive Exception. Approved
> exceptions will be made part of the approved Marking Plan, and will
> apply for the term of the award, unless provided otherwise.
>
> \(e\) **Award Criteria**: The Agreement Officer will review the
> Marking Plan for adequacy and reasonableness, ensuring that it
> contains sufficient detail and information concerning public
> communications, commodities, and program materials that will visibly
> bear the USAID Identity. The Agreement Officer will evaluate the plan
> to ensure that it is consistent with the stated objectives of the
> award; with the applicant's cost data submissions; with the
> applicant's actual project, activity, or program performance plan; and
> with the regulatory requirements of 22 C.F.R. 226.91. The Agreement
> Officer will approve or disapprove any requested Presumptive
> Exceptions (see paragraph (d)) on the basis of adequacy and
> reasonableness. The Agreement Officer may obtain advice and
> recommendations from technical experts while performing the
> evaluation.
>
> **III MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December
> 2005)**
>
> **(a) Definitions**
>
> ***Commodities*** mean any material, article, supply, goods or
> equipment, excluding recipient offices, vehicles, and non-deliverable
> items for recipient's internal use, in administration of the USAID
> funded grant, cooperative agreement, or other agreement or
> subagreement.
>
> ***Principal Officer*** means the most senior officer in a USAID
> Operating Unit in the field, e.g., USAID Mission Director or USAID
> Representative. For global programs managed from Washington but
> executed across many countries, such as disaster relief and assistance
> to internally displaced persons, humanitarian emergencies or immediate
> post conflict and political crisis response, the cognizant Principal
> Officer may be an Office Director, for example, the Directors of
> USAID/W/Office of Foreign Disaster Assistance and Office of Transition
> Initiatives. For non-presence countries, the cognizant Principal
> Officer is the Senior USAID officer in a regional USAID Operating Unit
> responsible for the non-presence country, or in the absence of such a
> responsible operating unit, the Principal U.S Diplomatic Officer in
> the non-presence country exercising delegated authority from USAID.
>
> ***Programs*** mean an organized set of activities and allocation of
> resources directed toward a common purpose, objective, or goal
> undertaken or proposed by an organization to carry out the
> responsibilities assigned to it.
>
> ***Projects*** include all the marginal costs of inputs (including the
> proposed investment) technically required to produce a discrete
> marketable output or a desired result (for example, services from a
> fully functional water/sewage treatment facility).
>
> ***Public communications*** are documents and messages intended for
> distribution to audiences external to the recipient's organization.
> They include, but are not limited to, correspondence, publications,
> studies, reports, audio visual productions, and other informational
> products; applications, forms, press and promotional materials used in
> connection with USAID funded programs, projects or activities,
> including signage and plaques; Web sites/Internet activities; and
> events such as training courses, conferences, seminars, press
> conferences and so forth.
>
> ***Subrecipient*** means any person or government (including
> cooperating country government) department, agency, establishment, or
> for profit or nonprofit organization that receives a USAID subaward,
> as defined in 22 C.F.R. 226.2.
>
> ***Technical Assistance*** means the provision of funds, goods,
> services, or other foreign assistance, such as loan guarantees or food
> for work, to developing countries and other USAID recipients, and
> through such recipients to subrecipients, in direct support of a
> development objective -- as opposed to the internal management of the
> foreign assistance program.
>
> ***USAID Identity (Identity)*** means the official marking for the
> United States Agency for International Development (USAID), comprised
> of the USAID logo or seal and new brandmark, with the tagline that
> clearly communicates that our assistance is "from the American
> people." The USAID Identity is available on the USAID website at
> <http://www.usaid.gov/branding> and USAID provides it without royalty,
> license, or other fee to recipients of USAID-funded grants, or
> cooperative agreements, or other assistance awards.
>
> **(b) Marking of Program Deliverables**
>
> \(1\) All recipients must mark appropriately all overseas programs,
> projects, activities, public communications, and commodities partially
> or fully funded by a USAID grant or cooperative agreement or other
> assistance award or subaward with the USAID Identity, of a size and
> prominence equivalent to or greater than the recipient's, other
> donor's, or any other third party's identity or logo.
>
> \(2\) The Recipient will mark all program, project, or activity sites
> funded by USAID, including visible infrastructure projects (for
> example, roads, bridges, buildings) or other programs, projects, or
> activities that are physical in nature (for example, agriculture,
> forestry, water management) with the USAID Identity. The Recipient
> should erect temporary signs or plaques early in the construction or
> implementation phase. When construction or implementation is complete,
> the Recipient must install a permanent, durable sign, plaque or other
> marking.
>
> \(3\) The Recipient will mark technical assistance, studies, reports,
> papers, publications, audio-visual productions, public service
> announcements, Web sites/Internet activities and other promotional,
> informational, media, or communications products funded by USAID with
> the USAID Identity.
>
> \(4\) The Recipient will appropriately mark events financed by USAID,
> such as training courses, conferences, seminars, exhibitions, fairs,
> workshops, press conferences and other public activities, with the
> USAID Identity. Unless directly prohibited and as appropriate to the
> surroundings, recipients should display additional materials, such as
> signs and banners, with the USAID Identity. In circumstances in which
> the USAID Identity cannot be displayed visually, the recipient is
> encouraged otherwise to acknowledge USAID and the American people's
> support.
>
> \(5\) The Recipient will mark all commodities financed by USAID,
> including commodities or equipment provided under humanitarian
> assistance or disaster relief programs, and all other equipment,
> supplies, and other materials funded by USAID, and their export
> packaging with the USAID Identity.
>
> \(6\) The Agreement Officer may require the USAID Identity to be
> larger and more prominent if it is the majority donor, or to require
> that a cooperating country government's identity be larger and more
> prominent if circumstances warrant, and as appropriate depending on
> the audience, program goals, and materials produced.
>
> \(7\) The Agreement Officer may require marking with the USAID
> Identity in the event that the recipient does not choose to mark with
> its own identity or logo.
>
> \(8\) The Agreement Officer may require a pre-production review of
> USAID-funded public communications and program materials for
> compliance with the approved Marking Plan.
>
> \(9\) Subrecipients. To ensure that the marking requirements "flow
> down\'\' to subrecipients of subawards, recipients of USAID funded
> grants and cooperative agreements or other assistance awards will
> include the USAID-approved marking provision in any USAID funded
> subaward, as follows:
>
> *"As a condition of receipt of this subaward, marking with the USAID
> Identity of a size and prominence equivalent to or greater than the
> recipient's, subrecipient's, other donor's or third party's is
> required. In the event the recipient chooses not to require marking
> with its own identity or logo by the subrecipient, USAID may, at its
> discretion, require marking by the subrecipient with the USAID
> Identity."*
>
> \(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
> funded by USAID, in which the content has not been approved by USAID,
> must contain the following disclaimer:
>
> *"This study/report/audio/visual/other information/media product
> (specify) is made possible by the generous support of the American
> people through the United States Agency for International Development
> (USAID). The contents are the responsibility of \[insert recipient
> name\] and do not necessarily reflect the views of USAID or the United
> States Government."*
>
> \(11\) The recipient will provide the Cognizant Technical Officer
> (CTO) or other USAID personnel designated in the grant or cooperative
> agreement with two copies of all program and communications materials
> produced under the award. In addition, the recipient will submit one
> electronic or one hard copy of all final documents to USAID's
> Development Experience Clearinghouse.
>
> **(c) Implementation of marking requirements.**
>
> \(1\) When the grant or cooperative agreement contains an approved
> Marking Plan, the recipient will implement the requirements of this
> provision following the approved Marking Plan.
>
> \(2\) When the grant or cooperative agreement does not contain an
> approved Marking Plan, the recipient will propose and submit a plan
> for implementing the requirements of this provision within 60 days
> after the effective date of this provision. The plan will include:
>
> \(i\) A description of the program deliverables specified in paragraph
> (b) of this provision that the recipient will produce as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity.
>
> \(ii\) the type of marking and what materials the applicant uses to
> mark the program deliverables with the USAID Identity,
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking,
>
> \(3\) The recipient may request program deliverables not be marked
> with the USAID Identity by identifying the program deliverables and
> providing a rationale for not marking these program deliverables.
> Program deliverables may be exempted from USAID marking requirements
> when:
>
> \(i\) USAID marking requirements would compromise the intrinsic
> independence or neutrality of a program or materials where
> independence or neutrality is an inherent aspect of the program and
> materials;
>
> \(ii\) USAID marking requirements would diminish the credibility of
> audits, reports, analyses, studies, or policy recommendations whose
> data or findings must be seen as independent;
>
> \(iii\) USAID marking requirements would undercut host-country
> government "ownership" of constitutions, laws, regulations, policies,
> studies, assessments, reports, publications, surveys or audits, public
> service announcements, or other communications better positioned as
> "by" or "from" a cooperating country ministry or government official;
>
> \(iv\) USAID marking requirements would impair the functionality of an
> item;
>
> \(v\) USAID marking requirements would incur substantial costs or be
> impractical;
>
> \(vi\) USAID marking requirements would offend local cultural or
> social norms, or be considered inappropriate;
>
> \(vii\) USAID marking requirements would conflict with international
> law.
>
> \(4\) The proposed plan for implementing the requirements of this
> provision, including any proposed exemptions, will be negotiated
> within the time specified by the Agreement Officer after receipt of
> the proposed plan. Failure to negotiate an approved plan with the time
> specified by the Agreement Officer may be considered as noncompliance
> with the requirements is provision.
>
> **(d) Waivers.**
>
> \(1\) The recipient may request a waiver of the Marking Plan or of the
> marking requirements of this provision, in whole or in part, for each
> program, project, activity, public communication or commodity, or, in
> exceptional circumstances, for a region or country, when USAID
> required marking would pose compelling political, safety, or security
> concerns, or when marking would have an adverse impact in the
> cooperating country. The recipient will submit the request through the
> Cognizant Technical Officer. The Principal Officer is responsible for
> approvals or disapprovals of waiver requests.
>
> \(2\) The request will describe the compelling political, safety,
> security concerns, or adverse impact that require a waiver, detail the
> circumstances and rationale for the waiver, detail the specific
> requirements to be waived, the specific portion of the Marking Plan to
> be waived, or specific marking to be waived, and include a description
> of how program materials will be marked (if at all) if the USAID
> Identity is removed. The request should also provide a rationale for
> any use of recipient's own identity/logo or that of a third party on
> materials that will be subject to the waiver.
>
> \(3\) Approved waivers are not limited in duration but are subject to
> Principal Officer review at any time, due to changed circumstances.
>
> \(4\) Approved waivers "flow down" to recipients of subawards unless
> specified otherwise. The waiver may also include the removal of USAID
> markings already affixed, if circumstances warrant.
>
> \(5\) Determinations regarding waiver requests are subject to appeal
> to the Principal Officer's cognizant Assistant Administrator. The
> recipient may appeal by submitting a written request to reconsider the
> Principal Officer's waiver determination to the cognizant Assistant
> Administrator.
>
> **(e) Non-retroactivity.** The requirements of this provision do not
> apply to any materials, events, or commodities produced prior to
> January 2, 2006. The requirements of this provision do not apply to
> program, project, or activity sites funded by USAID, including visible
> infrastructure projects (for example, roads, bridges, buildings) or
> other programs, projects, or activities that are physical in nature
> (for example, agriculture, forestry, water management) where the
> construction and implementation of these are complete prior to January
> 2, 2006 and the period of the grant does not extend past January 2,
> 2006.

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

.

"ORGANIZATIONS ELIGIBLE FOR TIP ASSISTANCE (MAY 2007)

The U.S. Government is opposed to prostitution and related activities,
which are inherently harmful and dehumanizing, and contribute to the
phenomenon of trafficking in persons. No funds made available under an
agreement resulting from this Request for Application or Annual Program
Statement for the purpose of monitoring or combating trafficking in
persons may be used to promote, support or advocate the legalization or
practice of prostitution. Nothing in the immediately preceding sentence
shall be

construed to preclude assistance designed to combat trafficking in
persons, including programs for prevention, protection of victims, and
prosecution of traffickers, by ameliorating the suffering of, or health
risks to, victims while they are being trafficked or after they are out
of the situation that resulted from such victims being trafficked. U.S.
and foreign organizations, Public International Organizations and
collaboration agreement non-traditional partners, in each case, whether
prime or sub-recipients, that

receive U.S. Government funds to carry out programs that target victims
of severe forms of trafficking, which means sex trafficking in which a
commercial sex act is induced by force, fraud, or coercion, or in which
the person induced to perform such act has not attained 18 years of age,
cannot promote, support or advocate the legalization or practice of
prostitution. The preceding sentence shall not apply to such
organizations or non-traditional partners that provide services to
individuals solely after they are no

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

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

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

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

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

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

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

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

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

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

Requirements for Voluntary Sterilization Programs

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

Prohibition on Abortion-Related Activities

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

**VOLUNTARY POPULATION PLANNING ACTIVITIES -- SUPPLEMENTAL
REQUIREMENTS**

**(JANUARY 2009)**

a\. Voluntary Participation and Family Planning Methods:

\(1\) The recipient agrees to take any steps necessary to ensure that
funds made available under this award will not be used to coerce any
individual to practice methods of family planning inconsistent with such
individual\'s moral, philosophical, or religious beliefs. Further, the
recipient agrees to conduct its activities in a manner which safeguards
the rights, health and welfare of all individuals who take part in the
program.

\(2\) Activities which provide family planning services or information
to individuals, financed in whole or in part under this agreement, shall
provide a broad range of family planning methods and services available
in the country in which the activity is conducted or shall provide
information to such individuals regarding where such methods and
services may be obtained.

b\. Requirements for Voluntary Family Planning Projects

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

\(2\) A project is a discrete activity through which a governmental or
nongovernmental organization or public international organization
provides family planning services to people and for which funds
obligated under this award, or goods or services financed with such
funds, are provided under this award, except funds solely for the
participation of personnel in short-term, widely attended training
conferences or programs.

\(3\) Service providers and referral agents in the project shall not
implement or be subject to quotas or other numerical targets of total
number of births, number of family planning acceptors, or acceptors of a
particular method of family planning. Quantitative estimates or
indicators of the number of births, acceptors, and acceptors of a
particular method that are used for the purpose of budgeting, planning,
or reporting with respect to the project are not quotas or targets under
this paragraph, unless service providers or referral agents in the
project are required to achieve the estimates or indicators.

\(4\) The project shall not include the payment of incentives, bribes,
gratuities or financial rewards to (i) any individual in exchange for
becoming a family planning acceptor or (ii) any personnel performing
functions under the project for achieving a numerical quota or target of
total number of births, number of family planning acceptors, or
acceptors of a particular method of contraception. This restriction
applies to salaries or payments paid or made to personnel performing
functions under the project if the amount of the salary or payment
increases or decreases based on a predetermined number of births, number
of family planning acceptors, or number of acceptors of a particular
method of contraception that the personnel affect or achieve.

\(5\) No person shall be denied any right or benefit, including the
right of access to participate in any program of general welfare or
health care, based on the person's decision not to accept family
planning services offered by the project.

\(6\) The project shall provide family planning acceptors comprehensible
information about the health benefits and risks of the method chosen,
including those conditions that might render the use of the method
inadvisable and those adverse side effects known to be consequent to the
use of the method. This requirement may be satisfied by providing
information in accordance with the medical practices and standards and
health conditions in the country where the project is conducted through
counseling, brochures, posters, or package inserts.

\(7\) The project shall ensure that experimental contraceptive drugs and
devices and medical procedures are provided only in the context of a
scientific study in which participants are advised of potential risks
and benefits.

\(8\) With respect to projects for which USAID provides, or finances the
contribution of, contraceptive commodities or technical services and for
which there is no subaward or contract under this award, the
organization implementing a project for which such assistance is
provided shall agree that the project will comply with the requirements
of this paragraph while using such commodities or receiving such
services.

\(9\) The recipient shall notify USAID when it learns about an alleged
violation in a project of the requirements of subparagraphs (3), (4),
(5) or (7) of this paragraph;

1.  the recipient shall investigate and take appropriate corrective
    action, if necessary, when it learns about an alleged violation in a
    project of subparagraph (6) of this paragraph and shall notify USAID
    about violations in a project affecting a number of people over a
    period of time that indicate there is a systemic problem in the
    project.

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1.  The recipient shall provide USAID such additional information about
    violations as USAID may request.

c\. Additional Requirements for Voluntary Sterilization Programs

\(1\) None of the funds made available under this award shall be used to
pay for the performance of involuntary sterilization as a method of
family planning or to coerce or provide any financial incentive to any
individual to practice sterilization.

\(2\) The recipient shall ensure that any surgical sterilization
procedures supported in whole or in part by funds from this award are
performed only after the individual has voluntarily appeared at the
treatment facility and has given informed consent to the sterilization
procedure. Informed consent means the voluntary, knowing assent from the
individual after being advised of the surgical procedures to be
followed, the attendant discomforts and risks, the benefits to be
expected, the availability of alternative methods of family planning,
the purpose of the operation and its irreversibility, and the option to
withdraw consent anytime prior to the operation. An individual\'s
consent is considered voluntary if it is based upon the exercise of free
choice and is not obtained by any special inducement or any element of
force, fraud, deceit, duress, or other forms of coercion or
misrepresentation.

\(3\) Further, the recipient shall document the patient\'s informed
consent by (i) a written consent document in a language the patient
understands and speaks, which explains the basic elements of informed
consent, as set out above, and which is signed by the individual and by
the attending physician or by the authorized assistant of the attending
physician; or (ii) when a patient is unable to read adequately a written
certification by the attending physician or by the authorized assistant
of the attending physician that the basic elements of informed consent
above were orally presented to the patient, and that the patient
thereafter consented to the performance of the operation. The receipt of
this oral explanation shall be acknowledged by the patient\'s mark on
the certification and by the signature or mark of a witness who shall
speak the same language as the patient.

\(4\) The recipient must retain copies of informed consent forms and
certification documents for each voluntary sterilization procedure for a
period of three years after performance of the sterilization procedure.

d\. Prohibition on Abortion-Related Activities:

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

\(2\) No funds made available under this award will be used to pay for
any biomedical research which relates, in whole or in part, to methods
of, or the performance of, abortions or involuntary sterilizations as a
means of family planning. Epidemiologic or descriptive research to
assess the incidence, extent or consequences of abortions is not
recluded.

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

**8. Implementation of the United States Leadership Against HIV/AIDS,
Tuberculosis and Malaria Act of 2003 -- Eligibility Limitation on the
Use of Funds and Opposition to Prostitution and Sex Trafficking**

**ORGANIZATIONS ELIGIBLE FOR ASSISTANCE (ASSISTANCE) (JUNE 2005)**

An organization that is otherwise eligible to receive funds under this
agreement to prevent, treat, or monitor HIV/AIDS shall not be required
to endorse or utilize a multisectoral approach to combating HIV/AIDS, or
to endorse, utilize, or participate in a prevention method or treatment
program to which the organization has a religious or moral objection.

**CONDOMS (ASSISTANCE) (JUNE 2005)**

Information provided about the use of condoms as part of projects or
activities that are funded under this agreement shall be medically
accurate and shall include the public health benefits and failure rates
of such use and shall be consistent with USAID's fact sheet entitled,
"USAID: HIV/STI Prevention and Condoms. This fact sheet may be accessed
at:
<http://www.usaid.gov/our_work/global_health/aids/TechAreas/prevention/condomfactsheet.html>"

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

\(a\) The U.S. Government is opposed to prostitution and related
activities, which are inherently harmful and dehumanizing, and
contribute to the phenomenon of trafficking in persons. None of the
funds made available under this agreement may be used to promote or
advocate the legalization or practice of prostitution or sex
trafficking. Nothing in the preceding sentence shall be construed to
preclude the provision to individuals of palliative care, treatment, or
post-exposure pharmaceutical prophylaxis, and necessary pharmaceuticals
and commodities, including test kits, condoms, and, when proven
effective, microbicides.

\(b\) Except as noted in the second sentence of this paragraph, as a
condition of entering into this agreement or any sub agreement, a
non-governmental organization or public international organization
recipient/sub recipient must have a policy explicitly opposing
prostitution and sex trafficking. The following organizations are exempt
from this paragraph: the Global Fund to Fight AIDS, Tuberculosis and
Malaria; the World Health Organization; the International AIDS Vaccine
Initiative; and any United Nations agency.

\(c\) The following definition applies for purposes of this provision:
Sex trafficking means the recruitment, harboring, transportation,
provision, or obtaining of a person for the purpose of a commercial sex
act. 22 U.S.C.7102(9).

\(d\) The recipient shall insert this provision, which is a standard
provision, in all sub agreements.

\(e\) This provision includes express terms and conditions of the
agreement and any violation of it shall be grounds for unilateral
termination of the agreement by USAID prior to the end of its term.

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# 

[^1]: The indicator items are Coartem green, sulfadoxine pyrimethamine,
    Cotrimoxazole, ORS, Medroxyprogesterone injectable (Depo-Provera),
    and measles vaccine.