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>
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preparation and submission of an application.

**USAID/PAKISTAN**

**FATA LIVELIHOOD DEVELOPMENT PROGRAM (LDP)**

**[REQUEST FOR APPLICATION (RFA)]{.underline}**

**RFA SOLICITATION NUMBER: 391-2007-030**

**ISSUANCE DATE: September 19, 2007**

**APPLICATION SUBMISSION CLOSING DATE: November 2, 2007, 16:00 (Pakistan
Time)**

**POINT OF CONTACT: Muhammad Aslam**

**PHONE: 92-51-208-2094**

**EMAIL: maslam@usaid.gov**

**TABLE OF CONTENTS**

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

**A.
PURPOSE.....................................................................................................p.4**

**B. BACKGROUND
............................................................................................p.4**

**C. SETTING FOR THE FARA LDP
PROGRAM\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...p.7**

**D. OBJECTIVE OF THE FATA LDP
PROGRAM....................................... ..............p.7**

**E.** **PROGRAM IMPELEMENATAION**
...............................................................\....**p.8**

E.1 Component One -- Creating Jobs, Increasing Incomes and Teaching

Employable Skills with a Focus on Unemployed Youth

E.2 Component Two -- Revitalizing Community Infrastructure and

Essential Services

E.3 Component Three -- Supporting Established Businesses and

Developing New Sustainable Businesses

**F.** **PROGRAM INDICATORS AND PERFORMANCE MEASURES
............................p.15**

**G. GENDER
....................................................................................................p.15**

**H. PROGRAM FUNDING AND DISTRIBUTION
....................................................p.16**

**I. SUBSTANTIAL INVOLVEMENT
....................................................................p.17**

**J. ROLES AND RESPONSIBILITIES
..................................................................p.18**

**K. AUTHORIZED GEOGRAPHIC CODE
.............................................................p.19**

**L. PERIOD OF AWARD
.................................................................................\...p.19**

**M. PLACE OF PERFORMANCE
.........................................................................p.19**

**N. REFERENCE MATERIAL
.............................................................................p.20**

[Annexes]{.underline}:

I: Detailed Background Material

II: Selected Readings on FATA Tribes

III: Small and Medium Enterprise Development Authority (SMEDA) FATA
Skill

Development Strategy

IV: FDA Skills Development Strategy

V: Technical and Vocational Education and Training (TVET)

VI: National Vocational and Technical Education Commission (NAVTEC)

VII: NAVTEC II

VIII: NAVTEC Presentation

IX: Education Capacity Initiative FATA

X: Pakistan Participatory Poverty Assessment FATA Report

[Websites]{.underline}

**O. PROGRAM MANAGEMENT
.........................................................................p.20**

O,1 Performance Management

O.2 Security

O.3 Reporting Requirements

**[SECTION II]{.underline}**

**A. ELIGIBILITY
INFORMATION**.......................................................................**p.27**

> A.1 Types of Entities That May Apply
>
> A.2 Cost Sharing
>
> A.3 Program Income

**B. APPLICATION SUBMISSION
INFORMATION**................................................\...**p.28**

> B.1 General Submission Instructions
>
> B.2 Applicant Responsibilities

**C.** **AWARD
INFORMATION**...............................................................................**p.31**

> C.1 Estimate Of Available Funds, Anticipated Start Dates And
> Performance Period
>
> C.2 Availability of Funding
>
> C.3 Authority To Obligate The Government
>
> C.4 Award Considerations
>
> C.5 Award Administration
>
> C.6 Special Provisions

**D. GUIDELINES FOR
APPLICATION**..................................................................**p.44**

> D,1 Guidelines For Technical Application
>
> D.2 Guidelines For Cost/Business Application
>
> D.3 Statutory and Regulatory Certifications
>
> D.4 Potential Request For Additional Documentation
>
> D.5 Explanation of RFA to Prospective Applicants

**E. EVALUATION
CRITERIA**..............................................................................**p.57**

> E.1 Overview
>
> E.2 Review Process
>
> E.3 Best Value Procurement
>
> E.4 Acceptability Of Proposed Non-Price Terms and Conditions
>
> E.5 Rating Methodology
>
> E.6 Evaluation Criteria
>
> E.7 Technical Evaluation Criteria
>
> E.8 Cost Evaluation

**[SECTION III]{.underline}**

**CERTIFICATIONS, ASSURANCES AND OTHER STATEMENTS OF
APPLICANT**.............**p.62**

Part I Certifications

Part II Other Statements of Recipient

Part III Mandatory Standard Provisions

**USAID/PAKISTAN**

**FATA LIVELIHOOD DEVELOPMENT PROGRAM (LDP)**

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

**PROGRAM DESCRIPTION**

**A. PURPOSE**

As part of its Federally Administered Tribal Areas (FATA) Development
Program (FDP), the United States Agency for International Development
(USAID)/Pakistan intends to provide funding to organizations to develop
consortiums/alliances/partnerships to implement a social and economic
stabilization and development program impacting the seven Agencies of
FATA and the six bordering Frontier Regions. The United States
Government (USG) and the Government of Pakistan (GOP) have determined
that this assistance is vital to achieving joint security, political and
development objectives. As part of the USG's contribution to meet these
objectives, USAID plans to provide up to \$300.0 million over the next
five years to meet the objectives of the Livelihood Development Program
(LDP), including \$25.0 million to be provided in FY 2007.

The LDP will be a community-based program comprised of the following
components.

-   Component One -- Creating Jobs, Increasing Incomes and Teaching
    Employable Skills with a Focus on Unemployed Youth

-   Component Two -- Revitalizing Community Infrastructure and Essential
    Services

-   Component Three -- Supporting Established Businesses and Developing
    New Sustainable Businesses

USAID/Pakistan reserves the right to make an award of a Cooperative
Agreement to more than one implementing partner to implement singular or
multiple program components based on the strengths of the Applicants'
proposals and their evaluation by USAID.

**B. BACKGROUND**

The Federally Administered Tribal Areas (FATA) is comprised of seven
Agencies and five Frontier Regions (FRs). The Agencies from north to
south are Bajur, Mohmand, Khyber, Orakzai, Kurram, North Waziristan and
South Waziristan. The five FRs, namely FR Peshawar, FR Kohat, FR Banuu,
FR Tank, and FR Dera Ismail Khan, run in a north-south strip along the
eastern edge of the Tribal Areas between the Agencies and the "settled
areas" of Pakistan's North West Frontier Province (NWFP). FATA's
population is almost entirely Pashtun, and shares an ethnicity, tribal
linkages, language and heritage with Afghanistan's largest ethnic group.

The Government of Pakistan (GOP) has less administrative control over
the Agencies than the Frontier Regions. Weak state presence, concomitant
instability and extremist activities are generally more acute in the
southern Agencies of North and South Waziristan and the FRs Bannu and
Tank. Although all of FATA suffers from growing insecurity, the majority
of recent fighting has occurred in the southern area, making it even
less secure. Pakistan's FATA borders the majority of Afghanistan's
eastern provinces where U.S. and NATO troops are stationed, stretching
from Konar, situated northeast of Kabul, to Paktika in Afghanistan's
extreme southeast. It is across this porous, desolate and mountainous
border area where instability threatens the states of Pakistan and
Afghanistan.

FATA is not part of Pakistan's mainstream governance and judicial
systems. Instead, FATA is governed principally by the Frontier Crimes
Regulation 1901[^1]. The GOP administers FATA with a political
arrangement dating back to the British Raj, whereby Political Agents
(PAs) and assistant Political Agents, or Tehsildars, interface with
Maliks and Lungi holders[^2] of the FATA tribes using a well-established
system of rewards and punishments. PAs are appointed by the central
government in Islamabad, and have historically achieved short term
stability through control mechanisms that have created mistrust between
the tribal communities and the GOP. This system has never provided
adequate mechanisms for governance of FATA. Today, this system and
FATA's traditional tribal structures are under increased pressure
because of Pakistan's military activities in FATA, the spread of
fundamentalist extremism, foreign terrorist involvement, and an active
military campaign in Afghanistan.

To win the Global War on Terrorism, the United States must help the GOP
recast its relationship with the country's FATA region. Since late 2001,
Taliban and Al Qaeda elements have exploited FATA's loosely-governed and
impoverished environment to plan and launch attacks on Afghan,
Pakistani, United States (U.S.) and NATO forces in Afghanistan and
Pakistan. Despite successes in the Pakistan military's vigorous campaign
against terrorists and militants in FATA, the U.S. and Pakistan agree
there can be no purely military solution to the problem. Factors such as
a weak economy, rampant unemployment, a lack of social services, and an
inadequate government presence breed social and political instability in
the region. Countering extremist influences in FATA will require a
robust economic development program implemented with the support and
assistance of the U.S. and the international community.

USAID and the U.S. Department of State have prepared a five-year, \$750
million development program for FATA that supports the GOP's ten-year,
\$2 billion FATA Sustainable Development Plan (FSDP). The strategy
supports short- and medium-term service delivery and addresses the
capacity constraints of government agencies to deliver essential
services with speed and effectiveness. The USG's FATA Development
Program (FDP) strengthens and expands ongoing U.S. efforts in
infrastructure improvement, education, health, and economic growth. The
long-term strategic goals of the overall USAID FATA Development Program
are to:

**• Improve economic and social conditions in FATA communities:** The
people of FATA currently lack the most basic of economic opportunities
and social services. There are few employment opportunities and a
woefully inadequate number of functional hospitals and schools. U.S.
support of Pakistani objectives will focus on employment generation and
skills development, basic education,

> primary healthcare, infrastructure and agriculture, and media and
> public outreach. A key programmatic area of U.S. assistance in the
> short term will be the establishment of employment generation programs
> that will provide thousands of unskilled laborers in FATA with
> opportunities to build their communities while gaining
> market-applicable skills.
>
> • **Extend the writ of the Government of Pakistan in FATA:** Taliban
> and Al Qaeda elements are able to become established and successfully
> operate in FATA largely because the GOP's writ does not extend into
> most of the region. Generally, people in FATA live in remote,
> impoverished conditions, abide by tribal codes rather than Pakistani
> law, and do not benefit from Pakistani government services. A major
> goal of the U.S. development strategy in FATA will be enhancing the
> GOP's capacity to deliver essential services in FATA, including water
> and sanitation, healthcare, education, and road repair. Improved
> government access and delivery of services will help extend the
> influence and writ of the government in FATA.

**• Support permanent, sustainable change:** It is ultimately the
responsibility of local inhabitants, civil society, government and the
private sector to permanently transform FATA from an impoverished,
ungoverned area into an economically productive and politically stable
region of Pakistan. Therefore, throughout program implementation, the
USG will be mindful that its aim is to leave in place the essential
mechanisms -- local institutions, governance structures, and economic
models -- that FATA inhabitants can use to sustain economic growth,
social service improvements and political stability.

Through its FATA LDP, USAID will support Pakistani efforts to improve
livelihoods, which is the principal immediate need in FATA. Long-term
success depends on community participation and building the capacity of
government agencies to deal effectively with communities. There are
significant challenges to the success of this strategy, including the
difficult security situation in FATA and the lack of a vibrant community
of governmental, non-governmental, and private entities delivering
services in the region. These challenges are not insurmountable, but
success will require a flexible and innovative approach to each of the
seven FATA Agencies and the six Frontier Regions.

The USG will assist the GOP, both civilian and military sectors, to
develop strategies for each of the seven Agencies and six Frontier
Regions. In tandem with the identification of key security and
development constraints, the USG and GOP joint strategies will support
the development of action plans that support the GOP's FSDP and unity of
effort between civilian and military objectives, and also incorporate
other donors' programs and GOP resources. USAID national programs in
health, education, and economic

growth will also have FATA specific components and should be closely
coordinated with while designing and implementing LDP activities.

The USG approach will be community-based, supporting the guidance
contained in USAID's "*Community-Based Development in Conflict-Affected
Areas: An Introductory Guide to Programming*" available at the following
link:

<http://www.usaid.gov/our_work/cross-cutting_programs/conflict/publications/toolkits.html>

Through its participation in the FDP, USAID seeks to restore and
strengthen the capacity of the GOP, through the existing Political Agent
system or other means, to work with tribal leadership. Implementing
partners will be expected to support the strategic approach developed
under the FDP.

In addition to the LDP, the USG will also support programs in security,
infrastructure development, and improved capacity of FATA development
and security organizations to form the basis for U.S. support of the
GOP's FSDP over the next five years.

**C. SETTING FOR THE FATA LIVELIHOOD DEVELOPMENT PROGRAM**

**(LDP)**

FATA is neither monolithic nor is it a big area. The seven FATA Agencies
consist of approximately 3,000 rural villages populated by approximately
4.2 million people. Its people are tribal (60 tribes with over 400
sub-tribes), fiercely independent, generally mistrust outsiders and for
hundreds of years have been isolated from the rest of the world. For the
past several decades Pashtun culture and social systems have been
threatened by war and instability in neighboring Afghanistan. Extremist
groups have capitalized on these insecurities, along with the past
general neglect, to influence tribal support away from the GOP through a
combination of tribal allegiance, provision of resources, an Islam-based
rationale, and brutality in order to gain increasing support for
extremist objectives.

Given this setting, there are a number of imperatives associated with
the work to be performed in FATA. First, most of the elements must
register quick, visible and appreciated results, albeit in part. Second,
the foundations for longer-term development must be established; that
is, the capacity of Pakistani institutions must be built. Third, the
work must have a Pakistani identity and be accomplished in full
consultation with the GOP.

These imperatives will be performed in an environment characterized by
profound constraints. For example, in much of FATA, the security
situation, and the implementation of law and order, is unstable.
Extremist groups have taken control of some areas and are usurping GOP
control. Finally, there are severe capacity constraints faced by the
institutions that are likely to be the program's chief GOP counterpart
agencies: the FATA Secretariat (FS) and the FATA Development Authority
(FDA). Tribal members find it difficult to work with groups or concepts
they are not familiar with or understand; therefore, the implementation
of the program would be best directed to working approaches and concepts
that tribal leaders already have experience with. As well, it will be
important to support existing GOP programs that local residents have
knowledge of, experience with, and that they trust. The identification
of existing and planned GOP initiatives will thus be essential. The
strategy will be to improve these programs byintroducing international
best practices and building the capacity of the GOP to implement the
programs over time. It will be essential to identify local organizations
that have strong tribal affiliations which will be essential in making
this effort successful.

**D. OBJECTIVE OF THE FATA LIVELIHOOD DEVELOPMENT PROGRAM**

**(LDP)**

The FATA Livelihood Development Program (LDP) will support the
achievement of objectives outlined in the GOP's FSDP and the USG's FDP.
The LDP is expected to provide FATA residents with the means of earning
a decent living so they can meet their families' needs and lead
productive lives, thus providing alternatives to illegal economic
activities or supporting the programs of extremist groups. Increasing
incomes and generating employment is one of the most important
undertakings that are needed to counter the growing influence of the
Taliban and Al Qaeda in FATA. Employment generation and creating
livelihood opportunities thus form an important component of the LDP for
countering extremist and terrorist groups in FATA. Improving community
infrastructure and basic services in health and education sectors is
also considered to be a critical component of the LDP.

Youth in FATA face the challenge of inadequate and, in most cases,
non-existent access to quality and affordable education as well as very
limited technical and vocational training opportunities, particularly
for female youth. As a result, a large number of young people in FATA do
not possess any livelihood skills to be economically engaged or make a
positive contribution to the socio-economic development of their
communities. While not strictly limited to young people between the ages
of 14 and 30 years, USAID considers this population segment to be the
principal focus of the LDP. Proposals should be developed that
specifically target men and women in this age group.

**E. PROGRAM IMPLEMENTATION**

The existing conditions in the FATA present a formidable operating
environment for the implementing partner. In order to implement the LDP,
the partner will need to provide a mix of resources which respond to the
evolving security situation and the ability and capacity to work in
various FATA Agencies and Frontier Regions. Implementing partners will
need to demonstrate the capacity to undertake a number of different
activities ranging from rapid response and quick impact employment
generation, community development and micro-grant activities, to
developing and implementing sustainable agriculture, micro-, small- and
medium-enterprise and value chain development activities, while at the
same time working with FATA and GOP organizations of differing
capacities.

The LDP implementing partner will be expected to work with other USAID
parallel activities supporting public administration and management
capacity building, health, education, and economic growth in FATA. These
initiatives will include existing and planned USAID programs in the
sectors identified above. Other activities could include cross-border
initiatives with USAID/Afghanistan that may evolve over the next two
years. The LDP will also support the work of the FDA in the areas of
skills development and investment promotion, and the National Vocational
and Technical Education Commission (NAVTEC) in skills development. Both
the Asian Development Bank and International Fund for Agricultural
Development (IFAD) have active programs in rural development,
agriculture and natural resources management in FATA. Implementing
partners will need to coordinate their programs with these activities

under the overall guidance of USAID and FATA Secretariat. A key
objective of the program is to bring innovative approaches to existing
systems in FATA in order for the GOP to accelerate and improve the
quality of its training and support programs.

The LDP will undertake quick impact and medium-term programs to
revitalize urban and rural communities through rehabilitation and
clean-up activities, generating employment and providing skills
development and resources for sustainable employment and business
development, and provision of critical services in education and health.
These programs will take into consideration the execution of the LDP's
principal interventions over the five years of the program that include:

-   Creating jobs, increasing incomes and teaching employable skills
    with a focus on unemployed youth;

-   Revitalizing community infrastructure and essential services; and

-   Supporting established businesses and developing new sustainable
    businesses.

A cross-cutting component of the LDP will be to support activities at
the community and regional levels that assist moderate forces in
addressing extremist activities and initiating dialogue. In order to
address intolerance, proposals should address how the Applicant will
engage religious and political leaders, as well as civil society
associations and individuals that support harmony and tolerance and
assist in the implementation of LDP. Building upon people's own efforts
to protect and augment their livelihoods can assist in curbing extremist
tendencies. Using planned community-based programs as a way of
furthering dialogue and action is the preferred method of achieving this
objective rather than implementing specific programs that deal
exclusively with extremism. Supporting moderate influences where they
exist can lead to indigenous and acceptable community-based solutions to
address militant issues and thus facilitate the creation of a receptive
environment for economic development.

Implementing partners will be expected to coordinate with and obtain
USAID approval of the Agencies and areas which are identified for work
to be implemented with as provided for under the substantial involvement
provisions of the Cooperative Agreement. None of the areas are fully
permissive as to the presence and work being executed by outside
parties; some (such as North and South Waziristan) are currently not at
all permissive. However, implementing partners should be ready to work
in the Waziristans if the security situation permits and if directed by
USAID. Proposals should address individual Agency issues and provide
approaches to implementing programs under different security situations.
USAID will be looking for effective approaches for action based on the
Applicants' previous experience in countries and areas undergoing
similar transitions.

**E.1 Component One - Creating Jobs, Increasing Incomes and**

**Teaching Employable Skills with a Focus on Unemployed Youth**

An objective of LDP is to create short- and medium-term employment
opportunities for target groups. While the program will support
employment generation (ex., cash for work programs), these programs must
be linked to sustainable skill development, such as literacy training,
vocational skills, livelihood skills and micro-grants. Programs should
also support key economic sectors, particularly in the Agencies, such as
agriculture, livestock, natural resource management and trade. Each of
these areas is discussed in further detail below.

**E.1.1 Employment Generation**

Employment generation will focus on public works activities that will
create thousands of direct and indirect employment opportunities, most
of them short-term. These public works activities are expected to

be implemented in conjunction with the GOP and other donors. They will
be focused in FATA and to a certain extent in the Frontier Regions (FRs)
and the adjoining four cities i.e. Peshawar, Kohat, Bannu, and Dera
Ismail Khan. In conjunction with short-term employment opportunities,
the program will offer a training-to-work (TTW) program that will
provide longer-term employment opportunities for approximately one year;
participants will be unskilled, semi-skilled and skilled workers. The
program will focus initially on implementing programs that have
immediate impact and then graduate to more extensive programs providing
skills development, job placement and possible micro-grants.
Sustainability will result from linking jobs and training to sustainable
and productive economic sectors. While on work status, unskilled
laborers shall receive on-the-job and apprenticeship training from
skilled workers attached to the TTW program, or from local contractors.
Formal job training could be linked to skills development programs. The
objective is to support, expand and accelerate the skills training
programs and institutes currently in existence in order to maximize the
number of participants and link them to productive employment. In order
to ensure linkages with the market, skill-building and employment
creation initiatives, all proposed activities should be supported by
research and market surveys necessary to ensure these programs' success.

Various emergency employment programs, based on the experience of
historic U.S. Civilian Conservation Corps, have been supported in
various countries undergoing the type of conflict and change now
occurring in FATA. The Afghan Conservation Corps (ACC), funded by the
United Nations Office for Project Services, is one example. The ACC has
provided thousands of jobs for vulnerable Afghans that also resulted in
rehabilitated nurseries; reforested indigenous forests; timber, fruit
and nut resources; planted pistachio seedlings; improved irrigation
systems; planted hundreds of kilometers of roadside vegetation;
revitalized public parks; and conducted watershed and hillside
stabilization. The program was also responsible for building technical
and professional partnerships with local government agencies.
Consideration may be given to such a structured organization, or similar
structures, for FATA. The challenge in executing a proposed approach in
this area will be to employ an innovative concept towards development in
Pakistan and link it to familiar and trusted local institutions.
Applicants are requested to suggest ideas and concepts that have been
successful in other countries and that would fit within the FATA
context.

**E.1.2 Vocational and Skills Training**

The objective of vocational and skill training is to support, expand and
accelerate the skills training programs at existing Government schools,
Government Technical Training Institutes, Vocational Training
Institutes, Polytechnic Institutes and technical training colleges in
order to maximize the number of participants and link them to productive
employment. There are several ongoing vocational and skills development
programs directed at FATA, sponsored by the GOP, which Applicants may
consider supporting. Institutions need not be limited to FATA, but may
also include those in the North West Frontier Province (NWFP) and other
areas of Pakistan.

It should be understood that the granting of scholarships, including
room and board, will form a part of the overall assistance program.
Literacy and numeracy programs will also be a part of the overall
program and should be linked to certificate-level vocational and skills
development programs. Efforts should be made to

motivate those who are not educated by linking the literacy and numeracy
programs with skill development. These programs will be long-term in
nature with separate programs established for both young men and women.
LDP support could provide for curriculum development, training of
teachers, rehabilitation and equipping of institutes and granting
scholarships to recipients.

Under a proposed Partnership for Better Schools Program, USAID will be
working with the FATA Education Foundation in establishing an adult
literacy program that will provide a primary school equivalency
certificate. Current programs to support FATA youth are also being
developed by the FDA, Small and Medium Enterprise Development Authority
(SMEDA), NAVTEC and the FATA Directorate of Education (FDE). The All
Pakistan Women's Association -- NWFP Chapter, based in Peshawar, is
currently engaged in economic empowerment of women in FATA through
vocational training.

As the FDA is responsible for skills development programs in FATA, all
programs must be coordinated through the Authority. Applicants should
develop integrated programs that support GOP objectives for FATA skills
training. Applicants may also propose other innovative methods for
skills development, particularly for youth with limited or no literacy
skills. Proposals should clearly describe how the Applicant would
implement its employment generation program, list local partners and
explain how the Applicant would interface with the GOP during program
implementation in order to maximize the Pakistani face to the component.

**E.1.3 Agriculture/Livestock/Natural Resources Management/Trade**

The objective of the agriculture, livestock, natural resources
management and trade element is to support employment and incomes in
these key areas of the FATA economy. Applicants' proposals should
include training, organizational development, marketing and the
provision of inputs both in-kind and through micro-grant programs. To be
practical and feasible, the programs must be responsive to the needs of
beneficiaries; be simple in approach and generate quick results; provide
support for a limited time while allowing participants to "graduate" to
sustainable livelihoods, thus limiting dependency.

Agriculture holds promise in some areas of FATA, but water, high-quality
seed, propagation materials, markets and other factors needed to make
this sector viable over the long term are largely absent. Activities to
increase incomes, employment and productivity in the agricultural sector
in the short and medium term could form the basis for a successful
program, particularly when linked with sustainable programs to make the
sector competitive and commercial.

The livestock sector has significant potential for improving the
livelihoods of a large number of rural households in a relatively short
period of time. Increasing fodder and feed supply are obvious activities
and would also pave the way for commercial development of the sector.
There is a high level of awareness and interest in improving livestock
production. This demand can serve as an incentive to shift from
subsistence-level activities towards sustainable commercial livestock
and poultry rearing. Fish farming also has potential, as does honey
production.

Proposals should also support programs for the private sector to provide
for service delivery, particularly in veterinary extension, livestock
production extension and marketing. Dairy development and
livestock-based industry are areas where opportunities for support
exist. Applicants should explore the possibility of

establishing innovative community-based support programs. An
illustrative example is Veterinary Field Units which were established
successfully in Afghanistan. The Veterinary Field Unit program entailed

training high school graduates to identify common livestock maladies and
then equipped them to provide essential services for a fee. These and
other such innovative programs should be explored in proposals.

Reforestation is a priority in FATA for which the FS has already begun
establishing community nurseries. Applicants should consider ways to
improve and accelerate this program, which has the potential to create
jobs and address a critical need in FATA. Reforestation would have
valuable links to a possible FATA conservation corps program as
discussed earlier.

Trade is an extremely important component of the FATA economy.
Applicants may develop programs that support wholesale and retail trade,
in addition, or complementary, to the agriculture, livestock and natural
resources sectors.

The NWFP Agricultural University in Peshawar, which USAID assisted in
the 1980's, has a faculty of U.S. and European trained agricultural,
livestock and natural resources specialists. Applicants could consider
utilizing the resources of the faculty and also partnering with them in
the development and implementation of the program. USAID has also
supported the UN Food and Agricultural Organization in working with
Pashtun tribes in Balochistan on various agriculture themes; this
program could serve as a model for development in FATA.

The Recipient will coordinate implementation and work through the
Directorate for Agriculture of the FS and the FDA.

**E.1.4 Youth Programs**

Youth programs could form a valuable component to the LDP and provide
additional support to this vulnerable segment of the population.
Unemployed and disengaged young men are a key demographic of support for
insurgent activities. Many are uneducated or have been "educated" in
Madrassas supported by terrorist organizations. There are approximately
800,000 young men in the FATA Agencies between the ages of 14 and 30
years.

Improving educational and employment opportunities for this group can
contribute to short-term stability and long-term prosperity. Informal
education programs can provide new possibilities for out-of-school and
unemployed youth by teaching literacy, livelihood skills, civic
education, health and tolerance. Linking skills development to actual
livelihood opportunities through micro-grants for youth to start their
own businesses and job-specific training that create additional
long-term employment opportunities will provide participants with
sustainable livelihoods, as well as teaching civic responsibility.
Special attention should be provided to young women as they are most
disadvantaged in finding employment and education.

Youth are more likely to view the GOP as legitimate if they have a forum
for expressing their needs and interests and having them heard. Youth
programming must address the needs of youth which is critical to
mitigating conflict and helping to legitimize the GOP among FATA's large
youth cohort. Program possibilities include youth-led media programs and
support for youth associations. Youth programming is more likely to have
an impact if young people themselves are involved in the program
development and

service delivery. Applicants are encouraged to use USAID's "*Youth and
Conflict: A Toolkit for Intervention*" for ideas and guidance on
developing programs for youth

(The *Toolkit* is available at:

[www.usaid.gov/our_work/cross-cutting_programs/conflict/pubglications/toolkit.html](http://www.usaid.gov/our_work/cross-cutting_programs/conflict/pubglications/toolkit.html)).

**E.2 Component Two - Revitalizing Community Infrastructure and**

**Essential Services**

The inadequate infrastructure in FATA is in serious need of
rehabilitation and urgent improvement. All communities in FATA would
greatly benefit from improved infrastructure, along with major urban
centers of the NWFP, such as Peshawar, Dera Ismail Khan, Bannu and
Kohat, which have large migrant populations from FATA and serve as
commercial hubs.

Community revitalization projects can be undertaken through the
employment generation /training-for-work component or through direct
contracting with local organizations, preferably from FATA. If
contracting mechanisms are utilized, the maximum use of local labor must
be part of the contract. Depending upon the complexity of the activity,
provisions should also be made to include on-the-job training to local
residents. The revitalization of existing structures as well as the
construction of new infrastructure can be considered. All activities
under this component must be planned in cooperation with Agency
officials and through community-based organizations.

Illustrative programs could include community physical infrastructure
(drinking water supply, household latrines, and environmentally safe
wastewater disposal and street surfacing); activities to improve the
economic base (local market development or rehabilitation, improvements
in feeder roads, irrigation capacity, and power supply); as well as
activities to improve social and cultural cooperation (community
centers, playgrounds, parks, and security structures).

Efforts must include providing decent working conditions to improve
health and education (mostly primary) services in the FATA. Assistance
may not be limited to infrastructure. Depending upon community needs and
requests, support for the salaries of essential service providers
(schoolteachers, paramedics and doctors), student scholarships,
provision of books and uniforms, etc. can be funded. Visible improvement
in education and health services must be ensured through using LDP funds
or by linking with other USAID health and education initiatives in FATA
as well as through leveraging public resources.

**E.3 Component Three - Supporting Established Businesses and**

**Developing New Sustainable Businesses**

In addition to providing opportunities for local business
establishments, the LDP will undertake programs to strengthen businesses
in order to increase local economic growth and provide additional
employment opportunities. Supporting women's businesses or helping women
create new businesses is an important component of this program and
would have important linkages with skills development programs. For

example, the rehabilitation of local markets would be a prime candidate
for assistance due to the high level of employment such support would
generate.

The LDP will undertake programs to strengthen trade and industry in
order to increase local economic growth and provide additional
employment opportunities. Implementing partners will work with existing
networks of FATA-based organizations, all of which are based in
Peshawar. Possible partners include: the FDA; SMEDA; local chambers such
as the Sarhad Chamber of Commerce and Industry (SCCI), the Tribal Areas
Chamber of Commerce and Industry (TCCI), the Sarhad Women's Chamber of
Commerce and Industry (SWCCI); training centers including universities
such as University of Peshawar and its Centre of Excellence, Institute
of Management Sciences (IMS) and the NWFP University of Engineering and
Technology (UET); and practical training institutions such as the Gems
and the Gemological Institute of Pakistan.

Developing micro-enterprise will be a principal objective of the LDP.
The graduates of the TTW program and vocational and skills development
programs will gain marketable skills for profitable employment and
trade. Experience in other countries has demonstrated a high demand for
micro-enterprise development funds after young people have participated
in livelihood skills training programs. Support can include business
development technical assistance and basic business skills training,
and/or micro-grants, through which tools and supplies can be provided.
In addition, support will include business development and micro-lending
for existing businesses such as market-traders, tradesmen, tailors and
seamstresses, and agribusiness (such as food processing). Again, the
combination of business skills training and micro-grants could provide
the necessary impetus for establishing micro-enterprises. Further
financial assistance independent of the LDP will be made available
through established micro-credit programs such as those currently being
offered by USAID funded Khushhali Bank Project.

Small and medium enterprise will also be eligible for support but,
because of financial limitations, assistance will generally be limited
to technical assistance. Implementing partners could assist firms in
obtaining financial support through assistance in business plan
development and in locating suitable institutions that provide
appropriate financing. SME support should be linked to USAID's existing
and possible future programs to foster competitiveness in FATA.

Because the LDP is focused on sustainability, proposals should describe
the potential for value chain development in selected FATA industries.
USAID expects implementing partners to actively pursue opportunities in
this regard and will look for at least three such developments over the
life of the program, particularly benefiting rural areas.

USAID/Pakistan is now reviewing its current economic growth portfolio
and may, in the next six months, be revising its economic strategic and
programmatic approach. This approach will focus on competitiveness and
cross-border participation with Afghanistan, including assistance to
Reconstruction Opportunity Zones and building economic legal and
regulatory capactiy. As a result, additional resources will be made
available for FATA activities, which will provide further support to the
ongoing work of the

LDP. Applicants should be aware of these initiatives and be prepared to
work in a collaborative manner with other USAID economic growth
activities in FATA.

**F. PROGRAM INDICATORS AND PERFORMANCE MEASURES**

The following illustrative indicators and performance measures
constitute illustrative standards. Applicants are to accompany their
proposals with proposed indicators and performance measures which
appropriately reflect on their proposed programs and implementations.

F.1. Illustrative indicators of success at the end of the 60-month
implementation period:

-   Widespread support in FATA for GOP programs in areas such as
    security and development.

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-   Possible example: Percentage of the population expressing approval
    of the Government's action in their Agency

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-   Increase in economic and social stability (specific indicators to be
    determined jointly with USAID).

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-   Possible example: Number of new local businesses started and jobs
    created

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-   Decrease in extremist influence (specific indicators to be
    determined jointly with USAID).

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-   Possible example: Percentage of youth able to participate in
    livelihoods programs

F.2. Illustrative performance measures at the end of the 60--month
implementation period:

-   Creating jobs, increasing incomes and teaching employable skills
    with a focus on unemployed youth.

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-   Short-term Employment Generation -- 50,000 persons provided
    employment for six months each

-   Training-to-Work Infrastructure Rehabilitation -- 50,000 receive
    on-the-job training and employment for one year

-   Skills Training - 5,000 receive certificate-level vocational
    training and 5,000 graduate from adult literacy programs

-   10,000 receive micro-grants and business training

-   25,000 benefit from agriculture/ livestock/ trade activities

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-   Revitalizing community infrastructure and essential services.

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-   3,000 community infrastructure projects completed (average cost
    \$25,000)

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-   Supporting established businesses and developing new sustainable
    businesses.

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-   2,000 small- and medium-sized businesses expanded, generating 10,000
    jobs

-   10,000 micro-enterprises created, generating 30,000 jobs

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-   Improved education and health services.

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-   Number of children attending school (majority at primary level)

-   Number of people receiving health services within the agency

**G. GENDER**

Tribal society in FATA has a patriarchal system dominated by men while
women assume a secondary position in comparison. Women have
traditionally been considered suitable only for soft jobs such as
fetching water. Although the situation is gradually changing, a
meaningful turnaround in societal attitudes

towards gender roles will be a long-term process. A conscious effort to
reach out to women must be made when investing in development
initiatives. Women in FATA play a dominant role in running the
household, raising children, and providing much of the labor for
agriculture and animal husbandry. They,however, do not normally have a
public role, especially in broader social interactions. Too overt a

focus on women's programs and women's issues which can generate
hostility within the communities, especially at the early stages of the
program, should be avoided.

There are many gender concerns that should be considered when developing
an approach to livelihoods programs in FATA. Women in this region are
subject to the strictures of *purdah* and seldom venture outside their
houses except in the case of working in the fields and fetching water.
As a result, programs that hope to bring women out of the village for
training or work will be difficult. Selection of facilities for any
training for women will need to ensure appropriate access and privacy,
and will need to accommodate the accompaniment of some women by a male
family member.  

Women's empowerment through skills development is necessary to improve
the status of women in FATA, where they are extremely marginalized and
have an abysmal literacy rate of three percent. Women could be trained
in market-driven entrepreneurship focused on marketable skills and
vocations such as marble mosaic manufacturing, home-based textiles,
carpet weaving, and sericulture. These skill programs can be implemented
through local NGOs and Women's Vocational Training Centers. This skilled
labor force can also contribute to the establishment of a garment
industry in the proposed Reconstruction Opportunity Zones.

Women empowerment activities can include the following:

-   Proposing creative entry points to engage women through water supply
    and health related services;

-   Increasing the number of vocational and technical centers for women
    to provide market-relevant training and gender-appropriate skills
    suited to the cultural context, such as nursing, health care, and
    midwifery; and

-   Establishing adult literacy centers focused on women at Women's
    Support Development Centers (WSDCs).

Addressing gender issues will be an important part of achieving program
objectives. Applications should describe how gender will be incorporated
into each of the program components.

**H. PROGRAM FUNDING AND DISTRIBUTION**

The anticipated program funding and distribution across the program
components over the life of the program are portrayed below. Applicants
are to consider these levels and distribution in preparing their

technical proposals and budget (cost) proposals for the initial
('First") Agreement year and the period of the Agreement (Life of
Program- LOP).

**(Million US Dollars)**

  ----------------------- ----------------------- -----------------------
                          [First                  [LOP]{.underline}
                          Year]{.underline}       

  Component 1             10.0                    150.0

  Component 2             10.0                    100.0

  Component 3             [5.0]{.underline}       [50.0]{.underline}

  Total                   25.0                    300.0
  ----------------------- ----------------------- -----------------------

Future funding beyond the initial phase of the program life will depend
upon the successful achievement of objectives and the availability of
funds.

**I. SUBSTANTIAL INVOLVEMENT**

While the Recipient is the ultimate responsible party for the
implementation of the program, USAID/Pakistan anticipates a close
working partnership with the implementing partner(s) and substantial
involvement in the Recipient's programs. USAID's substantial involvement
in the program described in this program description will extend to
those items identified below. Where the Cognizant Technical Officer
(CTO) is cited as to represent USAID, the CTO and the Recipient will
develop and agree on formal and informal mechanisms to enable
USAID/Pakistan to provide directions for project implementation. It is
expected that the CTO will meet regularly with the Chief of Party and
other key staff to monitor implementation, management, and budgetary
analyses.

USAID's substantial involvement will entail the following elements:

1\. Approval of the Recipient's Program Mobilization Plan, Program
Management Plan,

Implementation (Work) Plans and Performance Management Plan (see below)
and

any significant modification thereto by the USAID Cognizant Technical
Officer (CTO).

2\. Approval of Key Personnel and any changes to the budget related
thereto by the

Agreement Officer with CTO concurrence

3\. The Agreement Officer's approval and concurrence of the CTO of
sub-award recipients, not

described in the application and funded under the approved budget of the
award, and the

substantive provisions of the sub-awards (including related manuals,
solicitations, selection criteria).

4\. Agency and Recipient collaboration or joint participation:

a\. The USAID Cognizant Technical Officer CTO) approves the selection of
Agencies,

Frontier Regions and urban areas, as well as individual areas and
communities within

specified Agencies Frontier Regions and urban areas.

b\. The CTO approves each Agency and Frontier Region Plan.

> d\. The CTO approves the Recipient's Performance Management Plan,
> which will include the
>
> following:
>
> \(i\) An initial Results Framework specifying the critical results (or
> interrelated changes) that are necessary to accomplish LDP objectives
> and illustrating the development hypothesis (or cause and effect
> linkages) represented in the Application. The preliminary Plan,
> outlining how results will be measured at all levels of the results
> framework should be submitted as part of the proposal. Baseline data
> will be collected as part of the Plan. The first year's Plan will be
> due 60 days after the award of the Agreement. The recipient must be
> prepared to mobilize quickly, o/a January 15, 2008,
>
> to undertake programs and be flexible to meet the challenges that will
> inevitably occur in transitional situations. The first-year
> Implementation (Work) Plan will contain an updated Performance
> Management Plan developed jointly with USAID and will describe how
> program resources will be utilized to achieve program objectives and
> results. Applicants should bear in mind that USAID is concerned with
> in impact; not all activities will be successful. The implementing
> partner will need to have the analytical capacity to review ongoing
> activities and look at what is occurring periodically in order to make
> appropriate mid-course corrections to the program. Proposals should
> address this need and make appropriate recommendations on how
> mid-course corrections will be identified and addressed.
>
> \(ii\) USAID plans close coordination of the FATA program with the
> USAID/Afghanistan Mission, which is implementing programs on the
> Afghan side of FATA. USAID/Afghanistan is utilizing the GeoBase
> Tracking system, which captures and maintains information on all
> reconstruction and development activities. GeoBase ties activities to
> geo-coordinates and enables project information to be represented on
> maps. USAID will tie its FATA activities into the GeoBase system so
> that a comprehensive reporting system exists for the border regions on
> both sides of the border. The Recipient will provide data as requested
> by USAID for input into the GeoBase system.
>
> \(iii\) An annual report summarizing progress with the Results
> Framework. The report will also identify progress on each of the
> indicators in the Performance Management Plan. The first report will
> be due one year after the approval of the first work plan. The Mission
> will also require reports in accordance with 22CFR226.50-53.

e\. USAID will make site visits to the Recipient's office and project
locations as frequently as

practicable in order to evaluate progress, address technical issues, or
provide advice if required.

f\. During the course of the Agreement, USAID may conduct mid-term
and/or final evaluations

using separate external sources to do so.

**J. ROLES AND RELATIONSHIPS**

It is essential that the Recipient be cognizant of the needs and
priorities as defined by the program description and the USG, USAID, the
GOP and its FATA agencies and tribal representatives in developing

and implementing the program. At the same time, the Recipient should
take into account the significant amounts of funding anticipated to be
provided for affecting intervention in the FATA. The Recipient will
identify potential synergies with other partners and among other
programs. In instances where the environment will provide for such, the
Recipient is expected to participate actively in exchanges and
coordination with other partners and programs. Finally, the Recipient
should also be informed of other work under way by USAID and the USG in
the FATA in order to ensure there is no duplication of effort.

In coordination with the Cognizant Technical Officer (CTO), the
Recipient will work closely with the Consulate General in Peshawar,
relevant FATA agencies including the FS and the FDA, Political Agents,

and tribal authorities. Close cooperation will also be needed with
Pakistani military authorities including 11^th^ Corp Commander, Frontier
Corps and Frontier Constabulary. The FATA Development Program is a new
initiative and, as such, the relevant implementing and coordinating
bodies have not yet been established. It is anticipated that several
such bodies will be established at the Agency and regional level,
including one to foster civilian-military relations. Implementing
partners will be expected to participate in such organizations as
appropriate and as requested by the CTO and FATA authorities. The
Recipient should propose and establish clear lines of communication with
appropriate GOP counterparts.

A CTO representing the Mission will be designated to the Recipient and
appointed to assist in administering the LDP Agreement(s). The CTO will
facilitate coordination with all program stakeholders. The CTO will
assume those roles and responsibilities outlined under 'Substantial
Involvement' and as prescribed in the USAID letter of appointment,
unless specifically delegated to another USAID official.

USAID may fund independent contractors to undertake field monitoring.
Such procurements will be undertaken separately by USAID.

**K. AUTHORIZED GEOGRAPHIC CODE**

The authorized geographic code for procurement of goods and services is
Code '000' (any area or country including the cooperating country, but
excluding the foreign policy restricted countries).

**L. PERIOD OF AWARD**

The period of Agreement is 60 months commencing from the date of award
of the Cooperative Agreement.

**M. PLACE OF PERFORMANCE**

The place of performance will be the FATA region and other locations in
Pakistan, as detailed in the Program Description. The Recipient will not
be expected to open offices in Islamabad. The Recipient's

principal offices are to be established in Peshawar as the regional hub
for FATA and most FATA authorities are represented there.

**N. REFERENCE MATERIAL**

[Annexes:]{.underline}

I: Detailed Background Material

II: Selected Readings on FATA Tribes

III: Small and Medium Enterprise Development Authority (SMEDA) FATA
Skill

Development Strategy

IV: FDA Skills Development Strategy

V: Technical and Vocational Education and Training (TVET)

VI: National Vocational and Technical Education Commission (NAVTEC)

VII: NAVTEC II

VIII: NAVTEC Presentation

IX: Education Capacity Initiative FATA

X: Pakistan Participatory Poverty Assessment FATA Report

[Websites:]{.underline}

-   FATA Sustainable Development Plan and additional information on
    FATA: [www.fata.gov.pk/downloads](http://www.fata.gov.pk/downloads)

-   USAID website: [www.usaid.gov/pk](http://www.usaid.gov/pk)

-   International Fund for Agricultural Development (IFAD):
    [www.ifad.org/gbdocs/eb/71/e/EB-2000-71-R-22-REV-1.pdf](http://www.ifad.org/gbdocs/eb/71/e/EB-2000-71-R-22-REV-1.pdf)

-   Asian Development Bank (ADB):
    [www.asiandevbank.org/documents/rrps/pak/33268-PAK-RRP.pdf](http://www.asiandevbank.org/documents/rrps/pak/33268-PAK-RRP.pdf)

**O. PROGRAM MANAGEMENT**

The Recipient will be responsible for overseeing the implementation of
the program and all activities there under. The Recipient will monitor
program outputs and evaluate impact, coordinate with other stakeholders,
provide required reports, and adhere to other requirements further
specified in the Agreement at the time of award.

**O.1. PERFORMANCE MANAGEMENT**

The Recipient's responsibility in implementing the program includes the
development and submission of, as well as adherence to, the following:

> • Program Mobilization Plan (Note requirement for draft Plan submittal
> with Application.)
>
> • Program Management Plan
>
> • Implementation (Work) Plan

[The FATA LDP should be fully operational not later than thirty (30)
calendar days from date of award of the Agreement]{.underline}. This
date should be clearly reflected in the mobilization, management and
implementation (work) plans.

### [Program Mobilization Plan]{.underline}

Given the imperativeness of this program, [Applicants are required to
submit a draft Program Mobilization Plan with their
applications]{.underline}. This Plan will be evaluated during the
evaluation of applications and the final form of the Plan negotiated
with the highest evaluated Applicant as part of the award document.

The Mobilization Plan is to guide the Recipient's organization of
resources and activities. The Mobilization Plan is to provide details of
work to be carried out in the initial three-month period of the
Agreement. As a minimum, the Plan is to address the logistics of the
Agreement's start up and the process and timing of establishing
administrative and financial control systems. It is also to cover the
timing of the initial deployment of expatriate staff, key personnel, the
plan for hiring local staff, and the plan for the initial activities and
assessments to be executed by these staff members. [The Recipient's
Chief of Party is to be physically in-country in Peshawar no later than
fifteen (15) calendar days after award of the Agreement.]{.underline}

The Recipient will submit its final version of the Mobilization Plan, to
include the Recipient's Procurement Manual (and the Sub-Grant Manual
where sub-grants are an element of the Recipient's program), no later
than thirty (30) calendar days after award of the Agreement.

**[Program Management Plan]{.underline}**

The [Program Management Plan is to be submitted by the no later than
ninety (90) days following award of the Agreement]{.underline}. This
Plan is to serve as a continuation of the Mobilization Plan. It should
address management issues for the remainder of the FATA LDP and include
details as to how the available human, technical, and organizational
resources will be used efficiently and effectively. The Program
Management Plan should specify clear lines of decision-making,
responsibility, accountability and supervision among staff. Special
attention will need to be paid to ensuring efficiencies in operational
and financial management. Finally, the Program Management Plan is to
outline how the Recipient will manage coordination and communication
with a wide range of stakeholders, to include its own partners, other
partners internal to parallel other USAID/Pakistan programs,
public/private sector partners and other donors.

The Recipient shall be responsible for measuring progress towards
meeting the goals of the program. The Recipient will submit a
preliminary Performance Management Plan that includes a Results
Framework composed of the results expected to be achieved under the
program and the criteria or parameters for measuring both "outputs"
(performance indicators) as well as "outcomes" (impact indicators) per

component within 60 days of the Agreement's award. The "indicator
framework" will need to be accompanied by an explanation of (1) what
system or process will be used to collect the data, (2) what the time
frame is for data collection, and, (3) how the data will be used to
improve the project's performance and effectiveness as well as to guide
planning and management decisions.

### [Implementation (Work) Plan]{.underline}

The annual Implementation (Work) Plan serves mainly as a guide to
program implementation; as a demonstration of links between activities,
intended results and strategic objectives; and as the foundation for the
monitoring and evaluation plan. The work plan, at a minimum, is to
include:

-   A systematic presentation of the different components and
    sub-components of the program; how these components represent
    building blocks towards one or more intermediate results and
    strategic objective or goal; and budget involved.

-   A systematic presentation of activities to be accomplished under the
    different components and sub-components, in a given period.

-   Level of effort required from key staff, support staff, and partner
    staff -- in terms of time and financial resources -- if applicable.

Annual Implementation (Work) Plans are to be submitted on a schedule
established by USAID. The first Annual Implementation (Work) Plan is to
cover the period from award through December 31, 2008. [The first Annual
Implementation (Work) Plan is to be submitted to USAID no later than
sixty (60) calendar days after award of the Agreement]{.underline}. This
Implementation (Work) Plan will provide USAID/Pakistan a clear
description of all activities for the first year to include a timeline
for activities, an outline for regular reporting to the CTO on program
implementation, and a final monitoring and evaluation plan which
includes a list of indicators. USAID will approve the Implementation
(Work) Plan or request revisions within fourteen (14) calendar days of
receipt. The Recipient will make any requested revisions and submit a
revised final Implementation (Work) Plan within seven (7) calendar days
of receipt of USAID's comments. USAID will provide formal approval
within seven calendar days of receipt of the revised Implementation
(Work) Plan.

The Implementation (Work) Plan should include but need not be limited to
the following information:

-   Detailed description of all planned activities

-   Level of Effort of key partner and/or staff for each activity

-   Timeline for each activity

-   Budget for each activity

-   Justification/explanation of the sequencing of activities

-   Explanation of proposed methodologies

-   Monitoring and evaluation plan with indicators and targets that
    clearly

> demonstrate progress towards achieving the objective.

**O.2. SECURITY**

The Recipient is responsible for establishing a reasonable level of
personal security in view of the operating and security conditions in
the FATA in-country and performing under the contract. Applicants should
consider such costs in the budget submitted in response to this
solicitation. The proposed costs should be realistic given the level of
threat in the performance location and provide for the level of security
which the Offeror reasonably deems appropriate. Historical cost reviews
have recorded that one percent

(1%) of program costs have been attributed to security costs. This
figure is to be considered informational only. Applicants should refer
to Section II.D.2.f. for further information.

**O.3. REPORTING REQUIREMENTS**

The Recipient will adhere to all reporting requirements listed below.
All reports as required shall be submitted by the due date for approval
by the Cognizant Technical Officer (CTO) designated by USAID/Pakistan's
Agreement Officer. The recipient will consult the CTO on the format and
expected content of reports prior to submission of the first one in
particular.

######## [Quarterly Implementation Reports]{.underline}

The Recipient will comply with the performance reporting requirements in
accordance with 22 CFR 226.51. In particular, the Recipient will submit
to the CTO an implementation report on a quarterly basis. The Report
should include at a minimum the following components:

1.  An introduction, highlighting main achievements, problems, and
    related issues.

2.  A section highlighting major events influencing the health sector
    (if any) or major funding initiative by other donors (if any).

3.  An overview of implementation (achievements and obstacles) per
    component and sub-component. Where applicable, coordination with
    other donors should be highlighted.

4.  An outline of activities anticipated for next quarter.

In Annex, each quarterly report should include:

1.  A current Personnel List

2.  A current Sub-Awardee List

3.  Accomplishments under the Implementation Plan

4.  PMP status with cumulative to-date data analysis.

Notification must be provided to the CTO in a timely manner in the case
of problems, delays, or adverse conditions which materially impair the
ability to meet the objectives of the award. These notifications must
include a statement of the action taken or contemplated, and any
assistance needed to resolve the situation.

-   **[Quarterly Financial Reports]{.underline}**

The Recipient will comply with the financial reporting requirements in
accordance with 22 CFR 226.51. In particular, the Recipient will submit
to USAID/Pakistan, through the CTO, on a quarterly basis, a SF-269

Financial Status Report. In addition, the Recipient will submit to
USAID/Pakistan, through the CTO, a quarterly financial report that
specifically relates the budget status to "outputs", with expenditures
and accruals, and a remaining balance (pipeline). The quarterly
financial report will be submitted to the CTO no less than 15 days
before the end of each USAID fiscal year quarter, through the life of
the project.

Notification must be provided to the CTO in a timely manner in case of
any cost overruns or high unit costs, or any developments that have a
significant impact on award-supported activities.

-   **[Annual Report]{.underline}**

The Recipient will prepare and submit an annual report summarizing
progress with the Results Framework and describing progress on each of
the indicators in the Performance Management Plan. The first report will
be due one year after the approval of the first Implementation (Work)
Plan.

-   **[End of Program Report]{.underline}**

Per 22 CFR 226.51, ninety (90) days after the completion date of this
Cooperative Agreement, the Recipient shall submit, in three paper copies
and transmitted in electronic form, a final implementationreport as well
as a financial close-out report. The final implementation report should

include an executive summary of the Recipient's accomplishments in
achieving results and conclusions about areas in need of future
assistance; an overall description of the Recipient's activities and
attainment of results during the life of the Cooperative Agreement; an
assessment of progress made toward accomplishing the program objectives;
significance of these activities; important research findings, if any;
comments and recommendations.

The financial close-out report includes details on expenditures involved
in the project activities, transfer of title of property, handling of
non-expendable commodities, personnel actions, and a fiscal report that
describes how the Recipient's funds were used.

The Recipient shall submit an original and two copies of the final
implementation and financial close-out report to the CTO and one copy to
the USAID Development Experience Clearinghouse: E-mail (the preferred
means of submission) is: <docsubmit@dec.cdie.org>. The mailing address
via U.S. Postal Service is: Development Experience Clearinghouse, 8403
Colesville Road, Suite 210, Silver Spring, MD 20910.

######### **[Reporting of Foreign Taxes]{.underline}** 

\(a\) The awardee must annually submit one report by April 6 of the next
year. The reporting period will cover from October 1 to September 30.

\(b\) Contents of Report. The reports must be in the format provided in
attachment E and contain:

> \(i\) Recipient name.
>
> \(ii\) Contact name with phone, fax and email.
>
> \(iii\) Award number(s); separate report needs to be provided for each
> award.
>
> \(iv\) Amount of foreign taxes assessed on commodity purchase
> transactions valued at \$500 or more financed with U.S. foreign
> assistance funds under this agreement during the prior U.S. fiscal
> year.
>
> \(v\) Only foreign taxes assessed by the foreign government in the
> country receiving U.S. assistance are to be reported. Foreign taxes by
> a third party foreign government are not to be reported.
>
> \(vi\) Any reimbursements on the taxes reported in (iv) received by
> the recipient through March 31.
>
> \(vii\) Reports are required even if the recipient did not pay any
> taxes during the report period.
>
> \(viii\) Cumulative reports may be provided if the recipient is
> implementing more than one program in a foreign country.

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

> \(i\) "Agreement" includes USAID direct and country contracts, grants,
> cooperative agreements and interagency agreements.
>
> \(ii\) "Commodity" means any material, article, supply, goods, or
> equipment.
>
> \(iii\) "Foreign government" includes only a Palestinian Authority
> entity.
>
> \(iv\) "Foreign taxes" means value-added taxes and custom duties
> assessed by a foreign government on a commodity. It does not include
> foreign sales taxes.

\(d\) Where. Submit the reports by either of the following means: email
attachment (preferred) to

Shiraz Ashraf at <sashraf@usaid.gov>

\(e\) Subagreements. The awardee must include this reporting requirement
in all applicable subcontracts, subgrants and other subagreements.

\(f\) For further information see [http://www.state.gov/m/rm/c10443.htm
.](http://www.usaid.gov/cgi-bin/goodbye?http://www.state.gov/m/rm/c10443.htm)

-   [Geographic Information System (GIS)]{.underline}

In support of USAID/Pakistan's GIS initiative, the Contractor/Recipient
may be requested to report and provide GIS related information on all
USAID-funded activities upon USAID/Pakistan's implementation of the GIS
program. Following notification by USAID of the commencement of this
program, the Recipient will:

a.  Submit an initial GIS report within 30 days from notification with
    follow-on reports following every thirty (30) days (monthly)
    thereafter. Reports will be recorded in the GIS based on sector and
    subsector, or program area and program element.

b.  The Contractor/Recipient will be required to report on a number of
    fields of data. Data will include, as a minimum, for all locations
    for each program/project: the GPS coordinates (longitude, latitude
    and elevation) of each program/project activity, the activity type
    and location, and the related performance indicators. Reports are to
    be provided in the form and format outlined by USAID/Pakistan/PRM
    and, as well, will be available at the internet portal once the
    portal is established. Registration for access to the portal and
    questions regarding the use of the GIS web site and reporting are to
    be directed to USAID/Pakistan/PRM.

c.  Upon establishment of access for Contractor/Recipient staff to the
    GIS portal, the staff will be provided GIS training by
    USAID/Pakistan. This training will be directed toward basic
    functions of

> the GIS and enabling the Contractor/Recipient to add/update activities
> on the GIS system. The Contractor/Recipient will appoint a member of
> its staff for training, as responsible for executing the GIS reports,
> to serve as liaison with USAID, and participate in GIS working groups.

d.  The Final Report will reflect that all activities have been fully
    GIS reported. Close out actions will not be concluded until such
    reporting has been completed. GIS reports will be submitted in the
    form and format prescribed by USAID/Pakistan through the Cognizant
    Technical Officer or, if available, the cited internet portal.

**[Note]{.underline}**: To ensure that the FATA LDP activities are
comprehensively reported for border regions programs, the Recipient will
be required under the award to collect and report data as requested by
USAID

for consolidation under the USAID/Afghanistan Geo-Base GIS system. The
Recipient will be provided instructions as to the details of this
reporting requirement following award.

[SECTION II]{.underline}

ELIGIBILITY AND APPLICATIONS EVALUATION

**A. ELIGIBILITY INFORMATION**

**A.1. TYPES OF ENTITIES THAT MAY APPLY**

To be eligible to participate in this procurement, an organization must:

-   Be a qualified U.S. or international non-profit organization,
    for-profit organization, or private voluntary organization
    registered with USAID.

-   Have demonstrated capability to operate within the environment in
    which the program will be executed as described in this RFA.

-   Have the requisite managerial, technical and institutional
    capacities to conduct the activities and achieve the objectives
    outlined in this RFA.

-   Have the willingness and capacity to collaborate with other
    organizations/groups and entities to ensure the success of the
    program.

[Note for For-Profit Organizations]{.underline}: Pursuant to 22 CFR §
226.81, it is USAID's policy not to award fees nor profit under
assistance instruments. Other reasonable, allocable, and allowable
expenses, both direct and indirect, which are related to the agreement
program and are in accordance with applicable cost standards (OMB
Circular A-122 for nonprofit organizations), may be paid under the
agreement.

**A.2. COST SHARING**

A cost-share has not been specified for this procurement. Applicants,
however, are encouraged to provide for a cost-share under their
applications and such will be considered under the evaluation of the
cost effectiveness of the application. Cost sharing may be demonstrated
either through direct funding, beneficiary contributions, in-kind
assistance, or a combination thereof. The Agreement Officer shall make
the final determination and assess whether or not the Applicant's cost
share contributions (e.g. categories or items) meet the standards set in
22 CFR 226.23.

**A.3. PROGRAM INCOME**

Program income is not expected to be generated by the Recipient
implementing the Cooperative Agreement. Any program income that is
generated under this award, however, will be in accordance with 22 CFR
226.24.

**B. APPLICATION SUBMISSION INFORMATION**

**B.1. GENERAL SUBMISSION INSTRUCTIONS**

All applications received by the specified closing date for acceptance
will be reviewed for responsiveness to the specifications outlined in
these guidelines and the application format. Section D addresses the
format for submission of applications and Section E the technical
evaluation procedures for the applications. Applications which are
submitted late or are incomplete run the risk of not being considered
for evaluation.

The applications should be prepared according to the structural format
set forth below. Applications must be received at the place designated
and by the date specified in the Cover Letter of this RFA and must be
considered valid for a period of 120 days from the closing date. Late or
incomplete applications may only be reviewed if authorized by the
Agreement Officer and only if all such submissions are treated the same
and are evaluated prior to award of any other agreements under the RFA.

All applications must be addressed/submitted directly to (facsimile and
e-mail submittal is not permitted):

[By United States Mail]{.underline} [Delivery by Courier
Service]{.underline}

USAID/OAA USAID/OAA

Unit 62206 a/o American Embassy

APO AE 09812 Diplomatic Enclave, Ramna 5

Attn: Dale Lewis, Agreement Officer Islamabad, Pakistan

Attention: Dale Lewis,

Agreement Officer

The USPS postmark will determine timeliness. Applications sent via
courier service must be received by the due date. Lost or misdirected
courier packages received after the due date will be considered as
having been submitted late. Applicants are cautioned that packages are
closely scrutinized before entry in to the compound and adequate time
for such should be considered in establishing a timeline for completion
of and forwarding of the application package. All applications received
by the deadline will be reviewed for responsiveness to the application
format and to the program guidelines.

The Federal Grant process is now web-enabled, allowing for applications
to be submitted online. Beginning December 19, 2005, the preferred
method of distribution of USAID's RFAs and submission/ receipt of
applications is electronically via Grants.gov, which provides a single
source for Federal government-wide competitive grant opportunities. This
RFA and any amendments can be downloaded from
[www.grants.gov](http://www.grants.gov/) . In order to use this method,
an Applicant must first register online with Grants.gov. Difficulties in
accessing this RFA or registering should be addressed to the Grants.gov
Helpdesk at 1-800-518-4726 or via e-mail <support@usaid.gov> .
Applicants my upload applications to
[www.grants.gov](http://www.grants.gov/) ; however, **[hard copy
submission is required as stated above]{.underline}**. It is the
responsibility of the Applicant to ensure that its application has been
received in its entirety. USAID assumes no responsibility for data
errors resulting from transmission or conversion processes associated
with submissions.

All copies of the technical and cost/business applications must be
separately placed in sealed envelopes clearly marked on the outside with
the following words **\"RFA No. 391-2007-030 with the contents
indicated:  e.g. Technical Application, and/ or Cost/Business
Application (as appropriate)\".** Applicants must mark each sheet of the
application 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.\"

The Applicant shall follow the instructions contained herein and supply
all information required. Failure to furnish all information may
disqualify an Applicant. Applicants must set forth accurate and complete
information as required by this RFA. The penalty for making false
statements in applications to the U.S. Government is prescribed in 18
U.S.C. 1001.

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

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

[Format and Presentation]{.underline}

Applications shall be submitted in two separate parts: (a) technical and
(b) cost/budget or business application. Applicants are to submit one
original plus four (4) copies of a technical application and one
original plus two (2) copies of the cost/business application, in
English. In addition to hard copies, technical and cost/business
applications should be submitted on CD/DVD in Microsoft Word and Excel.

All copies of the technical and cost/business applications must be
separately placed in separate sealed envelopes clearly marked on the
outside with the name and address of the Applicant, the RFA Number \[RFA
No. 391-2007-030\], and the content: e.g. Technical or Cost/Business (as
appropriate) Application\".

The same requirements exist for the submission of subsequent revised
technical and/or cost proposals and technical/financial clarifications.

[Responsiveness to RFA]{.underline}

Applications should respond directly to the terms, conditions,
specifications and provisions of this RFA. Applications not conforming
to this RFA may be categorized as non-responsive, thereby eliminating
them from further consideration.

**B.2. APPLICANT RESPONSIBILITIES**

**a.** Applicants are expected to review, understand, and comply with
all aspects of this RFA. Failure to do so will be at the Applicant\'s
risk. Any prospective Applicant desiring an explanation or
interpretation of this RFA must request such as prescribed under Section
E.5 of this RFA.

b\. Applicants should include on the cover page of both the technical
and the cost applications (1) the printed or typed name and title of the
authorized representative; (2) information regarding the person to be
contacted both during the period of evaluation of applications and for
negotiations leading to award. This information is to include name,
title, address, phone number, internet e-mail and facsimile number; and
(3) a reference to the total proposed funding level and estimated cost
share.

c\. Applicants are to ensure that the authorized representative signs
the application and print or type his/her name and title on the Cover
Page of technical and cost (SF424) application. Erasures or other
changes must also be initialed by the person signing the application.
Applications signed by an agent shall be accompanied by evidence of that
agent\'s authority, unless that evidence has been previously furnished
to the issuing office. Similarly, the cost volume of the Applicant\'s
application must identify the individual(s) having authority to bind the
Applicant.

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

-   Mark the title page with the following legend: \"*This application
    includes data that shall not be disclosed outside the U.S.
    Government and shall not be duplicated, used, or disclosed, in whole
    or in part, for any purpose other than to evaluate this application.
    If, however, a Cooperative Agreement is awarded to this Applicant as
    a result of, or in connection with, the submission of this data, the
    U.S. Government shall have the right to duplicate, use, or disclose
    the data to the extent provided in the resulting Cooperative
    Agreement. This restriction does not limit the U.S. Government\'s
    rights to use information contained in this data if it is obtained
    from another source without restriction. The data subject to this
    restriction are contained in sheets* \[insert numbers or other
    identification of sheets\]\"; and

-   Mark each sheet of data it wishes to restrict with the following
    legend: \"*Use or disclosure of data contained on this sheet is
    subject to the restriction on the title page of this application*.\"

e\. Applicants must set forth accurate and complete information as
required by this RFA. The penalty for making false statements in
applications to the U.S. Government is prescribed in 18 U.S.C. 1001.

f\. Applicants should retain for their records one copy of their
application and all enclosures that accompany it.

**B.3. ADDITIONAL GUIDELINES**

> In addition to the aforementioned General Submission Instructions,
> Applicants are requested to take note of the following:

[Unnecessarily Elaborate Applications]{.underline}

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

[Order of Precedence]{.underline}

In the event of conflict or an inconsistency between documents
comprising this RFA as to the submission, evaluation and award of
applications, such will be resolved by the following descending order of
precedence within Section II:

\(1\) Section E.3. -- Best Value Procurement

\(2\) Section E.6 -- Evaluation Criteria

\(3\) Section C.4 -- Award Considerations

\(4\) Section D -- Guidelines for Applications

\(5\) Section B -- Application Submission Information

**C. AWARD INFORMATION**

**C.1. ESTIMATE OF AVAILABLE FUNDS, ANTICIPATED START DATES AND
PERFORMANCE PERIOD**

USAID/Pakistan anticipates awarding a [Cooperative
Agreement(s)]{.underline} for approximately [\$300.0
million,]{.underline} [for a period of five years]{.underline}, subject
to the availability of funds. The award will be made on or about January
30, 2008 upon which the Recipient to begin its operations in-country as
directed in this RFA.

USAID/Pakistan reserves the right to make an award to more than one
implementing partner to implement singular or multiple program
components based on the strengths of the Applicants' proposals and their
evaluation by USAID.

**C.2. AVAILABILITY OF FUNDING**

USAID/Pakistan specifically notes with regard to this request that the
making of an award or the obligation of additional monies is subject to
the availability of funds. Specifically, no award or obligation will be
made until funds have been fully allocated and committed through USAID
internal procedures for this specific activity.

**C.3. AUTHORITY TO OBLIGATE THE GOVERNMENT**

Issuance of this RFA does [not]{.underline} constitute an award or
commitment on the part of the U.S. Government or USAID, nor does it
commit the U.S. Government or USAID to make an award or to obligate
additional monies, nor to pay for costs incurred in the preparation and
submission of an application (bid and proposal costs) which are assumed
by the Applicant at its own risk USAID reserves the right to fund any or
none of the applications submitted in response to this solicitation.

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 project may be incurred before either a fully executed
Cooperative Agreement is signed by the Agreement Officer or a specific,
written authorization is received from the Agreement Officer.**

**C.4. AWARD CONSIDERATIONS**

-   The Government intends to award one (1) Cooperative Agreement
    resulting from this RFA to the responsible Applicant whose
    application conforming to this RFA offers the best value. Multiple
    awards, however, may be made when determined in the best interest of
    the Government.

-   The Government may (1) reject any or all applications, (2) accept
    other than the lowest cost application, (3) accept alternate
    applications, and (4) waive informalities and minor irregularities
    in applications received.

-   The Government may award a Cooperative Agreement on the basis of
    initial applications received without discussions. Therefore, each
    initial application should contain the Applicants best terms from a
    cost and technical standpoint.

-   The Agreement Officer may ask Applicants to arrange for interviews
    of the proposed key personnel or to make an oral presentation and
    respond to questions regarding the proposed program. The Applicant
    will be expected to facilitate and pay for all costs incurred for
    such interviews.

-   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.

-   A written award mailed or otherwise furnished to the successful
    applicant within the time for acceptance specified either in the
    application or in this RFA (whichever is later) shall result in a
    binding Agreement without further action by either party. Before the
    application\'s specified expiration time, 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 conducted after receipt of an application do not
    constitute a rejection or counteroffer by the Government.

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

**C.5. AWARD ADMINISTRATION**

Awards will be made in accordance with the USAID Standard Provisions and
other applicable U.S. Government regulations, which are available on the
USAID web site (<http://www.usaid.gov/pubs/ads>). The award will be
administrated under the 22CFR 226, OMB Circulars and the USAID Standards
Provisions for U.S Nongovernmental Organizations. Where non-U.S.
organizations may be a Recipient, the USAID Standard Provisions for
Non-U.S. Nongovernmental Organizations will apply.

**C.6. SPECIAL PROVISIONS**

The following special provisions will be included in the Cooperative
Agreement:

-   [USAID Disability Policy - Assistance (December 2004)]{.underline}

> \(a\) 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
> 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.

-   [Subcontracting With Government or Quasi-Government
    Entities]{.underline}

 

> No subcontracting with any government or quasi-government entity shall
> be conducted under this Agreement unless a specific waiver is approved
> for this purpose.

-   [Capital Assistance (611e Requirements)]{.underline}

 

> Prior to committing any USAID funds for capital assistance projects
> proposed under this agreement, including mechanical items and other
> equipment that will be purchased for use by local partners, the
> Recipient will provide USAID with sufficient information to determine
> that the benefiting/counterpart institutions and communities have the
> capacity to maintain and utilize the assistance effectively.   Upon
> review and analysis of information provided, USAID/Pakistan will
> advise the Recipient when and if all AID regulations for proceeding
> with capital assistance activities have been met.
>
> **●** [Prohibition Against Transactions with Listed Individuals and
> Organizations]{.underline}

**[Executive Order on Terrorism Financing]{.underline}**

> 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 Recipient to ensure compliance
> with these Executive Orders and laws. This
>
> provision, including this paragraph (e), shall be included in all
> contracts, subcontracts, grants and subgrants issued under this
> Agreement.
>
> \[Added Note: U.S. statutes and U.S. Executive Order 13224 prohibit
> transactions with, and the provision of resources and support to,
> individuals and organizations associated with terrorism.  The
> Applicant is legally responsible for ensuring with these statutes and
> with U.S. Executive Order 13224.  A list of the names of individuals
> and organizations designated pursuant to Executive Order 13224 can be
> found at the website of the Office of Foreign Assets Control (OFAC)
> within the Department of Treasury.  That website is
> [www.treasury.gov/offices/enforcement.ofac](http://www.treasury.gov/offices/enforcement.ofac)
> . Additional resources are available at the United Nations Security
> Committee 1267 Consolidated List. The Consolidate List website is
> [www.un.org/sc/committees/1267/consolist.shtml](http://www.un.org/sc/committees/1267/consolist.shtml)
> .\]

● [Branding and Marking Requirements]{.underline} (**NOTE**:
USAID/Pakistan is currently pursuing a waiver of Assistance Branding and
Marking requirements for this program under the "presumptive exceptions"
provided under 22 CFR 226.91 and ADS 320. In the absence of an approval
of this waiver, the following provisions will apply to the award.)

**1. [BRANDING STRATEGY -- ASSISTANCE (December 2005)]{.underline}**

\(a\) **Definitions**

***Branding Strategy*** means a strategy that is submitted at the
specific request of a USAID Agreement Officer by an Apparently
Successful Applicant after evaluation of an application for USAID
funding, describing how the program, project, or activity is named and
positioned, and how it is promoted and communicated to beneficiaries and
host country citizens. It identifies all donors and explains how they
will be acknowledged.

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

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

\(b\) **Submission.**

The Apparently Successful Applicant, upon request of the Agreement
Officer, will submit and negotiate a Branding Strategy. The Branding
Strategy will be included in and made a part of the resulting grant or
cooperative agreement. The Branding Strategy will be negotiated within
the time that the Agreement Officer specifies. Failure to submit and
negotiate a Branding Strategy will make the applicant ineligible for
award of a grant or cooperative agreement. The Apparently Successful
Applicant must include all

estimated costs associated with branding and marking USAID programs,
such as plaques, stickers, banners, press events and materials, and the
like.

\(c\) **Submission Requirements**

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

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

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

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

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

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

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

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

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

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

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

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

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

Guidelines: *For example: \"Be tested for HIV-AIDS\" or \"Have your
child inoculated.\"*

Please indicate if you also plan to incorporate USAID's primary message
-- this aid is \"from the American people\" -- into the narrative of
program materials. This is optional; however, marking with the USAID
Identity is required.

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

[Guidelines]{.underline}: These may include media releases, press
conferences, public events, and so forth. Note: incorporating the
message, "USAID from the American People", and the USAID Identity is
required.

*Please provide any additional ideas about how to increase awareness
that the*

*American people support this project or program.*

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

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

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

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

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

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

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

**2. [MARKING PLAN -- ASSISTANCE (December 2005)]{.underline}**

(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.

**3. [MARKING UNDER USAID-FUNDED ASSISTANCE INSTRUMENTS (December
2005)]{.underline}**

**(a) Definitions**

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

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

absence of such a responsible operating unit, the Principal U.S
Diplomatic Officer in the non-presence country exercising delegated
authority from USAID.

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

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

***Public communications*** are documents and messages intended for
distribution to audiences external to the recipient's organization. They
include, but are not limited to, correspondence, publications, studies,
reports, audio visual productions, and other informational products;
applications, forms, press and

promotional materials used in connection with USAID funded programs,
projects or activities, including signage and plaques; Web
sites/Internet activities; and events such as training courses,
conferences, seminars, press conferences and so forth.

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

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

***USAID Identity (Identity)*** means the official marking for the
United States Agency for International Development (USAID), comprised of
the USAID logo or seal and new brandmark, with the tagline that clearly
communicates that our assistance is "from the American people." The
USAID Identity is available on the USAID website at
www.usaid.gov/branding and USAID provides it without royalty, license,
or other fee to recipients of USAID-funded grants, or cooperative
agreements, or other assistance awards.

**(b) Marking of Program Deliverables**

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

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

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

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

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

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

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

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

\(9\) Subrecipients. To ensure that the marking requirements "flow
down\'\' to subrecipients of subawards, recipients of USAID funded
grants and cooperative agreements or other assistance awards will
include the USAID-approved marking provision in any USAID funded
subaward, as follows:

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

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

"This study/report/audio/visual/other information/media product
(specify) is made possible by the generous support of the American
people through the United States Agency for International Development
(USAID). The contents are the responsibility of **AED** 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 three days of
award

(to be included in the implementation plan) days after the effective
date of this provision. The plan will include:

\(i\) A description of the program deliverables specified in paragraph
(b) of this provision that the recipient will produce as a part of the
grant or cooperative agreement and which will visibly bear the USAID
Identity.

\(ii\) the type of marking and what materials the applicant uses to mark
the program deliverables with the USAID Identity,

\(iii\) when in the performance period the applicant will mark the
program deliverables, and where the applicant will place the marking,

\(3\) The recipient may request program deliverables not be marked with
the USAID Identity by identifying the program deliverables and providing
a rationale for not marking these program deliverables. Program
deliverables may be exempted from USAID marking requirements when:

\(i\) USAID marking requirements would compromise the intrinsic
independence or neutrality of a program or materials where independence
or neutrality is an inherent aspect of the program and materials;

\(ii\) USAID marking requirements would diminish the credibility of
audits, reports, analyses, studies, or policy recommendations whose data
or findings must be seen as independent;

\(iii\) USAID marking requirements would undercut host-country
government "ownership" of constitutions, laws, regulations, policies,
studies, assessments, reports, publications, surveys or audits, public
service announcements, or other communications better positioned as "by"
or "from" a cooperating country ministry or government official;

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

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

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

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

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

**(d) Waivers.**

\(1\) The recipient may request a waiver of the Marking Plan or of the
marking requirements of this provision, in whole or in part, for each
program, project, activity, public communication or commodity, or,

in exceptional circumstances, for a region or country, when USAID
required marking would pose compelling political, safety, or security
concerns, or when marking would have an adverse impact in the

cooperating country. The recipient will submit the request through the
Cognizant Technical Officer. The Principal Officer is responsible for
approvals or disapprovals of waiver requests.

\(2\) The request will describe the compelling political, safety,
security concerns, or adverse impact that require a waiver, detail the
circumstances and rationale for the waiver, detail the specific
requirements to be waived, the specific portion of the Marking Plan to
be waived, or specific marking to be waived, and include a description
of how program materials will be marked (if at all) if the USAID
Identity is removed. The request should also provide a rationale for any
use of recipient's own identity/logo or that of a third party on
materials that will be

subject to the waiver.

\(3\) Approved waivers are not limited in duration but are subject to
Principal Officer review at any time, due to changed circumstances.

\(4\) Approved waivers "flow down" to recipients of subawards unless
specified otherwise. The waiver may also include the removal of USAID
markings already affixed, if circumstances warrant.

\(5\) Determinations regarding waiver requests are subject to appeal to
the Principal Officer's cognizant Assistant Administrator. The recipient
may appeal by submitting a written request to reconsider the Principal
Officer's waiver determination to the cognizant Assistant Administrator.

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

## 

**D. GUIDELINES FOR APPLICATIONS**

**D.1. GUIDELINES FOR TECHNICAL APPLICATION**

USAID/Pakistan requests that applications be kept as concise as
possible. The total page limit for the Technical Application is 60 pages
(12 point/font single-spaced type), not including the cover page,
appendices, charts, figures and tables. APPLICATIONS' TECHNICAL
PROPOSALS EXCEEDING 60 PAGES AND/OR FAILING TO INCLUDE REQUIRED
DOCUMENTS WILL NOT BE EVALUATED. Applications shall be written in
English and the pages numbered consecutively. Detailed information
should be presented only when required by specific RFA instructions.
Applicants may use appendices for relevant supplemental information,
such as resumes and/or lists of previous contracts, cooperative
agreements or grants.

USAID/Pakistan requests that applications follow the outline provided in
this section. The format includes (1) cover page \[item 1 below\], (2)
executive summary \[item 2 below\], and (3) the technical portion \[item
3.1 thru 3.4 below\] of the application *strictu sensu*.

1.  [Cover Page (not to exceed 1 page -- not included in page
    limit)]{.underline} - The page should include proposed project title
    (FATA LDP), RFA number, name of organization(s) submitting
    application, contact person, telephone and fax numbers, e-mail, and
    address.

2\. [Executive Summary (not to exceed 5 pages)]{.underline} -- The
summary should briefly describe how the Applicant proposes to meet the
project requirements, carry out the activity functions, and achieve the
anticipated results. It should also discuss mention personnel and
technical/organizational resources, and describe how the program will be
managed and monitored, i.e. key performance targets, program approach,
goals and objectives, program targets and exit strategy.

3\. [Technical Application]{.underline}

3.1 [Technical Approach (not to exceed 25 pages)]{.underline}

> Applicants should describe [how]{.underline} they propose to approach
> and execute the program. The FTA LDP initiative is a large and
> encompassing effort for which USAID in seeking creative and innovative
> methods to implement the program activities and achieve the program
> objectives. Applicants are expected to define what they consider
> feasible to achieve within the anticipated period of the Agreement
> with the projected budget allocation as well as their understanding
> and knowledge of the related challenges the FATA environment presents.

Applicants are required to accompany their Technical Proposal with a
[summary budget overview]{.underline} which depicts the distribution of
the proposed budget across the program components as defined in this
RFA, the contribution of costs to the achievement of the Applicant's
proposed program and the expected program achievements stated herein.
This presentation is limited to two (2) pages and to be an annex to the
Technical Approach. Applicants are to elect the form of the
presentation.

Applicants are also required to accompany their Technical Proposal with
a draft Mobilization Plan which details are outlined at Section I.O.1.
The Plan is not limited in length and is to be an attachment to the
Technical Approach.

The technical approach will be evaluated on (1) analytical depth,
clarity, and responsiveness to the problem or task set, (2)
state-of-the-art technical knowledge and creativity, and (3) feasibility
of strategies and impact proposed. Within these general criteria,
specific elements of the technical approach that will be assessed
include (this is not an all inclusive list):

> • How will program funds be apportioned amongst the components and
> sub-components?
>
> • What timing is envisaged for the actual launch of project
> activities?
>
> • What efforts are made to control costs and improve efficiency
> throughout the program?
>
> • What mechanisms will be in place to avoid duplication with
> inputs/outputs from other parallel
>
> programs as well to coordinate program activities with other
> stakeholders, partners and
>
> programs?
>
> Applicants are recommended to present for each program component: an
> overview of proposed interventions; a detailed outline of the
> methodology that will be used to implement the interventions; a
> [brief]{.underline} analysis of anticipated implementation challenges
> ahead; and a summary of expected outputs and impact, using indicators
> that will be used to track progress towards results.

3.2 [Management Plan (not to exceed 10 pages)]{.underline}

> The Applicant is to address how it will how to efficiently and
> effectively use the human, technical, and organizational resources at
> hand. USAID/Pakistan expects the Applicant to address the following
> issues, as a minimum (Applicants are to equally ensure the elements
> outlined in the Evaluation Criteria are sufficiently addressed.):
>
> []{.mark}
>
> • How will the Recipient mobilize in terms of personnel, logistics
> set-up, and establishment of management and financial control systems?
>
> • To what degree will management authority devolve from the home
> office of the Recipient to the Pakistan office? USAID/Pakistan expects
> the project to be managed locally, with all management
>
> decisions, including financial decisions, and administrative
> responsibilities delegated to the main field office. The Recipient's
> home office is expected to provide managerial oversight and
> administrative backstop, and technical assistance as needed.
>
> • Where will project offices be located? Where will the head office be
> located and are field offices envisaged. USAID encourages the
> establishment of field offices and expects the Recipient to establish
> as a minimum one office in Peshawar.
>
> • To which degree will the operational and financial management
> set-up, decision-making procedures and staff structure allow the
> project to (1) effectively coordinate implementation in the FATA as
> well as (2) ensure sufficient flexibility to respond to unpredictable
> restrictions in project implementation?
>
> • How will the Recipient ensure that each partnering organization will
> contribute to the overall strategy and implementation and that the
> technical pieces of the program will be integrated and coordinated?
>
> • How will the project work with other USAID programs and other
> implementing organizations to achieve results? USAID/Pakistan places
> high value on the Recipient's ability to ensure that all project staff
> create and maintain effective working relationships with GOP/FATA
> counterparts and work in a collaborative and inclusive team oriented
> manner.
>
> • What type of strategies or approaches for cost containment will be
> adopted?
>
> The Applicant is to also address its Performance Management Plan with
> a focus on proposed performance targets, the monitoring system to
> track and evaluate outputs and impact of program interventions, and
> the assessment of achieving the program objectives. Under the
> technical approach section, Applicants are expected to provide output
> and outcome/impact indicators to measure progress towards results, and
> to describe the system by which it will conduct cost-effective and
> results-oriented monitoring that will enable measures to be taken to
> improve performance and effectiveness of the program as well as to
> inform planning and management decisions. The indicators used for the
> program should include both performance-based indicators (with focus
> on outputs) and impact-based indicators (with focus on outcome).

3.3 [Key Personnel and Staffing (not to exceed 10 pages)]{.underline}

> The focus is on the human, technical, and organizational resources
> that will be mobilized for project implementation. Applicants are
> expected to provide a full staffing plan that covers both "key
> personnel", long-term principal personnel and support staff,
> documenting the underlying rationale
>
> regarding the staff configuration and including brief position
> descriptions for each position. The staffing plan shall be accompanied
> by an organizational chart demonstrating the lines of authority and
> staff responsibility.
>
> USAID/Pakistan expects that the organization(s) under this award will
> maintain the minimum necessary full-time technical and support staff.
> USAID also expects that expatriate presence in the Recipients staffing
> will be minimized and that maximum use of qualified Pakistanis in the
> Recipient's core team will be used with a proposed program
> implementation which principal goal is service delivery.. In addition,
> the Recipient's proposed project management plan and staffing pattern
> must ensure the effective and efficient oversight and implementation
> of the various components of this program in view of the geographical
> dispersal of its staff and breadth of program activities. The
> Recipient's core team is required to reside in-country for the
> duration of the program for close oversight and management, as well as
> continuity in program activities.
>
> Special attention should be paid to the "[key personnel"]{.underline}
> positions. Key personnel are those considered essential to the work
> being performed under this Agreement, and must be approved by
> USAID/Pakistan prior to their employment. It is recommended that
> Applicants highlight the mix of relevant skills that their proposed
> key personnel will bring to the program (since no one person will have
> all the technical skills necessary to implement this project, the key
> staff should have complementary skills to ensure a balance of
> technical and management expertise).

The key personnel positions under this Agreement will include the: Chief
of Party/Senior Economic Development Specialist, Deputy Chief of Party,
Senior Livelihoods and Value Chain Development Specialist, Senior
Agriculture Development Specialist, Senior Community Development
Specialist. Applicants may propose and justify a configuration of key
staff positions, qualifications and roles in addition to or in
substitution to those described below. Qualifications and functions for
"key personnel" are:

> ► **Chief of Party/Senior Economic Development Specialist.** This
> position includes the duties of the Chief of Party with
> responsibilities for overall programs development, execution and
> management. The Chief of Party will serve as the representative of the
> Program and the point of contact in Pakistan for all purposes of this
> program. The Chief of Party will direct the program from its local
> operational location (Peshawar) with all management decisions and
> administrative responsibilities delegated to the main field office.
> The Chief of Party will be additionally responsible for work plans,
> staff supervision, coordination with USAID and other programs, program
> reporting, and achievement of results. The Chief of Party should
> retain full authority for program-level decision-making with minimal
> requirements for approval by Recipient's home office. Qualifications
> include:

-   Ten or more years of experience managing large, multi-year
    development programs in conflict areas preferably in FATA and/or
    South Asia in the following: livelihoods, local economic

> development, value-chains development, enterprise development, product
> development and promotion and/or marketing.

-   At least 5-10 years of experience working in/with sectors and
    industries relevant to those that could have growth potential in
    FATA.

-   Economic development masters or M.B.A. with 5 years experience with
    business development and/or product development in the private
    sector.

-   Four or more years of experience implementing programs in
    politically sensitive and potentially volatile environments.

-   Experience successfully developing products in ecologically delicate
    environments is desirable.

-   Excellent diplomatic, communication and interpersonal skills

-   Fluency in written and spoken English. Pashtu and/or Urdu speaking
    abilities are desirable but not necessary.

> **► Deputy Chief of Party:** The Deputy Chief of Party will directly
> oversee program implementation in FATA on a daily basis. The Deputy
> Chief of Party must be able to assume the responsibilities of the
> Chief of Party in his/her absence. Qualifications include:

-   Seven or more years of experience managing multi-year development
    programs in conflict areas preferably in FATA and/or South Asia in
    such areas as the following: livelihoods, local economic
    development, value-chains development, enterprise development,
    product development and promotion and/or marketing.

-   Five or more years of supervisory experience under development
    programs.

-   Economic development masters or M.B.A. with five years experience
    with business development and/or product development.

-   Technical skills that are complementary to the program description.

-   Excellent diplomatic, communication and interpersonal skills

-   Fluency in written and spoken English.

**► Senior Livelihoods and Value Chain Development Specialist.**
Qualifications include:

-   Ten or more years of experience in livelihoods programs development,
    execution and management. This specialist should be able to show
    several examples of success in this area.

-   Ten or more years of supervisory experience and managing large
    development programs including conflict areas, preferably in FATA
    and/or South Asia.

-   Five or more years of experience preferred as well in conducting and
    supervising detailed value chain analyses, market assessments and
    sector analyses.

-   At least 5-10 years of experience working in/with sectors relevant
    to those that currently exist in FATA.

-   Experience successfully developing products in ecologically delicate
    environments is desirable.

-   Fluency in written and spoken English. Pashtu and/or Urdu speaking
    abilities are preferred.

► **Senior Agriculture Development Specialist.** Qualifications include:

-   Ten or more years of experience successfully implementing
    agriculture development programs preferably in FATA and/or South
    Asia.

-   Five or more years of experience successfully promoting increased
    production and trade of agriculture products.

-   Five or more years of experience promoting improved animal care
    practices.

-   Five or more years of supervisory experience and managing large
    development programs with some experience in agricultural credit.

-   Five or more years of experience strengthening value chains related
    to agricultural/horticultural products and livestock.

-   Experience successfully developing products in ecologically delicate
    mountain environments is desirable.

-   Fluency in written and spoken English. Pashtu and/or Urdu speaking
    abilities are preferred.

► **Senior Community Development Specialist.** Qualifications include:

-   Five or more years of experience successfully implementing community
    development programs in conflict areas preferably in FATA or South
    Asia.

-   Two or more years of experience managing large enterprise and value
    chain development programs.

-   Five or more years of supervisory experience.

-   Fluency in written and spoken English with Pashtu and/or Urdu
    speaking abilities mandatory.

> The positions specified above are considered to be essential to the
> work being performed hereunder. Prior to replacing any of the
> specified individuals, the Contractor will immediately notify both the
> USAID/Pakistan Contracting Officer and Cognizant Technical Officer
> reasonably in advance and submit written justification (including
> proposed substitutions) in sufficient detail to permit evaluation of
> the impact on the Program. No replacement of personnel will be made by
> the Contractor without the written consent of the Contracting Officer.

The staffing plan should also clearly outline whether or not the
Applicant is planning to work in partnership with other organizations as
partners or cooperating agency(ies) under the Cooperative Agreement. If
so, the Applicant is expected to describe how those partners or
agency(ies) were selected. Qualifications of these partners or
agency(ies) should be articulated to demonstrate the assistance which
will be offered by the partner organizations, including technical and
managerial resources and expertise. Applicants should state whether or
not they have pre-existing relationships with these other partners or
agency(ies), where the relationship exists, and the nature of the
relationship. USAID expects that all project staff, regardless of
institutional affiliation, will be co-located in the head office and in
satellite offices of the project in order to maintain one identity for
the project and to facilitate teamwork and coordination among prime and
cooperating agencies (if any).

The staffing plan should highlight where the Applicant anticipates the
involvement of local or international organizations through
sub-contracts and sub-grants to fulfill the program's staffing needs, or
alternatively the mobilization of technical experts on an ad hoc and/or
short-term basis. The staffing plan should explain how additional
expertise and skill mix might be obtained while attending to the
necessity of cost-containment and avoiding unnecessary staffing.

> In addressing key personnel and long-term principal personnel (the
> latter, being personnel whose presence on the Applicant's staffing
> team is of long-term presence and principal to the Applicant's
>
> execution of the proposed program approach), Applicants are to
> describe the assignment (proposed roles and responsibilities) of long
> term principal personnel (defined as to include the Key Personnel
> prescribed hereunder), their tasks, language skills, and interaction
> to include institutional and management experience and a capability
> statement. Applicants should list and provide a brief description of
> the relevant experience and accomplishment of the long term principal
> personnel designated to work on this program under the applicant and
> subcontract institutions, if any. Applicants must include as part of
> the proposal a statement signed by each person proposed as long term
> principal personnel confirming his/her present intention to serve in
> the stated position and his/her availability for the term of the
> proposed contract. Applicants shall also describe the authority
> relationship that will exist in the project including an
> organizational chart. Curriculum vitae/resumes will be required for
> all proposed Key Personnel and long term principal personnel (LTTA).
> Curriculum vitae/resumes may be included as an annex for all proposed
> key personnel and other long-term principal personnel with, as a
> minimum, three references for each, including telephone and e-mail
> contact information for each reference.

3.4 [Institutional Capacity and Past Performance (approx. 5
pages)]{.underline}

> Applicants shall portray their demonstrated technical capabilities and
> relevant past performance. Applicants should be demonstrated leaders
> in implementing programs similar to the FATA LDP. Applicants are
> expected to describe the blend of technical expertise that they will
> bring to achieve the objective of the program and provide specific
> examples of successful relevant activities and demonstrate their
> impact. A narrative regarding the Applicant's experience in managing
> the past/ current projects/activities in the context as it may relate
> to this program is to be included. Particular emphasis should be given
> in describing those past activities as they relate to the objectives
> and expected outcomes hereunder.
>
> Each Applicant (i.e., the primary Applicant and other partners that
> are involved in the preparation of the application) should include a
> list of contracts, grants, and Cooperative Agreements that they have
> implemented involving similar and related programs over the past three
> years with USAID or with other organizations (e.g., commercial,
> governmental, and philanthropic). Applicants are to submit, as annex
> to the technical proposal section, a matrix of past or current
> contracts or subcontracts (including delivery/task orders and purchase
> orders) for efforts similar in size, scope and complexity to the work
> required hereunder. The Past Performance Section shall include the
> following data for the Applicant and any proposed partner(s) or
> subawardee(s) as an annex:
>
> • Contracting Activity
>
> • Contracting Officer's Name, Telephone Number and E-Mail Address
>
> • Contracting Officer's Technical Representative's Name, Telephone
> Number and E-Mail Address

• Project/Program Manager's Name, Telephone Number and E-Mail Address

• Award Number, Award Type, Period of Performance

• Award Price and Final (if not completed, Projected) Price

• Award's Performance Schedule - Original and Final

The information provided in the Application is expected to serve as the
basis for documents that the Recipient will be expected to submit
following award of the Cooperative Agreement. The information in the
"Technical Approach" is expected to be integrated at a later date in the
Recipient's "Implementation (Work) Plan"; the information regarding
"Personnel" and "Management" in the Application is expected to be part
of the Recipient's "Mobilization and Management Plans" and the
"Performance Management Plan". USAID reserves the right to obtain past
performance information from other sources including those not named in
the application.

A USAID Technical Evaluation Committee will evaluate all technical
applications in accordance with the evaluation criteria in Section E.

**D.2. GUIDELINES FOR COST/BUSINESS APPLICATION**

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". The
cost/business application should be prepared for a period of five years
for the period of commencing o/a January 31, 2008. The cost/business
application is also to be submitted on a CD/DVD, formatted in MS Word
and Excel. The SF-424 and SF 424A are accessible at:

<http://www.usaid.gov/procurement_bus_opp/procurement/forms/>

If the Applicant has established a consortium or another legal
relationship among its partners, the Cost/Business application must
include a copy of the legal relationship between the parties. The
agreement should include a full discussion of the relationship between
the Applicant and Sub-Applicant(s) 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.

The cost/business application is to be prepared with:

• a summary budget which captures each major cost category for all
components in a comprehensive presentation.

• individual budgets are to be submitted for each component per each
year of the program. These individual budgets are to clearly depict and
distinguish between those costs attributed to the program activities
versus the operational costs judged necessary by the Applicant to be
necessary to achieve the program objectives.

These budgets are to be accompanied by a supporting detailed cost
narrative that addresses each of the proposed costs in sufficient detail
to enable a determination of reasonableness, allowability and
allocability. **Note:** The cost/business application should not be
premised on the level of funding which may be made available, but on the
estimated level of effort and support reasonably required to achieve the
objective of the program.

The following sections describe the documentation that Applicants must
submit:

a\. **A budget for each year with an accompanying budget narrative which
provides in detail the total costs for implementation of the program
your organization is proposing.** The budget should be submitted using
the format of the Standard Form 424 and 424A. **Both a Standard Form 424
and 424A are required to accompany the Applicant's cost/budget
proposal.** These forms are available at
[www.usaid.gov/procurement_bus_opp/procurement/forms/sf424/](http://www.usaid.gov/procurement_bus_opp/procurement/forms/sf424/).

b\. **Cost Sharing** -- Applicants proposing a cost share should
indicate the amount of the cost sharing being proposed towards within
the Cost Application. Such a cost share should reflect all non-Federal
funds immediately available for this purpose in their cost application.
Although not a required cost element of an application, any proposed
cost sharing will be considered under the "cost effectiveness"
evaluation.

c\. The cost proposal must outline the roles and responsibilities of
project staff vis-à-vis budgeting, monitoring, and reporting on the
financial status of the project. How the program will track costs
incurred, including costs for labor, equipment, supplies, and facilities
must also be described. Applicants who intend to utilize sub-contractors
or sub-recipients should indicate the extent intended and a complete
cost breakdown. Extensive sub-contracts/agreement financial plans should
follow the same cost format as submitted by the primary applicant.

d\. **Applicants are to provide detailed budget notes/narrative for all
costs that explain how the costs were derived, to include**:

• The breakdown of all costs associated with the program.

• The breakdown of all costs according to each partnering organization
involved in the program.

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

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

• Procurement plan for commodities (if applicable).

• The cost application should contain the following budget categories:

e\. Applicants' budgets are to be constructed to include the following
cost elements:

> [Direct Labor]{.underline} - Direct salaries and wages for each year
> of the Agreement shall be in accordance with the organization\'s
> established personnel policies. To be considered adequate, the
> policies must be in writing, applicable to all employees of the
> organization, is subject to review and approval at a high enough
> organizational level to assure its uniform enforcement, and result in
> costs which are reasonable and allowable in accordance with applicable
> cost principles. The narrative should include a level of effort
> analysis specifying personnel, rate of compensation, and amount of
> time proposed. Anticipated salary increases during the period of the
> Agreement should be included.
>
> [Fringe Benefits]{.underline} - If accounted for as a separate item of
> cost, fringe benefits should be based on the Applicant\'s audited
> fringe benefit rate, supported by a Negotiated indirect Cost Rate
> Agreement (NICRA) or historical cost data. 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.
>
> [Supplies and Equipment]{.underline} - Differentiate between
> expendable supplies and nonexpendable equipment (NOTE: Equipment is
> defined as tangible nonexpendable personal property including exempt
> property charged directly to the award having a useful life of more
> than one year and an acquisition cost of \$5,000 or more per unit,
> unless the Applicant\'s established policy establishes nonexpendable
> equipment anticipated to be required to implement the program,
> specifying quantities and unit cost.)
>
> [Allowances]{.underline} must be broken down by specific type and by
> person and must be in accordance with the applicant's established
> policies. Allowances are for TCNs and CCNs are restricted by AIDAR.
>
> [Travel and Per Diem]{.underline} - The narrative should indicate
> number of trips, domestic and international, and the estimated unit
> cost of each. Specify the origin and destination for each proposed
> trip, duration of travel and number of individuals traveling. Proposed
> per diem rates must be in accordance with the
>
> applicant's established policies and practices that are uniformly
> applied to federally-financed and other activities of the applicant.
>
> [Other Direct Costs]{.underline} - This could include any
> miscellaneous costs such as communications, report preparation costs,
> passports, visas, medical exams and inoculations, insurance (other
> than theapplicant's normal coverage), etc. The narrative, or
> supporting schedule, should provide a complete breakdown and support
> for each item of other direct costs.
>
> [Proposed Subawards (Sub-contracts/-Grants)]{.underline} - Applicants
> who intend to utilize (sub) contractors or sub recipients should
> indicate the extent intended and a complete cost breakdown, as well as
> all the information required herein for the applicant. Extensive (sub)
> contract/grant financial plans should follow the same cost format as
> submitted by the Applicant.
>
> [Contractual]{.underline}: Any goods and services being procured
> through a contract mechanism.
>
> [Security Costs]{.underline} - Applicants should consider providing
> for costs for the following security cost elements. The cited costs
> are representational only and based on typical in-country costs which
> are currently approximately 1% of program costs. Applicants are to
> reflect their own individual proposed costs within their proposal.

\- security related communications: Satcom telephones \$2,500 each &
usage costs

> Radios \$600 each

\- office/residential security guard services: per year per facility
\$8,000 each contracted

> guard

\- vehicles (lightly armored (LAV)): per LAV \$140,000 each

\- security modifications to offices/residence per life of lease
\$10,000 each facility

> [Organizational Information:]{.underline} Applicants are also required
> to provide the following organizational information:

-   Type of Organization;

-   The name and title of individuals authorized to sign the Cooperative
    Agreement;

-   Taxpayer Identification Number (TIN);

-   Data Universal Numbering System (DUNS) Number;

-   Letter of Credit (LOC) Number, if applicable;

-   Estimated costs of communications products that are anticipated
    under the Cooperative Agreement.

Applicants are to also include information regarding the organization\'s
financial status and management:

• A current Negotiated Indirect Cost Rate Agreement (NICRA). Applicants
who do not currently have a Negotiated Indirect Cost Rate Agreement
(NICRA) from their cognizant agency shall also submit the following
information: (a) copies of the applicant\'s financial reports for the
previous 3-year period, which have been audited by a certified public
accountant or other auditor satisfactory to USAID; (b) projected budget,
cash flow and organizational chart; and (c) a copy of the
organization\'s accounting manual.

• Organizational chart.

> • 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.
>
> • Completed copy of certifications and representations. Include signed
> copies of the following certifications (which are included in Section
> XII below) regarding:

-   Assurance of Compliance with Laws and Regulations Governing
    Non-Discrimination in

> Federally Assisted Programs
>
> <http://www.usaid.gov/wbg/misc/US_Recipients.pdf>

-   Certification Regarding Terrorist Funding (see AAPD 04-07)

> <http://www.usaid.gov/business/business_opportunities/cib/>

-   Certification Regarding Restrictions on Lobbying (see 22CFR 227 and

> <http://www.usaid.gov/wbg/misc/US_Recipients.pdf>

**D.3. STATUTORY AND REGULATORY CERTIFICATIONS**

Applicants are advised that, pursuant to ADS 303.5.8, an executed set of
Certifications and Representations must be provided prior to award of an
Agreement. Should negotiations commence, the Agreement Officer will
request the requisite documentation from the successful Applicant at
that time.

**D.4. POTENTIAL REQUEST FOR ADDITIONAL DOCUMENTATION**

Upon consideration of award or during the negotiations leading to an
award, Applicants may be required to submit additional documentation
deemed necessary for the Agreement Officer to make an affirmative
determination of responsibility.

**[IMPORTANT NOTE]{.underline}**

Applicants should **[not]{.underline}** submit the information below
with their applications! The information in this section is provided so
that Applicants may become familiar with additional documentation that
may be requested by the Agreement Officer:

1\. Audited financial statements for the past three years that have been
audited by a certified public accountant or other auditor satisfactory
to USAID;

2.  Bylaws, constitution, and articles of incorporation, if applicable;

3.  Copies of organizational travel, procurement, financial management,
    and personnel policies and procedures, especially regarding salary,
    promotion, leave, differentials, etc., and indicate whether such
    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;

4.  Other documentation, as required by the Agreement Officer, to
    substantiate that the Applicant:

    -   Has adequate financial resources or the ability to obtain such
        resources as required during the performance of the Cooperative
        Agreement;

    -   Has the ability to comply with the award's terms and conditions,
        taking into account all existing and currently prospective
        commitments of the Applicant, nongovernmental and governmental;

    -   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;

    -   Has a satisfactory record of integrity and business ethics;

    -   Is otherwise qualified and eligible to receive a Cooperative
        Agreement under applicable laws and regulations (e.g., Equal
        Employment Opportunity Laws).

**D.5. EXPLANATION OF RFA TO PROSPECTIVE APPLICANTS**

Any prospective Applicant desiring an explanation or interpretation of
this RFA must request such in writing by the date specified for
submission of questions to allow a reply to reach all prospective
Applicants before the closing date for acceptance of applications. For
this purpose, written inquiries may be submitted by e-mail to the
attention of the Agreement Officer, identifying this RFA by Number, to
the <maslam@usaid.gov> . Any inquiries must be submitted no later than
the date specified in the Cover Letter of this RFA. Oral explanations or
instructions given before award of the 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.

**E. EVALUATION CRITERIA**

**E.1. OVERVIEW**

Each technical application submitted in response to this RFA will be
evaluated in relation to the evaluation factors set forth in this
solicitation. The evaluation factors have been tailored to the
requirements of this RFA to allow USAID/Pakistan to evaluate all
applications and distinguish amongst the applications the highest
evaluated application.

## 

## E.2. REVIEW PROCESS 

All applications which meet the eligibility and program requirements,
and conform to the application preparation and submission instructions,
will be reviewed and scored by a Technical Evaluation Committee with the
evaluation criteria set forth in this section.

The budget narrative of all applications under consideration for award
will be reviewed to establish allowability, allocability and
reasonableness of costs proposed to support the program. Upon completion
of the initial review of applications, USAID may, as it deems necessary
and appropriate, conduct written and/or oral discussions with those
applications whose applications remain in the competitive range. The
decision to conduct such discussions should not be considered a
reflection of a final decision about which organization will receive an
award, but rather would be part of the evaluation process.

## E.3. BEST VALUE PROCUREMENT 

Award will be made to the Applicant whose application offers the best
value to the Government. Best value is defined as the expected outcome
of a procurement that, in the Government's estimation, provides the
greatest overall benefit in response to the requirement. USAID/Pakistan
will evaluate applications and make an award based on that application
which present the best value and will best achieve the expected outcomes
of the program while offering the greatest overall benefit in response
to the requirement.

For this RFA, technical proposal merits are considered significantly
more important than cost relative to deciding which applicant best might
perform the work. Cost realism and reasonableness, as well as the amount
of cost sharing, will however be important criteria and may be the
determining factor in the event that the applications receiving the
highest ratings are closely ranked. Therefore, after the final
evaluation of the applications, the Agreement Officer will make the
award to the applicant whose application offers the best value to the
Government considering both technical and cost factors.

**E.4. ACCEPTABILITY OF PROPOSED NON-PRICE TERMS AND CONDITIONS**

An application is acceptable when it manifests the Applicant\'s
agreement, without exception, to the terms and conditions of the RFA,
including attachments, and when it provides a complete and responsive
proposal without taking exception of the terms and conditions of the
RFA. If an Applicant takes exception to any of the terms and conditions
of the RFA, then USAID will consider its offer to be unacceptable. The
USAID reserves the right to change the terms and conditions of the RFA
by amendment at any time prior to the Applicant selection decision.

**E.5. RATING METHODOLOGY**

Applications for the activity will be evaluated based on the numerical
ranking for the application overall and each section of the application,
respectively. This numerical ranking will be established following the
Technical Evaluation Committee's evaluation of applications while
applying the criteria of subsection 7, below. The highest evaluated
applications will be considered further for discussions and award.

**E.6. EVALUATION CRITERIA**

Technical, cost and other factors will be evaluated relative to each
other, as described herein.

\(1\) The technical proposal will be scored by a Technical Evaluation
Committee using the criteria shown in this Section.

\(2\) The cost proposal will not be scored but will be considered as
described in this Section.

\(3\) The selection criteria are presented by major category, with
relative order of importance to register those areas which require
emphasis in the preparation of proposals.  The criteria below reflect
the requirements of this particular solicitation. Applicants should note
that these criteria:  (a)  serve as the standard against which all
applications will be evaluated and  (b) identify the significant matters
and areas that Applicants should address in their applications.
USAID/Pakistan will award to the Applicant whose application is most
advantageous to the Government, cost-effective, and other factors to be
considered. USAID/Pakistan reserves the right to evaluate applications
and award without discussions with Applicants.

\(4\) Prospective Applicants are forewarned that a proposal with the
lowest estimated cost may not be selected if award to a higher priced
proposal affords the government a greater overall benefit.  All
evaluation factors other than cost or price, when combined, are
significantly more important than cost; however, estimated cost is an
important factor and the estimated cost to the Government increases in
importance as competing offers approach equivalence and may become the
deciding factor when technical proposals are approximately equivalent in
merit

(5)  Proposed costs will be analyzed as part of the overall proposal
evaluation process.  Proposed costs may be adjusted, for purposes of
evaluation, based on results of the cost analysis and its assessment of
reasonableness, completeness, and credibility.

** **

**E.7. TECHNICAL EVALUATION CRITERIA**

Applications will be evaluated based on the Applicant's proposed
approach to addressing the program needs while exhibiting a demonstrated
knowledge of the operational environment of and critical issues in FATA.
Given the breadth and expected impact of this program, a sound approach
demonstrating creativity and factual achievable goals are essential.
Proposals with a Pakistani 'face' -- those which emphasize the
systematic, effective utilization of Pakistani expertise, human
resources, institutions and knowledge to achieve project goals \-- are
preferred. Applicants are encouraged to propose program implementations
which go beyond simply employing those means of implementation
prescribed in this RFA.

The technical proposal evaluation criteria are in represented below with
their relative weighted order of importance: (A summary of technical
proposal evaluation criteria is found in Table 1.

**E.7.1. [Technical Approach (maximum points = 30)]{.underline}**

The application reflects excellent understanding of the overall program
description, including the objective, activities and tools involved, and
it demonstrates an ability to apply evidence-based best practices and
techniques to reach clearly defined and feasible results.

The application clearly demonstrates the following essential elements:

• Proven, through experience, strategies and approaches, and technical
focus for accomplishing goals and objectives described and a full
understanding of local issues and challenges. Activities, notional
timelines, anticipated outcomes, results, and indicators will be
assessed for achievability while allowing for flexibility given the
uncertain nature of the political context of the FATA area. The
technical approach will be evaluated for how it addresses key issues,
opportunities and challenges identified in this RFA. Special attention
will be given to the Applicant's demonstrated knowledge of critical
issues associated with FATA and the project (10 points)

• Clear articulation of how activities presented will achieve results in
generating stability and development and address the impact of extremist
and terrorist groups within a 4 to 5 year time frame. (10 points)

• Demonstrate the effective integration of various program elements --
employment generation, community infrastructure programs, business
development and conflict mitigation/cross-cutting issues. (10 points)

**E.7.2. [Management Plan (maximum points = 25)]{.underline}**

The application presents:

• Efficient and logical administrative management structures for overall
implementation of the project, including logistical support,
administration and monitoring of subawards which establishes (i) a clear
delegation of authority of overall management from headquarters to the
field, (ii) a logical and efficient management structure as well as
(iii) a physical set up that will facilitate implementation both in the
FATA and reach isolated areas where warranted that (iv) will build and
effectively manage a strong, well integrated consortium of international
and local partners that each bring a specialty that will further the
technical and programmatic requirements of the program and the
Agreement. (10 points)

• Soundness of the Performance Management Plan. The Plan should describe
how performance targets will be set and measured in terms of results,
benchmarks and indicators for success in a cost-effective and timely
fashion, on a continuous basis, among all participating parties. (5
points)

• Demonstrated understanding of the necessity of local partnerships and
coordination with other programs and stakeholders. Applicant should
establish that the proposed program will coordinate with other programs
and stakeholders to ensure complimentary activities and to avoid
duplication. (5 points)

> • A well thought out overall staffing plan (organizational chart) that
> incorporates and justifies clearly articulated roles and
> responsibilities for all key staff with clear lines of management and
> supervisory authority and technical responsibility. (5 points)

**E.7.3. [Key Personnel and Staffing (maximum points =
25)]{.underline}**

The application demonstrates key personnel (individually and as a whole)
have the following requisite:

• The Chief of Party has the required breath and depth of background in
terms of education, experience, technical expertise, communication
skills, management skills to implement a program of the breadth of the
FATA program. The Chief of Party must have extensive experience in
planning and implementing similar programs in conflict areas and has
proven diplomatic and interpersonal skills including language skills,
preferably Pashtu. Previous long-term experience working in FATA,
eastern Afghanistan and Pakistan, as well as language skills in Pashtu.
(10 points)

• Other "key personnel" and long-term principal personnel have
comparable complementary expertise and relevant experience and success
in implementing and monitoring programs of similar complexity in
conflict areas. Previous long-term experience working in FATA, eastern
Afghanistan and Pakistan, as well as language skills in Pashtu. (10
points)

• Applicant's ability to attract highly qualified Pakistani/Pashtun
firms and professional staff that possess the necessary technical skills
and local experience. (5 points)

**E.7.4. [Institutional Capacity and Past Performance (maximum points =
20)]{.underline}**

The Applicant has demonstrated:

• Capability to plan, implement, monitor, and report on similar complex
programs in similar conflict areas including Pakistan. Methodological
and technical capacity to achieve the results described in this RFA. (10
points)

• Clear organizational structure and relationships with a record of
managerial, team building and communications skills. (5 points)

• Institutional ability and past performance working with a complex
management structure, such as a consortium. (5 points)

** **

A summary of technical proposal evaluation criteria follows:

**\[Continued on following page.\]**

**TABLE 1 - TECHNICAL EVALUATION CRITERIA \***

+-------------------------------------------------------+--------------+
| **Technical Approach**                                | **30**       |
|                                                       |              |
| []{.mark}                                             |              |
+-------------------------------------------------------+--------------+
| **Management Capacity**                               | **25**       |
+-------------------------------------------------------+--------------+
| **Key Personnel and Staffing**                        | **25**       |
+-------------------------------------------------------+--------------+
| **Institutional Capability and Past Performance**     | **20**       |
+-------------------------------------------------------+--------------+
| # **Total Technical Evaluation**                      | **100**      |
+-------------------------------------------------------+--------------+

\* Note: See Section II.E.7 for discussion of evaluation elements
comprising each area of evaluation.

**E.8 COST EVALUATION**

Cost has not been assigned a numerical weighting. Applicants'
budget/costs proposal will be evaluated in terms of cost realism and
reasonableness, cost efficiency and effectiveness of the proposed
programs. Additional elements which will be considered are the
completeness, credibility, realism of the proposal as well as any
proposed level of cost sharing (leveraging of other resources for the
benefit of this program), the latter as an element of cost
effectiveness.

**[SECTION III]{.underline}**

**REQUIRED CERTIFICATIONS, ASSURANCES AND OTHER STATEMENTS OF
APPLICANTS**

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

**PART I**

**1. ASSURANCE OF COMPLIANCE WITH LAWS AND REGULATIONS GOVERNING**

**NON-DISCRIMINATION IN FEDERALLY ASSISTED PROGRAMS**

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

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

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

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

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

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

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

\(c\) This assurance is given in consideration of and for the purpose of
obtaining any and all Federal grants, loans, contracts, property,
discounts, or other Federal financial assistance extended after the date
hereof to

the recipient by the Agency, including installment payments after such
date on account of applications for Federal financial assistance which
were approved before such date. The recipient recognizes and agrees that
such Federal financial assistance will be extended in reliance on the
representations and agreements made in this Assurance, and that the
United States shall have the right to seek judicial enforcement of this
Assurance. This Assurance is binding on the recipient, its successors,
transferees, and assignees, and the person or persons whose signatures
appear below are authorized to sign this Assurance on behalf of the
recipient.

**2**. **CERTIFICATION REGARDING LOBBYING -- RESTRICTIONS ON LOBBYING**

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

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

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

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

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

Statement for Loan Guarantees and Loan Insurance

The undersigned states, to the best of his or her knowledge and belief,
that: If any funds have been paid or will be paid to any person for
influencing or attempting to influence an officer or employee of any
agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the
undersigned shall complete and submit Standard Form-LLL, \"Disclosure
Form to Report Lobbying,\" in accordance with its instructions.
Submission of this statement is a prerequisite for making or entering
into this transaction imposed by section 1352, title 31, U.S. Code. Any
person who fails to file the required

statement shall be subject to a civil penalty of not less than \$10,000
and not more than \$100,000 for each such failure.

**3. CERTIFICATION REGARDING TERRORIST FINANCING -- IMPLEMENTING E.O
13224**

Certification

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

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

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

a\. Before providing any material support or resources to an individual
or entity, the Recipient will verify that the individual or entity does
not (i) appear on the master list of Specially Designated Nationals and
Blocked Persons, which list is maintained by the U.S. Treasury's Office
of Foreign Assets Control (OFAC) and is available online at OFAC's
website :

<http://www.treas.gov/offices/eotffc/ofac/sdn/t11sdn.pdf>, or (ii) is
not included in any supplementary information concerning prohibited
individuals or entities that may be provided by USAID to the Recipient.

b\. Before providing any material support or resources to an individual
or entity, the Recipient also will verify that the individual or entity
has not been designated by the United Nations Security (UNSC) sanctions
committee established under UNSC Resolution 1267 (1999) (the "1267
Committee") \[individuals and entities linked to the Taliban, Usama bin
Laden, or the Al Qaida Organization\]. To determine whether there has
been a published designation of an individual or entity by the 1267
Committee, the Recipient should refer to the consolidated list available
online at the Committee's website:

<http://www.un.org/Docs/sc/committees/1267/1267ListEng.htm>.

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

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

3\. For purposes of this Certification-

a\. "Material support and resources" means currency or monetary
instruments or financial securities, financial services, lodging,
training, expert advice or assistance, safehouses, false documentation
or

identification, communications equipment, facilities, weapons, lethal
substances, explosives, personnel, transportation, and other physical
assets, except medicine or religious materials."

b\. "Terrorist act" means-

> \(i\) an act prohibited pursuant to one of the 12 United Nations
> Conventions and Protocols related to terrorism (see UN terrorism
> conventions Internet site:
> <http://untreaty.un.org/English/Terrorism.asp>); or
>
> \(ii\) an act of premeditated, politically motivated violence
> perpetrated against noncombatant targets by subnational groups or
> clandestine agents; or
>
> \(iii\) any other act intended to cause death or serious bodily injury
> to a civilian, or to any other person not taking an active part in
> hostilities in a situation of armed conflict, when the purpose of such
> act, by its nature or context, is to intimidate a population, or to
> compel a government or an international organization to do or to
> abstain from doing any act.

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

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

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

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

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

(*Typed Name and Title*) Date

(*Name of Organization*)

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

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

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

**5. CERTIFICATION OF RECIPIENT**

The recipient certifies that it has reviewed and is familiar with the
proposed grant format as provided under ADS 303 and the regulations
applicable thereto, and that it agrees to comply with all such
regulations, except as noted below (use a continuation page as
necessary):

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

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

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

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

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

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

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

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

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

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

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

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

\[1\] FORMATS: 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.

**6. 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.

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

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

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

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

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

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

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

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

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

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

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

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

NOTICE:

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

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

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

**PART II - OTHER STATEMENTS OF RECIPIENT**

**1. AUTHORIZED INDIVIDUALS**

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

Name Title Telephone No. Facsimile No.

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

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

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

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

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

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

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

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

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

\(1\) Recipient\'s name.

\(2\) Recipient\'s address.

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

\(4\) Line of business.

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

\(6\) Date the organization was started.

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

\(8\) Company affiliation.

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

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

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

**4. LETTER OF CREDIT (LOC) NUMBER**

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

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

**5. PROCUREMENT INFORMATION**

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

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

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

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

Type/Description(Generic) Quantity Estimated Unit Cost

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

\(d\) Source, Origin, and Componentry of Goods. If the recipient plans
to purchase any goods/commodities which are not of U.S. source and/or
U.S. origin, and/or does not contain at least 50% componentry which are
not at least 50% U.S. source and origin, please indicate below (using a
continuation page, as necessary) the types and quantities of each,
estimated unit costs of each, and probable source and/or origin, to
include the probable source and/or origin of the components if less than
50% U.S. components will be contained in the commodity. \"Source\" means
the country from which a commodity is

shipped to the cooperating country or the cooperating country itself if
the commodity is located therein at the time of purchase. However, where
a commodity is shipped from a free port or bonded warehouse in the form
in which received therein, \"source\" means the country from which the
commodity was shipped to the free port or bonded warehouse. Any
commodity whose source is a non-Free World country is ineligible for
USAID financing. The \"origin\" of a commodity is the country or area in
which a commodity is mined, grown, or produced. A commodity is produced
when, through manufacturing, processing, or substantial and major
assembling of components, a commercially recognized new commodity
results, which is substantially different in basic characteristics or in
purpose or utility from its components. Merely packaging various items
together for a particular procurement or relabeling items does not
constitute production of a commodity. Any commodity whose origin is a
non-Free World country is ineligible for USAID financing. \"Components\"
are the goods, which go directly into the production of a produced
commodity. Any component from a non-Free World country makes the
commodity ineligible for USAID financing.

Type/Description Quantity Estimated Goods Components Probable

(Generic) Unit Cost Source

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

Goods Components Probable Origin

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

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

Type/Description Quantity Estimated Probable Probable Intended Use

(Generic) Unit Cost Source Origin

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

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

Type/Description Quantity Estimated Probable Supplier Nationality
Rationale

(Generic) Unit Cost (Non-U.S. Only) for non-U.S.

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

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

Type/Description(Generic) Quantity Estimated Unit Cost Proposed
Disposition

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

**6. PAST PERFORMANCE REFERENCES**

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

**7. TYPE OF ORGANIZATION**

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

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

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

**8. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS**

The following are the estimate(s) of the cost of each separate
communications product (i.e., any printed material \[other than non-
color photocopy material\], photographic services, or video production
services)

which is anticipated under the grant. Each estimate must include all the
costs associated with preparation and execution of the product. Use a
continuation page as necessary.

**9. SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS**

Completion of the attached *Survey on Ensuring Equal Opportunity for
Applicants* is voluntary. Applicants are asked to review the purpose of
the survey and, if the organization chooses to complete the form, please
follow the Instructions for Submitting the Survey.

**Applicant's (Organization) Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Applicant's DUNS Number:**
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Grant Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_CFDA
Number: \_\_\_\_\_\_\_\_\_\_\_\_\_**

1\. Does the applicant have 501(c)(3) status?

Yes No

2\. How many full-time equivalent employees does the applicant have?
*(Check only one box).*

> 3 or Fewer 15-50
>
> 4-5 51-100
>
> 6-14 over 100

3\. What is the size of the applicant's annual budget? *(Check only one
box.)*

Less Than \$150,000

\$150,000 - \$299,999

\$300,000 - \$499,999

\$500,000 - \$999,999

\$1,000,000 - \$4,999,999

\$5,000,000 or more

4\. Is the applicant a faith-based/religious\
organization?

Yes No

5\. Is the applicant a non-religious community-based organization?

Yes No

6\. Is the applicant an intermediary that will manage the grant on
behalf of other organizations?

> Yes No

7\. Has the applicant ever received a government grant or contract
(Federal, State, or local )?

Yes No

8\. Is the applicant a local affiliate of a national\
organization?

Yes No

# **Survey Instructions on Ensuring Equal Opportunity for Applicants**

# 

> **Provide the applicant's (organization) name and DUNS number and the
> grant name and CFDA number.**

1\. 501(c)(3) status is a legal designation provided on application to
the Internal Revenue Service by eligible organizations. Some grant
programs may require nonprofit applicants to have 501(c)(3) status.
Other grant programs do not.

2\. For example, two part-time employees who each work half-time equal
one full-time equivalent employee. If the applicant is a local affiliate
of a national organization, the responses to survey questions 2 and 3
should reflect the staff and budget size of the local affiliate.

3\. Annual budget means the amount of money your organization spends
each year on all of its activities.

4\. Self-identify.

5\. An organization is considered a community-based organization if its
headquarters/service location shares the same zip code as the clients
you serve.

6\. An "intermediary" is an organization that enables a group of small
organizations to receive and manage government funds by administering
the grant on their behalf.

7.  Self-explanatory.

8.  Self-explanatory.

**\
**

**Paperwork Burden Statement**

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless such
collection displays a valid OMB control number. The valid OMB control
number for this information collection is 1890-0014. The time required
to complete this information collection is estimated to average five (5)
minutes per response, including the time to review instructions, search
existing data resources, gather the data needed, and complete and review
the information collection. **If you have any comments concerning the
accuracy of the time estimate(s) or suggestions for improving this form,
please write to:** U.S. Department of Education, Washington, D.C.
2202-4651.

**If you have comments or concerns regarding the status of your
individual submission of this form, write directly to the USAID
Agreement Officer.**

> OMB No. 1890-0014 Exp. 1/

**PART III - MANDATORY STANDARD PROVISIONS WEBSITE REFERENCES**

Mandatory Standard Provisions for U.S. Nongovernmental recipients can be
accessed through USAID's website
<http://www.usaid.gov/policy/ads/300/refindx3.htm>

Mandatory Standard Provisions for Non-U.S., Nongovernmental recipients
can be accessed through USAID's website
<http://www.usaid.gov/policy/ads/300/refindx3.htm>

[^1]: An interesting analysis of the Frontier Crimes Regulation and the
    agreements and fighting between militants and GOP military forces
    titled *Appeasing the Militants* can be found at the International
    Crisis Group Website
    [http://www.crisisgroup.org](http://www.crisisgroup.org/).

[^2]: Maliks are influential members of a tribe. Lungi holders are
    influential members of sub-tribes or clans.