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RFA Issuance Date: June 30, 2006

RFA Questions Due: July 12, 2006

RFA Closing Date: July 31, 2006

RFA Closing Time: 4:00pm, Nairobi, Kenya Time

Subject: Request for Applications (RFA) No. USAID-EA-LPC-06-036-RFA;

> USAID/East Africa Office of Limited Presence Countries, Vocational
>
> Skills Training Program for Burundi October 2006-September 2008

Dear Applicant:

The United States Agency for International Development (USAID), East
Africa is

seeking applications from qualified applicants for funding of an
assistance agreement to implement the Office of Limited Presence
Countries Vocational Skills Training Program for Burundi October
2006-September 2008.

Subject to the availability of funds, USAID intends to award a
cooperative agreement for an intended total program funding of
\$1,480,000 over a two-year period (2006-2008). Applications under this
RFA will specifically be designed to achieve objectives and results
described in RFA Section C.

The authority for the RFA is found in the Foreign Assistance Act of
1961, as amended. USAID reserves the right to fund any or none of the
applications submitted.

Prospective applicant desiring an explanation or interpretation of this
RFA must request it in writing no later than close of business July 14,
2006. Questions or requests for explanations must be submitted to the
Agreement Officer via email, regular mail, or fax. Any information given
to a prospective applicant concerning this RFA will be furnished
promptly to all other prospective applicants as an RFA amendment, if
that information is necessary in submitting applications or if the lack
of it would be prejudicial to any other prospective applicants. Oral
explanations or instructions given before award will not be binding.

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

+------------------------+--------------+--------------+--------------+
| U.S. Agency for        | Courier      | U.S. Postal  | Tel:         |
| International          | Address:     | Address:     | 254-20-862   |
| Development            |              |              | 2000         |
|                        | USAID/EA     | USAID/EA     |              |
| East Africa            |              |              | Fax:         |
|                        | ICIPE        | Unit 64102   | 254-20-862   |
| USAID/EA               | Complex      |              | 2680 / 2682  |
|                        |              | APO AE       |              |
| P.O. Box 629           | Kasarani     | 09831-4102   | www.us       |
|                        | Road         |              | aidredso.org |
| Village Market 00621   |              |              |              |
|                        | Nairobi,     |              |              |
| Nairobi, Kenya         | Kenya        |              |              |
+------------------------+--------------+--------------+--------------+

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

The authorized Geographic Code for the procurement of goods and services
(including contracts and consultants) by the awardee(s) and any
sub-awardees under this RFA is 935 (any area or country including the
cooperating country, but excluding foreign policy-restricted countries).

In accordance with USAID policy, provision of assistance (Grants and
Cooperative Agreements) is not limited to the authorized Geographic Code
and assistance awards may be made to organizations that are not
otherwise restricted by statute or regulation from receiving assistance.

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

1\. Section A -- Cooperative Agreement Application Format;

2\. Section B - Selection Criteria;

3\. Section C -- Program Description;

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

The preferred method of distribution of USAID RFA's 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 future amendments can be
downloaded from that Web Site. The address is http://www.grants.gov. In
order to use this method, an applicant must first register on-line with
Grants.gov.

If you have difficulty registering or accessing the RFA, please contact
the Grants.gov Helpdesk at 1-800-518-472 or via e-mail at
<support@grants.gov> for technical assistance. Receipt of this RFA
through Grants.gov must be confirmed by electronic or written
notification to the Agreement Officer. It is the responsibility of the
recipient of the application document to ensure that it has been
received from Grants.gov in its entirety and USAID bears no
responsibility for data errors resulting from transmission or conversion
processes.

If you decide to submit an application, it should be received
electronically via Grants.gov, or submitted directly to USAID by mail or
courier by the closing date and time indicated at the top of this cover
letter. Applications must remain valid for a minimum of 120 days. Faxed
applications and emailed applications will not be considered; however,
applications may be modified by written, faxed or emailed notice, if
that notice is received by the time specified for receipt of
applications.

**Applicants submitting electronically are encouraged, though not
required, to submit courtesy hardcopy applications within five days of
the closing date to the Agreement Officer per the instructions for RFA
hardcopy submission. (The electronic copy will count as the official
application for date and time of receipt.)**

Applicants not submitting electronically are required to send hardcopy
applications to the Agreement Officer by the application due date and
time. For applicants not submitting electronically, the hardcopy
received by USAID/East Africa and will count as the official submission
copy.

Applications and modifications thereof shall be submitted in envelopes
with the name and address of the applicant and RFA number to:

If sent by international mail:

USAID/EA/RAAO

P.O. Box 629

Village Market 00621

Nairobi, Kenya

Attention: Michael Rossman, Agreement Officer

If sent from the United States via US Mail:

USAID/EA/RAAO

Unit 64102

Attention: Michael Rossman, Agreement Officer

APO, AE 09831-4102

If sent by international courier:

USAID/EA/RAAO

ICIPE Campus

Kasarani Road

Nairobi, Kenya

Attention: Michael Rossman, Agreement Officer

Tel: 254-20-862-2000 ext. 2318

Applicants are requested to submit both technical and cost portions of
their applications [in separate]{.underline} volumes. Applicants should
retain for their records one copy of all enclosures which accompany
their written application. Award will be made to the responsible
applicant(s) whose application(s) offers the best value to the
Government.

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

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

\(a\) Section B - Selection Criteria;

\(b\) Section A -- Cooperative Agreement Application Format;

\(c\) Section C - Program Description and Appendices;

\(d\) This Cover Letter.

**Applicants should note that Bujumbura, Burundi was designated an adult
accompanied post by the United States Embassy effective May 30, 2006.**

Any questions concerning this RFA should be submitted in writing to
Michael Rossman via fax at 254-20-862-2680 or via email at
mrossman@usaid.gov.

Sincerely,

/signed copy on file/

Michael Rossman

Regional Agreement Officer

USAID/EA/RAAO

Table of Contents

SECTION A - GRANT APPLICATION FORMAT

A.1. PREPARATION GUIDELINES

A.2. TECHNICAL APPLICATION FORMAT

A.3. COST APPLICATION FORMAT

SECTION B - SELECTION CRITERIA

B.1. GENERAL

B.2. TECHNICAL SELECTION/EVALUATION CRITERIA

B.3. COST EVALUATION CRITERIA

SECTION C - PROGRAM DESCRIPTION .. . . . . . . . . . . . . . . .

C.1. BACKGROUND

C.2. PROGRAM OBJECTIVES

C.3. ANTICIPATED RESULTS

C.4. MONITORING AND EVALUATION

C.5. TIME FRAME

. C.6. GEOGRAPHIC TARGETING

C.7. BUDGET AND FUNDING

C.8 SUBSTANTCIAL INVOLVEMENT

SECTION D -- CERTIFICATIONS, ASSURANCES, AND OTHER STATEMENTS

PART I - CERTIFICATIONS AND ASSURANCES

PART II - OTHER STATEMENTS OF RECIPIENT

KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES\
AND DRUG TRAFFICKING

PARTICIPANT CERTIFICATION NARCOTICS OFFENSES & DRUG TRAFFICKING

CERTIFICATION REGARDING TERRORIST FINANCING

SUPPORTING USAID'S DISABILITY POLICY IN CONTRACTS, GRANTS, AND
COOPERATIVE AGREEMENTS (AAPD 04-07, DECEMBER 2004)\....

MARKING AND BRANDING REQUIREMENTS FOR ASSISTANCE AWARDS

APPLICATION FOR FEDERAL ASSISTANCE -- STANDARD FORM 424/424A/424B

SURVEY ON ENSURING EQUAL OPPORTUNITY FOR APPLICANTS\...\.....

**SECTION A - COOPERATIVE AGREEMENT APPLICATION FORMAT**

**A.1. Preparation Guidelines**

All applications received by the deadline from eligible applicants will
be reviewed for responsiveness to the specifications outlined in these
guidelines and the application format. Failure to do so will be at the
applicant's risk.

Section B addresses the technical evaluation procedures for the
applications. Applications which are submitted late, are incomplete or
do not conform to the preparation guidelines run the risk of not being
considered in the review process. Late applications will be considered
for award if the Agreement Officer determines it is in the Government\'s
interest.

The preferred method of submission of an application is electronically
via Grants.gov. In order to use this method an applicant must first
register on-line with Grants.gov. If an application is submitted via
Grants.gov, the applicant [must]{.underline} notify the contact person
noted below by email (mrossman@usaid.gov) or provide written
notification by the closing date and time so that the electronic
application can be retrieved by USAID. All prospective applicants who
register on-line for this RFA will be promptly notified of all
amendments, including the full content of the responses to applicant
questions.

Written applications shall be submitted in two separate parts: (a)
technical and (b) cost or business application**.** Technical portions
of written applications shall be submitted in an original and one
additional copy. The original copy will be made on plain paper,
double-sided, and bound. The additional copy should be printed on plain
paper, single-sided, and unbound, so that it is \"photo ready." The
original, bound copy and one "photo ready" copy is due to the Agreement
Officer before the due date for applications and will be considered the
official version to establish timeliness. Additionally, paper
submissions to the Agreement Officer must be accompanied by an
electronic copy of the proposal, including all attachments, on a CD ROM,
formatted in Word 2000 or later (for text) or Excel 2000 or later (for
spreadsheets attachments).

Cost portions of written applications shall be submitted in an original
and one "photo ready" copies. As with technical applications, the
original and one copy will be sent to the Agreement Officer.

Written applications and modifications thereof shall be submitted in
sealed envelopes or packages (1) addressed to the office specified in
the cover Letter of this RFA, and (2) clearly marked with closing date
and time, the RFA number, name and address of the applicant.

Technical and cost applications must be in English and must be presented
on standard 8 ½" x 11" paper, using Times New Roman Font, 12 point
pitch, one inch margins, single-spaced with pages numbered
consecutively. Applications should be in the format of MS-WORD and cost
applications should be in Excel. There are two exceptions: a) budgets
may be in a slightly smaller font (10 point), and b) tables may use
smaller fonts, but must be easily readable. No typeface or characters
should be smaller than 10 characters per inch. A CD-ROM version in Word
and Excel must be submitted to the Agreement Officer.

Applicants must clearly identify the person authorized as the official
point of contact, the legal mailing and street addresses, phone and fax
numbers and email address.

The applicant shall sign the application and print or type its name on
the Cover Page of the technical and cost applications. Erasures or other
changes must be initialed by the persons 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.

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

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

"This application includes data that shall not be disclosed outside the
U.S. Government and shall not be duplicated, used, or disclosed - in
whole or in part - for any purpose other than to evaluate this
application."

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

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

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

The application should be prepared according to the format set forth
below. Applications must be submitted to USAID/East Africa no later than
the date and time and to the location indicated on the cover letter of
this RFA.

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

The technical application shall not exceed the page limits described in
RFA Section A.2. There is no page limitation on the cost or business
application. Separate maps, annexes, charts or organigrams do not count
against page limitations.

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

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

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

Applications must remain valid for a minimum of 120 days.

Explanation to Prospective Applicants -- Any prospective applicant
desiring an explanation or interpretation of this RFA must request it in
writing by close of business indicated on the cover letter of this RFA
to allow a reply, in the form of an RFA amendment, to reach all
prospective applicants before the submission of applications. Questions
or requests for explanations must be submitted to Michael Rossman via
email (mrossman@usaid.gov), regular mail, or fax. Oral explanations or
instructions given before award will not be binding. Any information
given to a prospective applicant constitutes a courtesy on behalf of
USAID to facilitate the best application submission possible from the
applicants. Further, 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.

Amendments to the RFA will be posted to Grants.gov. Applicants shall
acknowledge receipt of any amendment to this RFA by signing and
returning the amendment or by email to mrossman@usaid.gov. The
Government must receive the acknowledgement by the time specified for
receipt of applications.

USAID intends to award one Cooperative Agreement resulting from this RFA
to the responsible applicant whose application has met the standards set
forth in the evaluation criteria. USAID reserves the right to reject any
or all applications or to award more than one.

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

A written award mailed or otherwise furnished to the successful
applicant(s) within the time for acceptance specified either in the
application(s) or in this RFA (whichever is later) shall result in a
binding 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.

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 Agreement may be incurred before receipt of either a fully
executed Agreement or a specific, written authorization from the
Agreement Officer.

**A.1.2. USAID Branding Requirements**

USAID's mandatory branding/marking requirements for all U.S. NGOs became
effective on January 2, 2006. The three new Standard Provisions are set
forth in Section D of this RFA. The Recipient also can review and
download the regulations, guidance, graphics at
[www.usaid.gov/branding](http://www.usaid.gov/branding). Applicants
selected for award will be required to provide a "Branding Strategy" and
a "Marking Plan" for review and inclusion in the final award by the
Grant officer.

**A.2. [Technical Application Format]{.smallcaps}**

Introduction

The content of the technical application will be the most important
element for evaluating the applications. The technical application will
become the basis for the program description of the award. Accordingly,
the technical portion should provide a clear statement of what is to be
accomplished, how and on what schedule. It must be specific, complete,
and concise and shall not exceed the specified number of pages.

The applicant should convey a clear picture of how program activities
will support the creation of off-farm economic opportunities for
disadvantaged populations in Burundi. Particular attention should be
given to the role of the Burundian Ministry of National Education and
Culture (MINEDUC), demonstrating how program activities will provide
MINEDUC staff with the training and experience necessary to play a
management and administrative role in the VST schools.

The applicant should designate key personnel. In addition, applicants
should present a staffing plan and management structure that stipulates
the personnel that implement the proposed work plan. Resumes or
curriculum vitae in English for each key personnel shall be included as
attachments. Specific details for the content of the technical portion
of the application are described below.

Applicants should submit technical applications according to the RFA
instructions. The structure and maximum page limits (per proposal) of
the application format are presented below.

##### Technical Application Format

A. Cover sheet (1 page);

B. Executive Summary (2 pages);

C. Organizational Capacity (3 pages);

D. Program Description (15 pages);

E. Monitoring and Evaluation Plan (5 pages);

F. Program Management and Key Personnel (2 pages);

G. Attachments:

E.1 Resumes or CVs;

E.2 Past performance references;

E.3 Other attachments.

**A.2.2. Cover Letter (1 page)**

Provide the name and contact information for the Applicant, its Project
Manager (the contact person who will receive routine correspondence
regarding the contents and status of the proposed activities during the
application and implementation processes), and the Authorized
Representative (the person who is legally responsible for receiving
grant funds should a grant be made).

**A.2.3. Executive Summary (2 pages)**

The executive summary should be a maximum two-page overview of what the
applicant believes best represents the key features of its proposed
program. This should include a brief description of the overall program
strategic approach, expected results as linked to the Monitoring and
Evaluation Plan, and the level of funding requested and the proposed
cost-share to be provided.

**A.2.4. Organizational Capacity (3 pages)**

The purpose of this section is to provide USAID with an understanding of
the Applicant\'s capacity to implement the program. When providing the
following information, please note that reviewers may not be familiar
with the capabilities of each applicant.

-   Present a brief overview of the Applicant and its qualifications,
    goals, and objectives, including how they relate to the proposed
    program.

-   Summarize the relevant experience the Applicant has in relation to
    the proposed program, including work in and knowledge of Burundi or
    other post-conflict countries.

-   Describe past experience involving the design, implementation and
    monitoring of vocational education and/or community-based
    development programming involving activities similar or related
    programs to those proposed in the application.

-   Summarize the managerial oversight and organizational financial
    controls of the Applicant.

-   Applicants must submit a list of up to three contracts, grants or
    cooperative agreements involving similar or related programs over
    the past five years. Reference information shall include the
    location, current telephone numbers, current points of contact,
    award numbers if available, and brief descriptions of the work
    performed. USAID may contact the named references and use the past
    performance data, with other information, to determine the
    Applicant's responsibility. In evaluating past performance, USAID
    may contact not only references provided by the Applicant, but also
    other sources of information. Past performance references may be
    provided as an attachment to the application and will not count
    against page limits.

**A.2.5.Program Description (15 pages)**

This section shall provide a detailed strategy to implement program
activities, including at a minimum a discussion of the following program
components:

-   A process for identifying those vocational skills which are
    currently in demand in local and regional markets and tailoring the
    training offered in the VST schools to capitalize on these market
    opportunities

-   A strategy for ensuring a diversity of students in the VST schools
    and addressing the potential for conflict in multiethnic classrooms

-   Collaboration with MINEDUC, including a strategy for capacity
    building of MINEDUC staff and benchmarks for increasing Ministry
    staff management of the schools

-   Activities to improve the financial viability of the schools

-   A roadmap for the creation of microenterprises among VST graduates
    and the provision of startup in-kind material support for these
    microenterprises

-   A strategy for the provision of ongoing support to VST graduates,
    such as follow-on training modules and microcredit support

-   A plan for collaboration and synergies with other governmental and
    non-governmental organizations and agencies working on vocational
    education and private sector development

**A.2.6. Monitoring and Evaluation Plan (5 pages)**

In this section, the Applicant should identify specific program outcomes
and propose a monitoring and evaluation plan as well as quarterly and
annual incremental benchmarks for phase of implementation. Applicants
should include activity- and impact-level indicators and demonstrate
linkages between program activities and USAID Burundi Strategic
Objectives and Intermediate Results (see Section C.2 below).

**A.2.7. Program Management and Key Personnel (2 pages)**

In this section, the Applicant should briefly provide an overview of how
the proposed program will be managed. Applicants should identify the key
personnel positions for this program. Include position descriptions
(including roles and responsibilities), relevant experience and academic
and professional qualifications for all key personnel. Applicants should
also include a two to three page curriculum vita as an appendix for each
candidate.

**A.3. [Cost Application Format]{.smallcaps}**

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

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

-   A budget and an accompanying budget narrative detailing the total
    costs for implementation of the program your organization is
    proposing. The budget should be submitted using Standard Form 424
    and 424A and SF 424B that can be downloaded from the following USAID
    web site:

> <http://www.usaid.gov/procurement_bus_opp/procurement/forms/SF-424/sf424_complete.pdf>

**A.3.1. Standard Form 424 and 424A and B**

Standard Form 424 is the required fact sheet for applications submitted
for Federal assistance. Standard Form 424A is the form used by
applicants for presenting overall budget information.

Standard Form 424A, Section A, requests costs organized by headquarters
and field, and by Federal and Non-Federal. This information should be
the same as that presented in other Sections. Federal refers to the
funds requested from USAID, and Non-Federal refers to funding from the
applicant and other sources. The amounts for Federal and Non-Federal
presented here should be the same as the Estimated Funding presented on
Standard Form 424, 15.a and b, plus any entry for e. The total program
amount on the face sheet should be the same amount presented in Section
A and in Section B.

**A.3.2. Indirect Costs, NICRA, and Evidence of Responsibility**

Applicant's must include their most recent Negotiated Indirect Cost Rate
Agreement (NICRA) from the cognizant Government Audit Agency stating the
latest audited indirect cost rates, the base to which such rates are
applied and the method of application. Note if the Applicant is a
consortium, all members must submit the documentation required below. If
a NICRA is unavailable, submit sufficient information to allow USAID to
determine the reasonableness of the rates. (For example, a breakdown of
labor bases and overhead pools, the method of determining the rate,
annual financial statements, etc.)

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

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

\(2\) projected budget, cash flow and organizational chart;

\(3\) A copy of the organization\'s accounting manual.

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.
USAID regulations require that USAID conduct a pre-award audit of new
applicants selected for award.

In Addition applicants must submit completed and signed "Certifications,
Assurances, and other Statements of Applicant/Grantee" in Section D and
a copy of the organizational chart for the proposed consortium.

Evidence of Responsibility. USAID reserves the right to seek additional
evidence of responsibility deemed necessary for the Agreement Officer to
make a determination of responsibility. The information submitted should
substantiate that the Applicant:

\(i\) Has adequate resources or the ability to obtain such resources as
required to complete the program as described

\(ii\) Has the ability to comply with the assistance conditions, taking
into account all existing and currently prospective commitments of the
applicant, nongovernmental and governmental.

> \(iii\) 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.

\(iv\) Has a satisfactory record of integrity and business ethics; and,

\(v\) Is otherwise qualified and eligible to receive an award under
applicable laws and regulations (e.g., EEO).

**A.3.3. Detailed Budget and Budget Narrative**

The detailed budget and narrative should follow the SF424 and 424A,
should use the same Object Class Categories, and should fully define and
support the costs distributed to both the Federal and Non-Federal
portions of the budget.

The basis for the figures in the categories must be supported as
indicated below, so that the Agreement Officer will be able easily to
verify all costs for the proposed program. This will obviate the need to
request budget clarifications, which delay the award process. It may
cover groups of items as appropriate.

**Personnel-**Names of staff, titles, person days and rates\--indicating
if based on current salaries and are appropriate for the locality

**Fringe Benefits-**Percentage base against which calculated

**Travel-**Number of trips, destinations, number of persons traveling,
number of days per trip, costs based on coach fares (clearly
distinguishing domestic and international travel). Indicate purpose of
each trip and which objective the trip would benefit.

**Equipment-**Types, numbers, cost per item and how calculated (i.e.,
whether based on catalogues or supplier quotes). Include purpose of each
type of equipment to be bought with USAID funds. Also, provide a
disposal plan after completion of the activity. How would the equipment
be used and where would it go after the end of program?

**Supplies-**General description of supplies needed, estimated costs and
the basis for proposed prices

**Contractual-**Consultants (e.g., for evaluation), number of days,
rates, per diem.

**Other-**Details regarding other items budgeted, but including
sub-Agreements, training, if any. (Costs must be separated into those
assigned to the applicant organization and those for the partner
organization, which would be shown as a sub-Agreement for purposes of
the Cooperative Agreement.) The applicant should propose a cost share,
in cash and in-kind, of the total program budget.

***When allocating costs between Federal and Non-Federal, it is
important to note the following:***

**Procurement-**Award recipients are encouraged to use their own private
cost share/matching funds for procurements of non-expendable property
estimated at over \$5,000 per unit, for procurements of motor vehicles
(including motor bikes), and particularly for all non‑U.S. procurements.

**Cost Share Arrangements**-USAID endorses cost-sharing resources as an
important principle in USAID-recipient relationships. Cost-share or
match is non-U.S. Government resources obtained by the Applicant and
used to directly support the proposed activities. All cash and in-kind
contributions must meet the criteria set forth in 22 CFR 226.23 and may
be in any combination of in-kind support, staff salaries, waiver of
overhead, etc. Cost share is legally binding and reported on a periodic
basis on payment forms. USAID has the right to reduce its share of
funding if the cost-share reported is less than the agreed upon
percentage or amount contained in the award. Finally, if a difference
remains after an award has expired, the difference shall be refunded to
USAID. Cost share will be considered within the best value to the
government consideration. USAID may give preference to proposals with a
greater cost-share contribution. Although it is not anticipated that all
member organizations contribute equally, it is anticipated that under a
consortium team structure all members will contribute at some
appropriate level, to be agreed upon by the members. There is no cost
share target for this RFA.

Applicants also are encouraged to propose intended-but-not-binding
"resource leveraging". Though resource leveraging is not subject to the
requirements of 22 CFR 226.23, entities must be able to demonstrate
whether leveraged contributions have been obtained as proposed in
program implementation in order to determine whether the desired impacts
from the cooperative agreement are being achieved. Likewise, USAID has
the ability to revise or withdraw from the cooperative agreement when
"resource leveraging" contributions are not forthcoming as originally
proposed in the agreement.

Award recipients will be required to report in their annual reports and
in the Financial Status Report Form SF 269 the total amount of
cost‑sharing to date. Although the recipient is encouraged to cost-share
on a life‑of‑project basis, it is advisable to expend those funds on a
pro-rata basis per year and not wait until the last year of the
agreement to expend its cost share match. Partner contributions may be
applied to the cost-share when auditable as such. While not required,
the application will be strengthened if the USAID contribution is
gradually reduced over the life of project.

**A.3.4. Other required information.**

-   the breakdown of all costs according to each partner 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 the financial and in-kind contributions of all
    organizations involved in implementing this Cooperative Agreement;

-   the procurement plan for commodities provided under this Cooperative
    Agreement.

# SECTION B - SELECTION CRITERIA

**B.1 General**

It is anticipated that under this RFA USAID will award one cooperative
agreement to the Applicant that is determined to be the most likely to
achieve the program objectives described in Section C. The selection
criteria presented below serve to: (a) identify the significant matters
which applicants should address in their applications and (b) set the
standard against which all applications will be evaluated.

The technical applications will be evaluated in accordance with the
Selection/Evaluation Criteria set forth below. To the extent that they
are necessary (if an award is not made based on initial application),
USAID staff may request clarification and supplemental materials from
applicants whose applications have a reasonable chance of being selected
for an award. The entry into discussions is to be viewed as part of the
evaluation process and shall not be deemed by USAID or the applicants as
indicative of a decision or commitment upon the part of USAID to make an
award to the applicants with whom discussions are being held.

Applicants are reminded that the Government is not obligated to make an
award on the basis of lowest proposed cost or to the applicant with the
highest technical evaluation score. After the final evaluation of
applications, the Agreement Officer will make the award(s) to the
responsible applicant(s) whose application(s) is/are judged to be the
most advantageous in accomplishing the objectives of the program and
offer the best value to the Government, considering both technical and
cost factors, including any proposed cost share/matching.

The Government may (a) reject any or all applications, (b) accept other
than the lowest cost application, (c) accept more than one application
(see Section B, Selection Criteria), and (d) waive informalities and
minor irregularities in applications received.

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

**B.2. TECHNICAL SELECTION/EVALUATION CRITERIA**

**B.2.1. Introduction**

The Technical Application will be evaluated and scored based on the
following criteria. Each Application will be rated on a 100-point scale,
with a maximum number of points assigned to each section, as follows.
Applicants should note that these criteria serve as the standard against
which all technical application information will be evaluated and
identify significant matters which should be addressed in the
applicants' applications. All subcriteria are of equal weight. Please
organize the narrative sections of the technical application in the same
order as the selection criteria.

USAID policy requires that gender issues be addressed as appropriate in
all USAID-funded activities (see USAID policy paper "Women in
Development" on the USAID web site
<http://www.usaid.gov/our_work/cross-cutting_programs/wid/>). USAID will
evaluate the program description of applications in accordance with the
technical evaluation criteria set forth below.

**B.2.2. Selection Criteria for the Technical Application**

# A. Organizational Capacity (30 Points) 

Scores for this criterion will be based upon the extent to which the
application demonstrates:

-   institutional qualifications to undertake the objectives outlined in
    the application and to achieve the goal of increasing off-farm
    economic opportunities through the provision of market-driven
    vocational training to disadvantaged groups;

-   work experience in and knowledge of Burundi and/or other Central and
    East African countries or regions with fragile polities;

-   experience in the design, implementation and monitoring of
    vocational education and/or community-based development programming,
    especially of activities similar to those laid out in the program
    description; and

-   a strong, clear in-country management plan, including specific
    oversight and financial controls aimed at ensuring the timely and
    efficient disbursement and management of operational funds required
    for the implementation of program activities.

**B. Past Performance (15 Points)**

Scores for this criterion will be based upon the extent to which the
application demonstrates:

-   quality of product or services, including consistency in meeting
    goals and targets, and cooperation and effectiveness in fixing
    problems;

-   cost control, including forecasting costs as well as accuracy in
    financial reporting;

-   timeliness of performance, including adherence to schedules and
    other time-sensitive project conditions, and effectiveness of home
    and field office management to make prompt decisions and ensure
    efficient operation of tasks;

-   managerial and technical competency of key personnel; and

-   satisfaction of end users of products or services, including
    satisfactory business relationship to clients, initiation and
    management of several complex activities simultaneously, and
    coordination among developing country partners, and cooperative
    attitude in fixing problems.

# C. Technical Approach (40 Points)

Scores for this criterion will be based upon the extent to which the
application demonstrates:

-   a clear roadmap for establishing a vocational training program that
    provides skills in demand in local and regional markets;

-   a strategy for ensuring that program activities target diverse
    disadvantaged groups in the focus provinces and address the
    potential for conflict in multi-ethnic classrooms;

-   an understanding of gender and other equity issues as they relate to
    post-conflict private sector development in Burundi;

-   a convincing process for increasing MINEDUC involvement in schools
    using capacity building activities and concrete benchmarks;

-   a concrete strategy for increasing the financial viability of the
    schools;

-   a coherent plan for the creation of microenterprises by VST
    graduates and the provision of follow-on technical and material
    support to these enterprises;

-   clear and coherent plans for coordination with other governmental
    and non-governmental organizations, agencies and other organizations
    to ensure the ongoing coordination of vocational education and
    private sector development activities in Burundi; and

-   a strong monitoring and evaluation plan including clearly
    articulated benchmarks, activity level indicators and mechanisms for
    measuring concrete results, and demonstrated understanding of the
    linkage between program activities, impacts and USAID Burundi
    strategic objectives and intermediate results.

**D. Personnel Qualifications, Experience and Capabilities (15 points)**

Scores for this criterion will be based upon the extent to which the
application demonstrates:

-   key personnel have experience, academic, and professional
    qualifications of personnel relevant to the program description.
    Preference will be given to personnel with relevant experience in
    post-conflict development, particularly in Burundi;

-   key personnel have demonstrated proficiency in French and English;
    and

-   key personnel have demonstrated success in managing and/or
    administering community-based vocational skills education or
    economic development activities and in working in partnership with
    local counterparts and community organizations.

**B.3. Cost Criteria, Cost Share, and Ranking**

Technical considerations are more important than cost. Cost criteria
will not be scored. Rather, proposed costs will be analyzed for cost
realism, reasonableness, completeness, and allocability. Applications
providing the best value to the Government, including cost share, will
be more favorably considered for award.

Applications will be ranked in accordance with the selection criteria
identified above. USAID reserves the right to determine the resulting
level of funding for each agreement being selected for award.

# SECTION C -- PROGRAM DESCRIPTION

**C.1. Background**

Burundi is currently a nation at a crossroads. The country has been
subject to waves of interethnic violence and civil war since it gained
independence in 1962, and the most recent round of civil war, which
began in 1993, left over 300,000 dead and over a million refugees and
internally displaced persons (IDPs). Following an internationally
brokered peace accord and several years of transitional government,
Burundians voted en masse for peace and stability last year, through
five rounds of national elections that were hailed as a model on the
continent. The former rebel movement National Council for the Defense of
Democracy-Forces for the Defense of Democracy (CNDD-FDD) received an
overwhelming mandate.

The CNDD-FDD has inherited an economy that can be described as fragile,
at best. In 2002 the percentage of Burundians living below the poverty
line was 68 percent. Burundi is the second most densely populated
country in sub-Saharan Africa. Population growth, currently estimated to
be 3.4%, is putting increasing pressure on limited land resources;
available land per household averages only about 0.5 hectares. Yet 90%
of the Burundian population is dependent on subsistence farming, and
pressure on the land has been exacerbated by the return of an estimated
68,000 refugees from Tanzania and 19,739 combatants demobilized during
2005; an estimated 117,000 individuals also remain displaced within
Burundi.

Clearly, the creation of off-farm economic opportunities is critical to
short-term stability and long-term development in Burundi. The
population of Burundi is overwhelmingly young and rural---nearly half of
the Burundian population was below the age of 15 in 2003, and 90% of
Burundi's population lives in rural areas. The creation of diverse
opportunities for economic livelihoods for an increasingly restive
generation of young people, as well as for the tens of thousands of
Burundians returning from forced displacement and from military service,
will be a key determinant of either greater security or backsliding into
conflict.

USAID's Office of Transition Initiatives (OTI) launched a Vocational
Skills Training (VST) program in February 2004 as part of its Community
Peace and Reconciliation Program (CPRI). The VST program aimed to
identify and support non-farm economic opportunities among a diverse
target population in Gitega and Ruyigi, two provinces selected primarily
because of the large number of ex-combatants, refugees and IDPs likely
to return to these provinces and the correspondingly intense competition
for land resources that could result. The program rehabilitated,
equipped and staffed eight vocational skills training schools, four in
Gitega and four in Ruyigi, in close collaboration with the Ministry of
Handicrafts, Vocational Skills and Adult Literacy (now subsumed within
MINEDUC). The student body, which ranges in age from 16 to 35, has
included undereducated female and orphan heads of households,
ex-combatants representing all of Burundi's various armed groups, IDPs,
and returned refugees, as well as those who remained in their
communities during the war. Each student currently learns one of six
vocational skills: carpentry, masonry, brick and tile making, roofing,
sewing and bread making. In addition, the OTI schools have brought in
outside trainers to teach basic numeracy and literacy, small business
management skills, and basic civic education and conflict resolution
skills to students in every discipline. After students complete their
curricula (three months duration for bread making, five months duration
for other skills), students are encouraged and supported to form small
business associations and are therefore eligible to receive a modest
start-up kit. To date, the 2,592 graduates have formed 300 associations,
each with between six and 15 members. All of the graduate associations
include a mix of ethnicities, gender, and backgrounds---a rare example
of associational diversity in rural settings in Burundi.

A study commissioned by OTI in September 2005 indicated that VST
graduates were commanding daily wages as much as two times higher than
non-VST graduates, including those who had completed traditional
government primary schools. With the advent of reconstruction projects
in Burundi, the VST program is beginning to provide materials and
services to construction projects taking place in Gitega and Ruyigi,
thus generating income for the schools and filling a significant need
for skilled labor in the communities.

The VST schools have a strong record of accomplishment. The demand for
the vocational training provided by the schools has increased with every
enrollment period and the feedback from graduates on their training
experience is overwhelmingly positive. As word spreads about the
training centers, students are coming from farther and farther away to
undertake studies at the VST centers. The schools can take, on average,
only 50% of those who are applying for enrollment.

Education has been cited as a key priority for the new Burundian
Government. President Nkurunziza announced a policy of universal free
primary education during his inaugural address in August 2005. The
Burundian Government has consistently lauded the achievements of the OTI
program and the standards it has set for vocational education. The
Minister of Education has already expressed his interest in using the
VST schools as a model for vocational training nationally. Yet while the
government has rightly focused on the importance of vocational
education, the capacity of MINEDUC to implement vocational education
programs remains weak. The eight OTI-supported VST schools are all owned
by MINEDUC, but at the start of the OTI program the schools had fallen
into disrepair and were rehabilitated as part of the OTI program.
MINEDUC has expressed an interest in collaborating more closely in the
management of the schools toward an eventual goal of taking over
administration of the schools, and USAID will implement this program
with a goal of handover in June 2008. Thus, the sustainability of the
VST program will depend on the capacity building of MINEDUC staff
through concrete benchmarks and activities such as field visits and
in-schools training. A joint USAID-MINEDUC-Partner advisory committee
for school administration may also be considered.

Sustainability will also depend on increasing the financial
self-sufficiency of the schools. At present, the OTI schools are fully
supported with USAID resources, with an operating budget of
approximately \$1.4 million per year. The financial viability and
self-sufficiency of the schools could be improved through
revenue-generating activities for the schools such as the rental of VST
school space and equipment, and the completion of work orders by school
staff and students.

In addition, the skills taught in vocational education courses must be
appropriate to local, regional and even international markets if they
are to jumpstart rural job creation in Burundi. The creation of
opportunities for Burundi's rural poor will have a direct impact on the
ability of the targeted communities to absorb the thousands of returnees
who still have to be reintegrated, and on alleviating the pressure on
the land that has proved such a ready trigger for conflict in the past.

The current state of the private sector in Burundi and the lack of
non-agricultural economic opportunities require that any vocational
skills training program be administered so as to encourage the creation
of microenterprises rather than job seekers. The OTI VST program thus
focused on the creation of microenterprises to address this issue; as
noted above, 300 microenterprises have been formed by VST program
graduates. Yet while the OTI VST program clearly has had an impact on
the generation of non-farm income in Gitega and Ruyigi, it has proven
difficult for the microenterprises formed by the VST graduate
associations to build up long-term viability. Few graduates are
currently able to rely solely on their new technical skill to earn a
living. It will be important to ensure that the skills being taught in
the eight USAID-supported schools are sufficiently in demand in the
target communities, and that potential additional value-added skills
such as agro-processing, essential oils and perhaps even information and
communication technology (ICT)-related services, are not overlooked.
Continuing technical training on topics such as financial and human
resource management and marketing as well as financial support will also
be needed to help the VST associations grow into sustainable businesses
and potential engines of rural economic development. While the budget
for the vocational skills training program will not support a
substantial microcredit component, creative approaches could be
considered to address these needs; activities could include a revolving
credit system for graduate associations on a merit basis.

OTI will complete its program in Burundi in July 2006, though sufficient
funding has been provided for the VST program to continue for an
additional six months under USAID/East Africa management until January
15, 2007. This Request for Applications announces a full and open
competition for partners to implement a second phase of the VST program
under USAID/East Africa management for 24 months, from October 2006
through September 2008. It is anticipated that an award, if made, will
be made by September 30, 2006. USAID anticipates providing up to
\$1,480,000 during this time period depending on availability of
funding.

Applicants should describe a strategy for implementing activities during
the second stage of the VST program that build upon the OTI program.
Following award, the applicant selected as implementing partner will be
expected to begin work immediately on a work plan to be submitted to
USAID by December 1, 2006. The implementing partner will be encouraged
to visit the VST schools while classes are in progress, and to conduct
local market surveys to inform the workplan.

Applicants should address the program elements set forth in Section
A.2.5 above and present a coherent technical strategy and monitoring and
evaluation plan that provides a framework for the achievement of
measurable benchmarks and results.

**C.2. Program Objectives **

The main purpose of the activity is to address the lack of off-farm
economic opportunity in Burundi by providing vocational and technical
training to Burundian out-of-school youth and other disadvantaged groups
in the targeted communities in partnership with MINEDUC, and supporting
the formation and scaling up of local microenterprises by vocational
school graduates. The proposed activities will build on USAID
investments in the areas of vocational skills training and conflict
mitigation, and contribute to the broad interests of the United States
Government in averting and resolving conflict and promoting stability
and recovery in Burundi, in conformity with the Strategic Framework for
Africa. The lack of economic opportunity and continuing insecurity in
Burundi represent major obstacles on the country's path from crisis to
stability. The multiethnic nature of the schools and the conflict
resolution training the schools provide address the need for interethnic
post-conflict reconciliation. In addition, the income generating
opportunities that result from the vocational skills training program
provide a productive alternative to widespread un- and under-employment
and disaffection that can easily result in violence.

Applications under this RFA will specifically be designed to achieve the
following four principal objectives:

-   Increasing the capacity of the Burundian Ministry of Education
    (MINEDUC) to administer and sustainably manage vocational skills
    training programs in the targeted communities

-   Increasing the number of off-farm economic opportunities available
    to out-of-school youth and other disadvantaged groups in targeted
    communities through vocational training in skills in demand in
    local, regional and international markets

-   Enabling the creation of microenterprises through provision of
    inputs to vocational training graduates

-   Improving sustainability of fledging graduate associations through
    continued business support and mentoring for graduate associations

Activities in support of these objectives will support USAID Burundi
Strategic Objective 9, African Conflict Mitigation Capacity Enhanced.
Specifically program activities will contribute to the achievement of
Intermediate Result (IR) 9.2, Community-Based Reconciliation Processes
Supported, and IR 9.4, Limited Land Resources Sustainably Managed. USAID
Burundi's 2006-2008 Strategic Statement can be found at
<http://dec.usaid.gov/index.cfm?p=search.getCitation&CFID=18124&CFTOKEN=74540407&rec_no=140888>.

**C.3. Anticipated Results**

Applicants are asked to identify specific project outcomes and to
propose a monitoring and evaluation plan, including indicators that will
help monitor and measure the progress of the project. The plan should
also include quarterly and annual benchmarks.

The following illustrative anticipated results have been identified for
the project:

-   At least 15% of vocational skills school staff are MINEDUC
    employees;

-   At least 10% of school operating expenses are generated by the
    schools themselves;

-   At least 1800 out of school youth, ex-combatants, returnees and
    other disadvantaged groups graduated from the USAID-funded
    vocational skills training program;

-   At least 300 new enterprises formed by vocational skills graduates;

-   At least 70% of enterprises formed by vocational skills graduates
    contain members of two or more conflicting parties;

-   At least 40% of new enterprises started are still successfully
    operating after one year; and

-   At least 50% of vocational skills graduates have found employment in
    their field of training.

**C.4. MONITORING AND EVALUATION**

A mid-term and a final evaluation and a discussion on how M&E will be
conducted, should be included in proposals.

**C.5. TIMEFRAME**

24 months from October 1, 2006- September 30, 2008.

**C.6. GEOGRAPHIC TARGETING**

This RFA is targeting the Limited Presence Countries for Burundi .

**C.7. BUDGET and FUNDING**

The total budget for this RFA is \$1,480,000 for a performance period
that is planned to be for a total length of 24 months subject to the
availability of funds. Applications that do not remain within the budget
targets will be considered unresponsive.

**C.8. USAID Substantial Involvement in VST Management**

USAID will have substantial involvement in the Applicant's program. The
Cooperative Agreements will describe in detail USAID's anticipated
substantial involvement. Under the Cooperative Agreements to be awarded
for the VST program substantial involvement includes:

-   CTO Approval of annual work plans and budgets;

-   CTO Approval of the monitoring and evaluation plan;

-   CTO Approval of key personnel and changes in key personnel;

-   CTO involvement in the selection of VST advisory group members;

-   CTO monitoring to permit specific kinds of direction or redirection
    because of interrelationships with other projects; and

-   AO concurrence on the selection of subaward recipients and the
    substantive provisions of the subawards.

**SECTION D - U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT CERTIFICATIONS,
ASSURANCES, AND OTHER STATEMENTS OF RECIPIENT**

##  PART I - CERTIFICATIONS AND ASSURANCES

**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.

Solicitation No.
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Application/Proposal No.
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Date of Application/Proposal
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Name of Applicant/Subgrantee
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Typed Name and Title
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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature
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**2. CERTIFICATION REGARDING LOBBYING (22 CFR 227)**

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

\(1\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of 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.

Solicitation No.
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Application/Proposal No.
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Date of Application/Proposal
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Name of Applicant/Subgrantee
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Typed Name and Title
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\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

## 

## 3. KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING (ADS 206.3.10)

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.

**4. CERTIFICATION REGARDING TERRORIST FINANCING IMPLEMENTING E.O. 13224
(AAPD 04-14, SEPT 2004)**

> 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.

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

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

Organization\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

(END OF CERTIFICATIONS AND ASSURANCES)

**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 QUANTITY ESTIMATED UNIT COST

(Generic)

\(d\) Source, Origin, and Componentry of Goods. If the recipient plans
to purchase any goods/commodities which are not of U.S. source and/or
U.S. origin, please indicate below (using a continuation page, as
necessary) the types and quantities of each, estimated unit costs of
each, and probable source and/or origin. \"Source\" means the country
from which a commodity is shipped to the cooperating country or the
cooperating country itself if the commodity is located therein at the
time of purchase. However, where a commodity is shipped from a free port
or bonded warehouse in the form in which received therein, \"source\"
means the country from which the commodity was 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/QUANTITY EST. GOODS PROBABLE GOODS PROBABLE

DESCRIPTION UNIT COMPONENTS SOURCE COMPONENTS ORIGIN

(Generic) COST

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

TYPE/QUANTITY ESTIMATED PROBABLE PROBABLE INTENDED

DESCRIPTION UNIT COST SOURCE ORIGIN USE

(Generic)

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

TYPE/QUANTITY ESTIMATED PROBABLE NATIONALITY RATIONALE

DESCRIPTION UNIT COST SUPPLIER for

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

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

TYPE/DESCRIPTION QUANTITY ESTIMATED PROPOSED DISPOSITION

(Generic) UNIT COST

**6. PAST PERFORMANCE REFERENCES**

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

**7. TYPE OF ORGANIZATION**

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

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

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

**8. ESTIMATED COSTS OF COMMUNICATIONS PRODUCTS**

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

(END OF OTHER STATEMENTS OF RECIPIENT)

**SUPPORTING USAID'S DISABILITY POLICY IN CONTRACTS, GRANTS, AND**

**COOPERATIVE AGREEMENTS (AAPD 04-07, DECEMBER 2004)**

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

(b) USAID therefore requires that the recipient not discriminate against
    people with disabilities in the implementation of USAID-funded
    programs and that it make every effort to comply with the objectives
    of the USAID Disability Policy in performing the program under this
    grant or cooperative agreement. To that end and to the extent it can
    accomplish this goal with the scope of the program objectives, the
    recipient should demonstrate a comprehensive and consistent approach
    for including men, women and children with disabilities. Questions
    about USAID's Disability Policy can be directed to Lynne Schaberg,
    PPC/P at 202-712-1891 or Lloyd Feinberg, DCHA/DG, 202-712-5725.

> USAID encourages Recipients to follow this policy to the maximum
> extent possible. By signing below, the Recipient acknowledges that it
> is aware of this policy and will apply it to the maximum extent
> practicable.
>
> Signature:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Name:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

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

Per AAPD 02-04, dated March 20, 2002, it is mandatory to incorporate the
following Standard Provision in all solicitations and awards:

"**PROHIBITIONS ON TRANSACTIONS WITH INDIVIDUALS OR**

**ORGANIZATIONS ASSOCIATED WITH TERRORISM**:

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

**Marking and Branding Requirements for Assistance Awards (AAPD 05-11)**

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

\(a\) **Definitions**

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

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

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

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

\(c\) **Submission Requirements**

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

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

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

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

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

American People\" next to the USAID Identity in acknowledging our
contribution, instead of the phrase \"funded by.\" USAID prefers local
language translations.

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

Note: USAID prefers to fund projects that do NOT have a separate logo or
identity

that competes with the USAID Identity.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(a)**Definitions**

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

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

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

A ***Presumptive Exception*** exempts the applicant from the general
marking requirements for a *particular* USAID-funded public
communication, commodity, program material or other deliverable, or a
*category* of USAID-funded public communications, commodities, program
materials or other deliverables that would otherwise be required to
visibly bear the USAID Identity. The Presumptive Exceptions are:

[Presumptive Exception (i)]{.underline}. USAID marking requirements may
not apply if they would compromise the intrinsic independence or
neutrality of a program or materials where independence or neutrality is
an inherent aspect of the program and materials, such as election
monitoring or ballots, and voter information literature; political party
support or public policy advocacy or reform; independent media, such as
television and radio broadcasts, newspaper articles and editorials; and
public service announcements or public opinion polls and surveys (22
C.F.R. 226.91(h)(1)).

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

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

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

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

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

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

\(b\) **Submission.** The Apparently Successful Applicant, upon the
request of the Agreement Officer, will submit and negotiate a Marking
Plan that addresses the details of the public communications,
commodities, program materials that will visibly bear the USAID
Identity. The marking plan will be customized for the particular
program, project, or activity under the resultant grant or cooperative
agreement. The plan will be included in and made a part of the resulting
grant or cooperative agreement. USAID and the Apparently Successful
Applicant will negotiate

the Marking Plan within the time specified by the Agreement Officer.
Failure to submit and negotiate a Marking Plan will make the applicant
ineligible for award of a grant or cooperative agreement. The applicant
must include an estimate of all costs associated with branding and
marking USAID programs, such as plaques, labels, banners, press events,
promotional materials, and so forth in the budget portion of its
application. These costs are subject to revision and negotiation with
the Agreement Officer upon submission of the Marking Plan and will be
incorporated into the Total Estimated Amount of the grant, cooperative
agreement or other assistance instrument.

\(c\) **Submission Requirements**. The Marking Plan will include the
following:

\(1\) A description of the public communications, commodities, and
program materials that the recipient will be produced as a part of the
grant or cooperative agreement and which will visibly bear the USAID
Identity. These include:

\(i\) program, project, or activity sites funded by USAID, including
visible infrastructure projects or other programs, projects, or
activities that are physical in nature;

\(ii\) technical assistance, studies, reports, papers, publications,
audio-visual productions, public service announcements, Web
sites/Internet activities and other promotional, informational, media,
or communications products funded by USAID;

\(iii\) events financed by USAID, such as training courses, conferences,
seminars, exhibitions, fairs, workshops, press conferences, and other
public activities; and (iv) all commodities financed by USAID, including
commodities or equipment provided under humanitarian assistance or
disaster relief programs, and all other equipment, supplies and other
materials funded by USAID, and their export packaging.

\(2\) A table specifying:

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

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

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

\(3\) A table specifying:

\(i\) what program deliverables will not be marked with the USAID
Identity, and

\(ii\) the rationale for not marking these program deliverables.

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

\(1\) The Apparently Successful Applicant may request a Presumptive
Exception as part of the overall Marking Plan submission. To request a
Presumptive Exception, the Apparently Successful Applicant must identify
which Presumptive Exception applies, and state why, in light of the
Apparently Successful Applicant's technical proposal and in the context
of the program description or program statement in the USAID Request For
Application or Annual Program Statement, marking requirements should not
be required.

\(2\) Specific guidelines for addressing each Presumptive Exception are:

\(i\) For Presumptive Exception (i), identify the USAID Strategic
Objective, Interim Result, or program goal furthered by an appearance of
neutrality, or state why the program, project, activity, commodity, or
communication is 'intrinsically neutral.' Identify, by category or
deliverable item, examples of program materials funded under the award
for which you are seeking exception 1.

\(ii\) For Presumptive Exception (ii), state what data, studies, or
other deliverables will be produced under the USAID funded award, and
explain why the data, studies, or deliverables must be seen as credible.

\(iii\) For Presumptive Exception (iii), identify the item or media
product produced under the USAID funded award, and explain why each item
or product, or category of item and product, is better positioned as an
item or product produced by the cooperating country government.

\(iv\) For Presumptive Exception (iv), identify the item or commodity to
be marked, or categories of items or commodities, and explain how
marking would impair the item's or commodity's functionality.

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

\(vi\) For Presumptive Exception (vi), identify the relevant cultural or
social norm, and explain why marking would violate that norm or
otherwise be inappropriate.

\(vii\) For Presumptive Exception (vii), identify the applicable
international law violated by marking.

\(3\) The Agreement Officer will review the request for adequacy and
reasonableness. In consultation with the Cognizant Technical Officer and
other agency personnel as necessary, the Agreement Officer will approve
or disapprove the requested Presumptive Exception. Approved exceptions
will be made part of the approved Marking Plan, and will apply for the
term of the award, unless provided otherwise.

\(e\) **Award Criteria**: The Agreement Officer will review the Marking
Plan for adequacy and reasonableness, ensuring that it contains
sufficient detail and information concerning public communications,
commodities, and program materials that will visibly bear the USAID
Identity. The Agreement Officer will evaluate the plan to ensure that it
is consistent with the stated objectives of the award; with the
applicant's cost data submissions; with the applicant's actual project,
activity, or program performance plan; and with the regulatory
requirements of 22 C.F.R.

226.91. The Agreement Officer will approve or disapprove any requested
Presumptive Exceptions (see paragraph (d)) on the basis of adequacy and
reasonableness. The Agreement Officer may obtain advice and
recommendations from technical experts while performing the evaluation.

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

**(a) Definitions**

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

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

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

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

***Public communications*** are documents and messages intended for
distribution to audiences external to the recipient's organization. They
include, but are not limited to, correspondence, publications, studies,
reports, audio visual productions, and other informational products;
applications, forms, press and promotional materials used in connection
with USAID funded programs, projects or activities, including signage
and plaques; Web sites/Internet activities; andevents 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](http://www.usaid.gov/branding) and USAID
provides it without royalty, license, or other fee to recipients of
USAID-funded grants, or cooperative agreements, or other assistance
awards.

**(b) Marking of Program Deliverables**

> \(1\) All recipients must mark appropriately all overseas programs,
> projects, activities, public communications, and commodities partially
> or fully funded by a USAID grant or cooperative agreement or other
> assistance award or subaward with the USAID Identity, of a size and
> prominence equivalent to or greater than the recipient's, other
> donor's, or any other third party's identity or logo.
>
> \(2\) The Recipient will mark all program, project, or activity sites
> funded by USAID, including visible infrastructure projects (for
> example, roads, bridges, buildings) or other programs, projects, or
> activities that are physical in nature (for example, agriculture,
> forestry, water management) with the USAID Identity. The Recipient
> should erect temporary signs or plaques early in the construction or
> implementation phase. When construction or implementation is complete,
> the Recipient must install a permanent, durable sign, plaque or other
> marking.
>
> \(3\) The Recipient will mark technical assistance, studies, reports,
> papers, publications, audio-visual productions, public service
> announcements, Web sites/Internet activities and other promotional,
> informational, media, or communications products funded by USAID with
> the USAID Identity.
>
> \(4\) The Recipient will appropriately mark events financed by USAID,
> such as training courses, conferences, seminars, exhibitions, fairs,
> workshops, press conferences and other public activities, with the
> USAID Identity. Unless directly prohibited and as appropriate to the
> surroundings, recipients should display additional materials, such as
> signs and banners, with the USAID Identity. In circumstances in which
> the USAID Identity cannot be displayed visually, the recipient is
> encouraged otherwise to acknowledge USAID and the American people's
> support.
>
> \(5\) The Recipient will mark all commodities financed by USAID,
> including commodities or equipment provided under humanitarian
> assistance or disaster relief programs, and all other equipment,
> supplies, and other materials funded by USAID, and their export
> packaging with the USAID Identity.
>
> \(6\) The Agreement Officer may require the USAID Identity to be
> larger and more prominent if it is the majority donor, or to require
> that a cooperating country government's identity be larger and more
> prominent if circumstances warrant, and as appropriate depending on
> the audience, program goals, and materials produced.
>
> \(7\) The Agreement Officer may require marking with the USAID
> Identity in the event that the recipient does not choose to mark with
> its own identity or logo.
>
> \(8\) The Agreement Officer may require a pre-production review of
> USAID-funded public communications and program materials for
> compliance with the approved Marking Plan.
>
> \(9\) Subrecipients. To ensure that the marking requirements "flow
> down\'\' to subrecipients of subawards, recipients of USAID funded
> grants and cooperative agreements or other assistance awards will
> include the USAID-approved marking provision in any USAID funded
> subaward, as follows:
>
> *"As a condition of receipt of this subaward, marking with the USAID
> Identity of a size and prominence equivalent to or greater than the
> recipient's, subrecipient's , other donor's or third party's is
> required. In the event the recipient chooses not to require marking
> with its own identity or logo by the subrecipient, USAID may, at its
> discretion, require marking by the subrecipient with the USAID
> Identity."*
>
> \(10\) Any 'public communications', as defined in 22 C.F.R. 226.2,
> funded by USAID, in which the content has not been approved by USAID,
> must contain the following disclaimer:
>
> *"This study/report/audio/visual/other information/media product
> (specify) is made possible by the generous support of the American
> people through the United StatesAgency for International Development
> (USAID). The contents are the responsibility of \[insert recipient
> name\] and do not necessarily reflect the views of USAID or the United
> States Government."*
>
> \(11\) The recipient will provide the Cognizant Technical Officer
> (CTO) or other USAID personnel designated in the grant or cooperative
> agreement with two copies of all program and communications materials
> produced under the award. In addition, the recipient will submit one
> electronic or one hard copy of all final documents to USAID's
> Development Experience Clearinghouse.

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

> \(1\) When the grant or cooperative agreement contains an approved
> Marking Plan, the recipient will implement the requirements of this
> provision following the approved Marking Plan.
>
> \(2\) When the grant or cooperative agreement does not contain an
> approved Marking Plan, the recipient will propose and submit a plan
> for implementing the requirements of this provision within
> \[***Agreement Officer fill-in***\] days after the effective date of
> this provision. The plan will include:
>
> \(i\) A description of the program deliverables specified in paragraph
> (b) of this provision that the recipient will produce as a part of the
> grant or cooperative agreement and which will visibly bear the USAID
> Identity.
>
> \(ii\) the type of marking and what materials the applicant uses to
> mark the program deliverables with the USAID Identity,
>
> \(iii\) when in the performance period the applicant will mark the
> program deliverables, and where the applicant will place the marking,
>
> \(3\) The recipient may request program deliverables not be marked
> with the USAID Identity by identifying the program deliverables and
> providing a rationale for not marking these program deliverables.
> Program deliverables may be exempted from USAID marking requirements
> when:
>
> \(i\) USAID marking requirements would compromise the intrinsic
> independence or neutrality of a program or materials where
> independence or neutrality is an inherent aspect of the program and
> materials;
>
> \(ii\) USAID marking requirements would diminish the credibility of
> audits, reports, analyses, studies, or policy recommendations whose
> data or findings must be seen as independent;
>
> \(iii\) USAID marking requirements would undercut host-country
> government "ownership"
>
> of constitutions, laws, regulations, policies, studies, assessments,
> reports, publications, surveys or audits, public service
> announcements, or other communications better positioned as "by" or
> "from" a cooperating country ministry or government official;

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

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

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

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

**(d) Waivers.**

> \(1\) The recipient may request a waiver of the Marking Plan or of the
> marking requirements of this provision, in whole or in part, for each
> program, project, activity, public communication or commodity, or, in
> exceptional circumstances, for a region or country, when USAID
> required marking would pose compelling political, safety, or security
> concerns, or when marking would have an adverse impact in the
> cooperating country. The recipient will submit the request through the
> Cognizant Technical Officer. The Principal Officer is responsible for
> approvals or disapprovals of waiver requests.
>
> \(2\) The request will describe the compelling political, safety,
> security concerns, or adverse impact that require a waiver, detail the
> circumstances and rationale for the waiver, detail the specific
> requirements to be waived, the specific portion of the Marking Plan to
> be waived, or specific marking to be waived, and include a description
> of how program materials will be marked (if at all) if the USAID
> Identity is removed. The request should also provide a rationale for
> any use of recipient's own identity/logo or that of a third party on
> materials that will be subject to the waiver.
>
> \(3\) Approved waivers are not limited in duration but are subject to
> Principal Officer review at any time, due to changed circumstances.
>
> \(4\) Approved waivers "flow down" to recipients of subawards unless
> specified otherwise. The waiver may also include the removal of USAID
> markings already affixed, if circumstances warrant.
>
> \(5\) Determinations regarding waiver requests are subject to appeal
> to the Principal Officer's cognizant Assistant Administrator. The
> recipient may appeal by submitting a written request to reconsider the
> Principal Officer's waiver determination to the cognizant Assistant
> Administrator.
>
> **(e) Non-retroactivity.** The requirements of this provision do not
> apply to any materials, events, or commodities produced prior to
> January 2, 2006. The requirements of this provision do not apply to
> program, project, or activity sites funded by USAID, including visible
> infrastructure projects (for example, roads, bridges, buildings) or
> other programs, projects, or activities that are physical in nature
> (for example, agriculture, forestry, water management) where the
> construction and implementation of these are complete prior to January
> 2, 2006 and the period of the grant does not extend past January 2,
> 2006.