Issuance Date: March 1, 2007

Closing Date: September 30, 2007

Subject: The USAID/Washington/LAC Cuba Program

FY 2007 Annual Program Statement (APS)

> APS number: USAID-WASHINGTON-GRO-LMA-07-0001-APS

Hastening Transition to Democracy in Cuba

The United States Agency for International Development (USAID), Office
of the Assistant Administrator for Latin America and the Caribbean
(AA/LAC), is seeking applications from qualified Applicants for funding
of cooperative agreement assistance agreements. The purpose of this APS
is to support programs that expand the reach and impact of independent
civil society in Cuba, and thereby hasten a peaceful transition to
democracy. The authority for this APS is found in: The Cuban Liberty and
Democratic Solidarity (LIBERTAD) Act of 1996, section 109 and section
202; in Section 1705 (g) of the Cuban Democracy Act of 1992; and is
authorized in accordance with the Foreign Assistance Act of 1961 as
amended.

Under this FY 2007 APS, the term \"Grant\" is synonymous with
\"Cooperative Agreement\"; \"Grantee\" is synonymous with \"Recipient\";
and \"Grant Officer\" is synonymous with \"Agreement Officer\".

The Recipient will be responsible for ensuring achievement of the
program objective to encourage democracy in Cuba by peaceful means.
Please refer to the Program Description in Section A for a complete
statement of goals, objectives, and expected results.

The purpose of the LAC Cuba FY 2007 APS is to implement recommendations
contained in the July 2006 Report of the Presidential Commission for
Assistance to a Free Cuba II (CAFC II). Applicants may find the report
on the State Department website ([www.cafc.gov](http://www.cafc.gov/).

As described in Section A, Applicants will propose programs intended to
furnish non-financial assistance and provide other non-financial support
for Cuban individuals and independent non-governmental, civil society
organizations to break the information blockade and expand
democracy-building efforts in Cuba.

Awards shall be made to eligible U.S. nongovernmental organizations (
501 (c ) 3 NGOs) and accredited U.S. colleges and universities in
accordance with 22 CFR 226 and USAID's Standard Provisions for U.S.
Nongovernmental Recipients.

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

Subject to the availability of funds, USAID intends to make several
awards of up to \$1,000,000.00 each for a period of up to two years.
Funding requests should range from \$100,000 to \$1,000,000, for
expenditure between one and two years. Applications will be reviewed on
a rolling basis and all applications must be submitted by September 30,
2007. USAID reserves the right to fund any or none of the applications
submitted.

This LAC Cuba Program FY 2007 APS consists of this cover letter and the
following:

1\. Section A - Program Description;

2\. Section B - Selection Criteria;

3\. Section C -- Grant Application Format;

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

The preferred method of distribution of USAID APS's and the required
method of submission/receipt of applications is electronically via
www.Grants.gov, which provides a single source for Federal
government-wide competitive grant opportunities. This APS 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 APS, please contact Grants.gov at
1-800-518-4726 for technical assistance. Receipt of this APS through
Grants.gov must be confirmed by electronic or written notification to
the contact person noted below. It is the responsibility of the
Recipient of the application document to ensure that it has been
received from the website in its entirety and USAID bears no
responsibility for data errors resulting from transmission or conversion
processes.

If you decide to submit an application, USAID must receive the
application electronically via [www.Grants.gov](http://www.Grants.gov/),
by the closing date indicated at the top of this cover letter.
Applications can be submitted at any time before the closing date. The
Applicant **[must]{.underline}** notify the USAID contact person noted
below by e-mail (<cfloore@usaid.gov>), fax (202-216-3395) or written
notification as soon as the application is submitted, but no later than
the closing date so that the electronic application can be retrieved by
USAID.

(By U.S. Mail)

Chitahka Floore, Agreement Officer, M/OAA/GRO/LMA Branch

Office of Acquisition and Assistance, Rm 7.09-052 RRB

United States Agency for International Development

1300 Pennsylvania Ave., N.W.

Washington, D.C. 20523-7900

(By All Other Means of Delivery)

Chitahka Floore, Agreement Officer, M/OAA/GRO/LMA

United States Agency for International Development

1300 Pennsylvania Ave., N.W.

Ronald Reagan Bldg, 14th Street Entrance

Washington, D.C. 20523-7900 (phone: 202-712-4992)

Issuance of this APS 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. 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
APS, it shall be resolved by the following descending order of
precedence:

\(a\) Section A - Program Description;

\(b\) Section B - Selection Criteria;

\(c\) Section C - Application Format;

\(d\) Section D - Certifications, Assurances, and Other Statements of
Applicant/Grantee.

\(e\) This Cover Letter.

Any questions concerning this APS should be submitted in writing to
Chitahka Floore, via facsimile at 202-216-3395 or via internet at
cfloore@usaid.gov.

Sincerely,

Georgia G. Fuller

Agreement Officer/Acting Team Leader

M/OAA/GRO/LMA

USAID

Table of Contents Page

**SECTION A: PROGRAM
DESCRIPTION............................................................**

A.1. Program
Summary.............................................................................

A.2. Program
Goal.............................................................................

A.3. Program
Results.............................................................................

A.4. Background & Rationale for the USAID Cuba
Program.................................

A.5. Program
Description.............................................................................

A.6. Recipient
Responsibilities.....................................................................

A.7. Special
Provisions.............................................................................

**SECTION B: SELECTION
CRITERIA..................................................................**

B.1.
Overview.............................................................................

B.2. Cost Evaluation
Criteria........................................................................

B.3 Technical Evaluation
Criteria..................................................................

**SECTION C: GRANT APPLICATION
FORMAT............................................................**

C.1. Preparation
Guidelines...............................................................

> C.2. Technical Application Format
> .....................................................
>
> C.3. Cost Application Format
> .............................................................

C.4. Submission of Applications
............................................................

C.5. Grant
Award.................................................................................

SECTION D: CERTIFICATIONS, ASSURANCES, & OTHER STATEMENTS OF
RECEIPTS....

D.1. Part I -- Certifications and
Assurances................................................................

D.2. Part II -- Other Statements of Recipient
...................................................................

> D.3. Survey on Ensuring Equal Opportunity for
> Applicants.....................................

# SECTION A

# 

# PROGRAM DESCRIPTION

**A.1. PROGRAM SUMMARY**

The USAID Cuba Program seeks applications for grant funding from:

(1) U.S. nongovernmental organizations (NGOs) which have been granted
    tax-exempt status by the U.S. Internal Revenue Service under section
    501 (c) 3 of the Internal Revenue Code.

(2) Accredited U.S. colleges and universities.

This is to help implement recommendations contained in the July 2006
Report of the Presidential Commission for Assistance to a Free Cuba II
(CAFC II). Applicants can find the report on the State Department
website ([www.cafc.gov](http://www.cafc.gov/)).

Successful Applicants will provide assistance to Cuban individuals or
independent Cuban NGOs. In full compliance with U.S. Government
policies, Applicants will undertake activities to:

(3) Break the information blockade by increasing access to, and the flow
    of, accurate information on democracy, human rights, and free
    enterprise to, from, and within Cuba, including through independent
    access to the Internet particularly with the provision of innovative
    technology.

(4) Support advocacy efforts in Cuba that educate, train, provide
    equipment, and promote adoption of democratic rule of law and
    internationally recognized human rights standards. Advocacy efforts
    shall promote human rights principles in accordance with the
    Universal Declaration of Human Rights.

(5) Aid the development of Cuban independent, nongovernmental groups and
    entities engaged in political competition and consensus-building
    activities that support democratic and representative processes.

(6) Assist the Cuban people to develop peaceful, strong, and independent
    nongovernmental civil society organizations, professional
    associations, and other groups through capacity building, equipment
    assistance (including its use), and technical training.

(7) Develop and maintain a dialogue with Cuban human rights activists
    and other independent groups in Cuba on specific issues that must be
    addressed by a future transition Cuban government.

Proposed activities must be completed within two years of the award's
start date. USAID will make awards based on criteria described in
Section B of this Annual Program Statement (APS).

**[USAID funding under this APS may not be used for programs that
provide f]{.underline}unds or other assistance provided to the Cuban
Government, or to any political subdivision of Cuba, or to any agency or
instrumentality of the Government of Cuba.**

**A.2 PROGRAM GOAL**

The overarching goal of the program is to hasten a peaceful democratic
transition in Cuba.

**A.3 PROGRAM RESULTS**

The goal of this program is to increase individuals and groups' ability
to effectively, and more consistently, reach out to the Cuban populace
and garner citizenry support to prepare for a Cuban-led and owned
democratic transition. By the end of the program Cuban participants,
civil society organizations, and other NGOs will be better equipped and
demonstrate a greater ability to develop, defend and promote democracy,
independent civil society, human rights, and free enterprise in Cuba.
They will also demonstrate greater ability to assist the establishment
of a future transition government in Cuba which will schedule free and
fair, multi-party elections leading to the establishment of full
democracy and free enterprise on the island.

**A.4. BACKGROUND AND RATIONALE FOR THE USAID CUBA PROGRAM**

**A.4.a. [Background - Political and Economic Context]{.underline}**

For over forty-seven years, the Cuban government has maintained power
through vertical and centralized control over all institutions of Cuban
society. As a result, Cubans, including those who belong to professional
associations and NGOs, know little about the functioning of democratic
civil society. It is in the U.S. interest to provide informational and
material support to Cuban citizens and independent nongovernmental
organizations in Cuba which seek to promote peaceful democratic change.

In signing the Cuban Liberty and Democratic Solidarity (\"LIBERTAD\")
Act of 1996, the President approved measures to implement a U.S.
Government policy of support for the Cuban people in order to promote a
peaceful transition to democracy. Under the LIBERTAD Act, the President
is authorized to furnish assistance and provide other support for
individuals and independent nongovernmental organizations to support
democracy-building efforts for Cuba. This support includes but is not
limited to the following:

> \(1\) Published and informational material, such as books, videos, and
> cassettes, on transitions to democracy, human rights, and market
> economies, to be made available to independent democratic groups in
> Cuba.
>
> \(2\) Humanitarian assistance to victims of political repression, and
> their families.

\(3\) Support for democratic and human rights groups in Cuba.

In support of democracy-building efforts for Cuba, USAID has awarded
grants to a number of U.S. organizations to facilitate dissemination of
information to the Cuban people, support the reemergence of civil
society and promote a peaceful transition to democracy and free markets
in Cuba. This Program seeks to expand and deepen these efforts.

**A.4.b. [Major Challenges to Supporting NGO Development in Cuba
]{.underline}**

As of 1994, more than 2,000 so-called "NGOs" were registered with the
Cuban Ministry of Justice. Most of these organizations are government
led and operated, and are, therefore, not eligible for assistance under
this program.

As the CAFC II report noted, "the last several years have witnessed a
sustained increase in the ability of the Cuban opposition to engage in
acts of resistance, mobilize greater segments of the Cuban population,
and communicate a positive vision for the future to the Cuban people and
the international community."

Most of these NGOs and associations are not formally recognized by or
registered with the Cuban government. At present, these Cuban NGOs,
professional associations and other groups vary in the degree to which
they are independent. Although none are completely free from government
interference, some have developed greater autonomy than others, have
individual members who favor peaceful democratic change**,** and should
be exposed to the ideas, norms and practices of civil society in
democratic countries. In order to be considered eligible for assistance
by Recipients funded under this APS, the Cuban group or organization
must operate free of Cuban government control in its subject matter
area, all relevant factors considered ("substantial independence."). For
the purposes of this APS, substantial independence is defined as
follows: (1) an organization\'s leadership must be freely chosen by its
own members, (2) it must develop its own vision of peaceful change, and
it must establish its own policies, and (3) it must develop its own
sources of funding and control its own assets, independently of the
Cuban government.

Among the many obstacles impeding NGO development support in Cuba are
the following:

(1) Cuban Government Controls

> In March 1999, the Cuban Government passed legislation which would
> impose 8 to 20 year prison sentences on any Cuban citizen found to be
> collaborating with activities funded through Section 109 of the
> LIBERTAD Act. In March 2003, the Cuban Government arrested and
> sentenced to long prison terms Cuban citizens the Cuban Government
> accused of collaboration with Section 109 activities. Individual Cuban
> citizens and Cuban NGOs as well as U.S. individuals and organizations
> participating in the program to be funded under this APS must be fully
> apprised of the implications of the March 2003 Cuban Government
> crackdown. The Cuban Government utilizes the harshest measures to
> repress the flow of accurate information on democracy, human rights
> and free enterprise to, from, and within Cuba.

(2) Lack of Management/Organization Skills

> Few independent Cuban NGOs have yet developed the management and
> organizational skills required to build and sustain national level
> organizations with broad-based political and financial support and
> access to mass communications.

(3) Obstacles to Mass Communications and Networking

> Cuban government control of the mass media hinders communications and
> formation of networks. Nevertheless, some independent Cuban
> organizations have demonstrated the ability to organize informally and
> to share information with one another and with others outside the
> country.

(4) Lack of Sustained Collaboration with Foreign NGOs

> A number of U.S. organizations have helped strengthen independent
> Cuban NGOs through provision of information, training and material
> support. However, much more contact and collaboration is required to
> develop and sustain independent civil society in Cuba.

**A.4.c. [Rationale]{.underline}**

Section 1705(g) of the Cuban Democracy Act of 1992 authorizes the U.S.
Government to provide assistance \"through appropriate non-governmental
organizations, for the support of individuals and organizations to
promote nonviolent democratic change in Cuba.\" Section 109(a) of the
Cuban Liberty and Democratic Solidarity Act of 1996 further elaborates
on the types of assistance and support the U.S. Government is authorized
to provide for individuals and independent non-governmental
organizations to support democracy-building efforts for Cuba. It is U.S.
policy to promote the development of civil society in Cuba by enhancing
the free flow of information to, from and within the island. In
particular, the U.S. Government encourages support for fledgling NGOs,
professional associations and other peaceful groups in Cuba which
demonstrate sufficient independence from the Cuban government.

The CAFC II report noted "above all, the civic movement needs additional
support to present to their fellow Cubans a viable alternative to the
failed policies of the Castro regime. The experience of East European
civic movements in organizing resistance that ended repressive
dictatorships, and then in assuming leadership that led to freedom,
prosperity, and reconciliation in their respective countries, could be
particularly helpful for Cuba's developing opposition movement. In
addition, if requested, civil society groups could benefit from greater
training to prepare to help lead a democratic transition and future
government in Cuba.

It is critical that independent Cuban civil society groups continue to
gain greater access to basic modern equipment to help expand
distribution of independent information and facilitate pro-democracy
activities. Continued access to these types of equipment help Cuba's
civil society disseminate information to the Cuban people and counter
regime efforts to maintain its grip on the Cuban people through
exclusive control over all forms of communication.

In particular, the Cuban people, and especially the civic opposition
movement, need access to the Internet. Currently, the Castro regime
strictly controls all access to the Internet, limiting access to a few
websites to hand-picked regime supporters and foreigners at specially
identified internet cafes, which are out of the reach of the average
Cuban." Assisting the Cuban people access the internet, particularly
through innovative technology is critical to helping them establish
space for truly independent civil society to grow.

**A.4.d. [Relationship to USAID Strategies and Programs]{.underline}**

The USAID Cuba program supports the overarching goal of U.S. policy
toward Cuba: promotion of a rapid transition to democracy on the island.
USAID seeks to improve informational outreach to, from, and within the
Cuban population, strengthen and provide equipment to independent civil
society in Cuba, defend human rights, and stimulate multilateral efforts
to press for democracy in Cuba. USAID also seeks to engage the Cuban
people in dialogue concerning aid to a future transition Cuban
government which will schedule free and fair multi-party elections
leading to the establishment of full democracy and free enterprise in
Cuba.

Since FY 1996, USAID has awarded over \$58 million to more than 25 U.S.
organizations to support Cuba\'s transition to democracy. Several of
these grants have demonstrated the feasibility of identifying and
working with Cuban organizations which are sufficiently independent of
the Government of Cuba.

**A.5. PROGRAM DESCRIPTION**

A.5.a. **[Program Objectives]{.underline}**

To accomplish the Program Goal of hastening a peaceful democratic
transition in Cuba, LAC Cuba Program Office objectives focus on programs
that contribute to the promotion of Just and Democratic Governance. LAC
Cuba Program objectives consist of three major sectoral objectives with
sub-areas of concentration. The three objectives seek to improve Cubans'
ability to create and/or augment current efforts as described below.

(1) Rule of Law and Human Rights:

    a.  Providing support for democratic rule of law programs.

    b.  Promoting and protecting human rights.

(2) Political Competition and Consensus Building:

    a.  Aiding and providing technological equipment for the development
        of independent, nongovernmental groups and entities in Cuba
        engaged in activities that support democratic and representative
        processes.

    b.  Contributing Program Support to activities that strengthen civil
        society capacity for democratic processes and civic education
        and democratic culture.

(3) Civil Society:

    a.  Increasing and expanding independent Cuban civil society and
        nongovernmental organizations. Capacity building, training and
        providing technological equipment for other directed activities
        should enable these groups to more effectively garner citizen
        support to (1) plan for assistance to a future transition
        government and a return to free enterprise in Cuba, (2)
        participate in a peaceful and democratic Cuban-led and owned
        transition process, and (3) increase outreach to vulnerable and
        marginalized groups such as women, youth and Afro-Cubans.

    b.  Providing program support to building independent civil society
        in Cuba by conducting needs assessments or evaluations which can
        be used to improve programming or activities being implementing
        now or in the future.

Efforts to break the Castro regime's information blockade and expand the
Cuban people's access to independent information, including through the
Internet

\(4\) Media Freedom and Freedom of Information

> a.strengthening and broadening media freedom and freedom of
> information to, from, and most importantly within Cuba, particularly
> through provision of communications and computer equipment and
> facilitating independent access to the Internet.
>
> b\. training and equipping independent journalists in Cuba to inform
> Cubans about events in their country and abroad.

A.5.b. **[Illustrative Activities]{.underline}**

In spite of the Cuban Government's harsh repression of democratic
activity, a peaceful democratic transition in Cuba must stem from the
initiatives of Cubans on the island brave enough to risk their lives in
seeking to build civil society and respect for human rights.

USAID's priority is for programs that engage in on-island activities,
and Applicants are encouraged to propose activities which support such
initiatives and address Program Objectives. Illustrative activities are
not limited to, but may include:

(1) Helping Cuban citizens improve the capacity of nascent and existing
    independent nongovernmental organizations, professional
    associations, human rights, and other groups. Support includes
    increasing representation of vulnerable and marginalized populations
    such as women, youth, afro-Cubans, and political prisoners through
    training, technical and equipment assistance.

(2) Helping foster solidarity and cohesion among groups supporting
    democratic rule of law and human rights efforts in Cuba by
    increasing inter-group coordination, communication, and recognition
    of similar basic goals and principles. This can include
    strengthening long-term linkages between Cuban individuals and
    independent groups with counterpart organizations in the U.S. and
    other democratic countries.

(3) Providing technical and equipment assistance and
    institution-building to Cuban political groups and other entities
    supportive of democratic principles. Activities may include the
    following: (a) organizational governance, financial management,
    goal-setting and program planning, (b) development and articulation
    of organizational objectives, (c) community outreach, organizing,
    and public relations, (d) member and constituent representation, (e)
    leadership/ staff development and empowerment, and (f) NGO
    communications and coordination.

(4) Improving the quality of independent media sources in Cuba by (a)
    intensifying training and equipping of journalists and media
    groups, (b) increasing access to independent information, and (c)
    broadening the reach of communications equipment utilized to
    disseminate information to, from, and within Cuba.

(5) Providing Cubans with (a) information on human rights, free
    enterprise, and democracy, and (b) humanitarian assistance to
    victims of political repression and their families.

The Cuban Government can be expected to actively oppose and attempt to
impede any and all of the above illustrative activities. The Cuban
Government does not permit its citizens to travel freely; so any
training will likely have to take place inside Cuba with consequent risk
of harsh Cuban Government measures against training providers and
Recipients. The Applicant must demonstrate the willingness and ability
to conduct such activities in spite of Cuban Government threats and
repressive actions.

Program funds may be expended to support the purchase of informational
materials, capacity building and training materials, as well as
appropriate communications technology, business and office equipment,
travel, per diem and training expenses

**A.6. RECIPIENT RESPONSIBILITIES**

## A.6.a. [Recipient Responsibilities: Overview]{.underline}

The Recipients will retain overall management responsibility for all
aspects of the program including all sub-grants. In addition to USAID
assistance award and Cuba Program Office policies, other
country-specific regulations and laws, Recipient responsibilities are
outlined below:

-   General program management including financial management, reporting
    and provision of assistance to Cuban counterparts.

-   In consultation with USAID, determine appropriate working and
    coordination relationships with other USAID Cuba program grantees
    and other U.S. and third country NGOs working in Cuba.

-   In consultation with USAID, finalize action, implementation, and
    monitoring and evaluation plans covering all program components
    within 30 days of an award.

-   Design and carry out technical assistance programs.

-   Identify, manage and support other essential programs and
    communications.

-   Carry out reporting, monitoring and evaluation responsibilities as
    described below.

**[A.6.a.1. Important Points for Recipients:]{.underline}**

(1) Applicants proposing to send material items to Cuba must be able to
    do without U.S. Government assistance of any kind. Applicants must
    have the ability to closely monitor, track, and report to USAID on
    the end-use of all materials sent to Cuba.

(2) Applicants proposing on-island program and activity support must be
    able to do so without U.S. Government assistance of any kind.

(3) Cash payments to Cuban vendors for necessary services will be made
    in accordance with the general license granted to USAID by the U.S.
    Department of Treasury. No financial assistance will be made
    available to Cuban entities.

> \(5\) Information regarding U.S./Cuba legal and/or policy requirements
> may be found on the following websites:

a.  U.S. Office of Foreign Assets Control:
    <http://www.treas.gov/offices/enforcement/ofac/sanctions/>;

b.  U.S. Department of Commerce:
    <http://www.bis.doc.gov/licensing/index.htm>; and

c.  USAID and Assistance Awards Policies:
    <http://www.usaid.gov/business/regulations/>.

A.6.b. **[Reports]{.underline}**

In accordance with the CFR 22, parts 226.50 and 226.51, the Recipient
shall submit performance and financial reports [in English]{.underline}
on a quarterly basis (covering in detail all activities) to the Director
and Program staff of the USAID Cuba Program. Reporting requirements,
such as the format, number of copies, information to be included, due
dates and distribution will be developed in consultation with the LAC
Cuba Program Office during the award negotiation process. The U.S.
Recipient will participate in regular implementation reviews with the
LAC Cuba Program Office; the frequency and scope of such reviews will be
developed in consultation with the Cuba Program Office.

A.6.c. **[Monitoring, Results & Indicators]{.underline}**

Applicants are responsible for developing and tracking activity targets,
outputs and impact, and overall activity indicators [in their
proposals]{.underline} which gauge individual program activities and
program effectiveness. Applicants will be expected to submit
implementation plans (including a complete assistance to Cuba commodity
aid list). In conjunction with the implementation plan, Applicants shall
submit a separate, corresponding monitoring and evaluation plan [in
their proposal]{.underline}. Upon award, these two plans will be
reviewed in consultation with the LAC Cuba Program Office, with revised
plans submitted to the Program Office for final written approval within
30 days of the award date. **USAID will not release funds to a Recipient
until the Cuba Program Office Director has provided written approval for
the plans to the identified USAID Contracting Officer and the
Recipient.**

Recipients' post-award consultation with the LAC Cuba Program Office
will also include discussion of recent foreign policy directives from
the U.S. Director of Foreign Assistance's Office. Programs receiving
funds under this APS will contribute to LAC Cuba Program objectives and
indicators (outlined below). These objectives and indicators are in
accordance with standard objective and indicator guidance from Director
of Foreign Assistance's Office.

It may happen that an Applicant's proposed program and activities do not
fit within the selected indicators. If this is the case, Applicants
should propose suitable program and activity level indicators and
provide an explanation that demonstrates the effectiveness of the
selected indicators in their proposal.

Upon award, USAID will consult with selected Recipients to ensure
Recipients' monitoring, evaluation, results tracking, and reporting of
activities and indicators are realistic, feasible, and contribute to
overall LAC Cuba Program objectives. Recipients will routinely monitor,
track, evaluate, and report on program activities using the agreed upon
indicators. As appropriate, USAID encourages Applicants to differentiate
between gender and age when collecting indicator data.

Examples of LAC Cuba Program indicators for the three program-level
objectives are listed below.

(1) Rule of Law and Human Rights:

    a.  Number of Campaigns Supported by USG to foster public awareness
        and respect for the rule of law.

    b.  Number of Domestic Human Rights NGOs receiving USG Support.

    c.  Number of Public Advocacy Campaigns on Human Rights Supported by
        USG.

(2) Political Competition and Consensus Building:

    a.  Number of Individuals who Receive USG-Assisted Political Party
        Training.

    b.  Number of Political Parties and Political Groupings receiving
        USG Assistance to Articulate Platform and Policy Agendas
        Effectively.

(3) Civil Society:

    a.  Number of Civil Society Organizations using USG Assistance to
        Promote Political Party Participation.

    b.  Number of Civil Society Organizations using USG Assistance to
        Improve Internal Organizational Capacity.

    c.  Number of Civil Society Advocacy Campaigns Supported by the USG

    d.  Number of USG-funded Programs Supporting Participation,
        Inclusion, and Assistance to Marginalized and/or Vulnerable
        Groups.

    e.  Number of Media Civil Society Organizations and/or Support
        Institutions Assisted by the USG.

    f.  Number of Non-State News Outlets Assisted by the USG

    g.  Number of Journalists Trained with USG Assistance.

    h.  Number of Evaluations Supporting Civil Society Needs Conducted
        by the USG.

A.6.d. **[Evaluation]{.underline}**

Recipients are responsible for following their approved implementation,
monitoring, and evaluation plans throughout the life of their award.
These plans should provide the basis for Recipient's reporting to USAID
during the life of the award. USAID will utilize these plans (including
the approved budget plan) to monitor, assess, and evaluate a Recipient's
program and program operations. USAID understands the difficult
operating environment in Cuba, and if necessary, will work with a
Recipient to revise plans if mid-program corrections and adjustments are
required. However, it is Recipient's responsibility to inform the LAC
Cuba Program Office if implementation issues arise which may affect
approved plans.

**A.7. SPECIAL PROVISIONS**

**A.7.a. [Accountability]{.underline}**

The Recipient will be fully responsible for all funds disbursed to it
under the award. Funds will be dollar denominated and disbursed for the
most part in the U.S. to U.S. concerns. All funds are subject to audit.

The Recipient will be responsible for all financial reporting, end-use
verification, and sub-grant management. No cash sub-grants will be made
to any Cuban NGO or individual in Cuba. Sub-grants to U.S. or
third-country organizations will be subject to an annual OMB A-133 audit
or equivalent if expenditures of Federal funds total \$500,000
(\$300,000 for a non-U.S. organization) during a fiscal year. Sub-awards
must be submitted to USAID for prior written approval.

The Recipient will assist independent Cuban NGOs with whom they work to
develop adequate accounting procedures.

A.7.b. **[NGO Financial Participation/Cost Sharing]{.underline}**

USAID endorses cost-sharing as an important principle in USAID-Recipient
relationships. Please note: Under this APS, there is no mandatory
minimum cost share. However, Applicants are encouraged to contribute
cost share to improve program sustainability and increase overall
program impact. All cost share contributions must be supported by
adequate documentation, be allowable under the applicable cost
principles and meet the criteria set forth in 22 CFR 226.23.

A.7.c. **[Facilities and Image]{.underline}**

Accommodations and facilities for all activities and staff are expected
to be commensurate with and appropriate to the objectives being pursued.

A.7.d. **[Length of Grants and Cooperative Agreements]{.underline}**

Cooperative agreements resulting from this APS will be for a period of
not to exceed two years. Program performance, available funding, and
competing program priorities will determine whether a cooperative
agreement, at USAID\'s discretion, can be extended beyond two years.

A.7.e. **[USAID Management]{.underline}**

USAID management will be provided by the USAID/LAC Cuba Program Office.

A.7.f. **[Substantial Involvement]{.underline}**

USAID will have substantial involvement in cooperative agreements
through approval of all sub-awards, key personnel, implementation plans,
and monitoring/evaluation plans. Substantial involvement is in
accordance with ADS 303.5.11a. **[Any Cuban NGOs proposed for assistance
must be specifically approved by USAID after consultation with the
Department of State]{.underline}**.

A.7.g. **[Timing]{.underline}**

Applicants must be prepared to have key personnel, as approved by the
USAID Cuba Program Director, in place within 30 days after award. **All
key personnel must be U.S. citizens.** All other staff should be hired
no later than 75 days after award. All contracts with consultants and
other non-direct staff must be approved in advance by USAID.

# 

# SECTION B

# 

# SELECTION CRITERIA

**B.1.** The criteria presented below have been tailored to the
requirements of this particular APS. Applicants should note that these
criteria serve to (a) identify the significant matters which Applicants
should address in their applications, and (b) set the standard against
which all applications will be evaluated. To facilitate the review of
applications, Applicants shall organize the narrative sections of their
applications in the same order as the selection criteria.

The technical applications will be evaluated in accordance with the
Technical Evaluation Criteria set forth below. Thereafter, the cost
application of all Applicants submitting a technically acceptable
application will be opened and costs will be evaluated for general
reasonableness, allowability, and allocability. While technical concerns
are paramount, cost and USAID budget limitations will be considered as a
factor for award.

To the extent necessary (if award is made based on initial
applications), negotiations will be conducted with all Applicants whose
application, after discussion and negotiation, has a reasonable chance
of being selected for award. Awards will be made to responsible
Applicants whose applications offer the greatest value, cost, and other
factors considered.

The technical application will be the most important item of
consideration in selection for these assistance awards. It should be
specific, complete, and presented concisely. Applicants should review
all information in this APS in depth prior to preparing applications,
especially program description, eligibility, and evaluation criteria.

The technical application should be directly responsive to the terms,
conditions, guidelines and provisions of this APS to be assured of
consideration. Applications not conforming to this APS may be
categorized as not meeting the minimum requirements of the Government,
thereby eliminating them from further consideration.

The technical application must set forth in detail the conceptual
approach, methodology, and techniques for accomplishment of the stated
program objectives. The application must define results and benchmarks
for monitoring progress in achieving the results.

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. Applications will be evaluated on a
rolling basis as they are received. The Agreement Officer will make
award(s) to the Applicant(s) whose application(s) is/are judged to be
the most advantageous in accomplishing the objectives of the program,
considering both technical and cost factors, including any proposed cost
share.

**B.2. COST EVALUATION CRITERIA**

The evaluation of the cost proposal shall deal with cost realism
analysis. This will consist of a review of the cost portion of an
application for the work to be performed, to determine whether the costs
reflect the Applicant\'s understanding of the requirements, and whether
the costs are consistent with the technical application.

The cost realism analysis is intended to meet the three goals outlined
below.

(1) Verify the Applicant\'s understanding of the requirement.

(2) Assess the degree to which the cost proposal reflects the approaches
    in the technical application.

(3) Assess the degree to which the costs included in the cost proposal
    accurately represent the work effort included in the technical
    application.

COST SHARING: USAID endorses cost-sharing as an important principle in
USAID-Recipient relationships. Please note: Under this APS there is no
mandatory minimum cost share. However, Applicants are encouraged to
contribute cost share to improve program sustainability and increase
overall program impact. Funds from the National Endowment for Democracy
(NED) are categorized as Federal funds and may **not** be used by an
organization in cost share

calculations (see 22 CFR 226.23). If Applicants wish to contribute cost
share, Applicants must be aware that all cash contributions and
non-Federal third party in-kind contributions must meet all the criteria
set forth in 22 CFR 226.23 and the applicable OMB cost principles.
Applicant cost share may be in any combination of in-kind support, staff
salaries, waiver of overhead, etc.

**B.3. TECHNICAL EVALUATION CRITERIA**

The Applicant must have extensive experience managing broad-based
technical assistance/training programs. The Applicant must also
demonstrate ability to work with Latin American/Caribbean NGOs, and/or
Latin/Caribbean communities, private businesses, and universities.
Technical proposals will be evaluated based on the criteria noted below,
including the strength of the key personnel they nominate.

The following sub-criteria within each of the four Technical Evaluation
Criteria are of equal weight. If a sub-criterion does not apply, points
will be distributed evenly amongst the remaining sub-criteria.

B.3.a. **[Understanding of Program Description and Program
Goals]{.underline}** - 50 Points

-   Clarity, creativity, uniqueness, and demonstrated feasibility of the
    described activities to (1) accomplish program goals and objectives
    as described in this APS, and (2) address issues specified within
    the CAFC II report (www.cafc.gov).

-   The extent to which (1) appropriate proposed Spanish-speaking staff,
    counterparts, and collaborating partners are identified, and (2) a
    significant number of key staff are experienced in Caribbean and
    Latin American culture and development issues. Demonstrated Spanish
    language fluency is required for the Chief of Party and other
    part-or-full-time support personnel and technical experts as defined
    by the program.

-   Demonstrated understanding of the state of independent civil society
    in Cuba, role of the Cuban government in past and present NGO
    activities and traditional attitudes toward issues of concern to the
    NGO environment. Demonstrated understanding for relationships within
    the program, the role of Cuban and third-country institutions, and
    the importance of positive, supportive collaboration among all
    parties. Such understanding includes the Applicant's demonstration
    of program activity feasibility within the Cuban context.

-   Quality and appropriateness of the Applicant's documented plan (with
    proper calendars and time-lines for activities) for overall
    coordination, management, monitoring, and support of partnership
    activities. Commitment to minimize administrative costs and ability
    to demonstrate fiscal accountability, demonstration of cost realism
    and cost effectiveness.

-   Demonstration of how program activities and program impact will be
    evaluated against targets set out in the program/activity
    implementation, monitoring, and evaluation plans. This includes how
    evaluation of the program will be measured and tracked. Overall
    program activities should be evaluated against (1) USAID goals and
    objectives and (2) USG goals in Cuba as outlined in the CAFC II
    report (www.cafc.gov).

B.3.b. **[Personnel Qualifications, Experience and Staff Ability to
Conduct Proposed Work]{.underline}** - 20 Points

-   Professional background and relevant experience; Applicant must
    demonstrate experience in managing NGO development programs and
    technical assistance and training programs of similar size and
    complexity; candidates must demonstrate relevant specialized
    experience; and Applicants must objectively analyze past program
    results and accomplishments and demonstrate lessons learned from
    past programs.

-   Applicant must demonstrate ability to work with a range of
    counterparts or sub-grantees in the U.S. and in third countries
    including not-for-profits, educational institutions, and
    governmental organizations. Applicant must demonstrate ability to
    work in a closed and repressed society.

B.3.c. **[Organizational Qualifications]{.underline}** - 20 Points

-   Demonstrated ability of Applicant to (1) provide and support key
    personnel, (2) mount effective and efficient field operations,
    and (3) quickly initiate and maintain quality programs and
    activities.

-   Capacity of Applicant to design and manage activities of multiple
    sub-grant programs (if relevant). Charts should be included that
    clearly show what funds sub-partners may receive from other donors
    during the proposed time period and what the each donor's funds
    finance. Language should also be included that demonstrates how the
    partner will coordinate sub-partner donor meetings with USAID to
    ensure transparency and the most effective use of USG resources.

B.3**.**d. **[Past Performance]{.underline}** - 10 points

-   All Applicants are subject to past performance review before Award.
    Applicants shall supply the names of organizations from which they
    have received assistance awards or contracts for similar activities
    over the past three years. Reference information should include
    addresses, current telephone numbers, current points of contact,
    award numbers if available, and brief descriptions of the work
    performed. USAID will contact the named references and use the past
    performance data along with other information, to determine the
    Applicants\' responsibility.

SECTION C

# 

# GRANT APPLICATION FORMAT

## C.1. PREPARATION GUIDELINES

All applications received by the deadline will be reviewed for
responsiveness to the specifications outlined in these guidelines and
the application format. Applications may be submitted at any time prior
to the deadline. Applicants must notify USAID immediately in accordance
with the instructions in the Cover Letter of this APS so that the
electronic application can be retrieved by USAID. Section B addresses
technical evaluation application criteria. Applications which are
submitted late or are incomplete run the risk of not being considered
for review. \"Late applications will not be considered for award\" or
\"Late applications will be considered for award if the Agreement
Officer determines it is in the Government\'s interest.\"

Acknowledgement of Amendments to the APS - Applicants shall acknowledge
receipt of any amendment to this APS by signing and returning a copy of
the amendment by e-mail, fax or mail. The Government must receive the
acknowledgement by the time specified for receipt of applications.

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

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

**Applicants are expected to review, understand, and comply with all
aspects of this APS. Failure to do so shall be at the Applicant's
risk.**

Explanation to Prospective Applicants - Any prospective Applicant
desiring an explanation or interpretation of this APS must request it in
writing within three weeks of receipt of the application to allow a
reply to reach all prospective Applicants before the submission of their
applications. Oral explanations or instructions given before award of a
Grant will not be binding. Any information given to a prospective
Applicant concerning this APS will be furnished promptly to all other
prospective Applicants as an amendment of this APS posted on Grants.gov,
if that information is necessary in submitting applications or if the
lack of it would be prejudicial to any other prospective Applicants.

[USAID Branding Requirements]{.underline}

USAID's mandatory branding/marking requirements for all U.S. NGO's
became effective on January 2, 2006. The Recipient can review and
download the regulations, guidance, and graphics at
[www.usaid.gov/branding](http://www.usaid.gov/branding).

[**EXCEPTIONAL NOTE**: The USAID/LAC Cuba Program Office has an approved
blanket waiver for all Branding and Marking requirements for
organizations granted awards under the LAC/Cuba Program. Branding and
marking will not be required under activities described within this APS.
USAID reserves the right to cancel or change the waiver at any time if
the situation of U.S. policy towards Cuba changes, or if the situation
in Cuba changes.]{.underline}

**NOTE: [Publications and other materials sent to Cuba are not to be
branded.]{.underline}**

**C.2.** **TECHNICAL APPLICATION FORMAT** **(Volume 1)**

Technical applications should be specific, complete and presented
concisely. The applications should demonstrate the Applicant\'s
capabilities, understanding of, and expertise with respect to achieving
the Program Objectives described in detail in Section A. The
applications should take into account the technical evaluation criteria
found in Section B of this APS.

Applicants should retain for their records one copy of the application
and all attachments that accompany their application. To facilitate the
competitive review of the applications, USAID may consider only
applications conforming to the format prescribed below.

The technical application is the critical item of consideration in
selection for award of this APS. It should be specific, complete, and
presented concisely. Section B addresses the technical evaluation
criteria of the application. Applications are limited to 50 pages, plus
one attachment for the key personnel resumes, one attachment for past
performance information (which we prefer in the form of a matrix), and
one attachment for commodity aid tracking. USAID requests that
applications follow the general format described below:

C.2.(a) [Executive Summary]{.underline} (not to exceed 3 pages)

Provide a clear summary of overall objectives, the results to be
achieved, the resources and steps required to meet them in an
identifiable period of time, and benchmark measures of progress towards
achievement.

C.2.(b) [Program Summary]{.underline} (not to exceed 17 pages)

Succinctly provide a description of how you will approach the key areas
outlined in Section A, bearing in mind the expected results outlined and
identified program indicators that will be used by USAID to measure
program performance. For each of your activity areas, discuss the
following: strategy, methodology, ideas for including stakeholders in
setting the agenda, expected results, schedule of activities,
programming of human resources, and performance indicators. Applicants
should include in their program and activity description objective
analyses of past program results and accomplishments, and how proposed
activities account for any lessons learned from past programs.

Applications shall specifically describe the Cuban groups and
individuals with whom Applicants wish to work, showing that they
demonstrate independence from Cuban government leadership, policies and
financial support. Applications shall identify directors and other key
individuals in independent Cuban organizations with whom Applicants wish
to work and describe in detail the proposed program of outreach to them
(e.g., material assistance, technical training, informational materials,
seminars, etc.) to be provided in Cuba, in the U.S. and/or in third
countries.

C.2.(c) [Management Plan]{.underline} (not to exceed 5 pages)

Clearly present your management and administrative arrangements to
include: your management approach for the overall execution of the
proposed activities; organizational structure; administrative
arrangements; logistical support; personnel management plan which
subscribes functions and responsibilities of key personnel and other
staff including sub-awards to consultants; procurement plan detailing
all non-commodity aid equipment and services to be procured, including
method of selection and estimated cost and technical specifications for
all equipment; operational arrangements for collaboration and
coordination with USAID and the Department of State and other
development partner institutions; and management and evaluation of USAID
award compliance. Appropriate organizational charts should be included.

C.2.(f) [Program Implementation Plan]{.underline} (not to exceed 7
pages)

Provide a complete and detailed monthly implementation plan outlining
proposed activities and timelines. Applicants proposing to send any
items to Cuba must also separately include a complete list of all
commodity aid items the Applicant proposes to send, the procurement plan
detailing commodities and equipment to be procured, including method of
selection and estimated cost, and technical specifications for all
equipment. Applicants shall also describe in detail the proposed
commodity aid delivery method, and the proposed frequency.

C.2.(g) [Internal Monitoring & Evaluation Plan]{.underline} (not to
exceed 7 pages)

In conjunction with and corresponding to the Implementation Plan,
provide an internal monitoring and evaluation plan explaining how you
will monitor and subsequently evaluate the detailed monthly
implementation of the program, and the proposed progress. Activity
outputs (with output level targets and indicators) and outcomes of
activities (with activity indicators) should correspond to overall
program level impact and/or outcome indicators). For each indicator,
Applicants must describe data collection methods, data quality
assurances, and indicator reporting timeline.

The Applicant must also include a separate detailed description of how
you will (1) actively monitor and evaluate compliance with USAID and
Department of Commerce policy on commodities to Cuba, and (2) actively
monitor, track, and evaluate the procurement, delivery, and impact of
commodity items sent to Cuba. Applicants may include a separate
commodity tracking sheet as an attachment. USAID policy regarding
Commodity Eligibility Requirements and Pharmaceuticals can be found in
ADS section 312,
[www.usaid.gov/policy/ads/300/](http://www.usaid.gov/policy/ads/300/).
If Applicants propose to send items that are considered ineligible under
USAID policy, the proposal should clearly and in detail describe the
materials proposing to be sent and why the materials are crucial to, and
improve the impact of the overall program. Applicants may not propose
items that are ineligible under Department of Commerce regulations.

C.2.(h) [Sustainability Plan]{.underline} (not to exceed 5 pages)

Provide a sustainability plan describing how the activities undertaken
under the Award can be expected to meet overall USAID goals and continue
after USAID support is no longer available.

C.2.(i) [Applicant Qualifications]{.underline} (not to exceed 4 pages);
[Past Performance Attachment]{.underline} (Matrix)

Provide a concise summary of your organization\'s qualifications.
Include a description of your present and on-going programs that have a
direct relationship to the proposed activities under the Award. Include
a description of relevant collaborative efforts your organization has
undertaken jointly or in coordination with other institutions with a
focus on developing and/or transitional countries. Provide a description
of any publications or reports that demonstrate any special
qualification and experience that your organization has the related
directly to the proposed activities.

In the Past Performance Attachment Matrix, Applicants shall supply the
names of organizations from which they have received assistance awards
or contracts for similar activities over the past three years. Reference
information should include addresses, current telephone numbers, current
points of contact, award numbers if available, and brief descriptions of
the work performed.

C.2.(j) [Key Personnel]{.underline} (not to exceed 3 pages); [Key
Personnel Attachment]{.underline} (4 pages/person)

Identify a [maximum of three U.S. citizens]{.underline} (those whose
participation in the proposed activities is considered essential) by
name and position, and quantified according to the level of effort
planned under each activity area presented in the proposal. Include a
brief summary of each key person\'s relevant work experience. Resumes
for each key person should be included as an attachment to the
Application, with a maximum of four pages for each resume.

Key Personnel shall include, at a minimum, the Chief of Party and
Financial Officer. USAID shall approve all Key Personnel.

C.2.(j)(1) The Chief of Party must be a [U.S. citizen]{.underline} with
at least 5 years professional experience in international development
and is expected to have substantial experience in the management of
international programs or similar programs.

C.2.(j)(2) The Financial Officer must be a [U.S. citizen]{.underline}
with at least 5 years professional experience in financial and
administrative aspects of doing business with the U.S. Government and be
familiar with OMB audit requirements for assistance awards. The
Applicant should describe other personnel and/or management structures
that it deems necessary.

## C.3. COST APPLICATION FORMAT (Volume 2)

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

The following sections describe the documentation that Applicants for
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:

C.3.(a) The cost volume of the application must include a budget with an
accompanying budget narrative which provides in detail the total
proposed costs for implementation of the program described in this APS.
The budget shall be submitted using the Face Sheet-Cost Volume of
Application (OMB Standard Form 424) and the Budget Summary (OMB Standard
Form 424A), which can be downloaded from the USAID web site,
<http://www.usaid.gov/procurement_bus_opp/procurement/forms/SF-424/> .

The cost application shall also include whatever schedules are necessary
to adequately support and explain proposed costs, including any cost
share. Other necessary details include:

-   The breakdown of all costs associated with the program according to
    costs of, if applicable, headquarters, regional and/or country
    offices.

-   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 (cost share)
    contributions of all organizations involved in implementing this
    Cooperative Agreement.

-   Potential contributions of non-USAID or private commercial donors to
    this Cooperative Agreement.

C.3.(b) [Budget Narrative]{.underline}

Include a budget with an accompanying narrative which provides in detail
the total budget estimates for implementation of the program your
organization is proposing. The narrative must provide sufficient
information to adequately support and explain all proposed costs, i.e.
the actual cost basis for the line items in the detailed budget. This
narrative should be a part of the SF-424A form.

C.3.(c) [Level of Effort]{.underline}

A detailed analysis of the level of effort including specific personnel,
determination of and rates of compensation, and the amount of time
proposed.

C.3.(d) [Other Direct Costs]{.underline}

Include details of all other direct cost items such as supplies,
equipment, travel and per diem, consultants, subcontracts, and
sub-awards.

C.3.(e) [Cost Share]{.underline}

USAID endorses cost-sharing as an important principle in USAID-Recipient
relationships. Please note: Under this APS there is no mandatory minimum
cost share. However, Applicants are encouraged to contribute cost share
to improve program sustainability and increase overall program impact.
Funds from the National Endowment for Democracy (NED) are categorized as
Federal funds and may not be used by a non-profit organization in cost
share calculations (see 22 CFR 226.23).

C.3.(f) [Negotiated Indirect Cost Rate Agreement]{.underline}

Include your 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. 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.

C.3.(g) Applicants that have never received a grant, cooperative
agreement or contract from the U.S. Government are required to submit a
copy of their accounting manual. If a copy has already been submitted to
the U.S. Government, the Applicant should advise which Federal Office
has a copy. USAID regulations require that USAID conduct a pre-award
audit of new Applicants selected for award.

C.3.(h) Completed and signed "**Certifications, Assurances, and other
Statements of Applicant/Grantee**" in Section D.

C.3.(i) A copy of your organizational chart.

C.3.(j) [Evidence of Responsibility]{.underline}

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:

(1) Has access to adequate resources or the ability to obtain such
    resources as required to complete the program as described.

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

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

(4) Has a satisfactory record of integrity and business ethics.

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

**C.4.** **SUBMISSION OF APPLICATIONS**

Receipt of Applications - The required method of submission is
electronically via Grants.gov. Applications must be received and
certified by Grants.gov by the date specified in the cover letter of
this APS. To be eligible for award, the applicant must provide all
required information in its application, including the requirements
found in any attachments to the Grants.gov opportunity. The Applicant
**[must]{.underline}** notify the USAID contact person by e-mail at
<cfloore@usaid.gov>, fax to 202-216-3395 or in writing as soon as
submitted, but no later than the closing date **so that the electronic
application can be retrieved by USAID.**

**C.5. GRANT AWARD**

The Government may award one or more Grants resulting from this APS to
the responsible Applicant(s) whose application(s) conforming to this APS
offers the greatest value. 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),
(d) accept alternate applications, and (e) waive informalities and minor
irregularities in applications received.

The Government may award one or more Grant(s) 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.

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

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

Executive Order on Terrorism Financing -- "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.]{.underline}"

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

#   

# 

# SECTION D

**U.S. AGENCY FOR INTERNATIONAL DEVELOPMENT CERTIFICATIONS, ASSURANCES,
AND OTHER STATEMENTS OF RECIPIENT \[1\]\[2\]**

## 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.

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

\(a\) Instructions for Certification

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

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

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

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

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

**Alternate I**

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

**Alternate II**

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

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

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

**4. CERTIFICATION REGARDING LOBBYING**

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

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

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

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

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

Statement for Loan Guarantees and Loan Insurance

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

**PART II - OTHER STATEMENTS OF RECIPIENT**

**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.

Attachment A

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

\(a\) Instructions for Certification

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

1/ See ADS Chapter 303, 22 CFR 208.

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

##  KEY INDIVIDUAL CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

I hereby certify that within the last ten years:

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

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

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

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

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

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

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

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

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

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

NOTICE:

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

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

##  PARTICIPANT CERTIFICATION NARCOTICS OFFENSES AND DRUG TRAFFICKING

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

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

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

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

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

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

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

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

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

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

NOTICE:

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

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

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

##  CERTIFICATION REGARDING MATERIAL SUPPORT AND RESOURCES

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

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

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

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

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

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

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

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

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

NOTICE:

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