**U.S. GOVERNMENT MISSION TO SOUTH AFRICA**

**INTER-AGENCY ANNUAL PROGRAM STATEMENT**

**IN SUPPORT OF THE**

**U.S. PRESIDENT'S EMERGENCY PLAN FOR AIDS RELIEF (PEPFAR)**

**IN SOUTH AFRICA**

**APS 674-08-003**

I.  **PURPOSE**

The purpose of this Annual Program Statement (APS) is to solicit
applications for funding from prospective new partners to support
implementation of the United States President's Emergency Plan for AIDS
Relief (PEPFAR) in South Africa. This APS is an open competition.

The U.S. Government (USG) is requesting applications from prospective
partners that support the PEPFAR initiative. The goals of the initiative
are to:

-   Prevent 7 million new HIV infections;

-   Treat at least 2 million HIV-infected people; and

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

PEPFAR developed specific country-level targets for South Africa.
Results generated under this APS are expected to contribute to achieving
the following:

-   Prevent 1.75 million new HIV infections;

-   Treat at least 500,000 HIV-infected people; and

-   Care for 2.5 million HIV-affected individuals and AIDS orphans and
    vulnerable children.

PEPFAR is a \$15 billion, five-year, unified government initiative,
directed by the U.S. Office of the Global AIDS Coordinator (OGAC), and
implemented in collaboration with the US Department of State, the US
Agency for International Development (USAID), the Department of Health
and Human Services (HHS) and other USG Agencies. PEPFAR funds projects
that support the South Africa Government's *HIV and AIDS and STI
Strategic Plan for South Africa, 2007-2011*,
<http://www.doh.gov.za/docs/stratplan-f.html> and the *Comprehensive
Plan for HIV and AIDS Care, Management and Treatment,*
<http://www.info.gov.za/issues/hiv/careplan.htm>*.* Applications should
support the initiatives and priorities of the South African national
and/or provincial governments.

Fifteen focus countries have been selected to be part of the initiative
based on high HIV burden, available country resources, and host
government and civil society commitment to fighting the HIV epidemic.
This APS seeks applications for activities to be conducted in South
Africa only. Detailed information about the PEPFAR in South Africa and
supplemental information concerning this APS is available at:
[http://www.grants.gov](http://www.grants.gov/) and
http://southafrica.usembassy.gov/wwwhpepfar.html. Interested applicants
are encouraged to consult this website regularly as all modifications
will be posted here.

Pending the availability of funding, approved Country Operational Plans
(COP) and a reauthorization of PEPFAR, the USG Mission in South Africa
anticipates awarding a limited number of grants or cooperative
agreements (hereafter called agreements) to fund applications submitted
in response to this APS. ­PEPFAR has not identified a targeted number of
new projects or partners. The number of new partners will depend upon
the quality of the proposals. The USG anticipates a significant number
of applications and the review process will be highly competitive.

Applications will be accepted in the form of formal concept papers,
followed by full proposals for those organizations invited to submit
such proposals. Concept papers will be reviewed in three rounds. Concept
papers received prior to cut-off dates will be reviewed in that round.
PEPFAR reserves the right to re-review concept papers in subsequent
rounds. Cut-off dates for review are:

-   Round One Review: Concept papers should be received no later than
    Tuesday January 22, 2008 at 12:00 noon (South Africa time).

-   Round Two Review: Concept papers should be received no later than
    Monday May 5, 2008 at 12:00 noon (South Africa time).

Agreements for the APS will be funded in two categories:

-   Category 1: Not less than \$250,000 and not more than \$1 million in
    the initial year. Requests for funding in this category can be for
    up to five years of funding.

-   Category 2: Not less than \$1 million and not more than \$25 million
    in the initial year. Requests for funding in this category can be
    for up to five years of funding.

Funding will be granted pending project success, availability of funds,
and approval of Country Operational Plans. Once funding is available and
approved, rapid project implementation will be expected.

Eligible applicants include organizations that have demonstrated
technical skills, experience and the necessary management competence to
plan and efficiently execute HIV and AIDS assistance programs using
mutually agreed international standards of accountability. Eligible
organizations could include, for example, registered South African
organizations, U.S. and non-U.S. non-governmental organizations (NGOs),
faith-based organizations (FBOs), community-based organizations (CBOs),
multi-lateral organizations, foundations, private organizations
affiliated with public academic institutions, professional associations,
non-profit organizations and for-profit organizations willing to forego
profit, and consortia of the above.

This APS is issued as a public notice to ensure that all interested
parties have a fair opportunity to submit applications for funding. This
APS does not commit the USG to award an agreement or to pay any costs
incurred in the submission of applications or cost incurred in the
preparation thereof, or to procure or contract for services or supplies.
The USG reserves the right to reject any or all proposals, to negotiate
with any applicant(s) considered qualified or to make award without
further applicant negotiations. The current PEPFAR program is expected
to conclude after Fiscal Year 2008, which ends on September 30, 2009.
Although it is likely that there will be a reauthorization of PEPFAR,
there is no guarantee of continued funding after that time.

I.  **OBJECTIVES and APPROACHES**

[Targeted Program Areas:]{.underline}

1.  Prevention of HIV transmission

2.  Treatment of AIDS and associated conditions

3.  Palliative Care for HIV-infected and affected individuals, including
    caring for Orphans and Vulnerable Children (OVC)

More specifically, this APS is targeted at programs that will provide
services in any of the program areas listed below. More detailed example
subject areas are included below. Please note that PEPFAR promotes
service delivery.

**COUNSELING AND TESTING (CT)**

Counseling and testing--activities in which both HIV counseling and
testing are provided for those who seek to know their HIV status
including:

1.  Community-level activities that address gaps in CT services for
    discordant couples and special populations such as clients of
    traditional healers, family members of persons infected with HIV,
    adolescents and small children;

2.  Mobile vans supporting free-standing sites;

3.  Training lay counselors who can learn to do finger pricking for
    testing;

4.  Public-private partnerships which provide workplace initiatives;

5.  Couple counseling for pre-test, discordant couples and secondary
    prevention;

6.  Family-centered and home-based CT;

7.  Youth facility based CT;

8.  Secondary prevention strategies including access to condoms,
    post-test counseling, reduction of substance abuse, prevention plans
    for discordant couples, ART adherence, gender-based violence,
    linkages to palliative care, reproductive health, STI, TB and PMTCT
    services;

9.  Activities which promote TB screening during CT and HIV testing for
    TB patients;

10. CT in high transmission areas;

11. CT for most-at-risk-people;

12. Traditional CT; and

13. Activities to reduce stigma.

\* All CT activities must be linked to an ARV Treatment Service.

**PREVENTION OF MOTHER TO CHILD TRANSMISSION (PMTCT)**

PMTCT -- activities aimed at preventing mother-to-child HIV transmission
including:

1.  Providing on-going assistance to national, provincial district
    health structures;

2.  Assisting in policy formulation;

3.  Supporting expansion of projects for early infant diagnosis and
    those that focus on strengthening linkages between antenatal care
    and HIV service delivery and social services;

4.  Activities targeted at cultural attitudes to mixed feeding;

5.  Increasing uptake to PMTCT;

6.  Expanding efforts to offer HIV testing at 36 weeks gestation for
    pregnant women who tested negative during the first 20 weeks of
    pregnancy;

7.  Expanding the role of community-based support groups to target men
    to engage in and understand the benefits of PMTC;

8.  Capacity building for health care workers;

9.  Strengthening support systems around PMTCT (logistics, management,
    information systems and quality assurance);

10. Expand counseling and testing for pregnant women;

11. Antiretroviral (ARV) prophylaxis for HIV-infected pregnant women and
    newborns;

12. Counseling and support for maternal nutrition and safe infant
    feeding practices;

13. Dual-therapy promotion;

14. Community outreach and support; and

15. Reducing stigma

\* All PMTCT services must be linked to an ARV Treatment Service.

**CARE**

1.  Strengthening the integration of the preventive care package and
    family-centered services across all care and treatment programs for
    adults and children living with HIV;

2.  Implementation of the Basic Care Package for people living with HIV
    (PLHIV) that is linked to counseling and testing and ARV sites to
    ensure continuity of care services from diagnosis to end of life
    care ensuring involvement and participation of PLHIV in designing
    and delivering care services;

3.  Building active referral systems between all levels of HIV and AIDS
    services i.e. facility, community, household;

4.  Developing quality assurance mechanisms, including integration of
    supervision systems and standardization of services and training and
    the strengthening of monitoring and evaluation systems at all levels
    of care to ensure accountability of and tracking of quality HIV care
    services;

5.  Integrating HIV pediatric care into existing infant/pediatric
    services, e.g. EPI and IMCI program at all levels (hospital, clinic,
    community/household);

6.  Translating national policy, quality standards and guidelines into
    action;

7.  Palliative care/basic health care and support throughout the
    continuum of illness by means of symptom diagnosis and relief;
    psychological and spiritual support; clinical monitoring, related
    laboratory services and management of opportunistic infections and
    other HIV and AIDS-related complications (including
    pharmaceuticals); and culturally-appropriate end-of-life care;

8.  Integration of nutrition counseling and nutrition support that is
    linked to both clinical and community/household services in
    accordance with PEPFAR guidelines;

9.  TB/HIV -- exams, clinical monitoring, related laboratory services,
    treatment and prevention of tuberculosis in HIV basic health care
    settings (including pharmaceuticals); as well as screening and
    referral for HIV testing, and clinical care related to TB clinical
    settings. Note: General TB treatment, prevention and related
    programming are not covered by this APS; and

10. Reducing stigma.

> **Orphans and vulnerable children (OVC)**
>
> The USG in South Africa expects that the emphasis of OVC program
> activities will be on strengthening families, households and
> communities to meet the needs of orphans and other vulnerable children
> affected by HIV and AIDS, supporting community based responses,
> helping children and adolescents to meet their own needs through
> meaningful youth participation, and creating a supportive environment
> where children can grow and develop into productive members of
> society. Concept papers and full proposals should be responsive to the
> PEPFAR OVC indicators listed in the APS.

Specific areas for funding that are encouraged might include those
listed below:

1.  Programs that work with the South African Department of Social
    Development, Education and/or Health at both provincial and district
    levels to protect and reach the most vulnerable children and provide
    essential social services in a sustainable manner;

2.  Programs that strengthen community structures that protect and
    promote healthy child development in a sustainable manner (e.g.
    child care forums, community child care committee, child protection
    committees etc.);

3.  Programs and activities that support children at special risk (e.g.
    children living in child- or sibling-headed households, disabled
    children and children living with elderly and frail grandparents,
    etc.) and their caregivers in sustainable manner; interventions that
    support and reduce the burden of care on women and young girls who
    care for people living with HIV and AIDS and for vulnerable
    children; innovative interventions to provide protection for
    vulnerable households (e.g. households headed by children, the
    elderly etc.);

4.  Programs that provide safe places for OVC, to receive life skills,
    HIV prevention and behavior change messages and address gender
    stereotypes;

5.  Programs that ensure that OVC activities and programs are integrally
    linked to South African Government programs that work with
    HIV-infected parents (VCT, Palliative Care, ART, PMTCT, etc.); and
    interventions that strengthen referral networks to ensure adequate
    access to age-appropriate primary health care services and ensure
    that HIV-infected OVC have access to pediatric treatment and
    palliative care;

6.  Programs that integrate gender into OVC programs -- i.e. that
    support activities that reduce orphaned girls vulnerability to the
    sex trade, gender-based violence etc.; interventions that address
    the inequitable burden of care on women and girls to assume the
    responsibility of heading households; programs that engage men and
    boys in OVC care and support, address gender dynamics and roles,
    engage parents, guardians, heads of households and other role models
    in addressing youth gender appropriate behaviors and HIV prevention
    messages, etc.;

7.  Programs that focus on strengthening the economic coping mechanisms
    of households that care for OVC. Economic security interventions
    should contribute to improved wellbeing of OVC and their caregivers.
    Economic strengthening activities should function as a social safety
    net to help vulnerable households cope with family stresses
    including sickness, death and other related stresses. Interventions
    should focus on building the qualitative aspect of the economic
    empowerment component for vulnerable households; and

8.  Programs that support OVC and training in targeted schools to assist
    the Department of Education (DOE), in improving the lives of OVC and
    their caregivers; activities that offer services to OVC in schools
    and support the training of caregivers to mentor and support OVC.
    Key areas of emphasis should address amongst others gender issues,
    human capacity development, psychosocial support, and youth
    livelihood training to support OVC. The activities should also
    support the DOE strategy to use schools as full service centers for
    learning, teaching, prevention, care and support.

#  {#section .unnumbered}

**Prevention**

> Abstinence and Be Faithful (AB) activities will address two separate
> prevention components: (1) social mobilization with an emphasis on
> faithfulness and partner limitation for adults; and (2) youth
> prevention with a focus on abstinence and faithfulness. Emphasis
> should be placed on:

1.  focusing on geographic localities currently served by PEPFAR Track
    1.0 partners dealing with Abstinence and Behavior Change for Youth
    (ABY) activities in South Africa, since central funding for current
    partners is anticipated to end in 2009 and other areas with unmet
    needs in youth prevention;

2.  engaging and building the capacity of partners to support
    sustainable prevention efforts targeting both adults and youth;

3.  supporting NGOs, CBOs and FBOs to work at both the national and
    community level to generate public dialogue and to promote normative
    change relating to high rates of multiple and concurrent
    partnerships, sex partner turnover and casual sex;

4.  supporting a coordinated, systematic effort to expand coverage of
    and intensify prevention education and services targeting migrants,
    mobile populations and their partners in both sending and receiving
    communities; and

5.  giving priority to HIV prevention among orphans and other vulnerable
    children, who are at substantially increased risk of early sexual
    activity, pregnancy and HIV.

> Other Prevention (OP)-- activities aimed at improving the lives of
> orphans and other vulnerable children and families affected by HIV and
> AIDS including:

1.  HIV and AIDS education and prevention among youth, women,
    professionals, prison populations, mobile workers, commercial sex
    workers, men who have sex with men, injection drug and alcohol using
    populations, others at high risk for infection, and most at risk
    populations;

2.  HIV and AIDS prevention activities targeting older populations, and
    couples consisting of older men/younger women;

3.  HIV and AIDS prevention activities targeting persons newly infected
    with HIV;

4.  HIV and AIDS prevention programs through appropriate promotion of
    clinically performed male circumcision;

5.  HIV and AIDS prevention programs in identified areas of high HIV
    prevalence, such as peri-urban areas and informal settlements;

6.  Condom promotion and provision, especially in non-traditional
    settings;

7.  Projects addressing the role of alcohol abuse in HIV prevention; and

8.  Conducting new and innovative behavioral change campaigns in
    underserved areas.

> **TB**

1.  Support coordination between TB and HIV programs at all levels to
    ensure continuum of care for HIV-infected TB patients.

    a.  Promote the WHO DOTS Strategy for TB control by implementing
        South African National Department of Health TB guidelines as
        well as new diagnostic algorithms and procedures to diagnose
        smear negative, extrapulmonary and pediatric TB.

    b.  Develop systems for the management and monitoring of TB/HIV
        co-infected patients across multiple health care programs
        including the provision of cotrimoxazole preventive therapy for
        HIV-infected TB patients. The description should include plans
        for reporting of TB cases, case management, referrals between TB
        and HIV treatment settings, and referral monitoring.

    c.  Develop plans to collaborate with provincial and district TB
        programs and laboratory services to promote interactions between
        HIV programs and primary care TB clinics.

    d.  Promote community and home-based care for TB/HIV patients.

    e.  Support joint capacity building to ensure coordination between
        TB and HIV programs.

    f.  Implement joint TB/HIV information, education, and communication
        (IEC) activities, (e.g. World TB Day, World AIDS Day).

    g.  Implement joint TB/HIV activity monitoring and evaluation.

2.  Implement TB symptom screening for all newly identified HIV-infected
    persons (at ART, VCT, PMTCT sites) and routine TB symptom screening
    of HIV-infected persons in HIV care settings.

    a.  Support the development of guidelines/facility policies,
        screening tools/questions and recording systems necessary to
        screen HIV-infected persons for TB.

    b.  Develop and describe referral and training systems for access of
        HIV-infected TB suspects to laboratory diagnosis and treatment
        for TB. Consider "fast track" mechanisms for clients with TB
        symptoms for appropriate diagnostic tests in order to assure
        timely treatment and to reduce the risk of nosocomial
        transmission to susceptible clients receiving HIV care. This
        referral and training system should also include a "retrieval"
        or back-referral system to assure that TB patients continue to
        access HIV care.

    c.  For HIV patients, in whom TB disease has been ruled out,
        consider TB preventive therapy (Isoniazid preventive therapy).

    d.  Strengthen the HIV patient monitoring system (an example to
        consider is the use of WHO IMAI HIV care/ART patient monitoring
        system) to document and monitor TB screening, TB status, and TB
        treatment of HIV patients.

3.  Implement routine HIV counseling and testing in TB clinical settings
    and linkage/referral of HIV-infected TB patients to HIV care and
    treatment.

    a.  Support development of referral/tracking systems to HIV care or
        providing HIV treatment in TB clinics, human resources and
        supervision systems needed for implementation.

    b.  Procurement of HIV test kits and other materials necessary to
        expand on-site HIV testing in TB clinics.

    c.  Train providers to perform HIV testing and counseling in the TB
        clinic, and to ensure that persons who test HIV-positive access
        HIV care and treatment by their referral and follow up to HIV
        care settings.

    d.  Implement quality assurance programs of HIV counseling and
        testing conducted in TB clinics, in accordance with national QA
        programs.

4.  Monitor and evaluate progress of HIV testing and counseling and
    referral/linkage to HIV care and treatment.

    a.  Support data recording and reporting systems to measure and
        report on the new required PEPFAR TB/HIV indicator: "Number of
        registered TB patients who received HIV counseling, testing, and
        their results at a USG supported TB site". Please note that
        although TB suspects who receive HIV testing and counseling in
        USG supported TB sites are not counted under this indicator, USG
        should continue to support efforts to expand HIV testing and
        counseling in TB clinical settings to include both TB patients
        and TB suspects. Refer to PEPFAR Indicators Reference Guide for
        additional information on this new indicator
        **(http://www.pepfar.gov/guidance/c21628.htm)**.

5.  Strengthen laboratory services needed to implement TB/HIV program
    activities.

    a.  Strengthen TB diagnostic capabilities by strengthening existing
        sputum smear microscopy laboratory networks, including
        logistics, infrastructure, quality assurance programs,
        personnel, and training; and by strengthening national reference
        laboratories, for quality assurance, mycobacterial culture and
        TB drug-susceptibility testing, as well as implementation of new
        diagnostic algorithms and procedures to diagnose smear negative,
        extrapulmonary, and pediatric TB - as they become available.

    b.  Consider requesting technical assistance to assess biosafety of
        laboratories and provide recommendations for improvement.

6.  Implement infection control to prevent TB transmission among
    HIV-infected persons and healthcare workers.

    a.  Collaborate with national and international partners to develop
        and implement an infection control training strategy.

    b.  Include TB infection control in plans to renovate infrastructure
        of health facilities to maximize TB infection control. Refer to
        the "Prevention of TB in Health Facilities in Resource-Limited
        Settings" and Addendum - "TB Infection Control in the Era of
        Expanding HIV Care and Treatment:
        http://www.who.int/tb/publications/who_tb_99_269/en/index.html
        http://www.cdc.gov/nchstp/od/gap/docs/6x9TB%20Booklet_1-4-07.pdf

    c.  Support development of polices and plans for annual TB infection
        control including training of health facility and laboratory
        staff.

7.  Surveillance for and management of drug-resistant TB.

    a.  Collaborate with national and international partners to conduct
        drug resistance surveys to determine the level of drug
        resistance in South Africa.

    b.  Expand capacity for drug susceptibility testing to detect and
        manage patients with multidrug-resistant (MDR) and extensively
        drug-resistant (XDR) TB.

    c.  Leverage support and technical assistance from WHO Green Light
        Committee (GLC) to improve treatment of patients with MDR/XDR
        TB.

8.  Ensure that HIV-infected children are considered in all TB/HIV
    policies and programs.

9.  Support the development and implementation of clinician consultation
    services or SA providers.

10. Collaborate with national and international partners to enhance
    electronic recording and recording systems for TB/HIV surveillance
    data.

> **TREATMENT**
>
> Treatment activities aimed at improving the lives of individuals
> living with HIV and AIDS by:

1.  HIV/AIDS treatment/ARV drugs -- including distribution, supply
    chain, logistics, pharmaceutical management and cost of ARV drugs.

2.  HIV/AIDS treatment/ARV services -- including infrastructure, human
    capacity building for health providers, building health systems
    capacity, clinical assessment and monitoring, related laboratory
    services and community-adherence activities.

    a.  Supporting the implementation of *The HIV & AIDS and STI
        Strategic Plan for South Africa, 2007-2011* (NSP) care and
        treatment goals;

    b.  Focusing on providing equitable access to HIV care and treatment
        at all levels of the healthcare system, including the non-public
        sector;

    c.  Providing comprehensive prevention, care and treatment services;

    d.  Integrating HIV care and treatment with PMTCT to ensure
        enrolment (if clinically appropriate) for pregnant women and
        infants;

    e.  Providing a basic package of care and prevention;

    f.  Ensuring access in underserved communities;

    g.  Promoting and facilitating quality of care; and

    h.  Focusing on patient retention to minimize loss to initiation,
        and loss to follow-up once in care and treatment

> **HUMAN CAPACITY DEVELOPMENT**
>
> Human Capacity Development (HCD) activities focus on task-shifting
> within primary health care settings and from specialized health
> workers to lay and community health workers to increase the pool of
> health workers providing HIV/AIDS services including:

1.  Assessment of tasks performed by a variety of health care
    practitioners (doctors, nurses, pharmacists and lay or community
    workers) at primary health care levels comparing this with the
    current prescribed scope of practice for these categories and the
    need/demand within the health care system;

2.  Plans for other categories/levels of health care workers with a
    prescribed scope of practice;

3.  Links into pre-service training institutions and development/updates
    of pre-service medical and nursing curriculums focused on new cadres
    and preceptor programs;

4.  Collaboration with the NDOH, provincial departments and the
    professional councils with a special focus on the nursing services
    since they bear the brunt of burden;

5.  Development of job descriptions and job competency requirements for
    all cadres of health care workers in the health system that can feed
    into work at a national and provincial level with Human Resource
    Information Systems;

6.  Outcomes of this work should feed into retention, incentives,
    recruitment and staffing agreements on job competencies between NDOH
    and NDOE and sharing of curricula to non-profit, government and
    private sector as well as increasing support for national strategies
    for HIV/AIDS, workforce planning and management; and

7.  Strengthening leadership and policy around HIV/AIDS and HR
    management.

All activities must be consistent with the National Human Resource for
Health Planning Framework available at
<http://www.doh.gov.za/docs/misc/human06-f.html>.

####### A. Program Goal and Objectives {#a.-program-goal-and-objectives .unnumbered}

The **overarching goal** of the program is to expand access to
HIV-related services to large numbers of South Africans, in support of
the South African Government's *The HIV & AIDS and STI Strategic Plan
for South Africa, 2007-2011* (NSP) and the *Comprehensive Plan for HIV
and AIDS Care, Management and Treatment.* The objectives of the USG's
HIV and AIDS program in South Africa are:

1)  To prevent HIV transmission through one or more of the following
    activities: a) promote safe and healthy sexual behavior in
    HIV-infected and uninfected individuals; b) reduce mother to child
    HIV transmission; c) address unsafe medical practices and blood
    safety *(note that projects addressing safe medical practices and
    blood safety are not supported in this APS)*; d) provide appropriate
    post-exposure services; and e) improve access to counseling and HIV
    testing;

2)  To provide quality comprehensive evidence-based HIV disease
    management services for South Africans through private and/or public
    sector providers (these services may include, for example, the
    provision of ARV drugs, treatment counseling, laboratory support and
    other related services);

3)  To improve the quality of life of HIV-infected individuals and their
    families, through the prevention and relief of suffering, pain and
    other physical, psycho-social and spiritual problems associated with
    life-threatening illness; and

4)  To provide quality comprehensive and compassionate care for AIDS
    orphans and other vulnerable children to help assure they grow up to
    be healthy, educated and socially well-adjusted adults.

Additional important program objectives address USG priorities of
sustainability, capacity building, institutional strengthening and
improving equitable access in the public and private health sectors in
South Africa. Applicants are encouraged to review the Five Year HIV and
AIDS Strategic Plan for United States-South Africa Cooperation available
at
[http://pepfar.pretoria.usembassy.gov](http://pepfar.pretoria.usembassy.gov/).
(Go to "PEPFAR@Work"/"News & Information"/"Reports".)

**B. Strategic Approach**

Because the overall goal of this APS is to support the provision of
sustainable high-quality services in South Africa, proposed strategic
approaches should address specific needs with practical, pragmatic
business plans for implementation.

**Public-Private Alliances**

The formation of public-private alliances to address the objectives of
this APS is allowed under this APS. A "public-private alliance" occurs
when the application includes a commitment of material and significant
non-USG resources that will allow the program to more fully address the
challenges in South Africa as outlined in this solicitation. An example
of an alliance relationship would be an application that included in its
budget plan at least a one-to-one matching of USG resources with
non-governmental resources. Resources may be defined as cash or in-kind,
and applicants submitting alliance applications are encouraged to be
innovative. Such alliances are expected to bring together partners who
will jointly define the problem, strategy and solution to capitalize on
combined knowledge, skills, expertise and resources of the partners.
Additional information on alliances can be found at:
<http://www.usaid.gov/our_work/global_partnerships/gda/>.

**New Partners and Formation of Consortia**

Faith-based organizations (FBOs), community-based organizations (CBOs)
and organizations serving rural underserved populations are eligible to
apply. Applications may be submitted by consortia of service providers
to achieve administrative resource efficiencies and beneficial
associations. Organizations might apply for funds that would then be
managed and disbursed to smaller "grass-roots" organizations to provide
community-based services. An example of this would be a group of FBOs
that submit a *single* application with centralized resource management
to provide HIV and AIDS services through many providers. The budget for
the consortia application must be within the scope of the APS.

**Comprehensive Programming**

Applications that address or demonstrate linkages with multiple program
objectives, with an emphasis on linkages to treatment related programs
are encouraged. For example, a responsive application might build on a
program that provides home-based care and support to people living with
HIV and AIDS, adding a component that addresses the needs of children of
those who are ill as a result of HIV and AIDS.

####### Sustainability {#sustainability .unnumbered}

Applicants should be aware that the PEPFAR is a five-year program
designed to end after September 2009. There is no assurance of any
continued program or funding for any particular applicant after that
time. All applicants must describe their plans for sustainability of
their projects after one year. Sustainability includes the development
of technical competence, human capacity, management systems,
infrastructure, relationships with government programs and financial
independence.

**Human Capacity Development**

There is an urgent need to increase health sector human resources,
especially skilled health workers such as physicians, nurses,
pharmacists, and managers to address HIV and AIDS. The USG strongly
encourages applications that address the shortage of trained health care
providers, particularly in rural and public sector settings, through
programs that (1) enhance the skills of existing implementers; (2)
augment the number of skilled people; (3) address recruitment and
retention issues; and (4) support improved practices through access to
knowledge, updated policies, needed tools, and supportive management and
information systems.

**Quality of Care and Services**

A key focus for the USG is ensuring quality of care in the services
provided. Quality of care includes meeting the patient's individual
needs in a timely manner, providing services within the appropriate
policies and guidelines, providing comprehensive care (which includes
appropriate referrals), and ensuring that systems are in place to
measure and evaluate the care provided.

**Strategic Information**

Strategic information is a cornerstone of the PEPFAR. All applicants
must address how they will monitor and evaluate their program.

# Scalability {#scalability .unnumbered}

Applicants should consider programs that if successful can be increased
in size by replication or by expansion of the program to additional
geographic regions.

These are only examples of responsive strategic approaches; applicants
are encouraged to propose other innovative solutions to provide services
to individuals affected by HIV and AIDS.

**C. Example Subject Areas**

Specific areas for funding might include those listed in Section II
above. These are provided only as examples of the kinds of activities
relevant to this APS and are not exhaustive, nor are they necessarily
targeted for funding.

**D. Program Indicators**

All applications must include plans to document, monitor and evaluate
program performance. The USG in South Africa will evaluate progress by
monitoring selected indicators and assessing these in relation to the
targets and overall objectives set by program staff.

A limited set of program monitoring indicators will be used to track the
progress of key USG-funded activities, and are based on administrative
records, project reports, and routine, logistical, and facility-based
information systems. Applications for funding under this APS should
clearly state how proposed activities relate to these program objectives
and how data will be collected, verified and reported to document
progress toward these objectives, including a staffing plan. Data
quality is a critical component of this program, and all applicants must
develop systems to ensure data quality and must be prepared for data
quality audits. Applicants should be prepared for revisions in required
program indicators and reporting requirements during the lifetime of the
award and as part of project closeout processes.

**Applicants must report on the required indicators relevant to their
program area, as laid out by the Office of the Global AIDS Coordinator.
These indicators are listed in the table below and are further discussed
in the *South Africa Strategic Information (SASI) Manual*
(<http://pepfar.pretoria.usembassy.gov/>) (Go to "PEPFAR@Work"/"M&E").**

#  {#section-1 .unnumbered}

#  {#section-2 .unnumbered}

# Indicators for Monitoring PEPFAR {#indicators-for-monitoring-pepfar .unnumbered}

+-----------------------------------------------------------------------+
| **PREVENTION**                                                        |
+-----------------------------------------------------------------------+
| **Abstinence and Being Faithful**                                     |
+-----------------------------------------------------------------------+
| 1.  Number of individuals reached through community outreach that     |
|     promotes HIV prevention through abstinence and/or being faithful  |
|     (disaggregated by gender)                                         |
+-----------------------------------------------------------------------+
| > 1.1A Number of individuals reached through community outreach that  |
| > promotes HIV prevention through abstinence (disaggregated by        |
| > gender) (subset of 1.1)                                             |
+-----------------------------------------------------------------------+
| 2.  Number of individuals trained to promote HIV prevention programs  |
|     through abstinence and/or being faithful                          |
+-----------------------------------------------------------------------+
| **Condoms And Other Prevention**                                      |
+-----------------------------------------------------------------------+
| > 2.1 Number of targeted condom service outlets                       |
+-----------------------------------------------------------------------+
| 2.  Number of individuals reached through community outreach that     |
|     promotes HIV prevention through other behavior change beyond      |
|     abstinence and/or being faithful (disaggregated by gender)        |
+-----------------------------------------------------------------------+
| 3.  Number of individuals trained to promote HIV prevention through   |
|     other behavior change beyond abstinence and/or being faithful     |
+-----------------------------------------------------------------------+
| **Prevention Of Mother-To-Child Transmission**                        |
+-----------------------------------------------------------------------+
| > 4.1 Number of service outlets providing the minimum package of      |
| > PMTCT services according to South African or international          |
| > standards                                                           |
+-----------------------------------------------------------------------+
| > 4.2 Number of pregnant women that attended first antenatal care     |
| > visit                                                               |
+-----------------------------------------------------------------------+
| > 4.3 Number of pregnant women who received HIV counseling and        |
| > testing for PMTCT and received their test results                   |
+-----------------------------------------------------------------------+
| > 4.4 Number of pregnant women provided with a complete course of ARV |
| > prophylaxis                                                         |
+-----------------------------------------------------------------------+
| > 4.5 Number of infants receiving an ARV prophylaxis                  |
+-----------------------------------------------------------------------+
| > 4.6 Number of infants tested by PCR at 6-14 weeks                   |
+-----------------------------------------------------------------------+
| > 4.7 Number of infants tested at 12 months                           |
+-----------------------------------------------------------------------+
| > 4.8 Number of HIV-infected pregnant women receiving food and        |
| > nutritional supplementation in a pmtct setting                      |
+-----------------------------------------------------------------------+
| > 4.9 Number of pregnant women who received HIV counseling and        |
| > testing for PMTCT and received their test results (indirect)        |
+-----------------------------------------------------------------------+
| > 4.10 Number of pregnant women provided with a complete course of    |
| > ARV prophylaxis in a PMTCT setting (indirect)                       |
+-----------------------------------------------------------------------+
| > 4.11 Number of health workers trained in the provision of PMTCT     |
| > services according to South African or international standards      |
+-----------------------------------------------------------------------+
| **Counseling And Testing**                                            |
+-----------------------------------------------------------------------+
| > 5.1 Number of service outlets providing counseling and testing      |
| > according to South African or international standards               |
+-----------------------------------------------------------------------+
| > 5.2 Number of individuals who received pre-test counseling          |
| > (disaggregated by gender)                                           |
+-----------------------------------------------------------------------+
| > 5.3 Number of individuals who received counseling and testing and   |
| > received their test results (disaggregated by gender; serostatus)   |
+-----------------------------------------------------------------------+
| > 5.4 Number of newly identified HIV-infected individuals who were    |
| > screened for tb                                                     |
+-----------------------------------------------------------------------+
| > 5.5 Number of TB patients counseled and tested and received test    |
| > results (subset of 5.3)                                             |
+-----------------------------------------------------------------------+
| > 5.6 Number of individuals who received counseling and testing and   |
| > received their test results (indirect)                              |
+-----------------------------------------------------------------------+
| > 5.7 Number of individuals trained in counseling and testing         |
| > according to South African or international standards               |
+-----------------------------------------------------------------------+
| **CARE**                                                              |
+-----------------------------------------------------------------------+
| **Orphans And Vulnerable Children**                                   |
+-----------------------------------------------------------------------+
| > 6.1 Number of OVC served (disaggregated by gender) (disaggregated   |
| > by primary and supplementary support)                               |
+-----------------------------------------------------------------------+
| 6.1A Number of OVC receiving clinical nutritional interventions       |
| (subset of 6.1)                                                       |
+-----------------------------------------------------------------------+
| > 6.1B Number of OVC receiving food and/or food parcels (subset of    |
| > 6.1)                                                                |
+-----------------------------------------------------------------------+
| > 6.1C number of OVC receiving shelter interventions (subset of 6.1)  |
+-----------------------------------------------------------------------+
| > 6.1D Number of OVC receiving child protection interventions (i.e.   |
| > Birth registration, identification and inheritance issues) (subset  |
| > of 6.1)                                                             |
+-----------------------------------------------------------------------+
| > 6.1E Number of OVC receiving general healthcare services (subset of |
| > 6.1)                                                                |
+-----------------------------------------------------------------------+
| > 6.1F Number of OVC receiving healthcare support specifically for    |
| > antiretroviral treatment (subset of 6.1)                            |
+-----------------------------------------------------------------------+
| > 6.1G Number of OVC receiving HIV prevention education or            |
| > interventions (subset of 6.1)                                       |
+-----------------------------------------------------------------------+
| > 6.1H Number of OVC receiving psychosocial care (subset of 6.1)      |
+-----------------------------------------------------------------------+
| > 6.1I Number of OVC general education (subset of 6.1)                |
+-----------------------------------------------------------------------+
| > 6.1J Number of OVC receiving vocational training (subset of 6.1)    |
+-----------------------------------------------------------------------+
| > 6.1K Number of OVC receiving economic opportunity or strengthening  |
| > (i.e. Social grants) (subset of 6.1)                                |
+-----------------------------------------------------------------------+
| > 6.2 Number of OVC served (disaggregated by gender) (indirect)       |
+-----------------------------------------------------------------------+
| > 6.3 Number of providers/caretakers trained in caring for OVC        |
+-----------------------------------------------------------------------+
| **Palliative Care: Basic Health Care And Support And TB/HIV Care**    |
+-----------------------------------------------------------------------+
| > 7.1 Number of service outlets providing HIV-related palliative care |
| > (including TB)                                                      |
+-----------------------------------------------------------------------+
| > 7.1.A Number of service outlets providing treatment for TB to       |
| > HIV-infected individuals in a palliative care setting (subset of    |
| > palliative care outlets)                                            |
+-----------------------------------------------------------------------+
| > 7.2 Number of individuals provided with HIV-related palliative care |
| > (including TB) (disaggregated by gender)                            |
+-----------------------------------------------------------------------+
| > 7.2.A Number of HIV-infected individuals provided with the basic    |
| > care package (disaggregated by gender) (subset of 7.2)              |
+-----------------------------------------------------------------------+
| > 7.2.B Number of HIV-infected individuals that received treatment    |
| > for TB disease (disaggregated by gender) (subset of 7.2)            |
+-----------------------------------------------------------------------+
| > 7.2.C Number of individuals that received post exposure prophylaxis |
| > (subset of 7.2)                                                     |
+-----------------------------------------------------------------------+
| > 7.2D Number of HIV-infected individuals that received cotrimoxazole |
| > prophylaxis (subset of 7.2)                                         |
+-----------------------------------------------------------------------+
| > 7.3 Number of family members of HIV-infected individuals or OVC     |
| > provided with HIV-related palliative care                           |
+-----------------------------------------------------------------------+
| > 7.4 Number of TB cases                                              |
+-----------------------------------------------------------------------+
| > 7.5 Number of pulmonary TB                                          |
+-----------------------------------------------------------------------+
| > 7.6 Number of new smear positives                                   |
+-----------------------------------------------------------------------+
| > 7.7 Number of successfully treated TB                               |
+-----------------------------------------------------------------------+
| > 7\. 8 Number of individuals provided with HIV-related palliative    |
| > care(including TB) (indirect)                                       |
+-----------------------------------------------------------------------+
| > 7.8A Number of HIV-infected individuals who received treatment for  |
| > TB disease (subset of 7.8)(indirect)                                |
+-----------------------------------------------------------------------+
| 7.9 Number of individuals trained to provide HIV-related palliative   |
| care (including TB/HIV)                                               |
+-----------------------------------------------------------------------+
| > 7.9A Number of individuals trained to provide treatment for TB to   |
| > HIV-infected individuals (subset of 7.9)                            |
+-----------------------------------------------------------------------+
| **Treatment**                                                         |
+-----------------------------------------------------------------------+
| **Direct ART Services -- Indicators For The Quarterly Treatment Form  |
| Only**                                                                |
+-----------------------------------------------------------------------+
| > 8.1A Number of service outlets providing HIV counseling and testing |
+-----------------------------------------------------------------------+
| > 8.1B Number of service outlets providing HIV-related palliative     |
| > care (including TB)                                                 |
+-----------------------------------------------------------------------+
| > 8.1C Number of service outlets providing treatment for TB (subset   |
| > of palliative care outlets)                                         |
+-----------------------------------------------------------------------+
| > 8.1D Number of service outlets providing antiretroviral treatment   |
+-----------------------------------------------------------------------+
| > 8.2 Number of individuals counseled and HIV tested and received     |
| > test results (disaggregated by gender; serostatus)                  |
+-----------------------------------------------------------------------+
| 8.2 a Number of TB patients counseled and tested and received test    |
| results (subset of above)                                             |
+-----------------------------------------------------------------------+
| > 8\. 3 Number of newly identified HIV-infected individuals who were  |
| > screened for TB                                                     |
+-----------------------------------------------------------------------+
| > 8.4 Number of HIV-infected individuals who completed pre-treatment  |
| > training                                                            |
+-----------------------------------------------------------------------+
| > 8.5 Cumulative number enrolled in HIV care by the beginning of      |
| > quarter (disaggregated by age, gender and pregnancy status)         |
+-----------------------------------------------------------------------+
| > 8.6 New enrollees in HIV care during the quarter (disaggregated by  |
| > age, gender)                                                        |
+-----------------------------------------------------------------------+
| > 8.7 Cumulative number enrolled in HIV care by the end of the        |
| > quarter (disaggregated by age, gender)                              |
+-----------------------------------------------------------------------+
| > 8.8 Number who received HIV care during the reporting period        |
| > (disaggregated by age, gender)                                      |
+-----------------------------------------------------------------------+
| > 8.9 Number in HIV care during the quarter & eligible for art, but   |
| > not started art by the end of the quarter                           |
+-----------------------------------------------------------------------+
| > 8.10 Number in HIV care that are receiving treatment for TB disease |
| > (disaggregated by gender)                                           |
+-----------------------------------------------------------------------+
| > 8.11 Number of HIV-infected individuals receiving cotrimoxazole     |
| > prophylaxis                                                         |
+-----------------------------------------------------------------------+
| > 8.12 Cumulative number started on art by the beginning of the       |
| > quarter (disaggregated by age, gender and pregnancy status)         |
+-----------------------------------------------------------------------+
| > 8.13 Number new on art during the quarter (disaggregated by age,    |
| > gender and pregnancy status)                                        |
+-----------------------------------------------------------------------+
| > 8.14 Number on art who transferred in during the quarter            |
| > (disaggregated by age, gender and pregnancy status)                 |
+-----------------------------------------------------------------------+
| > 8.15 Number started on art program during the quarter (includes new |
| > and transfers) (disaggregated by age, gender and pregnancy status)  |
+-----------------------------------------------------------------------+
| > 8.16 Cumulative number started on art by the end of the quarter     |
| > (disaggregated by age, gender and pregnancy status)                 |
+-----------------------------------------------------------------------+
| > 8.17 Number on art at the end of the quarter (current)              |
| > (disaggregated by age, gender and pregnancy status)                 |
+-----------------------------------------------------------------------+
| 8.18 Number of individuals receiving art with evidence of sever       |
| malnutrition receiving food and nutritional supplementation           |
+-----------------------------------------------------------------------+
| 8.19 Number of health workers trained to deliver art services         |
+-----------------------------------------------------------------------+
| > 8.20 Number of health workers trained to deliver HIV palliative     |
| > care (non-art)                                                      |
+-----------------------------------------------------------------------+
| > 8.21a Number trained to provide TB treatment to HIV-infected        |
| > individuals (subset                                                 |
| >                                                                     |
| > of above)                                                           |
+-----------------------------------------------------------------------+
| > 8.21 Number of individuals in cohort (6 and 12 month cohorts)       |
+-----------------------------------------------------------------------+
| > 8.22 Number in cohort who have CD4+ counts (6 and 12 month cohorts) |
+-----------------------------------------------------------------------+
| > 8.23 Number in cohort who received ARVs for entire time period (6   |
| > and 12 month cohorts)                                               |
+-----------------------------------------------------------------------+
| > 8.24 median CD4+ count for cohort (6 and 12 month cohorts)          |
+-----------------------------------------------------------------------+
| > 8.25 Number of patients on each regimen at the end of the quarter   |
| > (by age)                                                            |
+-----------------------------------------------------------------------+
| > 8.26 Number of persons who started on ART at the facility in the    |
| > PEPFAR program who were not on art at the end of the quarter        |
+-----------------------------------------------------------------------+
| **Activities In Support Of Art Services -- Indicators On The          |
| Semi-Annual Progress Report Only**                                    |
+-----------------------------------------------------------------------+
| > 8.27 Number of service outlets providing antiretroviral treatment   |
+-----------------------------------------------------------------------+
| > 8.28 Number of HIV-infected individuals provided with ARV treatment |
| > at the end of the reporting period (indirect)                       |
+-----------------------------------------------------------------------+
| > 8.29 Number of health workers trained to deliver ART services       |
+-----------------------------------------------------------------------+
| > 10.4 Number of individuals trained in HIV-related institutional     |
| > capacity building                                                   |
+-----------------------------------------------------------------------+
| > 10.5 Number of individuals trained in HIV-related stigma and        |
| > discrimination reduction                                            |
+-----------------------------------------------------------------------+
| > 10.6 Number of individuals trained in HIV-related community         |
| > mobilization for prevention, care and/or treatment                  |
+-----------------------------------------------------------------------+

*Information about minimum service packages for PMTCT and OVC programs
are further discussed in the South Africa Strategic Information (SASI)
Manual* **(<http://pepfar.pretoria.usembassy.gov/>) (Go to
"PEPFAR@Work"/"M&E").**

Applicants may include plans to collect data on additional indicators to
measure the effectiveness of a specific program; however, monitoring of
additional indicators is *not required* of funded programs. All
indicators are outlined in the *South Africa Strategic Information
(SASI) Manual*.

Recipients of money in the area of ARV Treatment will be required to
submit quarterly reports. All other program areas require only
semi-annual reports. Reports will be submitted to the USG via a
web-based data warehouse. The USG also strongly encourages all
recipients to provide relevant data to their local, provincial and
national government counterparts.

II. **PARTNERSHIPS**

[South African Government and South African organizations:]{.underline}

Applicants are strongly encouraged to form, describe and document
partnerships with the South African Government (at all levels). Prior to
implementing activities, recipients are required to obtain approval from
provincial authorities in each province in which they will conduct
activities. (*Note that approvals are not required for concept papers,
but evidence of government support is strongly encouraged*. *Letters of
support will be required for full proposal applications.*) The USG also
encourages non-South African organizations considering submitting
applications to this APS to explore the potential of forming
partnerships with South African organizations, including NGOs, civil
society and other relevant groups.

III. **SUBSTANTIAL INVOLVEMENT**

Should a cooperative agreement be awarded instead of a grant the USG may
be substantially involved in the award in the following ways:

1\) Approval of the recipient\'s implementation plan.

2\) Approval of specified key personnel.

3\) Approval of grant criteria proposed by recipient.

4\) Approval of the recipient\'s performance monitoring and management
plan.

5\) Provision of technical direction for specific program interventions.

6\) Approval of grantee/cooperative agreement annual Country Operational
Plan submission.

Pre-award assessments (covering the recipient's financial and management
capacity) will be required for grants and for cooperative agreements.

IV. **ELIGIBILITY**

Eligible applicants include organizations that have demonstrated
technical skills, experience and the necessary management competence to
plan and efficiently execute HIV and AIDS assistance programs using
mutually agreed international standards of accountability. Eligible
organizations could include, for example, registered South African
organizations, U.S. and non-U.S. non-governmental organizations,
faith-based organizations, community-based organizations, multi-lateral
organizations, foundations, private organizations affiliated with public
academic institutions, professional associations, non-profit
organizations and for-profit organizations willing to forego profit, and
consortia of the above.

V.  **TWO-TIERED REVIEW PROCESS**

Applicants will participate in a two-tiered review process as detailed
below. Tier 1 consists of the evaluation of concept papers. Tier 2
consists of a review of full applications that have been invited
following a favorable Tier 1 review. Please note that a favorable review
in Tier 1 or Tier 2 is not an indication that funding eventually will be
awarded.

Specific submission instructions are outlined below. All concept paper
submissions must include a completed cover page (Annex 1) and must be
received before the stipulated closing date and time.

[Electronic Submission:]{.underline}

**No concept papers will be accepted via electronic submission.**

[Submission by hand or mail services:]{.underline}

Concept papers must be submitted in hard-copy form by hand or by mail
service, and must include the following:

-   One original

-   Seven copies

-   A CD containing the concept paper

Concept papers, copies and CD are due**:**

-   Round One Review: Concept papers should be received no later than
    Tuesday January 22, 2008 at 12:00 noon (South Africa time).

-   Round Two Review: Concept papers should be received no later than
    Monday May 5, 2008 at 12:00 noon (South Africa time).

[]{.mark}

Concept papers must be submitted in hard-copy form by hand or by mail
service to the following address:

USAID (Hand delivered)

ATTN: Lyn Buckley

100 Totius Street

Groenkloof, Pretoria 0027

South Africa

***[NOTE: Please be sure to obtain a delivery receipt when delivering
your package.]{.underline}***

If an applicant is invited to submit a full proposal, full applications
must be submitted by hand or by mail service to the above address and
must include the following:

-   One original of the technical proposal

-   Seven copies of the technical proposal

-   Any supporting documents to the technical proposal

-   A CD containing the technical proposal and supporting documents

-   One original of the Cost Application (please see Annex 4 for
    details)

-   Seven copies of the Cost Application

-   A separate CD containing the Cost Application

*Please note that some courier and overnight mail services do not
deliver directly to the US Embassy, and consequently should not be
relied upon for overnight services. Delivery by courier has in the past
been delayed by up to one week and it is the responsibility of the
applicant to take this delay into consideration. **We regret that we are
unable to accept applications arriving after the deadline. ***

Applicants are encouraged to check
[http://www.grants.gov](http://www.grants.gov/) and the PEPFAR South
Africa website periodically for updated information related to the APS
(**[http://pepfar.pretoria.usembassy.gov](http://pepfar.pretoria.usembassy.gov/))**.

Applicants may submit queries *only by email* to
<pepfar_pretoria_usaid@usaid.gov> through []{.mark}December 21, 2007 for
Round One concept paper review and April 4, 2008 for Round Two concept
paper review. Responses to queries and questions will be posted on the
website. No requests for meetings or phone calls with any USG officials
will be accepted during the application process.

**Tier 1: Concept Paper and Summary Budget**

All interested applicants must submit a concept paper to serve as an
initial application. The concept paper must be written in English and
must not exceed five (5) pages (not including the cover sheet, summary
budget, or attachments), using A4 paper size and Times New Roman
11-point font, with 1-inch margins. This concept paper must include a
completed cover page (Annex 1), an executive summary that describes how
the proposed project will address directly one or more of the
APS-defined objectives, what partnerships if any will be involved in the
project, proposed strategies and activities for implementation, and a
summary budget which specifies the maximum amount of funding required
over a specified time period (see detailed budget instructions
below). Organizations may submit more than one concept paper. *Any
information submitted in addition to the five-page concept paper,
summary budget and cover page will not be considered in the concept
paper review process.*

Concept papers should be developed using the following format:

1.  Summary of proposed activities, including geographic reach, target
    populations and explanation of how proposed activities contribute to
    the South African Government's Strategic and/or Comprehensive Plan.

2.  Background (rationale/problem statement and activities implemented
    to date).

3.  Description of strategy and activities, including partnerships (if
    applicable) and implementation plan for the duration of the project.

4.  Summary monitoring and evaluation plan, including anticipated
    indicators/outcomes.

5.  Description of sustainability plan.

6.  Description of staff responsible for management and monitoring &
    evaluation.

7.  Summary budget in US Dollars.

Concept papers should not include specific and detailed budgets, but
should include the following major budget categories:

-   Personnel/salaries

-   Fringe benefits

-   Travel (international and domestic)

-   Equipment and supplies

-   Monitoring and evaluation (recommended as 5-10% of total budget)

-   Sub-grants

-   Sub-contracts

-   Other direct charges

-   Indirect charges/administrative costs

-   Cost share.

The summary budget also must reflect the following:

-   For indirect costs, international NGOs should include an approved
    Negotiated Indirect Cost Rate Agreement (NICRA) with the U.S.
    Government. Local NGOs may submit a fixed administrative rate or
    direct charges in lieu of a NICRA.

-   Budget must be submitted in US Dollars. For purposes of preparing
    concept papers and full applications, a Rand/Dollar exchange rate of
    \$1 = R6.5 should be used.

Concept papers meeting the following criteria will be reviewed:

-   Written in English.

-   Received by submission deadline.

-   Five pages or less using A4 paper size and Times New Roman 11-point
    font. ***Please note that required cover page (Annex 1), summary
    budget and any attachments do not count toward the five page limit.
    Applicants are cautioned that submitting superfluous material as
    attachments will detract from their application.***

-   Addresses APS-defined objectives.

-   Includes brief description of monitoring and evaluation plan and
    indicators.

-   Project has a duration of one year.

-   Summary budget for Category One submissions should be not less than
    \$250,000 and not more than \$1 million for the initial one year
    period.

-   Summary budget for Category Two submissions should be not less than
    \$ 1 million and not more than \$25 million for the initial one year
    period.

-   Submitted by eligible entity.

A peer review committee will participate in the Tier 1 technical review.
The criteria used to evaluate applications are included as Annex 2.
Those submitting applications deemed to be sufficiently responsive to
this APS and meeting specific gaps within the current program will be
invited to prepare and submit full applications. Applicants will be
informed in writing about the outcome of the Tier 1 technical review
once the review process is complete. The USG is unable to provide
additional information regarding individual concept papers, the
technical review, and the reasons why applicants are or are not invited
to submit full applications.

Concept papers are due**:**

-   Round One Review: Concept papers should be received no later than
    Tuesday January 22, 2008 at 12:00 noon (South Africa time).

-   Round Two Review: Concept papers should be received no later than
    Monday May 5, 2008 at 12:00 noon (South Africa time).

**Tier 2: Full Application and Detailed Budget**

# General guidelines for the preparation of full applications are included here as Annex 3. Detailed instructions will be provided to those invited to submit full applications, as an attachment to the letter of invitation.  {#general-guidelines-for-the-preparation-of-full-applications-are-included-here-as-annex-3.-detailed-instructions-will-be-provided-to-those-invited-to-submit-full-applications-as-an-attachment-to-the-letter-of-invitation. .unnumbered}

#  {#section-3 .unnumbered}

######## PRE-APPLICATION WORKSHOPS

Pre-application workshops will not be held.

Applicants may submit queries *only by email* to
<pepfar_pretoria_usaid@usaid.gov> through December 21, 2007 for Round
One concept paper review; April 4, 2008 for Round Two concept paper
review. Responses to queries and questions will be posted on the
website. No requests for meetings or phone calls with any USG officials
will be accepted during the application process.

**VIII. PREPARATION AND SUBMISSION OF CONCEPT PAPERS AND APPLICATIONS**

 

NO assistance will be provided by any USG official to any organization
in the preparation of concept papers or applications and NO fee is
required for submission of concept papers or applications. The USG would
like to inform all prospective applicants that NO individual has been
appointed by the USG as representative to assist in the APS process.
Prospective applicants are encouraged to respond to the APS in
accordance with the guidelines provided.

**IX. AWARD**

Final negotiations and awards may be administered by any one of the USG
Agencies participating in this program. Funding may be awarded directly
or through an umbrella grants management organization that is directly
funded by the USG Agency.

**X. ADMINISTRATION OF AWARDS**

Awards may be administered by any one of the USG Agencies participating
in this program. Funding may be awarded directly or through an umbrella
grants management organization that is directly funded by the USG
Agency. For USAID, awards to U.S.-NGOs will be administered in
accordance with 22 Code of Federal Regulations (CFR) 226, Office of
Management and Budget Circulars and the USAID Standard Provisions;
awards to non-U.S. NGOs will be administered in accordance with
applicable USAID Standard Provisions. These documents are available on
the following websites: [www.usaid.gov](http://www.usaid.gov/),
<http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&tpl=%2Findex.tpl>)
and
[www.whitehouse.gov/omb/circulars/index.html](http://www.whitehouse.gov/omb/circulars/index.html)**.**
For CDC, awards will be administered in accordance with 45CFR74 and OMB
Circulars. These documents are available on the CDC website
([www.cdc.gov](http://www.cdc.gov/) ).

**\
XI. AUTHORITY**

This program is authorized in accordance with the Foreign Assistance Act
of 1961 (as amended), and the United States Leadership against HIV and
AIDS, Tuberculosis, and Malaria Act of 2003 (P.L. 108-25, May 27,
2003)**.**

> **Annex 1**

**U.S. GOVERNMENT MISSION TO SOUTH AFRICA**

**INTER-AGENCY ANNUAL PROGRAM STATEMENT**

**IN SUPPORT OF THE**

**U.S. PRESIDENT'S EMERGENCY PLAN FOR AIDS RELIEF (PEPFAR)**

**IN SOUTH AFRICA**

**APS 674-08-003**

[]{.mark}

**[APS CONCEPT PAPER AND FULL APPLICATION COVER SHEET]{.underline}**

**Organization Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Project Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Contact Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Title: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

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

**City: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**State/Province: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Country: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Zip Code: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Telephone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Fax Number: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**E-mail Address: \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Website (for organization): \_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Type of Organization:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

**Partner Organization(s):
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

*Include name and organization type from list above, for each partner.*

**Funding Category**

***Please indicate with a check mark which funding category you are
applying for funding in:***

Category One (\$250,000-\$1 million): **Funding Requested Year 1:
USD\_\_\_\_\_\_\_\_\_\_\_\_\_**

Category Two (\$1 million-\$25 million): **Funding Requested Year 1:
USD\_\_\_\_\_\_\_\_\_\_\_**

**Duration of project (in years):** **One Two Three** **Four** **Five**

**Project Type:**

**New Project**

**Scale-up of Existing Project**

**Other *Please describe: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_***

**Province(s) where project will be implemented:**

***Please indicate with a check mark which provinces your project will
work in:***

**Eastern Cape Free State**

**Gauteng** **KwaZulu-Natal**

**Mpumalanga** **North West**

**Limpopo Northern Cape**

**Western Cape** **National (Working at national level with
Departments)**

**Technical Areas:**

***Your proposal will address:***

HIV/TB

PMTCT

Prevention

OVC

HIV Counseling and Testing

Palliative Care for HIV infected individuals and family members

Treatment

[]{.mark}

Beneficiaries:

  -----------------------------------------------------------------------
  **Target Population**

  *Example: Rural adult men and women*

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

*Please include target populations for each technical area you propose
to address.*

> **Annex 2**

#  {#section-4 .unnumbered}

# [APPLICATION EVALUATION CRITERIA]{.underline} {#application-evaluation-criteria .unnumbered}

A peer review committee will evaluate both Tier 1 (concept papers) and
Tier 2 (full applications), based on the following criteria. ***[Note
that evaluation criteria in italics will not be required or scored for
Tier 1 concept papers.]{.underline}***

**A: APPLICANT EXPERIENCE AND PROJECT MANAGEMENT**

**Total: 20 points**

**Applicant's Capacity, Technical Expertise and Experience (10 points)**

-   Capacity to manage (technically, administratively and financially) a
    project of similar size, type and complexity and to deliver the
    required results.

-   Experience in operating similar projects in similar circumstances.

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-   Demonstrated clear understanding of HIV and AIDS issues.

-   Experience in working collaboratively with diverse stakeholders from
    governmental and non-governmental sectors.

-   Experience in working successfully with donor funding.

-   If applicable, evidence that the applicant or primary implementer is
    a community-based or faith-based organization with the ability to
    provide services that will impact at a community level.

-   *Full applications may include summaries of previous HIV and AIDS
    activities in South Africa or other PEPFAR-funded activities in
    other countries.*

**Staffing and Management Plan (10 Points)**

-   Stream lined staffing structure.

-   Staffing pattern maximizes use of qualified, diversified
    (ethnically) South African staff. In the spirit of sustainability
    and the development of local capacity, any expatriate involvement is
    limited to home office oversight, and implementation is to be
    carried out by South African organization(s) and South African
    staff.

-   A dedicated Project Manager able to devote adequate time to the
    management of the activity proposed in the application. The Project
    Manager should have extensive experience in areas relevant to the
    successful implementation of the proposed activity.

-   Financial management procedures and staff in place are knowledgeable
    about and experienced in managing donor funds.

-   Monitoring and evaluation procedures and staff are in place and
    capable of producing accurate, timely reports.

-   *Full applications describe clear management roles and
    responsibilities in order to promote efficiency and rapid start-up.*

-   *Full applications contain adequate information on key personnel,
    including name, short description of experience and capacity
    relevant to proposed position to ensure rapid start-up and
    implementation success.*

-   *Full applications may include as an attachment an organizational
    chart summarizing project management staff.*

#######  {#section-5 .unnumbered}

**B: TECHNICAL APPROACH**

**Total: 55 points**

**Ability to Reach Significant Numbers of South Africans (10 points)**

-   Activities directly support the PEPFAR goal of expanding service
    delivery to a significant number of South Africans.

-   Application indicates an ability to reach a significant number of
    individuals with services within the 12 months of the program.

-   Application demonstrates a low cost per intervention or results
    reached.

-   Targets are realistic (in line with budget, staffing and
    implementation plan).

**Overall Technical Approach (10 points)**

-   Activities directly contribute to the service delivery programs and
    will meet PEPFAR objectives as described in this APS.

-   Activities are supportive and consistent with the South African
    Government's Operational Plan for Comprehensive HIV and AIDS Care,
    Management and Treatment.

-   Activities encompass a comprehensive approach that appropriately
    integrates different interventions and coordinates among different
    levels of health service delivery.

-   Activities can be increased in scale by replication of successful
    interventions or by expansion to additional geographic regions.

**Ability to Monitor Results (10 points)**

-   Application includes effective monitoring and evaluation plan.

-   Application demonstrates competence in developing and analyzing
    performance indicators and in managing performance indicator data to
    ensure audit-worthiness.

-   *Full application monitoring and evaluation plan includes clear and
    appropriate milestones and expected accomplishments, with measurable
    output and performance indicators.*

-   *Full application monitoring and evaluation plan specifies
    appropriate and feasible methods for data collection, tracking,
    verification, analysis and reporting, including attention to
    differential impacts by gender.*

**Implementation Plan (10 points)**

-   Work plan includes proposed activities for the time frame indicated,
    and identifies partners for activities, where appropriate.

-   One year work plan, inputs and outputs are realistic and achievable
    within proposed budget and timeframe, and reflect a grasp of
    necessary steps to ensure rapid, effective start-up and execution of
    program activities.

-   *Full application work plans should be presented in a matrix format,
    with detailed interim objectives and milestones.*

**Sustainability Plan (5 points)**

-   Sustainability plan addresses the likelihood that the program being
    supported will continue beyond and without USG funding, and proposes
    a feasible sustainability strategy.

-   Activities will enhance the ability of South African personnel and
    institutions to address the challenges of HIV and AIDS on a
    long-term basis.

-   Sustainability plan addresses technical expertise, management,
    staffing, relationship with South African Government and financial
    sustainability.

**Gender, People Living with HIV and AIDS (PLHIV), Disadvantaged Groups
(5 points)**

-   Activities are customized to appropriately address gender issues.

-   Activities serve and involve PLWHA or disadvantaged groups.

-   Project will measure and report progress on these issues.

**Underserved Rural Areas or Underserved Provinces (5 points)**

-   Activities are directed at populations in rural areas or areas
    underserved by South Africa health system.

-   Activities are conducted in South Africa provinces in need of
    additional HIV and AIDS programs.

-   Activities are directed at areas with identified high HIV
    prevalence.

**C: SOUTH AFRICA EXPERIENCE**

**Total: 15 points**

**South Africa Government Involvement or Support (10 points)**

-   The project is requested by or supported by the South African
    Government.

-   *Full applications include letters of support or endorsement for the
    specific project from South African Government officials at the
    national, provincial and/or district level.*

**South Africa Experience (5 points)**

-   Evidence that the applicant or primary implementer of the proposed
    project is a South African organization.

-   Experience with and demonstrated understanding of HIV and AIDS
    issues in South Africa.

-   Experience with related projects in South Africa.

**D: COST EVALUATION**

**Total: 10 points**

**Cost Effectiveness (5 points)**

-   Cost effectiveness - the application demonstrates that proposed
    results will be achieved with the most efficient use of available
    resources.

-   The application includes cost sharing, co-funding, in-kind
    contributions or other partnerships or alliances that increase the
    impact of PEPFAR funds or leverage other resources.

**Cost Realism (5 points)**

-   The application's technical approach supports the costs proposed and
    the project is likely to achieve its projected results within the
    projected budget.

#########   {#section-6 .unnumbered}

## **Annex 3** {#annex-3 .unnumbered}

**[General Guidelines For *Full Applications*]{.underline}**

**[Annual Program Statement (APS) 674-08-003]{.underline}**

**These general guidelines are provided for information only. Detailed
guidance for applicants invited to submit full applications will be
provided with the letter of invitation.**

***NOTE: These guidelines are NOT for use in preparation of Tier 1
concept papers. See the APS for instructions for submission of concept
papers.***

The full application must be in English, must **not exceed 25 pages**,
printed on one side with one-inch margins, and must be submitted using
A4 paper size and **Times New Roman 11-point font.** The 25-page maximum
length is inclusive of title page, table of contents and executive
summary, but excludes attachments (resumes, letters of support,
documentation of partnerships and alliances, the cost application and
other supporting documents)**.** Attachments (annexes) should be
lettered (e.g. Attachment A). Applicants are cautioned that submitting
superfluous material as attachments will detract from their application.

The anticipated deadline for submission of the full applications are:

Round One full applications due March 31, 2008

Round Two full applications due June 9, 2008

**Note: These dates are subject to change. At the time of invitation to
submit full applications, instructions for full applications will be
distributed.**

[Electronic Submission:]{.underline}

**No full applications will be accepted via electronic submission.**

[Submission by hand or mail services:]{.underline}

If an applicant is invited to submit a full proposal, full applications
must be submitted by hand or by mail service to:

USAID (Hand delivered)

ATTN: Lyn Buckley

100 Totius Street

Groenkloof, Pretoria 0027

South Africa

***[NOTE: Please be sure to obtain a delivery receipt when delivering
your package.]{.underline}***

*Please note that some courier and overnight mail services do not
deliver directly to the USAID, and consequently should not be relied
upon for overnight services. Delivery by courier has in the past been
delayed by up to one week and it is the responsibility of the applicant
to take this delay into consideration. **We regret that we are unable to
accept applications arriving after the deadline. ***

If an applicant is invited to submit a full proposal, full applications
must be submitted by hand or by mail service to the above address and
must include the following:

-   One original of the technical proposal

-   Seven copies of the technical proposal

-   Any supporting documents to the technical proposal

-   A CD containing the technical proposal and supporting documents

-   One original of the Cost Application (please see Annex 4 for
    details)

-   Seven copies of the Cost Application

-   A separate CD containing the Cost Application

Applications must be received by noon 12:00 p.m. South Africa time by
the deadline dates provided above.

**Please note the following important requirements:**

You are required to submit a pharmaceutical procurement plan if
purchasing pharmaceuticals. The plan should include procurement,
distribution and management.

Budgets must be submitted in the form of a cost application as outlined
in Annex 4.

### Structure and Content of Full Applications {#structure-and-content-of-full-applications .unnumbered}

Full applications including the following elements will be reviewed.
Applicants are encouraged to address as many of the evaluation criteria
(Annex 2) as possible within each of these sections.

I. Cover Page

-   Specific elements will be provided with full instructions.

II\. Table of Contents listing all page numbers and all
annexes/attachments

III\. Executive Summary, using the following format (one page):

-   Summary of proposed activities, including objectives to be
    addressed, geographic reach, target populations and explanation of
    how proposed activities contribute to the South African Government's
    Comprehensive Plan

-   Background (rationale/problem statement and activities implemented
    to date)

-   Description of Strategy and Activities, including partnerships (if
    any)

-   Anticipated results, including indicators/outcomes

IV\. Description of activities related to the objectives of this APS
describing:

-   Rationale/problem statement

-   Description of strategy and activities

-   Objectives and anticipated outcomes

-   Ongoing activities to be scaled up, expanded or supplemented

-   Geographic focus areas and rationale

-   Impact on gender

-   Impact on beneficiaries

Applications must be consistent with current policies and guidelines
provided at [http://www.grants.gov](http://www.grants.gov/) and
<http://pepfar.pretoria.usembassy.gov/> and at links specified at that
site.

V. Include a Section on Project Management with the following
information:

-   Structure for managing implementation

-   Information on key personnel, including for each key person a short
    description of experience and capacity relevant to the project
    description, an indication of level of effort each will be
    dedicating to the proposed activities and the roles and
    responsibilities of each

-   Proposed implementing partner(s), key personnel of each partner
    organization and the roles and responsibilities of each organization

VI\. Description of Applicant capacity, technical expertise and
experience.

-   Describe capacity to manage the project (technically,
    administratively and financially).

-   Describe previous experience managing a project of similar size and
    complexity, including experience working collaboratively with
    diverse stakeholders and experience with donor funding.

VII\. Technical Approach:

-   Objectives addressed and results to be achieved, including:

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-   Relation to the aim of this APS

-   Specific program results to be achieved by September 2008, March
    2009, September 2009 and beyond

-   Detailed Implementation Plan, describing the plan and methodology
    for implementation of each activity, including:

-   Timeframes and sequencing for implementing each activity

-   Outcome of each activity

-   Impact on gender

-   Impact on most-at-risk groups and underserved communities

-   Involvement of partners including roles and responsibilities

-   Sustainability plan

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-   Detailed monitoring and evaluation plan showing how:

-   Outcomes will be measured

-   Outcomes will contribute to results

-   Baseline information will be collected

-   Activities will be evaluated

[Note:]{.underline} If purchasing pharmaceuticals, include a
**[Pharmaceutical Procurement Plan]{.underline}** in this section.

VIII\. If the proposed activity(s) will be carried out in conjunction
with the South African Government, or in public facilities, evidence of
the South African Government concurrence with the activity(s) should be
provided.

IX\. Past Performance/Past Experience:

-   Submit contact information of at least three (3) partners with whom
    applicants have worked in the past three (3) years in the
    implementation of a similar program.

-   Reference information, including location, current telephone
    numbers, points of contact, award number if available, and a brief
    description of work performed. Please refer to Annex 6 for guidance
    on past performance.

X. Cost Application

Category One applications should be in the range of \$250,000 to
\$1,000,000 for the initial one-year period.

Category Two applications should be in the range of \$1,000,000 to
\$25,000,000 for the initial one-year period.

Please refer to the Cost Application Attachment, Annex 4 for additional
information.

Note: Submit full budget in the specified format as an annex (budgets
are not included in the 25 page restriction).

XI\. Branding

Successful applicants who are assigned to USAID or an umbrella grant
management organization under USAID will be required to submit a
branding plan. Please see Annex 5 for additional details.

**Annex 4**

#### COST APPLICATION  {#cost-application .unnumbered}

**(Note: For full application ONLY. Do not submit with concept paper).**

The cost application should be in the form of an attachment and should
detail all direct costs associated with the implementation and
completion of activities, as well as any indirect costs and program
costs such as those related to any sub-agreements and/or contracts as
detailed below.

Category One applicants may request awards in the range of \$250,000 to
\$1,000,000 million per year for the first year for a program of up to
five years. Category Two applicants may request awards in the range of
\$1,000,000 to \$25 million for the first year for a program of up to
five years. These funding levels are subject to revision depending on
availability of funds and Country Operational Plan approval.

The application should also provide evidence that the funds requested
are reasonable and would be used in a cost-effective manner. The review
committee will assess whether the overall costs are realistic for the
work to be performed, whether the costs indicate that the applicant
understands the requirements, and whether the costs are consistent with
the technical application.

The Cost 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 the respective USG Agreement Officer to make a
determination of responsibility. However, it is USG policy not to burden
applicants with undue reporting requirements if that information is
readily available through other sources.

 

The Cost Application should be prepared following the guidance provided
below. All information should be included in the application in the
manner and format described below. While there is no page limit for this
portion, applicants are encouraged to be as concise as possible while
providing the necessary details. **The Cost Application should be
submitted as an original and seven copies.**

1.  ***Separateness**:* The Cost application must be completely separate
    from the Applicant\'s technical application. The application must be
    submitted using Standard Form (SF) 424 and SF 424A "Application for
    Federal Assistance." These forms can be downloaded from the USAID
    web site:

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

2.  ***Cost Information Submission**:* The cost information submitted
    must include three distinct parts: a) the SF 424; b) the cost
    matrix; and c) budget notes.

> [a. SF 424:]{.underline}
>
> The cost application should be for a period of 1 year using the budget
> format shown in the SF 424A. If there are any training costs to be
> charged to this Agreement, please identify them clearly.
>
> [b. Cost Matrix:]{.underline}
>
> The Cost Application must also indicate the amount of funds to be
> spent by objective and activity. Applicants should include an overall
> summary budget and a detailed annual budget defined by program area,
> general program activities and specific activities consistent with the
> information requested below. Specifically, the budgets should
> demonstrate the allocation of resources necessary to achieve the
> objectives of this program.
>
>  

The proposed budget shall also include:

i.  the breakdown of all costs according to each partner organization
    (if more than one organization is proposed in the
    consortium/network) involved in the program; 

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

iii. the breakdown of the financial and in-kind contributions of all
     organizations involved in implementing this agreement;

iv. potential contributions of non-USG or private commercial donors to
    this agreement;

v.  the procurement plan for commodities (note that contraceptives and
    other health commodities will be subject to specific approvals from
    the respective USG Agreements Officer).

 

c\. [Budget Notes:]{.underline}

To support the costs proposed, please provide detailed budget notes or a
narrative explaining how all costs were derived. The combination of the
cost data and breakdowns specified above and the cost notes must be
sufficient to allow a determination of whether the costs estimated are
reasonable and realistic. If the information described below is provided
in the cost matrixes described above, then the information need not be
included in the Budget Notes. The following is provided as guidance on
issues involving specific types of costs:

>  

i.  Salary and Wages: Direct salaries and wages should be proposed in
    accordance with the applicant\'s personnel policies.

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

iii. Travel and Transportation: The application should indicate the
     number of trips, domestic and international, and the estimated
     costs per trip. Specify the origin and destination for each
     proposed trip, duration of travel, and number of individuals
     traveling. Per diem should be based on the applicant\'s normal
     travel policies. (Applicants may choose to refer to the Federal
     Standardized Travel Regulations for cost estimates).

iv. Equipment: Specify all equipment to be purchased, including the type
    of equipment, the manufacturer, the unit cost, the number of units
    to be purchased and the expected geographic source.

v.  Source and Origin Requirements - Goods and services provided by the
    applicants under this USAID-financed award must have their source
    and origin in the United States (USAID Geographic Code 935).
    However, applicants may use Geographic Code 935 (worldwide) if they
    can provide justification in accordance with USAID policy, CIB
    01-04, Expedited Acquisition and Assistance Procedures for the
    HIV/AIDS and Infectious Disease Initiatives. Procurement source and
    origin requirements under the agreement will be dependent upon the
    source of funding.

vi. Materials and Supplies: Specify all materials and supplies expected
    to be purchased, including type, unit cost and units.

vii. Communications: Specific information regarding the type of
     communication cost at issue (i.e. mail, telephone, cellular phones,
     internet etc.) must be included in order to allow an assessment of
     the realism and reasonableness of these costs.

viii. Subcontracts: Information sufficient to determine the
      reasonableness of the cost of each specific subcontract expected
      to be implemented must be included. 

ix. Consultants: Information sufficient to determine the reasonableness
    of the cost of each specific consultant expected to be hired must be
    included. Similar information should be provided for all consultants
    as is provided under the category for personnel.

x.  Allowances: Allowances should be broken down by specific type and by
    person. Allowances should be in accordance with the applicant's
    policies and the applicable regulations and policies.

xi. Direct Facilities Costs: Specific information regarding the cost of
    any facilities needed to perform program activities. The information
    provided should include the unit cost (rent), the time period the
    facilities are needed, and the number of facilities. Only facilities
    that directly benefit the program activities should be included in
    this category; all other facility costs should be included in the
    indirect cost category.

xii. Other Direct Costs: This may include report preparation costs,
     passports and visas fees, medical exams and inoculations, insurance
     (other than insurance included in the applicant\'s fringe benefits,
     as well as any other miscellaneous costs which directly benefit the
     program proposed by the applicant. The narrative should provide a
     breakdown and support for all other direct costs. If seminars and
     conferences are included, the applicant should indicate the
     subject, venue and duration of proposed conferences and seminars,
     and their relationship to the objectives of the program, along with
     estimates of costs.

xiii. Indirect Costs**:** The applicant should support the proposed
      indirect cost rate with a letter from a cognizant U.S. Government
      audit agency (i.e. its current Negotiated Indirect Cost Rate
      Agreement) or with sufficient information for USAID or CDC to
      determine the reasonableness of the rates. For the latter, USAID
      and CDC would need: (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 and CDC respectively; (2) projected budget, cash flow and
      organizational chart; (3) A copy of the organization\'s accounting
      manual.

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3.  ***Cost-Sharing***: In addition to USG funds, Applicants are
    encouraged to contribute resources from their own, private or local
    sources for the implementation of this program. Contributions can be
    either cash or in‑kind and can include contributions from the
    applicant, local counterpart organizations, project clients, the
    South African Government, and other donors (not other USG funding
    sources). Information regarding the proposed cost-share should be
    included in the SF 424 and the Cost Matrix as indicated on those
    documents. The cost-share should be discussed in the Budget Notes to
    the extent necessary to realistically access these sources and funds
    and the feasibility of the cost-sharing plan.

4.  ***Management Costs**:* The proposed budget should provide estimates
    of the program based upon the total estimated costs for the
    agreement. Applicants should minimize their administrative and
    support costs for managing the project to maximize the funds
    available for project activities.

5.  ***Teaming**:* If the applicant is a consortium, the Cost
    application must include documents reflecting the legal relationship
    between the parties. The documents should include a full discussion
    of the relationship between the applicants including the identity of
    the organization that will deal with USG in matters of agreement
    administration, the identity of the organization that will have
    accounting responsibility, how agreement effort will be allocated,
    and the express agreement of the principals thereto to be held
    jointly and severally liable for the acts or omissions of the other.

If no joint venture is involved, the Cost/ Business Application should
include a complete discussion of the relationship between the applicant
and its partner organizations, how work under the program will be
allocated, how work will be organized and managed, and copies of any
agreements between the partner organizations. In all cases of teaming,
the cost information provided in part 2.b of this subsection should
indicate the amounts committed to each member of the team. The Budget
Notes described in part 2.c of this subsection should discuss which team
member is bearing a particular cost where appropriate to justify and
explain the cost in question.

6\. ***Financial Resources**:* Information on the organization\'s
financial status and management including:

a)  Projected budget, cash flow and organizational chart.

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

c)  If applicable, approval of the organization\'s accounting system by
    a U.S. Government agency, including the name, address, and telephone
    number of the cognizant auditor.

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

7\. ***Supporting Documentation:*** The application should include
detailed information for each component below that substantiates that
the applicant:

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

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

c\) Has a satisfactory record of performance. Refer to Annex 6 for
guidance on past performance.

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

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

f\) Applicants may submit any additional evidence of responsibility
considered necessary in order for the Agreement Officer to make a
determination of responsibility.

8\. ***Program Income** (if applicable):*

For partners that are awarded to USAID, the recipient shall account for
program income in accordance with 22 CFR 226.24(b)(1) and (b)(2). "In
accordance with 22 CFR(b)(1), program income earned under this award
shall be added to funds committed by USAID and the recipient to the
project or program and used to further eligible project or program
objectives. Additionally, in accordance with 22 CFR 226.24(b)(2),
program income may be used to finance the non-Federal share of the
project or objectives."

9\. ***Cost Evaluation Review Criteria:***

Evaluation points are not awarded for cost. The review of the cost
proposal shall include primarily cost realism, allowability and
reasonableness analyses. This will consist of a review of the cost
portion of an applicant's application to determine if the overall costs
proposed are realistic for the work performed, if the costs reflect the
applicant's understanding of the requirements, and if the costs are
consistent with the technical application. Evaluation of cost proposals
will consider but not be limited to the following:

-   Cost realism and completeness of cost proposal and supporting
    documentation.

-   Overall cost control evidenced by the proposal (such as avoidance of
    excessive salaries, excessive home office staff visits and other
    costs in excess of reasonable requirements).

-   Amount and type of cost share proposed.

Applicants are reminded that the Government is not obliged to award a
negotiated agreement on the basis of lowest proposed cost, or the
applicant with the highest technical evaluation score, but will make
awards that represent the best value for the U.S. Government.

**Annex 5**

**BRANDING REQUIREMENTS**

**All successful applicants who are assigned to USAID will be required
to fulfill the branding requirements.**

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

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

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

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

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

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

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

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

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

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

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

"This study/report/audio/visual/other information/media product
(specify) is made possible by the generous support of the American
people through the United States Agency for International Development
(USAID). The contents are the responsibility of \[insert recipient
name\] and do not necessarily reflect the views of USAID or the United
States Government."

\(11\) The recipient will provide the Cognizant Technical Officer (CTO)
or other USAID personnel designated in the grant or cooperative
agreement with two copies of all program and communications materials
produced under the award. In addition, the recipient will submit one
electronic or one hard copy of all final documents to USAID's
Development Experience Clearinghouse.

**Implementation of marking requirements**

\(1\) When the grant or cooperative agreement contains an approved
Marking Plan, the recipient will implement the requirements of this
provision following the approved Marking Plan.

\(2\) When the grant or cooperative agreement does not contain an
approved Marking Plan, the recipient will propose and submit a plan for
implementing the requirements of this provision within 10 working days
after the effective date of this provision. The plan will include:

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

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

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

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

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

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

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

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

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

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

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

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

**Waivers**

\(1\) The recipient may request a waiver of the Marking Plan or of the
marking requirements of this provision, in whole or in part, for each
program, project, activity, public communication or commodity, or, in
exceptional circumstances, for a region or country, when USAID required
marking would pose compelling political, safety, or security concerns,
or when marking would have an adverse impact in the cooperating country.
The recipient will submit the request through the Cognizant Technical
Officer. The Principal Officer is responsible for approvals or
disapprovals of waiver requests.

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

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

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

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

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

For more information in the USAID branding policy, please see
<http://www.usaid.gov/branding/>.

**Annex 6**

**PAST PERFORMANCE**

**(To be added to supporting documents for full applications only)**

The applicant shall establish the relevance of past experience to this
program and the basis for reliance upon that experience as an indicator
of success on this program. The application must demonstrate success in
providing similar implementation services on past awards, including
production of meaningful outputs and significant results in accordance
with required outputs and results. The applicant should describe their
responsiveness to past clients regarding ability to adapt to the unique
country settings and client priorities and client satisfaction.
Applicants shall provide a list of all U.S. Government and/or privately
funded contracts, grants, contracts, etc. performed by the organization
and major implementing partners or sub-partners in the last five years
involving programs similar to the program proposed in their application.
Include the following for each award listed:

-   Name of awarding organization or agency;

-   Address of awarding organization or agency;

-   Place of performance of services or program;

-   Award number;

-   Amount of award;

-   Time period of award (begin and end dates of services/program);

-   Current telephone number, fax numbers and internet/email adders of a
    responsible technical representative of that organization or agency
    having significant knowledge of the applicant's performance;

-   Brief description of the program.

Assessment of past performance will focus on the applicant's
demonstrated:

a)  Quality of product or service, including how cooperative and
    effective the applicant was in fixing problems, and applicant's
    conformance to agreement specifications or professional performance
    standards;

b)  Cost control, including forecasting costs, as well as accuracy in
    financial reporting;

c)  Timeliness of performance, including adherence to agreement
    schedules and meeting delivery dates such as the submission of
    administrative documentation, timely delivery of short-term
    technical advisors, and effectiveness of home and field office
    management to make prompt decisions and ensure efficient operation
    of tasks;

d)  Customer satisfaction, including satisfactory business relationship
    with USAID and host country clients (where applicable), prompt and
    satisfactory correction of problems, and cooperative attitude in
    fixing problems; and

e)  Effectiveness of key personnel, including effectiveness and
    appropriateness of personnel for the job, and prompt and
    satisfactory changes in personnel when a need to replace personnel
    was identified.